ML20216F606

Requests Concurrence on Encl Pr, Initial Licensed Operator Exam Requirements,Amends to 10CFR55

ML20216F606
Person / Time
Issue date:	03/04/1997
From:	Morrison D NRC OFFICE OF NUCLEAR REGULATORY RESEARCH (RES)
To:	Collins S, Galante A, Meyer D, Scroggins R, Shelton B NRC, NRC OFFICE OF ADMINISTRATION (ADM), NRC OFFICE OF INFORMATION RESOURCES MANAGEMENT (IRM)
Shared Package
ML20216F483	List: ML20216F480 ML20216F496 ML20216F508 ML20216F518 ML20216F534 ML20216F542 ML20216F561 ML20216F582 ML20216F587 ML20216F606 ML20216F627 ML20216F726 ML20216F751 ML20216F759 ML20216F776 ML20216F809 ML20216F867 ML20216F949
References
FRN-62FR42426, RULE-PR-55 AF62-1-012, AF62-1-12, NUDOCS 9709120035
Download: ML20216F606 (47)

Text

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pit Ato O* k UNITED STATES

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}- NUCLEAR REGULATORY COMMISSION

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'o 8, WASHINGTON, D.C. 30665 4 001

• %...../ ~ March 4, 1997: '

-HEMORANDUM TO:

Samuel J. Collins, Director Office of Nuclear Reactor Regulation Ronald M. Scroggins, Acting Chief Financial Officer Anthony J. Galante Chief Information Officer David L. Meyer, Chief Rules Review and Directives Branch Division of Freedom of-Information and Publications Services Office of Administration Brenda Jo. Shelton, Chief Information and Records Management Branch Office of Information-Resources Management James Lieberman, Director Office of Enforcement William J. Olmstead, Associate General Counsel for Licensing and Regulation, Office of the General Counsel David L. Morrison, Director FROM:

Office of Nuclear Regulatory Research - #c - kW

SUBJECT:

PROPOSED RULE - INITIAL LICENSED OPERATOR EXAMINAT.TN RE-QUIREMENTS, AMENDMENTS TO 10 CFR PART 55 Your concurrence is requested on the attached proposed rule.

Backaround: This proposed rule is being published to notify the public of NRC's intention-to require its power reactor facility licensees to prepare and administer the initial operator and senior operator licensing examinations.

Section 107 of the Atomic Energy Act of.1954 (AEA), as amended, requires the NRC to determine the qualifications of individuals applying for an operator license, to prescribe uniform conditions for licensing such individuals, and to issuo-licenses as appropriate. Operator license applicants are required by 10 CFR Part 55, " Operators' Licenses," to pass an examination satisfying the basic content requirements that-are also specified in- that regulation.  ;

. Traditionally, the NRC has prepared these examinations through its staff or contractor examiners. This rule, .if promulgated, will require the facility 9709120035 970904 5[62h42426 PDR-

a. ,

S. J.-Collins-et:al 2 licensees to prepare these examinations and proctor the written portion,.thus  :

: saving the NRC between $3 million-to 54 million annually in contract support.  ;

The following is a summary of this request:

1.

Title:

Proposed Rule, " Initial Licensed Operator Examination Requirements"

2. Task lead,gr: Harry S. Tovmassian (415-6231)

3. Workina Group Members: Siegfried Guenther, NRR-

4. Steerina Group Members: No

5. Enhancsd.,Public Participation: No

6. Level 1 or 2 Item of Compatibility for Aareement States: No

7. Reauested Action: Office Concurrence. Due to EDO 3/17/97

8. Reauested Completion Date: March 14, 1997.

, 9. Resources and Coordination: Estimated resources to develop this rulemaking are .5 FTEs. Future resources will be saved by eliminating the need for NRR to utilize contract examiners to prepare the initial licensing ex<minations. Copies of this concurrence package have been forwarded to the Office of the Controller, CRGR, ACRS, and the IG-for information.

Attachments: As stated

cc w/ attachment

R. Scroggins, 0C

11. Bell, IG W. Beecher, OPA J. Larkins, ACRS E. Jordan DEDO

-D. Ross, CRGR Distribution: subj-rdg-central- FCostanzi CGallagher LBRiani DMendiola RAuluck. EBaker CMohrwinkel SGuenther DOCUMENT NAME: [o: \tovmas si \il oe\ coni . l oe] .

CF- Y- N POR Y N

• See previous concurrences T3 feeelve e sepy of tede deemment.indee,e in the hea: 'C' = Copy without ettechment/ enclosure 'E' == Copy with attachment /ptosure *N' = No copy OfflCE kDB:DRA* l- RDB:DRA* l- *D:DRA D:RES //f] I NAME IfTovmassian TMartin- BMorris DMorr,i sop 47'l DATE 02/06/97 02/06/97 02/28/97 ly 1]/97 ,

-OFFICIAL RECORD COPY (RES File Code) RES-

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. ._ ._. _ _ - . . . . - . - . -- _ - = - . - - . - - - . .

1 F. J. Miraglia-et al 2

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licensees to prepare these examinations and proctor the written portion,,thus saving the NRC between $3 million to $4 million ant.Jally in contract support.

The following is a summary of this request: . ,

1.

Title:

Proposed Rule, "In.cial Licensed Operator Examina ton Requirements"

2. Task Leader: Harry S. Tovmassian (415-6231)

3. Workina Grouo Members: _Siegfried Guenther. NRR ,

4. Steerina Group Members: No

5. Enhanced Public Particioglign: No

' 6 ', level 1 or 2 Item of-Compatibility for Aareement States: No

/

7. Reauested Action: Office Concurrence. Due to EDO 3/17/97

8. Reauested Comoletion Date: Marc 4, 1997.

/

9. Resources and Coordination: Estimated resources to develop this rulemaking are .5 FIEs. Futire resources will be saved by eliminating the need for NRR to utilize' contract examiners to prepare.the initial licensing examinations. C'opies of this concurrence package have been forwarded to the Office jof the Controller, CRGR, ACRS, and the IG for information.

Attachments:-As stated-cc w/ attachment:

R. Scroggins, OC H. Bell, IG W. Beecher, OPA J. Larkins, AC E. Jordan, DE D. Ross, CRG subj-rdg-central FCostanzi CGallagher LBRiani 0Mendiola Distribut n:

RAuluck Baker CMohrwinkel SGuenther 00CLMENT NAME:. o:\tovmassi\iloe\ coni.loe)

CF Y k POR Y, N

/ *See previous concurrences ne.a,.. r . co, .a .w-ou.4. . u - u ,,

, n m . 4.n .e u. m w i, we c . c.n om,m.i .. .a, OFFIGi RDB:DRA* l RDB:0RA* l D:DRA M y l D:RES l M"? HTovmassian TMartin BMorris M DMorrison 04TE 02/06/97 02/06/97  % g/97 -/ /97 7

0FFICIAL RECORD COPY (RES File Code) RES

F. J. Miraglia et ali 2 J

licensees.to' prepare these examinations and proctor the written portion, thus saving the NRC between $3 million to $4 million. annually in contract support.

The following is a summary of this requesti

1. -

Title:

Proposed Rule, " Initial Licensed Operator. Examination

/

Requirements"

2. Task Leader:: Harry S. Tovmassian (415-6231) ,

3. Workina Group Members: Siegfried Guenther NRR

4. Beerina Group Members: No

5. Enhanced Public Participation: No

)

6. Level 1 or 2 Item of Compatibility for Agreement States:

No

/

7. Reauested Action: OfficeConcurpence. Due to EDO 3/31/97

/

8. Reauested Completion Date: Twenty days after date of this memorandum.

9. Resayces and Coordination: Estimated resources to develop this rulemaking are 1.5 FlEs. Future resources will be saved by eliminating the need for NRR to utilize contract examiners to prepare the initial licensing examinations. Copies of this concurrence package have been forwarded to the Office of the Controller, CRGR, ACRS, and the IG for information.

Attachments: As stated cc w/ attachment:

R.: Scroggins, OC H. Bell, IG W. Beecher, OPA <

J. Larkins, ACRS.

E. Jordan, DED0/

D. Ross, CRGR, Distributioni subj-rdg-central FCostanzi CGallagher LBRiani DMendiola RAuluck EBaker- CMohrwinkel SGuenther DOCUMENT NAME:(o:\ ovmassi\iloe\ con 1.1oe)

CF Y N PDR Y N/

• See previous concurrencas n - w. ..,v

v. . ....,. w. .n.. m. wo w c .co,y.%.m.n-nm.ne.n.. c . co,v .. .nuw nc.ne.

(OFFICE RDB:DRA* l RDB:DRA* D:0RA lD:RES [

NAME HTovmassian TMartin BMorris DMorrison DATE 02/06/97 02/06/97 / /97. / /97 ,,

0FFICIAL RE00 6 COPY Q.I@ES File Code) RES

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The following is a summary of this request:

1.

Title:

Prcposed Rule, " Initial Licensed Operator Examination Requirements"

2. Task Leader: HarryS.Tovmassian(415-6231)

3. Workina Group Members:- Siegfried Guenther, NRR  ;

4. 11eerina Groun Members: No 5 Enhanced Public Particioation: No

6. Level 1 or 2 Item of Comoatibility for Aareement States: No

7. Reauested Action:. Office Concurrence on the Proposed Rule

8. Reauested comoletion Dita: Twenty days after date of this memorandum

9. Estimated resources to develop this Resources and Coordination:Future resources _will be saved by eliminating rulemaking are 1.5 FTEs.

the need for NRR-to utilize contract examiners to prepare the initial licensing examinations. Copies of this concurrence package have been forwarded to the Committee to Review Generic Requirements, the ACRS, and the IG for information.

Attachments: As stated cc w/ attachment:

H. Bell, IG W. Beecher, OPA J. Larkins, ACRS & ACNW

. E. Jordan, DEDO D. Ross, CRGR Distribution: subj-rdg-central DMorrison BMorris w/atts FCostanzi RAuluck EBaker CMohrwinkel DOCUMENT MAME:[o:\tovmass iloe\ con 1.loe)

CF Y N POR Y N n u ..,,, . ~ u = o . c . c... . .~i.. w . u.....

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RDB:DRA RDB:DRA I 0:DRA -l D:RES 1 l OFFICE I NAME HTovmassian M TMartin (lW\ BMorris DMorrison DATE- 1/L /97 1/ u/97 ,/ /97 / /97 y 0FFICIAL LECORD COPY (RES File Code) RES

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FOR: The Commissioners FROM: L. Joseph Callan Executive Director for Operations

SUBJECT:

PROPOSED RULE - INITIAL LICENSED OPERATOR EXAMINATION REQUIREMENTS PURPOSE:

To obtain Commission approval to publish in the federal Register a proposed rule that would amend 10 CFR Part 55 to require power reactor facility licensees to prepare the entire initial examination for reactor operators (R0s) and senior reactor operators (SR0s) and to proctor the written portion of the examination.

BACKGROUND:

On March 24, 1995, SECY-95-075, " Proposed Changes to the NRC Operator Licensing Program," informed the Commission of the staff's intent to revise the operator licensing program to allow greater participation by facility

. licensees and to eliminate contractor assistance in this area. In a etaff requirements memorandum (SRM) dated April 18, 1995, the Commission approved the staff's proposal to initiate a transition process to revise the operator licensing program and directed the staff to carefully consider experience from pilot examinations before fully implementing the changes. On August 15, 1995, the staff issued Generic letter (GL) 95-06, " Changes in the Operator Licensing Program," outlining the revised process for developing examinations and soliciting volunteers to participate in pilot examinations to evaluate and refine the methodology.

CONTACT:

Siegfried Guenther, NRR (301) 415-1056 Harry S. Tovmassian, RES (301) 415-6231

The Commissioners Between October 1,1995, and April 5,1996, the staff reviewed anti approved 22 operator licensing examinations that had been prepared by facility licensees in accordance with Revision 7 of NUREG-1021, " Operator Licensing Examinor Standards" (June 1994), as supplemented by guidance contained in GL 95-06.

These examinations were then used to test 146 R0 and SRO applicants.

The staff documented the results of the pilot examinations in SECY-96-123 -

" Proposed Changes to the NRC Operator Licensing Program," and briefed the Commission on June 18, 1996. In an SRM dated July 23, 1996, the Commission directed the staff to prepare a rulemaking plan to justify the changes to 10 CFR Part 55 and to provide additional information regarding a number of issues related to the revised examination process.

On September 25, 1996, the staff issued SECY-96-206, "Rulemaking Plan for Amendments to 10 CFR Part 55 To Change Licensed Operator Examination Requirements." The Commission approved the rulemaking plan in an SRM dated December 17, 1996.

D15G1510H:

Pursuant to the SRM of December 17, 1996, in February 1997, the staff issued an interim version of Revision 8 of NUREG-1021, which has been retitled

• Operator Licensing Examination Standards for Power Reactors," The staff will implement the interim revision on a voluntary basis until the rulemaking is complete. NilREG-1021 was updated to incorporate lessons learned during the pilot examination program and will be further revised, as necessary, based on industry and public comments in response to the enclosed Federal Reaister notice. The staff has also issued a supplement to GL 95-06 to inform power reactor facility licensees of the results of the pilot examination program and the NRC's decision to change the operator licensing process.

As directed by the Commission, NRR has continued to monitor the results of the facility-prcpared examinations for indications that might dissuade the Commission from approving the proposed rulemaking. As an extension of the original pilot program, NRR has asked the NRC examiners to respond to a survey on various aspects of the revised examination process. Furthermore, as noted in SECY-96-206, NRR will continue to audit and review the level of knowledge and the level of difficulty of selected written examinations and operating tests.

Between August 19, 1996, when the staff resumed conducting pilot-style examinations, and the end of December 1996, the staff reviewed, approved, and administered 12 examinations that were developed by facility licensees based on the guidance in GL 95-06. This raised the total number of examinations completed using the pilot process to 34, including the 2? examinations that were conducted under the original pilot program between October 1,1995, and April 5, 1996. Facility-prepared examinations were administered to 84 R0 applicants and 144 SR0 applicants dering the pilot program. The results of these examinations are summarized below; the power reactor licensing examination results for fiscal year 1995 are provided for comparison. The pass rates for the facility-prepared examinations administered did not vary significantly from those prepared by the NRC.

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The Commissioners Power Reactor Pass Rates

""*""" R0 R0 R0 SR0 SR0 SRO Written Operating Total Written Operating Total Facility-Prepared 93% 95% 88% 93% 96% 90%

Since October 1, 1995

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Fiscal Year 1995 94% 98% 92% 95% 95% 92%

Note. One SR0 operating test failure and 2 SR0 written failures have been appealed and are still undergoing review.

examination discriminatesThe most common problem identified by the NRC examiners regarding the facility-prepared examinations was that the level of knowledge and difficulty of the submitted examinations did not consistently discriminate at the appropriate level and that considerable effort was required to work with the facility licensee to revise the examinations to correct this condition. As noted in SECY-96-206, NUREG-1021 has been modified to establish a standard that at least half of the examination questions be written at the comprehension or analysis level. This criterion will take effect when Revision 8 of NUREG-1021 is implemented and should help improve the level of knowledge tested by the submitted examinations.

Although NUREG-1021 contains criteria that should help establish an appropriate level of difficulty for the examinations, the personal experience and judgment of the author and reviewer of the examination remain the most important factors in controlling the level of difficulty. Traditionally, an NRC or contract examiner established the level of difficulty of the examination and the facility licensee was given an opportunity to review the examination before it was administered, in most cases the review with the facility licensee focused on technical issues, which the NRC examiner and facility reviewer could easily resolve. On occasion, the facility reviewers have complained that an examination was too difficult, but the facility reviewers seldom recommended changes that would increase the difficulty of the

• examination if it was perceived to be easier than Mrmal. Under the revised examination process, the facility licensee will establish the level of difficulty of the examination, and the NRC examiner will have to work with the facility author to make whatever changes are necessary to ensure that the examination discriminates at the appropriate level. Even though there is a general ter.dency of licensees to resist NRC examiners' efforts to make the examinations more difficult, the level of NRC effort to ensure examination adequacy is not expected to be significantly changed. Most NRC examiners believe that the revised examination process is as effective as the traditional method.

C0 ORDINATION:

The Office of the General Counsel has no legal objection. The Office of the Chief Financial Officer concurs that there will be no resource impacts. The Office of the Chief Information Officer concurs that there will be no information technology impacts.

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The Commissioners . > ' 54

=h RECOMENDATION:'- j sThatLt'e h Commission::

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1. Approve-the notice of proposed rulemaking (

Enclosure:

1) for publication in the FederaltRegisttr.'

2. Certify that this' rule, if promulgated, will not have=a significant  :

economic impact-on-a substantial number of small entities to satisfy the

requirements of- the Regulatory Flexibility Act,- 5 U.S.C. 605(b).- ,

3. - Determine'that the backfit rule 10 CFR 50.109 does not apply to this  ;

proposed rule..

4.; Determine thatineither an environmental

• impact statement nor an

- environmental assessment has been prepared becruse this proposed rule is t celigible for a: categorical exclusion as defined-in-10 CFR 51.22(c)(1).

s5. Ngig:.  !

a. This rulemaking will be published in the Federal _ Reatster-for a 75-day public comment period;-

b. The Chief Counsel for Advocacy of ~ the Small Business Administration L will be informed of the certification regarding _ economic impact on small entities and:the reasons for it as required by the Regulatory Flexibility Act; sc. The proposed ~ rule contains information collection recuirements that are; subject to. review:by the Office of Management anc Budget (OHB);

d. = A regulatory analysis has been prepared (Enclosure 2);

i- -e. The appropriate Congressional committees will be informed (Enclosure-3);-

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~ f, u A public ' announcement will be :issuc'd (Enclosure 4); and

g. ? Copies of the notice of proposed rulemaking will be-distributed to- -

all licensees.- The notice will bc -sent to other interested parties upon request.

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L. Joseph Callan .

Executive Director for Operations c

Enclosures:

1.: FRN'of: Proposed Rule 2.' Regulatory Analysis -

3. Con ressional Letters 4.- Pub ic Announcement-3

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oe e ENCLOSURE 1 FEDERAL REGISTER NOTICE a

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NUCLEAR-REGULATORY COMNISSION~

10 CFR Part 55 ,

0 RIN 3150-AF62

-Initial Licensed Operator Examination Requirements

- AGENCY: Nuclear-Regulatory Commission.

ACTION: Proposed rule.

L e

SUMMARY

The-Nuclear Regulatory Commission (NRC) is proposing to amend its regulations to require that power plant facility licensees prepare the written F examinations and operating tests that the NRC currently uses to evaluate-the

- competence of individuals applying for operator licenses at those plants. The proposed amendment'would_ require the_ licensee to' submit each examination and 7 .

test for the NRC's review and approval and would preserve the NRC's authority e ' to prepare the examinations and tests, as necessary. The proposed rule would allow the NRC to invoke its authority if it lost confidence in a facility 4 licensee's' ability to prepare these examinations acceptably, or to maintain 1

the proficiency of its own license examiners. This proposed action would

]

0 allow the NRC to eliminate between $3 million and $4 million in contractor

- support for preparation and administration of examinations.

1 DATES: Submit cosumnts by-[ Insert the date 75 days after publication in the-Federal Register). Comments received after this date will be considered if it-

< Tis practical to do so, but the; Commission is-able to assure censideration only

, for: comments received on or before this date.

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. o ADDRESSES: Coments may be sent to: Secretary, U.S. Nuclear Regulatory Comission, Washington, DC 20555. Attn: Docketing and Service Branch. Hand deliver coments to 11545 Rockville Pike, Rockville, Maryland, between 7':30 am and 4:15 pm on Federal workdays. For information on submitting coments electronically, see the discussion under Electronic Access in the Supplementary Information section.

Single copies of this proposed rulemaking may be obtained by written request or telefax ((301) 415-2260) from Harry S. Tovmassian, Office of Nuclear Regulatory Research, U.S. Nuclear Regulatory Comission, Washington DC 20555. Certain documents related to this rulemaking, including coments received, may be examined at the NRC Public Document Room, 2120 L Street NW (Lower Level), Washington, DC. These same documents may also be viewed and downloaded electronically via the Electronic Bulletin Board established by NRC for this rulemaking as indicated in the Supplementary Information section.

FOR FURTHER INFORMATION CONTACT: Harry S. Tovmassian, Office of Nuclear Regulatory Research, U.S. Nuclear Regulatory Comission, Washington, DC 20555, telephone (301)_415-6231; e-mail hst0nrc. gov.

SUPPLEMENTARY INFORMAT'ON:

Background

Section 107 of the Atomic Energy Act (AEA) of 1954, as amended, requires the NRC to determine the qualifications of individuals applying for an operator license,_to prescribe uniform conditions for licensing such 2

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individuals, and to hsue licenses-'as ' appropriate. Pursuant to the AEA,-

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- 10 CFR Part 55 requi9es applicants for; operator licenses to pass.an -_

examination that satisfies the basic content-requirements spe'ifiedc in the-

regulation.- Although neither the AEA nor Part 55 specify who must prepare, administer.. or grade these examinations, the NRC has traditionally performed

~

those tasks :itself or through its contract examiners. -The NRC and its contract examiners use-the guidance in NUREG-1021, " Operator Licensing i Examination Standards for Power Reactors,"-to prepare the initial operator 1

licensing examinations. This document has.been revised as experience has been

acquired in preparing these examinations. The current version is. designated as Interim Revision-8.*

The intended modifications to Part 55 would allow facility licensees to have greater participation in the initial operator licensing process and ,

enable the NRC to eliminate contractor assistance in this area. Between $3 s

- million and $4 million in contractor support for the preparation and administration of the initial operator licensing examinations would be ,

eliminated. On April 18, 1995, the Commission approved the NRC staff's proposal _to i'titiate a transition process to revise the operator licensing program and directed the staff to carefully consider. experience from pilot

examinations before fully implementing the changes. On August 15,'1995, the.

NRC staff-issued Generic Letter (GL)-95-06, " Changes in the Operator Licensing Program,"' outlining the revised examination ' development-process and -

soliciting volunteers to participate in pilot ~ examinations to evaluate and refine the methodology.

! Copies are available for. inspection or copying for a fee from the NRC Public Document Room at 2120 L Street NW., Washington, be, 3

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'Between October 1, 1995, and April 5, 1996, the NRC staff reviewed'and approved 22 operater licensing examinations (submitted by 20 facility licensees), including.both the written examination's and the operating-tests, that were prepared by facility licensees. These examinations were prepared 8

using the guidance in Revision 7 (Supplement 1) of NUREG-1021 and the

-additional guidance in GL 95-06.* These examinations were used to test 146 reactor operator and senior reactor operator applicants.

Discussion The pilat-program demonstrated that the revised examination development process-can be both effective and efficient. Comments from the NRC staff and industry personnel who participated in the pilot examinations were generally f avorable. The quality of the licensee-developed examinations (as modified by the NRC) was generally comparable to the examinations prepared by the NRC staff or its contractors. However, several of the examinations submitted by f acility licensees required significant rework, indicating that some licensee examiners did not fully understand the criteria for preparing examinations which meet NRC standards. With training and experience, it is expected that the industry will gain proficiency in preparing the examinations.

' Copies are available for inspection or copying for a fee from the NRC Public Document Room at 2120 L Street NW., Washington, DC; the PDR's mailing address is Mail Stop LL-6, Washington, DC 20555; telephone (202) 634-3273; fax (202)-634-3343. .

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Availability of Guidance Document for License Examination Preparation Although Part 55 does not specify who will prepare, administer, and grade the written examinations and operating tests for reactor operator and senior reactor operator licenses, the NRC or its contract examiners have traditionally performed these tasks. As a consequence of performing the tasks associated with preparing and administering the initial licensing examinations, the NRC has developed a substantial body of guidance, which has been published in various versions of NUREG-1021 to aid both NRC and its contract examiners. The latest version of NUREG-1021 (Interim Revision 8) incorporates the pilot examination criteria in GL 95-06, lessons learned dur.ng the pilot examinations, and a number of refinements prompted by the industry recomendations submitted in response to the Federal Register notice dated February '22,1996 (61 FR 6869), which solicited public coments on the proposed NUREG changes. A copy of Interim Revision 8 of NUREG-1021 is being mailed to each facility licensee. Copies may be inspected and/or copied for a fee at the NRC's Public Document Room, 2120 L Street NW (Lower Level),

Washington, DC. NUREG-1021 is also electronically available for downloading from the Internet at "http://www.nrc. gov." All interested parties are invited to coment on Interim Revision 8 of NUREG-1021 in addition to the proposed rule. These public coments will be addressed, and Revision 8 will be published as a final NUREG document.

The NRC plans to prepare, administer, and grade initial operator licensing examinations at least four times per year, using NUREG-1021 as guidance. Licensees would be expected to use the guidance contained in NUREG-1021 to prepare examinations and the NRC staff will review and approve any 5

D- Q deviations. However,-the NRC_will not approve anyl deviation that would compromise its statutory responsibility of prescribing uniform conditions for the operator licensing examinations. Examples of unacceptable deviations.

~

include, but may not be limited to, the use of essay questions in place of  :

multiple choice questions and the administration of open book examinations.

1-Proposed Rule This proposed regulation will add a new section, 5 55.40,,

" Implementation," to Subpart E of 10_ CFR Part 55. The requirement for power reactor facility licensees to prepare the written examinations and operating tests. to submit them to the NRC for review and approval, and_ to proctor the written tests would be contained in il _55.40(a)(1), (2), and (3),

respectively.

Each power reactor facility licensee would be required to prepare and submit the proposed examinations (including the written examination, the walk-through, and the dynamic simulator tests) to the NRC consistent with the guidance contained in NUREG-1021. The NRC staff will review the entire examination and direct-whatever changes are necessary to ensure that adequate levels of quality.. difficulty, and consistency are maintained. After the NRC 3

staff reviews and approves an examination, the facility licensee would proctor and grade the written portion consistent with the guidance in NUREG-1021. The

~ NRC staff-wt11' continue to independently administer and grade the operating tests, review'and approve the written examination results, and make the final licensing decisions.- The facility licensee will not conduct parallel operator evaluations during the dynamic simulator or the walk-through tests.

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Pursuan_t to proposed requirements in i 55.40(b), the NRC staff'would maintain the authority to prepare the~ examinations and tests.and to proctor-the site-specific written examinations. This would allow NRC to maintain--its -

staff capability to do so. Also, if-the NRC has reason to question a licensee's ability to prepare an- acceptable' examination, i 55.40 gives it the authority to prepare and administer the examinations and tests itself.

Paragraph (c) of i 55.40 reasserts that the NRC would continue to prepare and administer.the written examinations and operating tests at non-power reactor. facilities.

Electronic Access Comments may.be submitted electronically, in either ASCII text or

-Wordperfect format (version 5.1 or later), by calling the NRC Electronic

-Bulletin Board (BBS) on FedWorld. The bulletin board may be accessed using a personal computer, a modem, and one of the commonly available communications software packages..or directly via Internet. Background documents on the rulemaking.are also available, as practical, for downloading and viewing on the bulletin board.

If using a personal computer and modem, the NRC rulemaking subsystem on FedWorld can be-accessed directly by dialing the toll free number (800) 303-9672.' Connunication software parameters should be set as follows: parity to none, data bits to 8, and stop bits to 1 (N,8,1). Using ANSI or VT-100 terminal emulation, the NRC rulemaking subsystem can then be accessed by H selecting the " Rules' Menu" option from the "NRC Main Menu."- Users will find the "FedWorld Online User's Guides" particularly helpful. Many NRC subsystems l

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and data bases also have a " Help /Information Center" option that is tailored

.to the particular subsystem.

'The NRC stdisystem on FedWorld can also be accessed by a direct dial j phone number for the main FedWorld BBS, (703) 321-3339, or by using Telnet via Internet: 'fedworld. gov. If using (703) 321-3339 to contact FedWorld, the NRC l subsystem will be accessed from the main FedWorld menu by selecting the

" Regulatory, Government Administration and State Systems," then selecting

" Regulatory Information Mall." At that point, a menu will be displayed that has an option "U.S. Nuclear Regulatory Commission" that will take you to the NRC Online main menu. The NRC Online area also can be accessed directly by.

typing "/go nrc" at a FedWorld command line. If you access NRC from FedWorld's main menu, you may return to FedWorld by selecting the " Return to FedWorld" option from the NRC Online Main Menu. However, if you access NRC at FedWorld by using NRC's toll-free number, you will have full access to all NRC systems, but you will not have access to the main FedWorld system.

If you contact FedWorld using Telnet, you will see the NRC area and menus, including the Rules Menu. Although you will be able to download documents and leave messages, you will not be able to write comments or upload files (comments). If you contact FedWorld using FTP, all files can be accessed and downloaded but uploads are not allowed; all you will see is a list of files without descriptions (normal Gopher look). An index file listing all- files within a subdirectory, with descriptions, is available.

There is a 15-minute time limit for FTP access.

Although FedWorld also can be accessed through the World Wide Web,-like FTP that mode only provides access for downloading files and does not display the NRC-Rules Menu.

8

t For more information on NRC bulletin boards call Mr. Arthur Davis, Systems Integration and Development Branch, NRC, Washington, DC 20555, telephone (301) 415-5780; e-mail axd30nrc. gov.

Environmental impact: Categorical Exclusion The NRC has determined that this proposed rule is the type of action described as a categorical exclusion in 10 CFR 51.22(c)(1). Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this proposed regulation.

Paperwork Reduction Act Statement This proposed rule amends information collection requirements that are subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq). This rule has been submitted to the Office of Management and Budget for review and approval of the information collection requirements.

The public reporting burden for this collection of information is estimated to average 500 hours0.00579 days <br />0.139 hours <br />8.267196e-4 weeks <br />1.9025e-4 months <br /> per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the data needed, and completing and reviewing the collection of information (i.e.,

preparing the examinations). The U. 5, Nuclear Regulatory Commission is seeking public comment on the potential impact of the collection of information contained in the proposed rule and on the following issues:

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11.; Isithe proposed collection of information necessary-for the proper 1

performance of'the functions of the NRC,-including whether the information -

will have-practical: utility?.

2. .I's the estimate of burden accurate?

3L is there a way to enhance the quality,-utility,-and clarity of the 7

information to be collected?-

f 4.- How can the burden of the collection of information be minimized, including the use of automated collection techniques?-

Send comments on any aspect _of this proposed collection of information, including suggestions for reducing the burden, to the Information and Records

= Management Branch 1(T-6F-33), U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, or_ by Internet electronic mail at bjslenrc. gov; and to the Desk

' Officer, Office of Information and Regulatory Affairs, NE08-10202,.(3150-0018,and 3150-0101), 0ffice of Management and Budget, Washington, DC 20503.

y Comments to OMB on the collections of information or on the above issues

- - should be submitted by (insert.date 30 days af ter publication in the Federal a

-Register). . Comments received after this date will be considered if it is practical to do.so, but assurance of consideration cannot be given to comments

$ received:after~this date.- .

Public Protection Notification f

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The NRC.may not conduct-or sponsor, and a person.is not required to respond to,:i collection of information unless it displays a currently valid

'OM8 control number.

Regulatory Analysis Th'e Commission has prepared a draft regulatory analysis on this proposed regulation. The analysis examines the costs and benefits of the alternatives considered by the Commission. The draft analysis 'is available for inspection in the NRC Public Document Room,- 2120 L- Street NW (Lower Level), Washington, DC. Single copies of the analysis may be obtained from Harry S. Tovmassian at

-(301) 415-6231. ,

The Commission requests public comment on the draft regulatory analysis.

Comments on the draft analysis may be submitted to the NRC as indicated under the ADDRESSES heading.

Regulatory- Flexibility Certification In accordance with the Regulatory Flexibility Act of 1980, (5 U.S.C.

605(b)), the Commission certifies that this rule will not, if promulgated, have 'a significant' economic impact on a substantial number of small entities. l This. proposed rule affects only the licensing and operation of nuclear power

. plants. - The companies- that own these plants do not- fall within the scope of the. definition of.'"small entities" set forth in the Regulatory Flexibility Act or the:Small Business Size Standards set out in regulations . issued by the Small Business- Administration at 13 CFR Part 121.

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't Backfit Analysis

'The Commission has! concluded that requiring the facility licensees to prepare the initial operator licensing examinations would not be a backfit -  ;

- pursuant-to 10 CFR-50.109.

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The proposed change-does not result in a modification of or an addition  ;

to1 systems, structures, components, or the' design of a facility. The change

-does not affect-the design approval or manufacturing license for a facility.

The procedures required to design or operate a-facility will not be affected

by the proposed change. The proposed change would require each nuclear power plant licensee t'o develop-the tests that are used to qualify, in accordance-with~ thel requirements of 10 CFR Part 55, those nuclear-power plant operators whom the nuclear power plant licensee wishes to employ. Development of such tests are not considered to be~" procedures... required to... operate a facility." _ The tests are not applied to the facility licensee, but rather to the operator license-applicants. Further, any procedure necessary to develop

- the tert would not be useful in- actually " operating" the facility, even if one broadly interprets " operating" as including any action nocessary to comply with the ~ Commission's regulations with respect to operation. The organization required to design or operate a facility will not be affected because all facility licensees already have a training staff to train and evaluate

~ applicants for operator licenses and to train other members-of the-plant

~ staff, as required by 10 CFR Part 55 and by 10 CFR 50.120. Therefore,'an orttntzational- change is tot required because of this process change.- -

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F List of Subjects in 10 CFR Part 55 Criminal penalties, Hanpower training programs, Nuclear power plants and reactors, Reporting and recordkeeping requirements.

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For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as amended, and 5 U.S.C. 553, the NRC proposes to adopt the following amendments to 10 CFR Part 55.

i PART SS--0PERATOR'S LICENSES

1. The authority citation for Part 55 continues to read as follows:

AUTHORITY; Secs. 107, 161, 182, 68 Stat. 939, 948, 953 , as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2137, 2201, 2232, 2282); secs. 201, as amended, 202, 88 Stat. 1242, as amended, 1244 (42 U.S.C. 5841, 5842).

Sections 55.41, 55.43, 55.45, and 55.59 also issued under sec. 306, Pub.

L.97-425, 96 Stat. 2262 (42 U.S.C.10226). Section 55.61 also issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237).

2. In 6 55.8 paragraph (c)(4) is revised to read as follows:

6 55.8 Information Collection Reauirements: OMB Acoroval.

(c)

(4) In il 55.40, 55.41, 55.43, 55.45, and 55.59, clearance is approved under control number 3150-0101.

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e. .-,

-3. A new I _55.40Lis added to read as follows:

1 55.40 Imolementation. ,

(a)- Power reactor facility licensees shall --

(1) Prepare the required site-specific written examinations and operating tests.

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(2) -Submit the written examinations and operating tests to the Commission for review and approval.

(3) Proctor the site-specific written examinations.

'(b) :In lieu of requiring _a power reactor facility licensee to prepare the examinations and tests or to proctor the site-specific written examinations,.the Commission may elect to perform those tasks.

(c) The Commission will prepare and administer the written examinations and operating tests at non-power reactor facilities.

Dated at Rockville,-Maryland, this day of , 1997.

For the Nuclear Regulatory Commission.

John C. Hoyle, <

Secretary of the Commission.

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4 ENCLOSURE 2

REGULATORY ANALYSIS i

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t PROPOSED REGULATORY ANALYs!$ FOR RULEMAKING ON REQUIREMENTS j

FOR INITIAL LICENSED OPERATOR EXANINATIONS .

1. Statement of Problem and Objective

-- Section 107 of the Atomic Energy Act of 1954 (AEA), as amended, requires the NRC to determine the qualifications of individuals applying fq? an operator license, to prescribe uniform conditions for licensing such individuals, and to issun Itcenses as appropriate. Operator license applicants are required by 10 CFR Part $5, ' Operators' Licenses," to -

i pass an examination satisfying the basic content requirements that are also specified in the regulation. Although neither the AEA nor Part 55

) .

specify who must prepare, administer, or grade these examinations, the NRC has traditionally performed those tasr.s itself or through its contract examiners. Because this has been a costly process in terms of i staff mantwer and contractual support, the staff has evaluated an .

i alternative apprcach which would require nuclear power plant licensees-  !

to prepare the examinations and submit them to the NRC for review and approval. This approach has been tested and assessed through a t

voluntary pilot program and has been deemed by the staff to be feasible.

Thus the NRC is proposing to amend 10 CFR Part 55 to require nuclear r

< power plant licensees to prepare these examinations and has published NUREG-1021, " Operator Licensing Examination Standards for Power Reactors,' as guidance. This proposed action will eliminate the need  :

for 53 million to 54 million in contractual support to the NRC.  ;

The staff's primary objective in shifting responsibility for preparing the initi 1 operator licensing examinations to the power reactor facility ensees is to reduce the amount of NRC resources used in this area and isfy budgetary constraints. This change in policy is part of the NR, continuing effort to streamline the functions of the Federal Government consistent with the Administration's initiatives and to accommodate NRC resource reductions. Pursuant to the provisions of the AEA, the NRC will ensure that the quality of the operator licensing examinations, and the effectiveness of the operator licensing program are maintained. These changes are not intended to affect the format, content, length, and level of difficulty of the examinations, thereby minimizing the impact of the rule change on the operator license applicants.

1 2.- -Background in 10 CFR-55.31(a)(3) requires the applicant for an operator's license

-to submit a written requert from an authorized representative of the facility licensee that the written examination and'the operating test be ,

administered to the applicant. Furthermore, 10 CFR 55.33(a)(2 states that the Comission will approve an initial application for a ) license if 1

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4 it finds that the applicant has passed the requisite written examination and operating test in accordance with 6 6 55.41 and 55.45 or 55.43 and 55.45. These written examinations and operating tests determine whether the applicant for an operator's license has learned to operate a facility ccmpetently and safely, and additionally, in the case of a senior operator, whether the applicant has learned to direct the itconsed activities of licensed operators .ompetently and safely.

As stated above, the NRC or its contract examiners have traditionally prepared, administered, and graded the written examinations and operating tests, in recent years, the NRC has spent between $3 million and $4 million per year to retain contractor support for the operator licensing program, in accordance with 10 CFR 170.;2(!), the NRC staff and contractual costs are recovered from the facility licensees that receive examination services.

The proposed rule would change the current practice that the NRC prepare and proctor the initial examination for reactor operatort end senior reactor operators and, instead, require carb power rear.$.r racility licensee to arepare the entire examination and proctor the written portion of t1e initial examination. A backfit analysis has been performed, and this action does not constitute a backfit pursuant '.o 10 CFR 50.109,

3. Identification and Preliminary Analysis of Alternative Appro.sches 3.1 Alternative 1 - Take No Action As discussed in SECY-96-206, the proposed change allows the staff to eliminate betwoon $3 miilion and $4 million in contractor support for examination preparation and administration. The budget request for fiscal years (fys) 1997 and 1998 is consistent with this proposal and reflects the redut. tion and eventual elimination of contract support for initial examinations. If the Commission decides not to amend 10 CFR Part 55 as proposed by the staff, it would require agency resources to be reprogrammed to increase the contract support for the operator licensing program or direct examiner resources in each regional office to satisfy the demand for initial licensing examinations and to conduct the licensed operator requalification inspections.

3.2 Alternative 2 - Provide Regulatory riuidance lhis alternative was rejected because the staff considers implementation of the new process on a voluntary basis alone unworkable wer the long term. Should the NRC refrain from requiring that facility licensees prepare the initial operator licensing examinations, there would be no guarantee that each licensee would elect to prepare these exa'ninations.

Thus, the NRC would continue to require a level of contractual support to perform this function. With the eitmination of contractor support and the increased uncertainty about examination quality, the staff may 2

4 no longer have sufficient examiner resources to prepare examinations consistent with the scheduling needs of facility Itcensees. This  !)

resource problem is further compounded by the unpredictable nature of the examination workload and by other unantict)ated demands on the ,

examiner work force, such as the increase in tie number of examination i appeals during the pilot examination program.

3.3 Alternative 3 - Amend 10 CFR Part 66 l Tl.is alternative would require every power reactor facility licensee to prepare the initial operator licensing examinations and to proctor the written portion of the examination. his would enable the NRC to eliminatetheuseofcontractorsintheoperatorlicensingprogram(with .

the exception of the generic fundamentals examinations) and result in an estimated savings of $3 million to $4 million per year. Under this. i

" alternative, the NRC staff who would be relieved of examination

- preparation duties would undertake other tasks that are currently >

performed by contractors,_ including examination administration and inspections of licensee administration of requalification examinations, f

4; Regulatory Impact - Qualitative Costs and Benefits ,

facility Licensees l

The NRC currently depends on NRC employees and contractors to prepare e

and administer the initial operator licensing examinations required by 10 CFR Part 55. NRC contractors also assist in the administration of examinations and in the inspection of facility itcensee administration of requalification examinations. In accordance with 10 CFR 170.12(I) the cost of NRC time spent and any related contrac+.ual costs are billed directly to the facility licensees that receive the examination

- services.

i Under the proposed change, each power reactor facility licensee will assume responsibility for preparing the site-specific initial operator licensing examinations at its f acilities, thereby allowing the NRC to

- discontinue the use of contract examiners for that purpose and to divert its staff to perform other tasks currently pnrformed by contractors. '

Facility licensees will-be expected to prepare and submit proposed examinations (including the written examination, the walk-through, and 4 the dynamic simulator tests) to the.NRC based on the guidance contained in NUREG-1021. .

.The training staffs at power reacts,r facilities already have the basic knowledge, skills, and abilities necessary to evaluate operator .

performance and develo) test items for the initial licensing examination. During-tie mid-to-late-1980s, the industry's emphasis in ,

.the training area increased significantly. All power reactor licensees established formal training programs.that were based on a systems approach to training-(SAT) and accredited by the National Academy for Nuclear Training. Pursuant to 10 CFR 50.120 and 55.4 SAT-based 3 ,

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training programs must include the evaluation of the trainee's mastery i of training objectives. NRC ins)ections of lic.ensee requalification program; for licensed o)erators lave also found that training staffs  ;

generally possess the s(ills needed to evaluate the traince's knowledge.

After the NRC reviews and approves an examination, the facility licensee will proctor and grade the written portion based on the guidance i contained in NUREG-1021. The NRC staff will con +1nue to administer and grade the operating tests, review and approve the written examination tbt factitty licensee, and make the final results licensing recommen decist a s. by!he NRC will review and approve these examinations consistent with tea guidance provided in NUREG-1021. However, the NRC will not approve any examination which would have the effect of  ;

compromising its statutory responsibility of prescribing uniform t conditions for these examinations. Examples of unacceptable deviations include, but may not be limited to, the use of essay questions in lieu of multiple choice and the administration of open- rather than closed--

book examinsLions.

Feedback time spent byfrom a fe the p"ilot examination program indicates that the average oaerating tests was a) proximately 600 to 800 staff-hours. A portion of 11at time (about 200 1ours) would have been spent reviewing and assisting with the administration of NRC-developed examinations under the process now in place and should be subtracted from the total. The resulting aver 3ge burden of a> proximately 400 to 600 staff-hours was somewhat higher than the 400 1ours that NRC staff or its contract examiners typically take to prepare an examination. The extra burden is generally. attributable to the facility licensees' lack of familiarity with specific NRC examination ex)cctations and to the additional administrative requirements, suc1 as documenting the source of the examination questions, that are required to maintain examination integrity, it should be noted that some of the facility licensees that participated in the pilot program expended less time than is commonly used by NRC contractors to prepare the examinations. Furthermore, in a few cases, the examinations that facility licensees submitted for review and approval were, in the judgment of NRC chief examiners, as good or better than those prepared by an NRC contractor. The staff expects that most facility licensees will eventually be able to prepare quality examinations in less time than the NRC or a contractor because the facility employees have more detailed knowledge of their facility and caster access to the reference materials required to prepare the examinations.

The fact that contract examiners will not be used by the NRC in the revised examination process will eliminate the need for duplicate sets of reference materials to be provided to the NRC staff and to its contractors by facility licensees. Feedback from the industry in response to the staff's solicitation of public comments on the draft revision of NUREG-1021 indicated that facility licensees had been spending from an additional 80 to 160 hours0.00185 days <br />0.0444 hours <br />2.645503e-4 weeks <br />6.088e-5 months <br /> to prepare and ship the reference materials under the existing examination process. Under the 4

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proposed process, the facility licensee will submit only materials whi,ch (

are needed to verify the accuracy of the examination questions. This is ,

considered in be a significant reduction but has not been quantified in this analysis, The additional burden of having to prepare the site-specific initial f operator licensing examinations is expected to be offset by reductions in Part 55 review fees billed to the facility licensees pursuant to 10 i CFR170.12(!). Each facility licensee will be billed only for the time that the NRC staff spends to review the examination prepared by the '

facility licensee and to rework the examination, as necessary, to bring it up to NRC standards. Although several of the draft pilot examinations were of. poor quality and took the NRC staff more time than expected to review and rework, the staff believes that additional cost reductions will be realized as facility licensees gain experience with '.

the NRC examination requirements and the quality of the facility developed examinations improves.

This rule change will give facility licensees more control over the cost of their examination services because they will be in a sosition to manage the quality of the product that is submitted to tie NRC. The  ;

higher the quality of the examination that the facility licensee  !

su')mits, the lower the resulting charges. Under the existing examination process, facility licensees are responsible for the entire cost of preparing the examination, even if the NRC contractor's submittal is of poor quality and requires significant rework by the NRC staff before it can be administered.

Facility licensees will have the option of retaining the services of a

• contractor to prepare the license examination as the NRC often does

• under the current examination arocess. The staff understands that the NRC's examination contractors lave expressed an interest in providing their services directly to facility licensees.

4 in summary, the present system for developing licensing examinations l

relies primarily on NRC contractors to develop the examinations, with the cost then billed to the licensees. These particular examinations are highly plant specific, requiring time for familiarization with plant procedures and equipment and for the collection and transfer of information (library of procedures and documents) to enable this process to occur. Hence, to appropriately prepare and administer the examinations, the NRC staff and contractors must learn the details of the operation of each specific plant, in effect, this necessitates that the examining staff duplicate expertise already resident at each site simply to prepare the examinations. Clearly, efficiency could be gained -

if the NRC efforts were focused on the appropriate scope and depth-of the examinations,: leaving the ) reparation of the detailed material to the licensee who is in a much >etter position to do so. The proposed rule would eliminate these inefficiencies by placing the responsibility for preparing the examinations with each licensee. Licensees would still have the o) tion of using contractor assistance in preparing the examinations. 11ere may be an initial period of inefficiency while S

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licensees learn the process for preparing these examinations, but this is expected to be short as the practice of relying on Itcensee personnel or their contractors to prepare this highly technical, plant specific examination becomes routine. It is expected that with experience the facility licensee will- be preparing higher quality examinations requiring less NRC review resources to be used with a larger potential savings to the licensee.

The following table compares the approximate annual costs-of performing this function currently versus under the proposed rule. Currently.the NRC expends about $3 to 4 million annually on contractor support. Under the proposed rule, it is assumed that each examination requires 500 hours0.00579 days <br />0.139 hours <br />8.267196e-4 weeks <br />1.9025e-4 months <br /> of technical support that will be equally distributed between contractors and the licensee's own-in-house staff at labor, rates of $120 per hour and $60 per hour, respectively. Assuming 60 examinations per year, translates _into an industry bur 6n of $2.7 million. This analysis suggests that this-proposed rule has tne potential to save about $0.3 to

$1.3 million per year. The savings due to the new process for initial licensing examinations indicated below may not be quite as large as shown because of two additional factors. First, the $3 to $4 million dollars in contractual support includes costs for assisting NRC to inspect requalification examinations given by the licensee's staff.

.These activities will also be performed by NRC regional inspectors who will be cual-qualified to perform those functions, as well. Secondly, this analysis does not account for the savings anticipated by significantly reducing the need to prepare and ship an extensive amount of reference materials to enable preparation of the examination by the NRC or its contractors.

Annual Savinos Associated With the Proposed Rule

-Cpiti.ygder Existina Process Contractor Support for $3M - 4M facility Licensee Examination Preparation Costs Under Proposed Rule Contractor and Licensee $2.7M In-House Support for Factitty Licensee-Examination Preparation Potential Savings 0.3M - 1.3M The NRC's analysis concludes that the proposed rule results in a

' potential cost reduction. Further, there is no statutory requirement that the NRC perform these tasks and the NRC staff believes that the 6

responsibility to prepare and administer the examinations more appropriately rests with the licensee.

Operator License Apolicants To the extent possible, the format, content, length, and level of difficulty of the examinations will remain unchanged, thereby minimizing the impact of the rule change on the operator license applicants. NRC examiners will continue to review and approve overy written examination and operating test before it is administered. The examiners will work -

with the facility licensee's staff to modify the submitted examinations, as necessary, to ensure that the guidance contained in NUREG-1021 is met and to maintain consistency with prior licensing examinations at both that facility as well as among all other facilities.

If the NRC decides to prosare the examination in lieu of accepting an examination prepared by tie facility licensee, the NRC examiners will use the same procedures and guidance (i.e., NUREG-1021) that the facility licensee would have used to prepare the examination.

NRC Staff As noted in SECY-96-123, the NRC examiners required an average of about 350 hours0.00405 days <br />0.0972 hours <br />5.787037e-4 weeks <br />1.33175e-4 months <br /> to review, prepare for, administer, grade, and document each of the 22 pilot examinations. Assuming the same resource utilization rate and a stable examination workload, the staff should be able to implement the new examination process and the requalification inspection program at all power reactor f acilities with the same level of direct NRC resources as is currently allotted to the operator licensing program; no contractor support should be required.

The variable nature of the examination workload was evident during the pilot examination program, when the number of examination appeals increased unexpectedly, thereby placing a significant burden on the examiner work force to review and resolve the applicants' concerns.

Currently, the examiners workload is shared aaproximately equally between the NRC staff and its contractors. 11erefore, discontinuance of operator licensing contracts could limit the staff's ability to assign personnel to meet peaks in facility licensee requests for examinations.

The impact of the loss of examiners due to reassignments, transfers, promotions, and other personnel actions will also be larger without the contract examiners available to off set the loss. To address this issue, the NRC plans to have a larger pool of examiners available at each regional office. The exact number of examiners has not yet been determined and will vary from region to region depending on the number and major type of reac'. ors involved. However, it is anticipated that an approximate increase of 10-20% in the number of examiners may be necessary. This will be accomplished by training other staff members performing inspection activities to also be qualified as examiners. As mentioned above, although the overall expenditure of NRC resources in 7

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l this area should remain the same, having additional qualified examiners would help to alleviate _ peaks in scheduling. l i

furthermore, if the quality of an exar.ination prepared by a facility i licensee deviates significantly from the acceptable standards, it will- i

• be difficult to predict the amount of time necessary to review or modify

-the examination so that it meets NRC standards. This was the case with several of the pliot examinations, and the staff expects that this i

-problem may expand as more facility-prepared examinations are submitted l for NRC review. This uncertainty in the examination review prorect - - l could increase the risk of broken examination commitments. Increasing ,

the number of qualified examiners in each region would also help to alleviate this concern.  ;

This rulemaking is expected to take approximately 0.5 staff years to complete, and no contractor support will be needed.

5. Decision Rationale

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- The proposed amendments to 10 CFR Part 55 will require reactor facility licensees to )repare the entire initial operator licensing examinations and proctor t1e written portion of the examinations. The qualitative i, assessment of costs and benefits discussed above, leads the NRC to the conclusion that the overall impact of the rulemaking will not significantly increase licensee costs and could result in a savings to i licensees over time as they become more familiar with the NRC examination guidelines. The improvements in efficiency would be .

primarily dee to the facility employees' better understanding of the plant design and operating characteristics and their ready access to the  ;

reference materials required to pre)are and validate the examinations. .

Based on the fact that this action las the potential to provide a cost

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savings to facility licensees as they become proficient in preparing the examinations, has negligible impact upon operator-license applicants, and provides a substantial cost savings to the NRC, Alternative 3 has been selected as the preferred alternative.

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6. Implementation 6.1 Schedule No implementation problems are expected. No effect on other schedules is anticipated.

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i ENCLOSURE 3 CONGRESSIONAL LETTERS 4

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NUCLEAR REOULATORY COMMISSION WASHINGTON, D.o. 30mH001 L

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The Honorable Dan Schaefer Chairman -

Subcomittee on Energy and Power- l Committee on Commerce -f United States House of Representatives -

Washingion,.DC 20515  ;

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Dear Mr. Chairman:

Tlee NRC has sent to the Office of the Federal Register for publication the i enclosed proposed amendments to the Com'.ssion's rules in 10 CFR Part 55. i This rulemaking, if promulgated, will require facility licensees to pre)are f these initial operator and-senior operator license examinations and su)mit them to the NRC for review and approval and would preserve the NRC's authority.

to prepare the examination and tests, as necessary. This proposed action  ;

would allow the NRC to eliminate between $3 million to $4 million in-contractor support annually.

Section 107_of the Atomic Energy Act of 1954 (AEA), as amended, requires the  !

NRC to determine the qualifications of individuals applying for an operator license, to prescribe uniform conditions for licensing such individuals, and to issue licenses as appropriate. Operator license applicants are required by

, 10 CFR Part 55, ' Operators' Licenses,' to pass an examination satisfying the  ;

basic content requirements that are also specified in the regulation.

Although the AEA is not specific as to who will prepare and administer the examination, the NRC has traditionally performed these functions through its  ;

. staff or contract examiners.

Sincerely, Dennis K. Rathbun, Director Office of Congressional Affairs  ;

Enclosure:

e Federal. Register Notice cc:- Representative Ralph Hall-

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I The Honorable Dan Schaefer, Chairman Subcommittee,on Energy and Power Committee on Commerce United States House of Representatives Washington, DC 20515 -[

Dear Mr. Chairman:

! The NRC-has sent to the Office of the Federal Register for publication the j

-enclosed proposed amendments to the Commission's rules in 10 CFR Part 55. l This rulemaking, if promulgated, will require facility licensees to prepare '

these. initial operator and senior operator license examinations and submit '

them to the-NRC for review and approval and would preserve the NRC's authority to prepare the examination and-tests, as necessary. This proposed action would allow the NRC to eliminate between $3;million to $4 million in  ;

._ contractor support annually.  ;

- i Section-107 of the= Atomic Energy Act of 1954 (AEA),.as amended requires the ,

'NRC to determine the qualifications of individuals applying _ for an operator-  !

license, to prescribe uniform conditions for licensing such individuals, and- i to issue licenses as appropriate. Operator license applicants are required by  !

10 CFR Part $5, ' Operators Licenses," to pass an examination satisfying the  ;

- _ basic content requirements-that are also specified in the regulation.

Although the_AEA is not specific as to who will prepare and administer the- i examination, the NRC has traditionally performed-these functions through its i staff or contract examiners.

.i Sincerely, t Dennis K. Rathbun, Director Office of Congressional Affairs

+

Enclosure:

Federal Register Notice cc: Representative Ralph Hall Distribution: . -

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j The Honorable Dan Schaefer, Chairman l Subcommittee on Energy and Power _ [

Committee on Commerce- i United States House of Representatives ,

Washington; DC 20515  ;

Dear _Mr. Chairman:

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The I theenclos$RChassenttotheOfficeoftheFederalRegisterforpublication ed pro  :

This rulemaking, posed amendments if promulgated, will require to facility the Commission's rules in 10 CFR Fart 5 licensees to prepare l these initial \ operator and senior operator license examinations and submit a them to the NRC for review and approval and would preserve the NRC's authority [

.to prepare the bxamination and tests, as necessary.- This proposed action p

=would allow the NRC.to eliminate between-$3 million to $4 million in-

-contractor support' annually, j

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Section 107 of the Atomic Energy Act of 1954 (AEA),, as amended, requires i the NRC to determine th~ e . qualifications of individuals applying for an operator license, to prescribe uniform conditions for licensing such ,

individuals, and to_ issue licenses as appropriate. Operator license '

applicants are, required by 10 CFR Part 55, " Operators' Licenses," to p_ ass-an examination satisfying the basic content requirements that are,also'tpecified in-the regulation. Although the AEA is not specific as to.who will prepare and administer the examination, the NRC has traditionally performed these p functions through its staff or contract examiners.'

Sincerely, 3 Dennis K.,Rathbun, Director t Office of Congressional Affairs l s l Enclosure - _ \

, , Federal Register Notice 'N ,

-cc: Rankiryg Member N s s

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OFFICIA RECORD COPY (RES File Code) RES e

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s The Honorable James M. Inhofe, Chairman Subcommittee on Clean Air, Wetlands, Private.

Property and Nuclear Safety Committee on Environment and Public Works United States Senato Washington, DC 20510

Dear Mr. Chairman:

The.NRC has sent to the Office of the Federal Register for publication the

. enclosed proposed amendments to the Commission's rules in 10 CFR Part 55..

This rulemaking, if promulgated, will require facility licensees to prepare these initial operator and senior. operator license examinations and submit i them to the NRC for review and approval and would preserve the NRC's authority '

to prepare the examination and tests, as necessary. This proposed action would allow the NRC to eliminate between $3 million to $4 million in contractor support annually.

Section 107 of the Atomic Energy Act of 1954 (AEA), as amended, requires the NRC to determine the qualifications of individuals applying for an operator license, to prescribe uniform conditions for licensing such individuals, and to issue licenses as appropriate. Operator license applicants are required by 10 CFR Part 55, " Operators' Licenses," to pass an examination satisfying the basic content requirements that are also specified in the regulation.

Although the AEA is not specific as to who will prepare and administer the examination, the NRC has traditionally performed these functions through its staff or contract examiners.

Sincerely, Dennis K. Rathbun, Director Office of Congressional Affairs

Enclosure:

Federal Register Notice cc: Senator Bob Graham

i The Honorable James M. Inhofe, Chairman  !

Subcommittee on Clean Air Wetlands, Private, Property and Nuclear Safety Committee on Environment and Pub 11: Works United States Senate .

Washington, DC 20510 l

Dear Mr. Chairman:

- l The NRC has sent to the Office of the federal Register for~publicstion the enclosed proposed amendments to the Commission's rules in 10 CFR Part 55. -

This rulemaking, if promulgated, will require facility licensees to prepare these initial operator and senior operator license examinations and submit them to the NRC for review and approval and would preserve the NRC's authority to prepare the examination and tests, as necessary. This proposed action would allow the NRC to eliminate between $3 million to $4 million in 4

contractor support annually. >

Section 107 of the Atomic Energy Act of 1954 (AEA), as amended, requires the NRC to determine the qualifications of individuals applying for an operator license, to prescribe uniform conditions for licensing such individuals, and to issue licenses as appropriate. Operator license applicants are required by 10 CFR Part 55, " Operators' Licenses " to pass an examination satisfying the '

basic content requirements that are also specified in the regulation.

Although the AEA is not specific as to who will prepare and administer the examination, the NRC has traditionally performed these functions th.*ough its staff or contract examiners.

Sincerely, Dennis K. Rathbun, Director Office of Congressional Affairs

Enclosure:

Federal Register Notice .

cc: Senator Bob Graham Distribution:

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o e. .

The Honorable James H. Inhofe, Chairman Subcommittee on Clean Air, Wetlands, Private, Property and Nuclear Safety Committee on Environment and Pubile Works United States Senate Washington, DC 20510

Dear Mr. Chairman:

the The NRC has sent to the Off enclosed proposed amendments)ceto the Commission'sof thein federal rules 10 CFR PartReqister

55. for pub This rulemaking, if promulgatedl will require facility licensees to prepare these initial operator and senior operator license examinations and submit themtotheNRCforreviewand/approvalandwouldpreservetheNRC'sauthority to prepare the examination an tests, as necessary. This proposed action would allow the NRC to elimi ate between $3 million to $4 million in contractor support annually.

Section 107 of the Atomi: Energy Act of 1954 (AEA), as amended, requires the NRC to determir.c the qual fications of individuals applying for an operator license, to prescrib uniform conditions for licensing such individuals, and to issue licentes as appropriate. Operator license applicants are required by 10 CFR Part 55, " Operators' !.icenses," to pass an examination satisfying the ba ic content requirements that are also specified in the regulation. Although the AEA is not specific as to who will prepare and administer the examinatiop, the NRC has traditionally performed these functions through its staff or contract examiners.

s Sincerely, N

NJ N I Dennis K. Rathbun, Director Office of Congressionel Affairs  !

Enclosure:

Federal Register Notice cc: Senator Bob-Graham Distribut1RD: i RDB/Rdg/Subj/ central, RAuluck.l E00 R/F DOCUMENT NAME:(0:\T0VMASSl\lL0E\ CONGRESS \LOE]

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! ENCLOSURE 4 l PUBLIC ANNOUNCEMENT i

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COMMISSION PUBLISHES PROPOSED RULE FOR UTILITY ROLE F

i IN INITIAL REACTOR OPERATOR LICENSE-EXAMINATIONS  !

The Nuclear Regulatory Commission has published a proposed rule in the t

Federal Register which would require that all nuclear power plant licensees prepare initial reactor operator license examinations-subject to NRC approval.

Until a' final rule is adopted, applicants for operator licenses will continue ,

.to be examined by using either NRC-prepared tests or those prepared by l utilities participating voluntarily in an NRC-supervised pilot program begun  !

in 1995.  !

Reactor operator applicants seeking a license to manipulate the controls of a nuclear power plant must pass both a comprehensive, site-specific multiple-choice written examination and a practical, hands-on operating test.

Tha generic fundamentels examination, a separate written test that each applicant must pass to be considered for the site-specific license examination, will continue to be written and administered by the NRC.

The NRC will continue to administer and grade the operating portion of the test including a the control room sin lator examination and a one-on-one

. demonstration of specific operating tasks. All examinations drafted by

. utilities will be subject to review, modification, and approval by NRC examiners before the tests are given. NRC will have the option of preparing a

' test-in lieu of accepting or modifying one prepared by a utility, in order for the examinatiens to be approved by the NRC, they must-comply' with detailed NRC guidance which deals with such matters as the

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,ee appropriate level of difficulty, maintenance of examination security, and restrictions on test preparation by those significantly involved in training the license applicants. The guidance document, " Operator Licensing Examination Standards for Power Reactors" (NUREG-1021), has been revised to implement the new process.

Once the revised licensing examination process has become fully operational, the NRC staff will prepare at least one examination annually in each of the agency's four regions to ensure ' hat the staff maintains its

. proficiency in examination writing and to serve as a quality check on the process.

llistorically, either NRC staff examiners or NRC contractors have But in April 1995, the prepared and administered all operator license tests.

Commission approved a staff proposal to begin a pilot program wherein certain nuclear power plant licensees would prepere the tests under NRC oversight.

The Commission took this action to recognize substantial improvements in industry training progioms, to make the operator licensing program more efficient, and to realize budgetary savings.

The staff solicited volunteers for a pilot program in a letter sent to all nuclear utilities in August 1995, anc' launched the program two months

-later. Between October 1995 and April 1996, the staff reviewed and approved 22 operator licensing examinations prepared by utilities in accordance with published NRC guidance. These examinations were used to test 146 applicants for reactor operator and senior reactor operator licenses.

2

h ei o Based on information provided in a staff briefing in June 1996, and the rulemaking plan in September 1996, the Commission in December 1996, authorized continuation of the pilot program on a voluntary basis to provide time for the rulemaking process.

It is estimated that the proposed license examination process will permit the NRC to save between $3 million and $4 million paid annually to contractors for support'of operator licensing and requalification inspection programs. Unaffected by the new rule would be the licensing of operators for research and test reactors, who will continue to be examined by the NRC. Also unchanged is the present system whereby utilities prepare and administer requalification examinations to licensed operators as part of an NRC-approved training program.

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' The Comissioners f. A public announcement will be issued (Enclosure 4); and 9

00 pies of the notice of proposed rulemaking will te distributed to all licensees. The notice will be sent to other interested parties upon request.

L. Joseph Callan Executive Director for Operations

Enclosures:

1. FRN of Proposed Rule

2. Regulatory Analysis

3. Congressional Letters 4 Public Announcement DOCUMENT NAME:(0:\T0VMASSl\lL0E\ COMP.L0E)

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