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NUREG-1478, DFC, Rev. 3, Operator Licensing Examiner Standards for Research and Test Reactors Draft Report for Comment
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Issue date:	07/31/2025
From:	Michele Desouza; Office of Nuclear Reactor Regulation
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NUREG-1478, Rev. 3 Operator Licensing Examiner Standards for Research and Test Reactors Draft Report for Comment Office of Nuclear Reactor Regulation

AVAILABILITY OF REFERENCE MATERIALS IN NRC PUBLICATIONS NRC Reference Material As of November 1999, you may electronically access NUREG-series publications and other NRC records at the NRCs Library at www.nrc.gov/reading-rm.html. Publicly released records include, to name a few, NUREG-series publications; Federal Register notices; applicant, licensee, and vendor documents and correspondence; NRC correspondence and internal memoranda; bulletins and information notices; inspection and investigative reports; licensee event reports; and Commission papers and their attachments.

NRC publications in the NUREG series, NRC regulations, and Title 10, Energy, in the Code of Federal Regulations may also be purchased from one of these two sources:

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Address: U.S. Nuclear Regulatory Commission

Office of Administration Program Management and Design Service Branch Washington, DC 20555-0001 E-mail: Reproduction.Resource@nrc.gov Facsimile: (301) 415-2289 Some publications in the NUREG series that are posted at the NRCs Web site address www.nrc.gov/reading-rm/

doc-collections/nuregs are updated periodically and may differ from the last printed version. Although references to material found on a Web site bear the date the material was accessed, the material available on the date cited may subsequently be removed from the site.

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Such documents as theses, dissertations, foreign reports and translations, and non-NRC conference proceedings may be purchased from their sponsoring organization.

Copies of industry codes and standards used in a substantive manner in the NRC regulatory process are maintained at The NRC Technical Library Two White Flint North 11545 Rockville Pike Rockville, MD 20852-2738 These standards are available in the library for reference use by the public. Codes and standards are usually copyrighted and may be purchased from the originating organization or, if they are American National Standards, from American National Standards Institute 11 West 42nd Street New York, NY 10036-8002 Internet: https://www.ansi.org/

(212) 642-4900 Legally binding regulatory requirements are stated only in laws; NRC regulations; licenses, including technical specifications; or orders, not in NUREG-series publications.

The views expressed in contractor prepared publications in this series are not necessarily those of the NRC.

The NUREG series comprises (1) technical and administrative reports and books prepared by the staff (NUREG-XXXX) or agency contractors (NUREG/CR-XXXX),

(2) proceedings of conferences (NUREG/CP-XXXX),

(3) reports resulting from international agreements (NUREG/IA-XXXX),(4) brochures (NUREG/BR-XXXX), and (5) compilations of legal decisions and orders of the Commission and the Atomic and Safety Licensing Boards and of Directors decisions under Section 2.206 of the NRCs regulations (NUREG-0750), (6) Knowledge Management prepared by NRC staff or agency contractors (NUREG/KM-XXXX).

DISCLAIMER: This report was prepared as an account of work sponsored by an agency of the U.S. Government. Neither the U.S. Government nor any agency thereof, nor any employee, makes any warranty, expressed or implied, or assumes any legal liability or responsibility for any third partys use, or the results of such use, of any information, apparatus, product, or process disclosed in this publication, or represents that its use by such third party would not infringe privately owned rights.

NUREG-1478, Rev. 3 Operator Licensing Examiner Standards for Research and Test Reactors Draft Report for Comment Office of Nuclear Reactor Regulation Manuscript Completed: April 2025 Date Published: July 2025 Prepared by: Michele DeSouza

COMMENTS ON DRAFT REPORT 1

2 Any interested party may submit comments on this report for consideration by the U.S. Nuclear 3

Regulatory Commission (NRC) staff. Comments may be accompanied by additional relevant 4

information or supporting data. Please specify the report number NUREG-1478, Revision 3 in 5

your comments and send them by the end of the comment period specified in the Federal 6

Register notice announcing the availability of this draft report.

7 8

Addresses: You may submit comments by any one of the following methods. Please include 9

Docket ID NRC 2023-0034 in the subject line of your comments. Comments submitted in writing 10 or in electronic form will be posted on the NRC website and on the Federal rulemaking website 11 https://www.regulations.gov.

12 13 Federal Rulemaking Website: Go to https://www.regulations.gov and search for documents 14 filed under Docket ID NRC-2023-0034.

15 16 Mail comments to: Office of Administration, Mail Stop: TWFN-7-A60M, U.S. Nuclear 17 Regulatory Commission, Washington, DC 20555-0001, ATTN: Division of Resource 18 Management and Administration.

19 20 For any questions about the material in this report, please contact: Michele DeSouza, Reactor 21 Engineer (RTR Examiner), at 301-415-0747 or by email at Michele.DeSouza@nrc.gov.

22 23 Please be aware that any comments that you submit to the NRC will be considered a public record 24 and entered in the Agencywide Documents Access and Management System (ADAMS). Do not 25 provide information you would not want to be publicly available.

26

iii ABSTRACT 1

The U.S. Nuclear Regulatory Commission (NRC) publishes NUREG-1478, Operator Licensing 2

Examiner Standards for Research and Test Reactors, to establish the procedures and 3

practices for administration of operator licensing examinations for reactor operator and senior 4

reactor operator licenses at non-power reactor facilities in accordance with Title 10 of the Code 5

of Federal Regulations (10 CFR) Part 55, Operators Licenses.

6 7

The NRC intends these examiner standards (ESs) to ensure the equitable and consistent 8

administration of examinations for all applicants and licensed operators at non-power reactor 9

facilities. As stated in 10 CFR 55.40, Implementation, paragraph (d), [t]he Commission shall 10 use the criteria in NUREG-1478 for all test and research reactors to prepare, proctor, and 11 grade the written examinations required by [10 CFR] 55.41 and [10 CFR] 55.43 and the 12 operating tests required by [10 CFR] 55.45 for non-power reactor facility licensees.

13 14 The NRC is issuing Revision 3 of NUREG-1478 for the ESs to (1) introduce electronic systems 15 and technology, (2) include changes to the 10 CFR Part 55 regulations since Revision 2, (3) 16 correct grading criteria for accuracy, and (4) reorganize the ESs into topic-based sections for 17 ease of use.

18 19 20 21 22 23 24 25 26 27 PAPERWORK REDUCTION ACT STATEMENT 28 29 This NUREG provides voluntary guidance for implementing the mandatory information 30 collections in 10 CFR Part 55, NRC Form 396, and NRC Form 398 that are subject to the 31 Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). These information collections were 32 approved by the Office of Management and Budget (OMB), approval numbers 3150-0018, 33 3150-0024, and 3150-0090 respectively. Send comments regarding this information collection to 34 the FOIA, Library, and Information Collections Branch (T6 A10M), U.S. Nuclear Regulatory 35 Commission, Washington, DC 20555 0001, or by email to Infocollects.Resource@nrc.gov, and 36 to the OMB reviewer at: OMB Office of Information and Regulatory Affairs (3150-0018, 37 3150-0024, and 3150-0090), Attn: Desk Officer for the Nuclear Regulatory Commission, 38 725 17th Street, NW, Washington, DC 20503.

39 40 PUBLIC PROTECTION NOTIFICATION 41 42 The NRC may not conduct or sponsor, and a person is not required to respond to, a collection 43 of information unless the document requesting or requiring the collection displays a currently 44 valid OMB control number.

45 46

v TABLE OF CONTENTS 1

ABSTRACT.............................................................................................................................. iii 2

SUMMARY

OF SIGNIFICANT CHANGES FROM NUREG-1478, REVISION 2....................... xi 3

ABBREVIATIONS AND ACRONYMS..................................................................................... xv 4

1.0 GENERAL............................................................................................................. 1.11 5

1.1 PURPOSE AND FORMAT OF NUREG-1478....................................................... 1.11 6

A. Purpose............................................................................................................ 1.11 7

B. Format............................................................................................................. 1.11 8

1.2 APPLICABLE REGULATIONS AND PUBLICATIONS......................................... 1.21 9

A. Purpose............................................................................................................ 1.21 10 B. Statutes............................................................................................................ 1.21 11 C. Regulations...................................................................................................... 1.22 12 D. Regulatory Guides, NUREG Reports, and ANSI/ANS Standards..................... 1.23 13 2.0 PREEXAMINATION ACTIVITIES.......................................................................... 1.21 14 2.1 PREEXAMINATION ACTIVITIES.......................................................................... 2.11 15 A. Purpose............................................................................................................ 2.11 16 B. Examination Requests and Scheduling............................................................ 2.11 17 C. Assignment of Examiners................................................................................ 2.11 18 D. Coordinating Examination Details.................................................................... 2.11 19 E. Reviewing License Applications....................................................................... 2.12 20 F. Facility Licensee Preexamination Reviews....................................................... 2.12 21 G. Attachments/Forms.......................................................................................... 2.12 22 2.2 ELIGIBILITY REQUIREMENTS AND GUIDELINES............................................. 2.21 23 A. Purpose............................................................................................................ 2.21 24 B. Reviewing License Applications....................................................................... 2.21 25 C. Licensing Medical Requirements..................................................................... 2.23 26 D. Initial License Eligibility Guidelines................................................................... 2.24 27 E. NRC Form 398, Personal Qualification StatementLicensee........................ 2.26 28 F. NRC Form 396, Certification of Medical Examination by Facility Licensee..... 2.28 29

vi H. Attachments/Forms.......................................................................................... 2.28 1

2.3 PROCESSING OPERATOR LICENSING WAIVERS/EXCUSALS........................ 2.31 2

A. Purpose............................................................................................................ 2.31 3

B. Background...................................................................................................... 2.31 4

C. General Guidelines.......................................................................................... 2.31 5

D. Excusals and Waivers...................................................................................... 2.32 6

2.4 REVIEWING LICENSE RENEWAL APPLICATIONS........................................... 2.41 7

A. Purpose............................................................................................................ 2.41 8

B. Timely Renewal................................................................................................ 2.41 9

C. Reviewing License Renewal Applications........................................................ 2.41 10 D. NRC Form 398................................................................................................. 2.42 11 E. Procedure for Denying an Application for License Renewal............................. 2.43 12 F. Procedure for Overturning Renewal Denials..................................................... 2.44 13 G. Notes............................................................................................................... 2.44 14 3.0 OPERATING TESTS............................................................................................. 2.41 15 3.1 PREPARATION OF OPERATING TESTS............................................................ 3.11 16 A. Purpose............................................................................................................ 3.11 17 B. Definitions........................................................................................................ 3.11 18 C. Regulatory Basis.............................................................................................. 3.11 19 D. Level of ExaminationFacility Type................................................................ 3.12 20 E. Level of ExaminationLicense Type............................................................... 3.13 21 F. Source Material................................................................................................ 3.14 22 G. Requirements.................................................................................................. 3.14 23 H. Attachments/Forms.......................................................................................... 3.18 24 3.2 ADMINISTRATION OF OPERATING TESTS....................................................... 3.21 25 A. Purpose............................................................................................................ 3.21 26 B. Personnel Present............................................................................................ 3.21 27 C. Operating Test Withdrawals............................................................................. 3.21 28 D. Administration Procedures............................................................................... 3.21 29 E. Attachments/Forms.......................................................................................... 3.23 30

vii 3.3 GRADING OPERATING TESTS........................................................................... 3.31 1

A. Purpose............................................................................................................ 3.31 2

B. General Evaluation Guidelines......................................................................... 3.31 3

C. Specific Instructions for Completing Form ES-3.1-1......................................... 3.31 4

D. Attachments/Forms.......................................................................................... 3.35 5

4.0 WRITTEN EXAMINATIONS.................................................................................. 3.31 6

4.1 PREPARATION OF WRITTEN EXAMINATIONS................................................. 4.11 7

A. Purpose............................................................................................................ 4.11 8

B. Background...................................................................................................... 4.11 9

C. Examination Preparation.................................................................................. 4.11 10 D. Examination Structure...................................................................................... 4.13 11 E. NRC Quality Assurance Reviews...................................................................... 4.15 12 F. Attachments/Forms.......................................................................................... 4.15 13 4.2 ADMINISTRATION OF WRITTEN EXAMINATIONS............................................ 4.21 14 A. Purpose............................................................................................................ 4.21 15 B. Written Examination Facilities.......................................................................... 4.21 16 C. Proctoring the Written Examination.................................................................. 4.21 17 D. Written Examination Administration Procedure................................................ 4.22 18 E. Facility Licensee Staff Review of the Written Examination............................... 4.22 19 4.3 GRADING WRITTEN EXAMINATIONS................................................................ 4.31 20 A. Purpose............................................................................................................ 4.31 21 B. Resolving Facility Licensee Comments............................................................ 4.31 22 C. Grading the Written Examination..................................................................... 4.31 23 5.0 POSTEXAMINATION ACTIVITIES....................................................................... 4.31 24 5.1 POSTEXAMINATION ACTIVITIES....................................................................... 5.11 25 A. Purpose............................................................................................................ 5.11 26 B. Background...................................................................................................... 5.11 27 C. Examination Report......................................................................................... 5.11 28 D. Results Package.............................................................................................. 5.11 29 E. Examination Reviews....................................................................................... 5.11 30

viii F. Licensing Action............................................................................................... 5.12 1

G. Facility and Individual Notification.................................................................... 5.13 2

H. Returning Facility Reference Material.............................................................. 5.13 3

I. Record Retention............................................................................................... 5.13 4

J. Attachments/Forms........................................................................................... 5.14 5

5.2 ADMINISTRATIVE REVIEWS AND HEARINGS.................................................. 5.21 6

A. Purpose............................................................................................................ 5.21 7

B. Background...................................................................................................... 5.21 8

C. Applicant Responsibilities................................................................................ 5.21 9

D. Facility Licensee Responsibilities..................................................................... 5.23 10 E. NRC Responsibilities........................................................................................ 5.23 11 F. NRC Staff Review Procedures......................................................................... 5.23 12 G. Notes............................................................................................................... 5.24 13 H. Attachments/Forms.......................................................................................... 5.24 14 6.0 REQUALIFICATION EXAMINATIONS AND OTHER LICENSE ACTIONS.......... 5.21 15 6.1 REQUALIFICATION EXAMINATION ADMINISTRATION.................................... 6.11 16 A. Purpose............................................................................................................ 6.11 17 B. General............................................................................................................ 6.11 18 C. Examination Schedule..................................................................................... 6.11 19 D. Examination Preparation.................................................................................. 6.12 20 E. Examination Administration.............................................................................. 6.13 21 F. Examination Grading........................................................................................ 6.14 22 G. Requalification Program Evaluation................................................................. 6.15 23 H. Actions for Requalification Program Deficiencies............................................. 6.15 24 I. Final Requalification Program Evaluation Report............................................... 6.16 25 J. Individual Requalification Examination Report.................................................. 6.16 26 K. Record Retention............................................................................................. 6.16 27 L. Attachments/Forms........................................................................................... 6.17 28 6.2 REQUALIFICATION FAILURESREVIEWS AND HEARINGS........................... 6.21 29 A. Purpose............................................................................................................ 6.21 30

ix B. Background...................................................................................................... 6.21 1

C. Results of NRC-Conducted Requalification Examinations................................ 6.21 2

D. Overturning Requalification Examinations or Renewal Denials........................ 6.22 3

E. Notes............................................................................................................... 6.22 4

F. Attachments/Forms.......................................................................................... 6.23 5

7.0 FUEL-HANDLING EXAMINATIONS..................................................................... 6.21 6

7.1 SRO LIMITED TO FUEL HANDLINGEXAMINATIONS..................................... 7.11 7

A. Purpose............................................................................................................ 7.11 8

B. Examination Coordination................................................................................ 7.11 9

C. Eligibility............................................................................................................ 7.11 10 D. Reviewing LSRO Initial License Applications................................................... 7.12 11 E. Medical Requirements...................................................................................... 7.13 12 F. NRC Form 398................................................................................................. 7.13 13 G. Excusals and Waivers...................................................................................... 7.13 14 H. Attachments/Forms.......................................................................................... 7.13 15 7.2 SRO LIMITED TO FUEL HANDLINGEXAMINATION PREPARATION............. 7.21 16 A. Purpose............................................................................................................ 7.21 17 B. Scope............................................................................................................... 7.21 18 C. General Guidelines.......................................................................................... 7.21 19 D. Written Examination Instructions...................................................................... 7.21 20 E. Operating Test Instructions.............................................................................. 7.22 21 F. Attachments/Forms.......................................................................................... 7.23 22 7.3 SRO LIMITED TO FUEL HANDLINGEXAMINATION ADMINISTRATION........ 7.31 23 A. Purpose............................................................................................................ 7.31 24 B. Examination Withdrawals................................................................................. 7.31 25 C. Written Examination Facilities.......................................................................... 7.31 26 D. Proctoring the Written Examination.................................................................. 7.31 27 E. Written Examination Administration Procedure................................................. 7.32 28 F. Facility Licensee Staff Review of the Written Examination................................ 7.33 29 G. Personnel Present at the Operating Test......................................................... 7.33 30

x H. Operating Test Administration Procedures....................................................... 7.33 1

I. Attachments/Forms........................................................................................... 7.34 2

7.4 SRO LIMITED TO FUEL HANDLINGPOSTEXAMINATION ACTIVITIES......... 7.41 3

A. Purpose............................................................................................................ 7.41 4

B. Written ExaminationResolving Facility Licensee Comments......................... 7.41 5

C. Written ExaminationGrading......................................................................... 7.41 6

D. Operating TestGeneral Evaluation Guidelines.............................................. 7.41 7

E. Operating TestSpecific Instructions for Completing Form ES-7.4-1.............. 7.41 8

F. Attachments/Forms.......................................................................................... 7.41 9

8.0 GLOSSARY......................................................................................................... 81 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32

xi

SUMMARY

OF SIGNIFICANT CHANGES FROM 1

NUREG-1478, REVISION 2 2

3 Note: Removed all This Page Intentionally Left Blank notations.

4 5

Across multiple examiner standards (ESs):

6 7

Deleted specific reference to item block numbers and letters on NRC Form 398 and 8

NRC Form 396 so that the forms can be revised independently of NUREG-1478.

9 10 Removed reference to program director.

11 12 Replaced the phrase request reconsideration of a denial with request NRC staff 13 review of a denial.

14 15 Changed references to ANSI/ANS-15.4 to allow the use of multiple revisions of the 16 standard.

17 18 Minor corrections, clarifications, and improvements to existing language.

19 20 ES 1.2 Added Veteran Skills to Jobs Act to the list of statutes.

21 22 ES 2.1 D. Moved paragraph from F. to D. regarding possible preexamination site visits.

23 24 E. Moved two paragraphs regarding applicants requesting excusals or waivers to 25 ES 2.2.

26 27 E. Moved paragraphs regarding 10 CFR 55.35, Re-applications, to ES 2.2.

28 29 Changed the title of Corporate Notification Letter to Sample Examination 30 Confirmation Letter.

31 32 In the Sample Examination Confirmation Letter sample:

33 34 Updated the information on the NRC Form 398 and NRC Form 396 35 website location and also updated the Office of Management and Budget 36 clearance information.

37 38 Added detail to the instructions in enclosures 1 through 4.

39 40 Added wording encouraging facility licensee preliminary review of the written 41 examination.

42 43 ES 2.2 B. Added guidance for the chief examiners (CEs) review of applications.

44 45 B.2. Added paragraphs regarding 10 CFR 55.35 moved from ES 2.1.

46 47 Deleted the reference to submitting preliminary license applications 30 days 48 before the examination start date.

49 50

xii C. Further clarified the review of NRC Form 396 to check for the actual guidance 1

used during the medical examination.

2 3

Removed Section G, Maintaining Medical Standards for Licensees.

4 5

ES 2.3 Added editorial changes.

6 7

Revised the paragraph on how long medical data in NRC Form 396 are 8

acceptable.

9 10 ES 2.4 Deleted Attachment 2, Sample Renewal Application Denial Letter.

11 12 ES 3.1 In Section G, Requirements, added a statement reminding CEs that 13 documentation includes the safety significance of the weakness.

14 15 On Form ES-3.1-1, added a line for branch chief to sign Issue/Deny License.

16 17 Retitled Attachment 1 as Systems for Operating Tests.

18 19 Changed Attachment 2 to remove research and test reactors no longer 20 operating.

21 22 Added Attachment 3, Example Areas of Discussion for Category A:

23 Administrative Topics.

24 25 Added Attachment 4, Example Areas of Discussion for Category B: Facility 26 Walkthrough.

27 28 ES 3.2 Added statement in D.2.a: The CE must ensure that sufficient material is 29 covered during the administration of each topic to make a licensing 30 determination.

31 32 In D.4, Integrated Facility Operations, added the statement that after 33 manipulations have been completed, reactor may be turned over to staff or shut 34 down.

35 36 Added reminder to use ES 3.1, Attachment 3.

37 38 Added reminder to use ES 3.1, Attachment 4.

39 40 ES 3.3 In Section C.4, Operating Test Comments (Form ES-3.1-1, page 6), added 41 more instructions.

42 43 In Section C.5, Cover/Summary Page, added information about peer review.

44 45 ES 4.1 In Section E, NRC Quality Assurance Reviews, made minor clarifications.

46 47 ES 4.2 No significant changes.

48 49 ES 4.3 No significant changes.

50 51

xiii ES 5.1 Made minor changes to the instructions for examination review. Changed 1

licensing official to branch chief throughout.

2 3

ES 5.2 Changed the instructions for applicant demand for a hearing.

4 5

ES 6.1 Added to the purpose of this standard its applicability to facilities where all 6

licensed operators have lost proficiency.

7 8

Added the sentence: A regularly scheduled biennial written examination may be 9

substituted for the written examination if it meets this standard.

10 11 Clarified instructions for requalification program evaluation.

12 13 In Enclosure 1 to Attachment 1, clarified instructions regarding reference material 14 requirements.

15 16 In Enclosure 2 to Attachment 1, added: The CE will provide reference material 17 as needed for the examination.

18 19 In Enclosure 3 to Attachment 1, clarified the rules and guidance for CEs.

20 21 ES 6.2 No significant changes.

22 23 ES 7.1 Added application of this standard to facilities shutdown for extended periods 24 (with fuel to be removed from the facility).

25 26 ES 7.2 Changed forms to reflect current format and minor editorial and clarification 27 changes.

28 29 Revised instructions for written examination content and preparation.

30 31 Added to instructions for administration of examinations regarding the grade 32 necessary to pass the written examination.

33 34 ES 7.3 No significant changes.

35 36 ES 7.4 No significant changes.

37 38 Added Glossary to incorporate definitions of terms used across all standards.

39

xv ABBREVIATIONS AND ACRONYMS 1

ADAMS Agencywide Documents Access and Management System 2

AEA Atomic Energy Act of 1954, as amended 3

ANSI/ANS American National Standards Institute/American Nuclear Society 4

5 BC branch chief 6

7 CE chief examiner 8

CFR Code of Federal Regulations 9

10 EIE Electronic Information Exchange 11 EPIP emergency plan implementing procedure 12 ES examiner standard 13 14 GED General Educational Development test 15 16 ID identification 17 18 K/A knowledge and ability 19 20 LSRO senior reactor operator limited to fuel handling 21 22 NPUF non-power production and utilization facility 23 24 NPUFOL NPUF operator licensing 25 26 NRC U.S. Nuclear Regulatory Commission 27 28 OLA operator licensing assistant responsible for non-power production and utilization 29 facility operator licensing docket files 30 31 PDF portable document format 32 33 RO reactor operator 34 35 SRO senior reactor operator 36 SRO-I senior reactor operatorinstant 37 SRO-U senior reactor operatorupgrade 38

ES 1.11 of 1 1.0 GENERAL 1

2 1.1 PURPOSE AND FORMAT OF NUREG-1478 3

4 A. Purpose 5

6 The purpose of this NUREG is to provide guidance to the NRC staff to ensure the equitable and 7

consistent administration of examinations for all applicants and licensed operators at non-power 8

production and utilization facilities (NPUFs).

9 10 B. Format 11 12 Each examiner standards (ES) in this NUREG explains procedures and practices for the NPUF 13 Operator Licensing (NPUFOL) Program. For ease of reference, each ES is assigned a two-digit 14 number, and related ESs are grouped together such that ESs beginning with the same digit 15 apply to related aspects of the NPUFOL program, as follows:

16 17 ES 1.X General 18 ES 2.X Preexamination activities 19 ES 3.X Operating tests 20 ES 4.X Written examinations 21 ES 5.X Postexamination activities 22 ES 6.X Requalification examinations 23 ES 7.X Senior reactor operator limited to fuel handling (LSRO) licenses 24

ES 1.21 of 4 1.2 APPLICABLE REGULATIONS AND PUBLICATIONS 1

2 A. Purpose 3

4 This standard lists the U.S. statutes and the U.S. Nuclear Regulatory Commission (NRC) 5 regulations that establish the requirements for the conduct of NPUFOL examinations. It also 6

identifies the regulatory guides, NUREG reports, and other published guidance intended to 7

implement the regulations, and the American National Standards Institute (ANSI)/American 8

Nuclear Society (ANS) documents that may provide additional guidance.

9 10 Title 10 of the Code of Federal Regulations (10 CFR) Part 55, Operators Licenses, requires 11 applicants for reactor operator (RO) and senior reactor operator (SRO) licenses to pass both a 12 written examination and an operating test (both initially and for requalification). Moreover, the 13 regulations mandate that the license examinations must be developed and administered in 14 accordance with 10 CFR 55.41, Written examination: Operators, and 10 CFR 55.45, 15 Operating tests, for ROs or 10 CFR 55.43, Written examination: Senior operators, 16 and 10 CFR 55.45 for SROs. The regulation at 10 CFR 55.40(d) states the following:

17 18 The Commission shall use the criteria in NUREG-1478, Operator Licensing Examiner 19 Standards for Research and Test Reactors, for all test and research reactors to 20 prepare, proctor, and grade the written examinations required by §§ 55.41 and 55.43 21 and the operating tests required by § 55.45 for non-power reactor facility licensees.

22 23 B. Statutes 24 25

1. Atomic Energy Act of 1954 26 27 Section 107 of the Atomic Energy Act of 1954, as amended (42 U.S.C. 2137) (AEA), states the 28 following:

29 30 The Commission shall:

31 32 (a)

Prescribe uniform conditions for licensing individuals as operators of any 33 of the various classes of production and utilization facilities licensed in 34 this Act; 35 36 (b)

Determine the qualifications of such individuals; 37 38 (c)

Issue licenses to such individuals in such form as the Commission may 39 prescribe; and 40 41 (d)

Suspend such licenses for violations of any provision of this Act or any 42 rule or regulation issued thereunder whenever the Commission deems 43 such action desirable.

44 45 Section 189a of the AEA (42 U.S.C. 2239(a)) provides that in any proceeding for the granting, 46 suspending, revoking, or amending of any license, including the licenses for operators and 47 senior operators of nuclear reactors, the NRC shall grant a hearing upon the request of any 48 person whose interest may be affected by the proceeding.

49

ES 1.22 of 4

2. Veteran Skills to Jobs Act 1

2 The Veteran Skills to Jobs Act (Pub. L. 112-147, July 23, 2012, 126 Stat. 1138) provides that 3

each Federal licensing authority shall consider and may accept, in the case of any individual 4

applying for a license, any relevant training received by such individual while serving as a 5

member of the U.S. armed forces for the purpose of satisfying the requirements for the license.

6 7

C. Regulations 8

9

1. 10 CFR Part 2, Agency Rules of Practice and Procedure 10 11 Under 10 CFR 2.103(b), if the NRC finds that an application does not comply with the 12 requirements of the AEA and the Commissions regulations, the agency may issue a notice of 13 denial of the application and inform the applicant in writing of the nature of any deficiencies or 14 the reason for the denial and the right of the applicant to demand a hearing within 20 days from 15 the date of the notice or such longer period as may be specified in the notice.

16 17 Under 10 CFR 2.107(a), the NRC may permit an applicant to withdraw an application before the 18 issuance of a notice of hearing on such terms and conditions as it may prescribe or may, on 19 receiving a request for withdrawal of an application, deny the application or dismiss it with 20 prejudice. If the application is withdrawn before the issuance of a notice of hearing, the NRC 21 shall dismiss the proceeding. Withdrawal of an application after the issuance of a notice of 22 hearing shall be on such terms as the presiding officer may prescribe.

23 24

2. 10 CFR Part 9, Public Records 25 26 Subpart A, Freedom of Information Act Regulations, implements the provisions of the Freedom 27 of Information Act (5 U.S.C. 552), concerning the availability of NRC records to the public for 28 inspection and copying.

29 30 Subpart B, Privacy Act Regulations, implements the provisions of the Privacy Act of 1974 31 (5 U.S.C. 552a), concerning disclosure and availability of certain NRC records maintained on 32 individuals.

33 34 Subpart C, Government in the Sunshine Act Regulations, implements the provisions of the 35 Government in the Sunshine Act (5 U.S.C. 552b), concerning the opening of Commission 36 meetings to public observation.

37 38 Subpart D, Production or Disclosure in Response to Subpoenas or Demands of Courts or 39 Other Authorities, describes procedures governing the production of NRC records, information, 40 or testimony in response to subpoenas or demands of courts or other judicial or quasi-judicial 41 authorities in State and Federal proceedings.

42 43

3. 10 CFR Part 20, Standards for Protection against Radiation 44 45 The regulations in 10 CFR Part 20 establish standards for protection against radiation hazards 46 arising from NRC-licensed activities. Some material is appropriate for inclusion in the 47 examinations administered to candidates for RO or SRO licenses.

48

ES 1.23 of 4

4. 10 CFR Part 50, Domestic Licensing of Production and Utilization Facilities 1

2 The regulations in 10 CFR Part 50 provide the facility licensing provisions and requirements.

3 While this section is primarily associated with facility licensing, several sections apply to 4

operator licensing, including the following.

5 6

As required by 10 CFR 50.34(b)(8), a facilitys final safety analysis report (FSAR) must include a 7

description of the operator requalification program. This description forms the basis for the 8

inspection, audit, and approval of requalification programs.

9 10 The regulations in 10 CFR 50.54(i-1) state that within three months after the issuance of an 11 operating license, the facility licensee shall have in effect an operator requalification program, 12 which must, as a minimum, meet the requirements of 10 CFR 55.59(c). Notwithstanding the 13 provisions of 10 CFR 50.59, the facility licensee may not decrease the scope of its approved 14 requalification program without authorization from the Commission.

15 16 The regulations in 10 CFR 50.54(k)-(m) restrict control manipulations to licensed operators and 17 are conditions of all facility licenses issued under 10 CFR Part 50. For NPUFs, reference 18 applicable general exemptions within 10 CFR 55.13 for detailed information on restricted 19 manipulation of reactor or facility controls.

20 21 As required by 10 CFR 50.74, Notification of change in operator or senior operator status, 22 facility licensees must notify the Commission within 30 days if the status of a licensed RO or 23 SRO changes.

24 25

4. 10 CFR Part 55, Operators Licenses 26 27 The implementing regulation for licensing operators and senior operators (i.e., ROs and SROs) 28 is in 10 CFR Part 55. This regulation establishes the requirements for operator licensing (initial 29 and renewal), conditions of operator licenses, and elements of requalification programs.

30 31 D. Regulatory Guides, NUREG Reports, and ANSI/ANS Standards 32 33 Regulatory guides, NUREG reports, and ANSI/ANS standards are not requirements except as 34 specified in Commission orders or as committed to by the facility licensee. The appropriate 35 revisions should be consulted as referenced in the facility final safety analysis report or 36 approved training program. The following paragraphs summarize these documents.

37 38 NUREG-1537, Guidelines for Preparing and Reviewing Applications for the Licensing of 39 Non-Power Reactors, Part 2 40 41 Section 12.10, Operator Training and Requalification, describes the training and licensing of 42 operators and identifies information to be supplied by applicants for facility licensing.

43 44 ANSI/ANS-15.4, Selection and Training of Personnel for Research Reactors 45 46 This standard provides criteria for the selection and training of research reactor operating 47 personnel. It addresses their qualifications, training, initial licensing, requalification, and 48 relicensing. This standard is predicated on levels of responsibility rather than on a particular 49 organizational concept. Each facility licensee must comply, at a minimum, with the revision that 50 it has committed to in its licensing documentation.

51

ES 1.24 of 4 ANSI/ANS-3.4, Medical Certification and Monitoring of Personnel Requiring Operator 1

Licenses for Nuclear Power Plants 2

3 This standard provides methods acceptable to the NRC staff for facility licensees to 4

demonstrate that, through meeting the criteria of the standard, an applicant or licensee at 5

utilization facilities, as defined in 10 CFR Part 50, will possess a degree of medical fitness 6

sufficient to meet the medical requirements of 10 CFR Part 55. The NRC has endorsed this 7

standard for power reactors in Regulatory Guide 1.134, Medical Assessment of Licensed 8

Operators or Applicants for Operator Licenses at Nuclear Power Plants (ML14189A385).

9

ES 2.11 of 13 2.0 PREEXAMINATION ACTIVITIES 1

2.1 PREEXAMINATION ACTIVITIES 2

3 A. Purpose 4

5 This standard describes the activities required to prepare for an operator licensing examination 6

at an NPUF facility. It includes procedures for scheduling examinations, assigning examiner(s),

7 obtaining facility-specific reference material, and reviewing operator license applications.

8 9

B. Examination Requests and Scheduling 10 11 Annually, the NPUFOL Program branch chief (BC) or designee will request from each facility 12 licensee their planned operator licensing examination needs for the upcoming fiscal year 13 (October - September). The NPUFOL Program examination schedule is based upon the 14 responses to this request. If a facility licensee needs to modify a requested examination date, the 15 BC should be notified immediately to reschedule the examination. Examination needs identified 16 outside of this request period should be submitted to the BC for consideration in the examination 17 schedule. Rescheduled or late examination requests will be considered on a case-by-case basis 18 depending on the availability of resources.

19 20 C. Assignment of Examiners 21 22 The examination schedule will be used by the BC to develop the chief examiner (CE) 23 assignments. Factors to be considered in assignment include examiner experience, facility 24 complexity, type(s) of applicants being examined, examiner training needs, diversity of facility 25 examiner assignments from previous examinations at the facility, and travel distances and costs.

26 Depending on the number of applicants for a given facility examination, the CE may request that 27 the BC assign help from another examiner to prepare or administer the examination. Each 28 examiners certification status, other examination commitments, general availability, and efficient 29 uses of resources will be considered when making examiner assignments.

30 31 To maintain objectivity, an examiner who was previously employed by a facility licensee (or one 32 of its contractors) may not be assigned any direct responsibilities for developing or administering 33 written examinations or operating tests at that licensees facilities for at least 2 years after the 34 examiner ended their employment.

35 36 If a facility examination assignment presents a conflict of interest or the appearance of a conflict 37 of interest for the CE, that CE will discuss the matter with the BC. After reviewing the facts of the 38 possible conflict of interest, the BC will make the appropriate assignment determination.

39 40 D. Coordinating Examination Details 41 42 Following CE assignment, the CE will contact the facility licensee to confirm the details of the 43 examination request. Considerations should include the training schedule, candidate(s) and 44 facility staff availability, and reactor operations activities. The NRC will issue an examination 45 confirmation letter (Attachment 1) normally 90 days before the agreed upon examination date.

46 Normally, the CE will schedule the administration of both the written examination and operating 47 tests during a single site visit.

48 49

ES 2.12 of 13 Occasionally, the CE may need to coordinate a preexamination site visit with the facility licensee 1

prior to the scheduled examination date to allow the examiner(s) to become familiar with the 2

facility. The BC will assess the need for a preparatory preexamination site visit. Factors to be 3

considered may include the costs and benefits of the trip, experience of the assigned 4

examiner(s), number of applicants, recent facility changes, and complexity of the operating tests 5

to be administered.

6 7

E. Reviewing License Applications 8

9 The CE will review the applications according to ES 2.2 to decide whether the applicants 10 meet the requirements specified in 10 CFR 55.31, How to apply; 10 CFR 55.33, Disposition 11 of an initial application; and 10 CFR 55.35, Re-applications, for initial license candidates 12 or 10 CFR 55.57, Renewal of licenses, for license renewal candidates.

13 14 F. Facility Licensee Preexamination Reviews 15 16 The CE will arrange with the facility licensee for appropriate facility licensee staff to review the 17 written examination before it is administered. Enough time should be allowed to provide 18 comments and the examiner to make modifications, if necessary, without delaying the 19 examination. Typically, the review will occur during the first day of the examination. The BC 20 should be notified of any facility licensee comments that cannot be resolved before 21 administration of the examination. In some cases, the CE may arrange for the appropriate facility 22 licensee staff to receive and review the examination in advance (e.g., by mail or electronic 23 means). The facility licensee staff receiving the written examination will control and conduct the 24 review according to the guidelines and instructions contained in Attachment 1, Enclosure 4, 25 Facility Licensee Review of Written Examinations. The facility licensee may provide feedback 26 before, during, and immediately following the written examination administration.

27 28 G. Attachments/Forms 29 30, Sample Examination Confirmation Letter 31, Sample Examination Assignment Sheet 32

ES 2.13 of 13 ATTACHMENT 1 1

SAMPLE EXAMINATION CONFIRMATION LETTER 2

3

[NRC Letterhead]

4 5

[Date]

6

[Facility Contact Name]

7

[Facility Contact Title]

8

[Street Address line 1]

9

[Street Address line 2]

10

[City, State, Zip Code]

11 12

SUBJECT:

EXAMINATION CONFIRMATION LETTER, 50-[XXX]/OL-YY-XX, [FACILITY 13 NAME]

14 15

Dear [ ]:

16 17 Arrangements were made with [INSERT NAME OF PERSON OR [you)) for the administration of 18 operator licensing examinations at the [INSERT NAME OF FACILITY] reactor. The written 19 examinations and operating tests are scheduled for the week of [INSERT DATE].

20 21 To meet this schedule, please furnish the material listed in Enclosure 1, Reference Material for 22 Reactor/Senior Reactor Operator Licensing Examinations, at least 60 days before the 23 examination date to the following address:

24 25 ATTN: [INSERT NAME]

26 Mail Stop: [O6 A51]

27 U.S. Nuclear Regulatory Commission 28 11555 Rockville Pike 29 Rockville, MD 20852-2738 30 31 The requested reference material may be submitted either electronically or in hard copy to the 32 chief examiner. Although not required, electronic reference materials that are text-searchable, 33 along with a master table of contents, are preferred.

34 35 When electronically submitting examination material to the NRC, access should be limited to 36 prevent unauthorized disclosure of potential examination information. Sensitive, confidential, 37 and/or security-related facility information should ONLY be submitted through secure and/or 38 approved methods. File sharing tools or other facility accepted methods may vary and should be 39 coordinated with the assigned chief examiner.

40 41, Administration of Written Examinations, describes your responsibilities for the 42 administration of written examinations. Enclosure 3, Procedures for the Administration of Written 43 Examinations, describes applicant responsibilities during the administration of the written 44 examination. Please ensure that all applicants are aware of these rules.

45 46 Your review of the written examination will be conducted in accordance with the procedures 47 specified in Enclosure 4, Facility Licensee Review of Written Examinations.

48 49

ES 2.14 of 13 Signed operator license applications in accordance with Title 10 of the Code of Federal 1

Regulations (10 CFR) Part 55, Operators Licenses, Subpart D, Applications, certifying that all 2

applicants have successfully completed the requirements to be licensed as a reactor operator or 3

senior reactor operator and that all applicants meet the medical requirements, must be submitted 4

at least 30 working days before the start date of the examination. This will allow the chief 5

examiner time to review the training and experience of the applicants, process the medical 6

certifications, and process the applications. If this review cannot be completed in time to decide 7

an applicants eligibility, that applicant may not be permitted to sit for the examination. Therefore, 8

it is recommended that license applications be provided as soon as possible to ensure that the 9

review can be completed before the examination.

10 11 The NRC has posted copies of the application forms, Personal Qualification Statement 12 Licensee (NRC Form 398) and Certification of Medical Examination by Facility Licensee (NRC 13 Form 396) on the agencys website at https://www.nrc.gov/reading-rm/doc-14 collections/forms/index.html.

15 16 This letter contains information collection requirements that are subject to the Paperwork 17 Reduction Act of 1995 (44 U.S.C. 3501 et seq.). These information collections were approved 18 by the Office of Management and Budget, approval numbers 3150-0018, 3150-0024, 19 and 3150-0090.

20 21 The burden to the public for these mandatory information collections is estimated to average 22 7.45 hours5.208333e-4 days 0.0125 hours 7.440476e-5 weeks 1.71225e-5 months per combined response for completing the information collections. Send comments 23 regarding this burden estimate or any other aspect of these information collections, including 24 suggestions for reducing the burden, to the Records and Freedom of Information Act/Privacy 25 Services Branch (T-5 F52), U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, 26 or by email to: INFOCOLLECTS@NRC.GOV; and to the Desk Officer, Office of Information and 27 Regulatory Affairs, NEOB-10202, (3150-0018), Office of Management and Budget, Washington, 28 DC 20503.

29 30 The NRC may not conduct or sponsor, and a person is not required to respond to, a request for 31 information or an information collection requirement unless the requesting document displays a 32 currently valid OMB control number.

33 If you have any questions on the operator examination procedures and requirements, please 34 contact me at (301) XXX-XXXX, or by email to [INSERT EMAIL ADDRESS].

35 36 Sincerely, 37 38 39 40

[Name], Chief Examiner 41

[Branch Name]

42

[Division Name]

43 Office of Nuclear Reactor Regulation 44 45 Docket No. 50-[XXX]

46 47

Enclosures:

48

1. Reference Material for Reactor/Senior Reactor Operator Licensing Examinations 49

2. Administration of Written Examinations 50

ES 2.15 of 13

3. Procedures for the Administration of Written Examinations 1

4. Facility Licensee Review of Written Examinations 2

3 cc w/enclosures:

4

[Name], Reactor Supervisor [if applicable]

5

[Name], Training Supervisor [if applicable]

6

ES 2.16 of 13 ENCLOSURE 1 1

REFERENCE MATERIAL FOR REACTOR/

2 SENIOR REACTOR OPERATOR LICENSING EXAMINATIONS 3

4 Training materials include all substantive written material used to prepare applicants for initial 5

reactor operator and senior reactor operator licensing. The material should include learning 6

objectives, if available, and details presented during lectures rather than outlines. Training 7

materials should be identified, bound, and indexed. Training materials should include the 8

following:

9 10 (1)

System descriptions including descriptions of all operationally relevant flowpaths, 11 components, controls, and instrumentation. System training material should draw 12 parallels to the actual procedures used for operating an applicable system.

13 14 (2)

Learning objectives, student handouts, and lesson plans (including training manuals, 15 facility orientation manual, system descriptions, reactor theory, and thermodynamics).

16 17 (3)

Complete and operationally useful descriptions of all safety-system interactions and 18 secondary interactions under emergency and abnormal conditions (including 19 consequences of anticipated operator error, maintenance error, and equipment failure).

20 21 (4)

Training material used to clarify and strengthen understanding of emergency operating 22 procedures.

23 24 (5)

Complete procedure index (including temporary procedures).

25 26 (6)

All administrative procedures applicable to reactor operation or safety.

27 28 (7)

All integrated facility procedures, normal or general operating procedures, and 29 procedures for experiments.

30 31 (8)

All emergency procedures, emergency instructions, and abnormal or special procedures.

32 33 (9)

Standing orders or procedures changed by reactor supervision and important orders or 34 changes that are safety-related and may supersede the regular procedures.

35 36 (10)

A list of all reactor facility surveillances, with copies of all COMPLETED surveillances that 37 require the collection of data (e.g., heat balance, rod drop times, etc.).

38 39 (11)

Fuel-handling and core-loading procedures and initial core-loading procedure (if 40 appropriate).

41 42 (12)

Any annunciator or alarm procedures, as applicable.

43 44 (13)

Radiation protection manual and radiation control manual or procedures.

45 46 (14)

Emergency plan and any emergency plan implementing procedures.

47 48

ES 2.17 of 13 (15)

Safety analysis report (including any changes made under Title 10 of the Code of Federal 1

Regulations 50.59, Changes, tests, and experiments, that have not been incorporated 2

into the material being submitted) and technical specifications.

3 4

(16)

System operating procedures, including experiments.

5 6

(17)

Piping and instrumentation diagrams, electrical single-line diagrams, and flow diagrams.

7 8

(18)

Technical data book, facility curve information, or both, as used by operators and facility 9

precautions, limitations, and setpoints.

10 11 (19)

Questions and answers specific to the facility training program that may be used in the 12 written or operating examinations (voluntarily provided by the facility licensee).

13 14 (20)

Facility modification authorizations, which were authorized since the last revision to the 15 safety analysis report.

16 17 (21)

Additional material as requested by the examiners to develop examinations that meet 18 regulations and the operator licensing examiner standards.

19 20 The above reference material should be the approved, final issuances and should be so marked.

21 If a facility licensee has not finalized some of the material, then the chief examiner should verify 22 with the facility licensee that the most complete, up-to-date material is available and reach an 23 agreement with the facility licensee for limiting changes before the administration of the 24 examination.

25

ES 2.18 of 13 ENCLOSURE 2 1

ADMINISTRATION OF WRITTEN EXAMINATIONS 2

3 (1)

A single room must be provided for administration of the written examination. This room 4

and supporting restroom facilities should be located so as to prevent contact with other 5

facility personnel during the written examination.

6 7

(2)

Minimum spacing is necessary to ensure examination integrity. The chief examiner (CE) 8 will determine whether the room has adequate area to support minimum spacing between 9

examination applicants to ensure examination integrity.

10 11 (3)

The CE will review any arrangements made by the facility licensee to give the applicants 12 lunch, coffee, or other refreshments. These arrangements shall comply with item 1 13 above.

14 15 (4)

The facility licensee may provide clean, unused 8.5 by 11-inch paper for the applicants 16 use in completing the examination. The examiner will distribute this paper as needed.

17 18 (5)

Applicants may bring pens, pencils, and calculators into the examination room. Black ink 19 or dark pencils should be used for writing answers to questions. Calculators that have 20 memory or storage capacity must be verified by an examiner to be cleared or empty 21 before the examination. Applicants shall not bring tablets, cell phones, or other 22 communications or electronic devices or recorders into the examination room.

23 24 (6)

The CE must approve any wall charts, models, training materials, equipment, or 25 reference material present in the examination room. Otherwise, the material must be 26 removed before the written examination administration.

27 28 (7)

The CE will give the facility licensee staff a copy of the written examination with an 29 answer key at the beginning of the examination.

30 31 (8)

The facility licensee staff has 5 working days to submit formal written comments with 32 supporting documentation regarding written examination questions and answers to 33 the CE.

34

ES 2.19 of 13 ENCLOSURE 3 1

PROCEDURES FOR THE ADMINISTRATION OF 2

WRITTEN EXAMINATIONS 3

4 (1)

Verify candidate identity from government-issued identification, or other official 5

identification, that includes the candidates full legal name.

6 7

(2)

Instruct applicants not to review the examination until told to do so. Pass out 8

examinations and handouts.

9 10 (3)

Announce the start time of the examination.

11 12 NRC RULES FOR WRITTEN EXAMINATION ADMINISTRATION 13 14 READ THE FOLLOWING INSTRUCTIONS VERBATIM:

15 16 (1)

Cheating on the examination means an automatic denial of your application and could 17 result in more severe penalties.

18 19 (2)

When you have completed your examination, you must sign the statement at the bottom 20 of the cover sheet in front of the examiner or NRC-authorized proctor. This indicates that 21 the work is your own and that you have not received or given assistance in completing 22 the examination.

23 24 READ THE FOLLOWING INSTRUCTIONS:

25 26 With the start of the examination, you must comply with the following rules. These rules are in 27 effect within the examination area (DEFINE THE AREA), until the last candidate has handed in 28 their examination:

29 30 (1)

Only restroom trips are allowed and limited to only one applicant at a time. You must 31 avoid all contact with anyone or any materials outside the examination room to preclude 32 even the appearance of cheating. No conversation with other individuals or other stops 33 are allowed.

34 35 (2)

Use black ink or dark pencil only to facilitate legible reproductions.

36 37 (3)

Print your name in the blank provided in the upper right corner of the examination cover 38 sheet and each answer sheet.

39 40 (4)

Mark your answers on the answer sheet(s) provided. The answer sheet contains places 41 to circle the correct answer or fill in the correct answer and a blank space to put your final 42 answer if you have changed your choice.

43 44 (5)

The point value for each question is shown in brackets after the question.

45 46 (6)

If the intent of a question is unclear, ask questions of the examiner or proctor only.

47 48 (7)

There is a time limit of 3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months for the written examination.

49 50

ES 2.110 of 13 (8)

You must achieve a grade of 70 percent or greater overall and in each category to pass 1

the examination.

2 3

(9)

When turning in your examination, assemble the completed examination with 4

examination questions, examination aids, answer sheets, and all scrap paper. Give the 5

examiner your answer sheet(s) along with the signed cover sheet. Take all other material 6

collected with you out of the examination area.

7 8

(10)

After turning in your written examination, leave the examination area. If you are observed 9

in this area while the examination is still in progress, your license may be denied or 10 revoked.

11

ES 2.111 of 13 ENCLOSURE 4 1

FACILITY LICENSEE REVIEW OF WRITTEN EXAMINATIONS 2

3 (1)

At the option of the appropriate U.S. Nuclear Regulatory Commission (NRC) 4 management, the facility licensee staff may review the written examination up to 2 weeks 5

before its administration. This review may take place at the facility or at an NRC office.

6 The chief examiner (CE) will coordinate the details of the review with the facility licensee.

7 The facility licensee staff may not retain copies of the examination or any written notes.

8 9

When using this option, the facility licensee staff reviewers must sign the following 10 statement before being allowed access to the examination.

11 12

a.

Preexamination Security Agreement:

13 14 I ______________________ acknowledge that I have acquired specialized knowledge 15

[Print Name]

16 concerning the examination scheduled for ____________ at __________________________

17

[Print Date]

[Print Facility Name]

18 as of the date of my signature below. I agree that I will not knowingly divulge any information 19 concerning this examination to any unauthorized persons. I understand that I am not to 20 participate in any instruction involving those applicants scheduled to be administered the above 21 examination from this date until after the examination has been administered. I further 22 understand that violation of the conditions of this agreement may result in the examinations 23 being canceled, enforcement action against myself or the facility licensee by whom I am 24 employed or represent, or both.

25 26 27 28 Signature/Date 29 30 31 In addition, the facility licensee staff reviewers will sign the following statement after the written 32 examination has been administered.

33 34

b.

Postexamination Security Agreement:

35 36 37 I _____________________ did not, to the best of my knowledge, divulge any information 38

[Print Name]

39 concerning the examinations administered during the week of _____ at _________________

40

[Print Date]

[Print Facility Name]

41 or provide any instruction to those applicants who were administered the examination from the 42 date I entered into this security agreement until the completion of examination administration.

43 44 45 46 Signature/Date 47

ES 2.112 of 13 (2)

The facility licensee staff will be given a copy of the examination and the answer key at 1

the beginning of the examination. A copy will be kept of any pen and ink changes made 2

to questions during the examination administration.

3 4

If members of the facility licensee staff did not review the examination before its 5

administration, they will have 5 working days from the day of the written examination to 6

submit formal comments. If the facility licensee staff reviewed the examination before its 7

administration, they must submit any additional comments before the examiner leaves 8

the facility. The appropriate facility licensee management representative will address the 9

comments to the CE. The NRC will consider comments submitted after the required 10 period on a case-by-case basis. This may cause delays in grading the examinations.

11 12 (3)

The facility licensee should submit comments in the following format:

13 14 List the question section and number, and state the comment along with a 15 recommendation for correction (e.g., delete the question or accept two correct 16 answers).

17 18 Support the comment with a reference, and provide a copy of the reference if it 19 was not included in the original reference material submitted.

20 21 NOTES:

22 23 (1)

No change to the examination will be made without a reference to support the facility 24 licensee comment. Provide any supporting documentation not previously supplied.

25 26 (2)

Comments made without a concise facility recommendation will not be addressed.

27 28 (3)

Comments not submitted within the requested time will be included in the grading 29 process on a case-by-case basis as determined by the NRC. Comments not submitted 30 within the requested time will delay the examination grading process.

31 32 (4)

A multiple-choice question that has no correct answer or more than two correct answers 33 will be deleted. A multiple-choice question that has two correct answers will give credit for 34 either answer.

35

ES 2.113 of 13 ATTACHMENT 2 1

SAMPLE EXAMINATION ASSIGNMENT SHEET 2

3 NOTE TO:

(CE) [Name, Title, and Affiliation]

4 5

FROM:

(OLA) [Name, Title, and Affiliation]

6 7

SUBJECT:

EXAMINATION ASSIGNMENT SHEET ([REPORT NO. AND 8

FACILITY NAME])

9 10 11 APPLICANT DOCKET NO.

EXAMINATION TYPE 12 13 14 RO 15 SRO-I 16 SRO-U 17 SRO/RO (retake 18 Category A, B, or C) 19 20 21 22 23 24 25 26 27 28 29 30 31 32 Facility and location 33 Facility licensee contact 34 Written examination to be prepared by 35 Dates of examination 36 37 cc: [Project manager]

38 Branch chiefs]

39 (Standard Headquarters distribution) 40 41 42 43 44 Examination Report No. 50-[Number]

45 46 47 ADAMS Accession No. ML[Number]

48

ES 2.21 of 11 2.2 ELIGIBILITY REQUIREMENTS AND GUIDELINES 1

2 A. Purpose 3

4 This standard provides instructions for reviewing reactor operator license applications. It 5

identifies the experience, training, education, and certification requirements and guidelines that 6

applicants should satisfy before they will be allowed to take a license examination.

7 8

B. Reviewing License Applications 9

10 Subpart D of 10 CFR Part 55 outlines the regulatory requirements associated with the operator 11 license application process. The CE will review license applications to determine whether the 12 applicants meet the requirements specified in 10 CFR 55.31, 10 CFR 55.33, and 10 CFR 55.35 13 for initial license applicants. The CE should refer to these requirements as necessary when 14 reviewing operator license applications. The CE will indicate whether the applicant meets the 15 requirements or not and sign NRC Form 398, Personal Qualification StatementLicensee.

16 17 As stated by the regulations in 10 CFR 55.35(b), an applicant who has previously passed a 18 portion of the NRC examination may request on a new NRC Form 398 to be excused from 19 reexamination on the portions of the examination or test that the applicant has passed. The 20 Commission may, at its discretion, grant the request if it determines that sufficient justification is 21 presented (10 (see 10 CFR 55.35(b)). The justification should address why reexamining the 22 applicant on the passed portion is not necessary. For example, an applicant that passed the 23 written Category B & C but failed Category A, may request with sufficient justification to be 24 excused from Category B & C of the written examination. Additionally, an applicant that passed 25 the written examination but failed the operating test, may request with sufficient justification an 26 excusal from the written examination. These examples are not all inclusive and the 27 determinations will depend on the submitted justifications.

28 29 As stated by the regulations in 10 CFR 55.47, an applicant may request a waiver of any or all 30 examination and test requirements in certain circumstances. For example, if a previously 31 licensed individual were to leave the facility and return or change positions within the facility to a 32 position no longer needing a license and return to the licensed position within a 2-year window.

33 Another example may be an individual who was licensed at a comparable facility with extensive 34 actual operating experience within the past 2 years. These examples are not all inclusive and 35 the determinations will depend on the submitted information.

36 37

1. Initial License Applications 38 39

a.

All applicants must submit an NRC Form 398 and an NRC Form 396, Certification of 40 Medical Examination by Facility Licensee, using the most recent revision available.

41 (Computer-generated duplicates are acceptable.) An application is not complete until 42 both forms are filled out and signed by the appropriate facility licensee staff.

43 44 Detailed instructions are provided with the forms.

45 46

b.

The facility licensee senior management representative certifies the applicant by 47 completing and signing NRC Form 398 and NRC Form 396. Both forms must be 48 submitted to the NRC at least 30 working days before the examination date. Forms not 49 submitted within this time frame may result in delaying the examination or the eligibility 50 determination for taking an examination.

51

ES 2.22 of 11 1

The CE will review applications against the specific RO or SRO eligibility guidelines 2

described in Section D of this examiner standard, process the medical certifications, 3

evaluate any waiver, excusal, or deferral requests (refer to ES 2.3), and request any 4

additional information that might be necessary under 10 CFR 55.31(b).

5 6

c.

If the CE determines that an application is incomplete or that the applicant does not 7

meet the requirements in 10 CFR 55.31, the CE will note the deficiencies on the 8

application and request additional information under 10 CFR 55.31(b). If, after receipt of 9

additional information, the CE determines that the applicant still does not meet the 10 eligibility requirements, the CE will discuss the matter with the BC. If reasonable 11 attempts to satisfy the deficiencies are unsuccessful, then the BC will notify the applicant 12 in writing that the application is being denied and provide the deficiencies on which the 13 denial is based (Attachment 1).

14 15 The CE will check the Does Not Meet Requirements block on NRC Form 398 and sign 16 and date the form. Applicants who do not meet eligibility requirements will not be 17 permitted to take a license examination.

18 19 An applicant who receives a denial may request a review of the denial by the NRC staff 20 or demand a hearing according to 10 CFR 2.103(b)(2). ES 5.2 provides further 21 information on this topic.

22 23

d.

For an applicant who does not meet the eligibility requirements, any subsequent 24 application will be an initial license application and reviewed in accordance with the 25 guidance above.

26 27

2. Reapplications 28 29 An applicant applying after a license denial must submit new NRC Forms 398 and 396 (refer 30 to 10 CFR 55.35). The NRC will not process an application if the applicant has a pending 31 request for NRC staff review or demand for a hearing on the previous license denial (refer to 32 ES 5.2). The CE will review the application as described in Section B.1, subject to the additional 33 conditions described in the following paragraphs.

34 35

a.

If the first application was denied because the applicant failed the written examination, 36 operating test, or both, the applicant may file a new application 2 months after the date 37 of denial. The applicant may file a third application 6 months after the date of the second 38 denial and successive applications 2 years after the date of each subsequent denial.

39 40

b.

The applicant may request an excusal from reexamination on the portions of the written 41 examination or operating test that the applicant passed. (Refer to ES 2.3 for further 42 guidance.)

43 44

c.

The application will describe the extent of training since the denial.

45 46

d.

Facility licensee management must certify on NRC Form 398 that the applicant has 47 received sufficient additional training at the facility and that the results of that training 48 have been objectively evaluated to ensure that the applicant is ready for reexamination, 49 as well as prepared to safely assume the duties and responsibilities of a licensed 50 operator.

51

ES 2.23 of 11 1

C. Licensing Medical Requirements 2

3 Subpart C of 10 CFR Part 55 specifies the medical requirements for license applicants and 4

licensed operators.

5 6

The regulations in 10 CFR Part 55 require an applicant for an operator license to submit an 7

NRC Form 396. Detailed instructions for completing NRC Form 396 are provided with the form.

8 The CE will evaluate the information in NRC Form 396 for consistency with the specified 9

guidance used by the facility licensee. If the facility licensee submits a form stipulating other 10 for the guidance used, the form will be forwarded for evaluation by the NRC medical reviewer.

11 No operator licenses shall be issued until the NRC staff finds the medical examination to be 12 adequate.

13 14 In accordance with Section 3.1 of ANSI/ANS-3.4, which the NRC endorsed in Regulatory 15 Guide 1.134, Medical Assessment of Licensed Operators or Applicants for Operator Licenses 16 at Nuclear Power Plants, the examining physician may delegate portions of the medical 17 examination to a licensed nurse practitioner or licensed physicians assistant who is familiar with 18 ANSI/ANS-3.4 or ANSI/ANS-15.4, as applicable, and the activities required of an operator or 19 senior operator. However, the physician has the ultimate responsibility for certifying that the 20 medical examination was conducted in accordance with the standard and that the applicant 21 meets the medical requirements. The names and license numbers of all medical practitioners 22 (but not laboratory technicians) who were substantially involved in the examination should be 23 entered on NRC Form 396.

24 25 The NRC staffs practice with respect to a notification of change in operator or senior operator 26 status and receipt of a new NRC Form 396 has been to send the information to a qualified 27 medical reviewer, except for minor medical changes such as glasses and hearing aids, through 28 NRC Form 396A, Transmittal of NRC Form 396 for Medical Review. The NRC staff instructs 29 the NRC medical reviewer using NRC Form 396A to evaluate license condition requests 30 submitted on NRC Form 396 and supporting medical evidence for ANSI/ANS standard 31 compliance.

32 33 The medical reviewer may respond to the NRC staff in several ways. First, the medical reviewer 34 may find that the applicants medical status is satisfactory for licensing with no restrictions or 35 conditions (see 10 CFR 55.33(a)(1) regarding the health finding for an unconditioned initial 36 license). Second, the medical reviewer may find that the applicants medical status is 37 satisfactory for licensing only if additional conditions are placed on the operator or senior 38 operator (see 10 CFR 55.33(b) regarding conditional licenses). Third, the medical reviewer may 39 find that the identified medical condition disqualifies the operator or senior operator applicant 40 from receiving a license. The medical reviewer may also determine that a medical review cannot 41 be completed until additional medical evidence is submitted. The medical reviewer documents 42 their review and provides it to the NRC staff via NRC Form 396A.

43 44 Initial license applicants are generally expected to be examined and certified as fit (on NRC 45 Form 396) no more than 6 months before application submittal. If more than 6 months have 46 passed since the date of an applicants last medical examination or fitness certification on NRC 47 Form 396, the applicant and facility licensee shall certify in writing in the Comments section of 48 NRC Form 398 that the applicant has not developed any physical or mental condition that would 49 be reportable under 10 CFR 55.25, Incapacitation because of disability or illness.

50 51

ES 2.24 of 11 If the applicants physical or mental condition has changed, or the time since the applicants last 1

complete medical examination is expected to exceed 24 months before the licensing action is 2

completed, the applicant shall be reexamined by a physician and the facility licensee shall 3

recertify the applicants medical fitness on NRC Form 396.

4 5

The NRC staff will consider a waiver of the requirement to submit an updated NRC Form 396 if 6

an applicant is reapplying for a license (because of the withdrawal of a previous application, the 7

denial of a previous application, or the termination of a previous license at the same facility), if 8

an examination is delayed from its originally scheduled date, or if the issuance of the license 9

has been deferred, provided that the 24-month requirement is not exceeded and that comments 10 are included in the NRC Form 398.

11 12 D. Initial License Eligibility Guidelines 13 14 The initial license eligibility guidelines are summarized as follows.

15 16 Certification:

17 18 A senior management representative of the facility licensee shall certify the following 19 requirements on NRC Form 398. This certification must include details of the applicants 20 qualifications and details on courses of instruction administered by the facility licensee 21 and describe the nature of the training received at the facility and the startup and 22 shutdown experience received.

23 24

1. Reactor Operator Applications 25 26

a.

Training 27 28 The training shall include the following:

29 30 (1)

Sufficient design and content to ensure safe operation of the facility.

31 32 (2)

Topics identified in Section 5 of ANSI/ANS-15.4 to satisfy the requirements of 33 10 CFR 55.31(a)(4).

34 35 (3)

Operation of the reactor and its systems under the supervision of licensed ROs 36 and/or SROs (facility staffing dependent).

37 38 (4)

Manipulation of the controls of the reactor (refer to 10 CFR 55.31(a)(5)). Every 39 effort should be made to diversify the control manipulations. Examples of control 40 manipulations include reactor startups and shutdowns and power changes by an 41 amount of sufficient magnitude to allow for the observation and response to clear 42 effects of the manipulations on the facility by the applicant trainee.

43 44

b.

Education 45 46 The applicant should have a high school diploma or an equivalency certificate (e.g., a 47 General Educational Development (GED) or home-schooling certificate). Individuals who 48 have not completed high school or its equivalency should not be excluded. Previous job-49 related experience or education should also be considered. If an applicant is still 50

ES 2.25 of 11 attending high school, then the facility licensee should carefully review the applicants 1

eligibility and justification for selection into the operator licensing training program.

2 3

c.

Experience 4

5 The applicant should have sufficient experience at the facility as a trainee to have 6

completed the facility licensees operator licensing training program.

7 8

2. Senior Reactor OperatorInstant Applications 9

10

a.

Training 11 12 The training shall include the following:

13 14 (1)

Sufficient design and content to ensure safe operation of the facility.

15 16 (2)

Topics identified in Section 5 of ANSI/ANS-15.4 to satisfy the requirements of 17 10 CFR 55.31(a)(4).

18 19 (3)

Operation of the reactor and its systems under the supervision of licensed ROs 20 and/or SROs (facility staffing dependent).

21 22 (4)

Manipulation of the controls of the reactor (refer to 10 CFR 55.31(a)(5)). Every 23 effort should be made to diversify the control manipulations. Examples of control 24 manipulations include reactor startups and shutdowns and power changes by an 25 amount of sufficient magnitude to allow for the observation and response to clear 26 effects of the manipulations on the facility by the applicant trainee.

27 28

b.

Education 29 30 The applicant should have a high school diploma or an equivalency certificate (e.g., a 31 GED or home-schooling certificate). Individuals who have not completed high school or 32 its equivalency should not be excluded. Previous job-related experience or education 33 should also be considered. If an applicant is still attending high school, then the facility 34 licensee should carefully review the applicants eligibility and justification for selection 35 into the operator licensing training program.

36 37

c.

Experience 38 39 The applicant should have a minimum of 3 years of nuclear experience. A maximum of 2 40 years of full-time relevant academic training may be substituted for 2 years of 41 experience. The remaining 1 year of experience should be at the facility or at a 42 significantly similar facility. When considering experience, it is important to provide 43 justification that the applicant has the skills and knowledge commensurate with their 44 level of responsibility and that their decisions and actions during all normal and abnormal 45 conditions are such that the reactor is operated safely. Additional guidance on this 46 1 year of nuclear experience at the facility requirement can be found in ANSI/ANS-15.4 47 and under Experience of ES 2.2.E of this NUREG.

48 49 If the applicant does not meet the 1 year of nuclear experience at the facility requirement 50 at the time of the examination, a deferral request may be submitted, with justification, in 51

ES 2.26 of 11 order to take the examination. In addition to the completion of the facility SRO training 1

program, the justification must show previous relevant supervisory experience and 2

qualifications. The CE should seek guidance from the BC when applicants do not meet 3

the 1 year of nuclear experience at the facility requirement.

4 5

3. Senior Reactor OperatorUpgrade Applications 6

7

a.

Training 8

9 The training shall include the following:

10 11 (1)

Sufficient design and content to ensure safe operation of the facility.

12 13 (2)

Topics identified in Section 5 of ANSI/ANS-15.4 in support of 10 14 CFR 55.31(a)(4).

15 16 (3)

Operation of the reactor and its systems as a licensed RO or under the 17 supervision of licensed ROs and SROs.

18 19 (4)

Manipulation of the controls of the reactor, including five significant control 20 manipulations that affect reactivity or power level (refer to 10 CFR 55.31(a)(5)).

21 Every effort should be made to diversify the control manipulations. Examples of 22 significant control manipulations include reactor startups and shutdowns and 23 power changes by an amount of sufficient magnitude to allow for the observation 24 of clear effects on the plant by the operator.

25 26

b.

Education 27 28 The applicant should have a high school diploma or an equivalency certificate (e.g., a 29 GED or home-schooling certificate). Individuals who have not completed high school or 30 its equivalency should not be excluded. Previous job-related experience or education 31 should also be considered. If an applicant is still attending high school, then the facility 32 licensee should carefully review the applicants background for selection into the training 33 program.

34 35

c.

Experience 36 37 The applicant should have a minimum of 1 year of experience as an RO at the facility or 38 meet the requirements for an SRO-I listed above.

39 40 E. NRC Form 398, Personal Qualification StatementLicensee 41 42 Applicants for operator licenses must submit a personal qualification statement (NRC 43 Form 398). The form must be completely filled out per the instructions and signed by the 44 appropriate personnel. Those sections or items that are not applicable to operators of non-45 power reactors will be marked NA. Additional specific guidance for the NRC staffs review of 46 NRC Form 398 is as follows.

47

ES 2.27 of 11 Current Position at Facility 1

2 Many items are not applicable to non-power reactors. Therefore, the other designation should 3

be used to describe the applicants position (e.g., facility director, chief reactor supervisor, etc.).

4 The blocks for Senior Control Room Operator and Control Room Operator are applicable 5

only to licensed personnel. An unlicensed control room operator trainee should be listed as 6

Trainee.

7 8

Training 9

10 This section should contain only training received specifically for the license for which the 11 application is submitted. Non-power reactors normally do not have a training program that 12 excludes other concurrent activities; therefore, the period of training should be identified (month 13 and year) and condensed to the appropriate number of weeks.

14 15 For example, an applicant spends 4 months in training from June 1, 2022, through 16 September 30, 2022, with 2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months per week devoted to fundamentals, 2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months per week tracing 17 systems, 1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months per week in the control room, and 1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months per week in actual manipulation (with 18 two reactivity changes per manipulation). The condensed training would be from June 2022 to 19 October 2022 and include approximately 1 week (16 weeks x 2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months per week) of 20 fundamentals, 1 week of facility systems observation, 1 week of control room operations, 21 and 32 significant control manipulations. Numbers do not have to be precise but should be 22 representative.

23 24 Classroom should identify training conducted in a classroom setting.

25 26 Simulator is not applicable to non-power reactors that do not have a Commission 27 approved simulator.

28 29 SRO Instruction should be used to identify SRO-level training given in preparation for an 30 SRO-level license examination.

31 32 Extra Person on Shift in Control Room is not applicable to non-power reactors.

33 34 Other should be used to describe time spent in the facility in training (e.g., time spent 35 tracing systems, time in the control room observing or operating, etc.).

36 37 ANSI/ANS-15.4 contains additional guidance on training criteria.

38 39 Experience 40 41 Experience must be current up to the date of the application. Applicable experience gained at 42 other non-power reactors and nuclear power plants, as well as any military experience, should 43 be included. In all cases, the applicant should fully describe their experience.

44 45 The descriptions provided under Significant Control Manipulations on NRC Form 398 also 46 apply to the experience discussion under Nuclear Experience Details on NRC Form 398.

47 48 To assess the applicants eligibility for the remaining 1 year of nuclear experience at the facility, 49 discussed under ES 2.2.D of this NUREG, the facility licensee should submit information related 50 to the numbers of hours spent during on-the-job training that is equivalent to the 1 year of 51

ES 2.28 of 11 nuclear experience. If the applicant has recent experience at a significantly similar facility or 1

significant equivalent nuclear experience in a supervisory role or directing actions related to safe 2

reactor operations, the facility licensee should describe the experience and provide justification 3

for why it is equivalent to the 1 year of nuclear experience at the facility requirement. The 4

applicant should fully describe their experience under the Duties column on NRC Form 398.

5 6

The following information should be considered in determining the type of information needed to 7

assess the applicants eligibility for the remaining 1 year of nuclear experience:

8 9

ANSI/ANS-15.4-2016, Section 2, Definitions, defines nuclear experience as:

10 11 Experience acquired in reactor facility start-up activities or operation.

12 Experience in design, construction, maintenance, or related technical 13 services that are job-related may also be considered. On-the-job training 14 at the reactor facility may qualify as equivalent nuclear experience on a 15 one-for-one-time basis. Appropriate research or teaching or both may be 16 includable as nuclear experience.

17 18 For Renewals Only 19 20 See ES 2.4.

21 22 Signatures 23 24 The applicants signature must appear in the appropriate box on the application. The training 25 coordinator and the highest level of facility licensee management responsible for facility 26 operations (normally the facility director or equivalent position; higher authority is not needed) 27 must also sign the application in the appropriate boxes. If the facility director is also the training 28 coordinator, then they must sign in both boxes.

29 30 F. NRC Form 396, Certification of Medical Examination by Facility Licensee 31 32 Applicants for initial operator licenses and applicants for renewed operator licenses are required 33 by 10 CFR 55.31(a)(6) and 10 CFR 55.57(a)(6), respectively, to submit NRC Form 396 as part 34 of their application. Detailed instructions for completing NRC Form 396 are provided with the 35 form.

36 37 Note: In accordance with Section 3.1 of ANSI/ANS-3.4, which the NRC endorsed in Regulatory 38 Guide 1.134, the examining physician may delegate portions of the medical examination to a 39 licensed nurse practitioner or licensed physicians assistant who is familiar with ANSI/ANS-3.4 40 or ANSI/ANS-15.4, as applicable, and the activities required of an operator or senior operator.

41 However, the physician has the ultimate responsibility for certifying that the medical examination 42 was conducted in accordance with the standard and that the applicant meets the medical 43 requirements. The names and license numbers of all medical practitioners (but not laboratory 44 technicians) who were substantially involved in the examination should be entered on NRC 45 Form 396.

46 47 H. Attachments/Forms 48 49, Sample Initial Application Denial 50

ES 2.29 of 11 ATTACHMENT 1 1

SAMPLE INITIAL APPLICATION DENIAL 2

3

[NRC Letterhead]

4 5

[Date]

6

[Applicant Name]

7

[Street Address]

8

[City, State, Zip Code]

9 10

Dear [Name]:

11 12 This letter is to inform you that your application dated [date] for a [reactor operator, senior 13 reactor operator, or limited senior reactor operator] license submitted for the [facility name] is 14 hereby denied.

15 16

[Branch to discuss deficiencies and which part of 10 CFR 55.31, ES 2.2, or ANSI/ANS-15.4 was 17 involved.] When you have met the requirements of Title 10 of the Code of Federal Regulations 18 (10 CFR) 55.31, How to apply, you may submit another application.

19 20 Under 10 CFR 2.103(b)(2), you may demand an adjudicatory hearing about this denial of your 21 application within 20 days after the date of this letter. Under 10 CFR 2.307(a), you may request 22 an extension of this time limit if you can show good cause.

23 24 A demand for a hearing shall be filed in accordance with 10 CFR Part 2, Agency Rules of 25 Practice and Procedure, which is accessible electronically on the U.S. Nuclear Regulatory 26 Commissions (NRCs) website at https://www.nrc.gov/reading-rm/doc-collections/cfr/.

27 Generally, a demand for a hearing should explain why you believe that the NRC denied your 28 application in error and why you believe that you have, in fact, satisfied the requirements.

29 30

[Consult with the Office of the General Counsel for the most up-to-date E-Filing language.]

31 32 A demand for a hearing must be filed in accordance with the NRCs E-Filing Rule (Volume 72 of 33 the Federal Register, page 49139; August 28, 2007). The E-Filing process requires participants 34 to submit and serve all adjudicatory documents over the internet or, in some cases, to mail 35 copies on electronic storage media. Detailed guidance on making electronic submissions may 36 be found in the Guidance for Electronic Submissions to the NRC and on the NRC website at 37 https://www.nrc.gov/site-help/e-submittals/contact-us-eie.html. Participants may not submit 38 paper copies of their filings unless they seek an exemption in accordance with the procedures 39 described below.

40 41 To comply with the procedural requirements of E-Filing, at least 10 days before the filing 42 deadline, the participant should contact the Office of the Secretary by email to 43 Hearing.Docket@nrc.gov or by telephone to 301-415-1677 to (1) request a digital identification 44 (ID) certificate, which allows the participant (or its counsel or representative) to digitally sign 45 submissions and access the E-Filing system for any proceeding in which it is participating and 46 (2) advise the Secretary that the participant will be submitting a demand for a hearing. Based on 47 this information, the Secretary will establish an electronic docket for the hearing in this 48 proceeding if the Secretary has not already done so.

49 50

ES 2.210 of 11 Information about applying for a digital ID certificate is available on the NRCs public website at 1

https://www.nrc.gov/site-help/search.html?site=AllSites&searchtext=EIE. Once a participant has 2

obtained a digital ID certificate and a docket has been created, the participant can then submit a 3

demand for a hearing. Submissions must be in Portable Document Format (PDF). A filing is 4

considered complete at the time the document is submitted through the NRCs E-Filing system.

5 To be timely, an electronic filing must be submitted to the E-Filing system no later than 11:59 6

p.m. eastern time on the due date. Upon receipt of a transmission, the E-Filing system time-7 stamps the document and sends the submitter an email notice confirming receipt of the 8

document. The E-Filing system also distributes an email notice that provides access to the 9

document to the NRCs Office of the General Counsel and any others who have advised the 10 Office of the Secretary that they wish to participate in the proceeding, so that the filer need not 11 serve the document on those participants separately. Therefore, applicants and other 12 participants (or their counsel or representative) must apply for and receive a digital ID certificate 13 before adjudicatory documents are filed so that they can obtain access to the documents 14 through the E-Filing system.

15 16 A person filing electronically using the NRCs adjudicatory E-Filing system may seek assistance 17 by contacting the NRCs Electronic Filing Help Desk through the Contact Us link located on the 18 NRCs public website at https://www.nrc.gov/site-help/e-submittals/contact-us-eie.html, by email 19 to MSHD.Resource@nrc.gov, or by a toll-free call to 1-866-672-7640. The NRC Electronic Filing 20 Help Desk is available between 9 a.m. and 6 p.m. eastern time, Monday through Friday, 21 excluding Government holidays.

22 23 Participants who believe that they have a good cause for not submitting documents 24 electronically must file an exemption request, in accordance with 10 CFR 2.302(g), with their 25 initial paper filing stating why there is good cause for not filing electronically and requesting 26 authorization to continue to submit documents in paper format. Such filings must be submitted 27 by (1) first-class mail addressed to the Office of the Secretary of the Commission, U.S. Nuclear 28 Regulatory Commission, Washington, DC 20555-0001, Attention: Rulemaking and 29 Adjudications Staff, or (2) courier, express mail, or expedited delivery service to the Office of the 30 Secretary, 11555 Rockville Pike, Rockville, MD 20852, Attention: Rulemaking and Adjudications 31 Staff. Participants filing adjudicatory documents in this manner are responsible for serving the 32 document on all other participants. Filing is considered complete by first-class mail as of the 33 time of deposit in the mail, or by courier, express mail, or expedited delivery service upon 34 depositing the document with the provider of the service. A presiding officer, having granted an 35 exemption request from using E-Filing, may require a participant or party to use E-Filing if the 36 presiding officer subsequently determines that the reason for granting the exemption from use 37 of E-Filing no longer exists.

38 39 Documents submitted in adjudicatory proceedings will appear in the NRCs electronic hearing 40 docket, which is available to the public at https://adams.nrc.gov/ehd/, unless excluded pursuant 41 to an order of the Commission or the presiding officer. If you do not have an NRC-issued digital 42 ID certificate as described above, click cancel when the link requests certificates, and you will 43 be automatically directed to the NRCs electronic hearing dockets where you will be able to 44 access any publicly available documents in a particular hearing docket. Participants are asked 45 not to include personal privacy information, such as social security numbers, home addresses, 46 or personal phone numbers in their filings, unless an NRC regulation or other law requires 47 submission of such information. For example, in some instances, individuals provide home 48 addresses to demonstrate proximity to a facility or site. With respect to copyrighted works, 49 except for limited excerpts that serve the purpose of the adjudicatory filings and would constitute 50

ES 2.211 of 11 a Fair Use application, participants are asked not to include copyrighted materials in their 1

submission.

2 3

If you have any questions, please contact [name] at [telephone number] or via email at 4

[name]@nrc.gov.

5 6

Sincerely, 7

8 9

10 11

[Branch Chief or Program Director with Program 12 Responsibility]

13 Docket No. 55-[number]

14 15 cc: [senior management facility representative who signed the applicants NRC Form 398]

16 17 CERTIFIED MAILRETURN RECEIPT REQUESTED 18

ES 2.31 of 2 2.3 PROCESSING OPERATOR LICENSING WAIVERS/EXCUSALS 1

2 A. Purpose 3

4 This standard provides guidance for processing waiver/excusal requests from RO and SRO 5

license applicants.

6 7

B. Background 8

9 To speed the processing of an applicants waiver/excusal request(s), the NRC management has 10 delegated the authority to grant the waiver/excusal of certain operator licensing requirements to 11 the CE. The CE may grant the types of waiver/excusal requests identified in Section D.1 of this 12 standard without first obtaining BC approval. The BC will then document the granted approval.

13 14 C. General Guidelines 15 16

1. Submittal of Waiver/Excusal Requests 17 18 The applicant may request a waiver/excusal of a license requirement by checking the 19 appropriate block on NRC Form 398 and providing a justification.

20 21

2. Evaluation of Waiver/Excusal Requests 22 23 The CE will evaluate waiver/excusal requests on a case-by-case basis. If there is insufficient 24 information upon which to base a decision, the CE will request additional information from the 25 facility licensee according to ES 2.2.

26 27 Waiver/excusal requests may be denied if the evaluation and judgment of the NRC staff so 28 warrant. The staff will document the disposition of every waiver/excusal request, whether 29 granted or denied, by completing the For NRC Use block on the applicants application.

30 31 After any waiver/excusal requests have been reviewed and approved (or denied), the CE will 32 forward the application to the operator licensing assistant (OLA) responsible for NPUFOL 33 Program docket files.

34 35 The OLA will create a 10 CFR Part 55 docket folder for each new applicant and prepare letters 36 informing the applicant of the final disposition of any application-specific waivers or excusals 37 (refer to ES 2.3). The OLA will forward waiver/excusal/deferral letters to the CE for review prior 38 to sending to the BC for signature. The OLA will dispatch waiver/excusal/deferral letters to the 39 applicant. The waiver/excusal/deferral letters should be dispositioned prior to establishing the 40 examination assignment sheet. The OLA will then prepare an examination assignment sheet 41 (Attachment 2 to ES 2.1) in advance of the examination date. The examination assignment 42 sheet will identify all assigned examiners by name and list the applicants by name, docket 43 number, and the type of examination they are to take.

44 45 All applicants listed on the examination assignment sheet should be administered complete 46 examinations (written and operating) as indicated under Examination Type unless the NRC has 47 granted waivers or excusals in accordance with ES 2.3. A copy of the examination assignment 48 sheet will be distributed to all examiners assigned, the BC, and the facility project manager. The 49 examination assignment sheet, which can be found in the NRCs Agencywide Documents 50

ES 2.32 of 2 Access and Management System (ADAMS), will be updated to reflect any changes to the 1

examinations as they are administered.

2 3

3. Notification of Applicants 4

5 The NRC staff will notify the applicant in writing of the disposition of the applicants 6

waiver/excusal request(s) when the decision to grant or deny the request is made. If time is too 7

short to notify the applicant in writing before the examination date, the CE will notify the facility 8

licensees training representative by telephone, with a memorandum to the applicants docket 9

file.

10 11 If the applicant is determined to be ineligible to take the license examination, the NRC staff will 12 issue a denial letter according to ES 2.2.

13 14 D. Excusals and Waivers 15 16

1. Routine 17 18

a.

If an applicant fails any section of the written examination, but has a passing grade 19 overall for the examination, the CE may excuse, on the applicants next examination, the 20 applicant from reexamination on those examination sections that were passed. For 21 candidates who have a failing grade overall for the examination, the candidate must 22 retake the written examination in its entirety.

23 24

b.

The medical data in support of NRC Form 396 remain acceptable for 6 months from the 25 date of the medical examination. For reapplications (e.g., following a license denial, an 26 application withdrawal, or a reinstatement request for a terminated license at the facility) 27 or for an examination that is delayed from its originally scheduled date, the NRC may 28 grant waivers extending this 6-month period, provided that the date of the medical 29 examination is within 24 months of the anticipated licensing date and that the 30 Comments section of NRC Form 398 certifies that the applicant has not developed any 31 physical or mental condition that would be reportable under 10 CFR 55.25. For renewal 32 and SRO-U applicants, the medical examination documented on NRC Form 396 is 33 normally good for 2 years from the date of the medical examination, provided that there 34 are no changes in medical status requiring documentation submission.

35 36

c.

The NRC staff will consider examination waivers for applicants with extensive actual 37 operating experience not currently holding a license depending on the justification 38 provided by the facility licensee pursuant to 10 CFR 55.47, Waiver of examination and 39 test requirements.

40 41

2. Nonroutine 42 43 For all other waiver/excusal requests, the CE will make the appropriate recommendations to the 44 NRC management. The NRC management will grant or deny the waiver/excusal request. NRC 45 management concurrence is not required for a waiver/excusal decision made by the CE in 46 accordance with Section D.1 of this standard.

47

ES 2.41 of 4 2.4 REVIEWING LICENSE RENEWAL APPLICATIONS 1

2 A. Purpose 3

4 This standard provides instructions for reviewing renewal license applications.

5 6

B. Timely Renewal 7

8 All operators must comply with the requirements of 10 CFR 55.57(a) to renew their license.

9 10 (1)

As stated in 10 CFR 55.55(b), If a licensee files an application for renewal or an 11 upgrade of an existing license on Form NRC-398 at least 30 days before the expiration 12 of the existing license, it does not expire until disposition of the application for renewal or 13 for an upgraded license has been finally determined by the Commission.

14 15 (2)

If a licensee is awaiting reexamination after failing an NRC-conducted requalification 16 examination, their license will be extended under the provisions of 10 CFR 55.55(b) until 17 the NRC makes a renewal decision.

18 19 (3)

If the renewal application is received less than 30 days before the date of license 20 expiration and too late for processing, under the provision of 10 CFR 55.55(a), the 21 license will expire on the expiration date.

22 23 C. Reviewing License Renewal Applications 24 25 (1)

The operator must submit NRC Form 398 and NRC Form 396 (computer-generated 26 duplicates are acceptable). The application is not complete until both forms are filled out, 27 signed by the appropriate personnel, and signed by the NRC.

28 29 Detailed instructions for completing NRC Form 398 and NRC Form 396 are provided 30 with the forms. Section D of this standard provides additional information.

31 32 (2)

Consistent with 10 CFR 55.21, Medical examination, the facility licensee must submit 33 an NRC Form 396 certifying that a physician has performed a medical examination. The 34 form must show that the physician performed the examination within the previous 35 2 years, and stipulate the guidance used to perform the examination 36 (e.g., ANSI/ANS-3.4, ANSI/ANS-15.4, etc.).

37 38 (3)

Under 10 CFR 55.31(b), the Commission may at any time after the application has been 39 filed, and before the license has expired, require further information under oath or 40 affirmation to enable it to determine whether to grant or deny the application or whether 41 to revoke, modify, or suspend the license. After reviewing the application, the CE may 42 ask the licensee or facility licensee to provide supplemental information. The CE may 43 deny an application if an applicant fails to respond to a request for additional information 44 within 30 days from the date of the request or within such other period as may be 45 specified. (Requirements concerning denials appear in 10 CFR 2.108, Denial of 46 application for failure to supply information, and 10 CFR 2.103(b).)

47 48 (4)

The CE will review the application and any additional information, process the medical 49 certification, and evaluate any waiver/excusal requests. The CE will approve the 50

ES 2.42 of 4 application and renew the license if they find that the conditions in 10 CFR 55.57(b) are 1

satisfied.

2 3

(5)

If the renewal applicant does not satisfy the requirements of 10 CFR 55.57, the CE shall 4

inform the applicant and the facility licensee of the deficiencies and request any 5

supplemental information that the staff might require to make a renewal decision. If, after 6

evaluating the supplemental information, the CE still concludes that the applicant does 7

not meet the requirements for license renewal, the responsible BC will issue, in 8

accordance with 10 CFR 2.103(b), a notice of denial of the application and inform the 9

applicant in writing of the right of the applicant to demand a hearing within 20 days from 10 the date of the notice or such longer period as may be specified in the notice. The BC 11 will also inform the applicant that they may request an NRC staff review of the denial.

12 ES 5.2 provides further information on this topic.

13 14 D. NRC Form 398 15 16 Applicants for operator license renewals must submit a personal qualification statement (NRC 17 Form 398). The form must be completely filled out per the instructions and signed by the 18 appropriate personnel. Those sections or items that are not applicable to operators of non-19 power reactors will be marked NA. Additional specific guidance for the NRC staffs review of 20 NRC Form 398 is as follows.

21 22 Current Position at Facility 23 24 Some items are not applicable to non-power reactors. Therefore, the other designation should 25 be used to describe facility staff positions (e.g., facility director, chief reactor supervisor, etc.).

26 27 Training 28 29 RequalificationThe use of continuous or a similar type of entry to describe the number of 30 weeks in this block is not sufficient. The actual number of weeks (condensed into one time 31 period) spent in requalification must be listed as described in the example below.

32 33 Each operator should enter the number of weeks spent on requalification training during 34 the 6-year license period. For example, if the operator spent 10 months of each year in 35 training with 2 hours2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months per week devoted to study, the condensed training would be 36 6 years x 42 weeks/year x 2 hour2.314815e-5 days 5.555556e-4 hours 3.306878e-6 weeks 7.61e-7 months s/week = 504 hours0.00583 days 0.14 hours 8.333333e-4 weeks 1.91772e-4 months . Divided by 40 hour4.62963e-4 days 0.0111 hours 6.613757e-5 weeks 1.522e-5 months s/week, this is 37 approximately 13 weeks. Numbers do not need to be precise but should be representative.

38 39 ANSI/ANS-15.4 contains additional guidance on training criteria.

40 41 Significant Control Manipulations 42 43 Not required to be documented for license renewal.

44 45 Experience 46 47 Not required to be documented for license renewal.

48 49

ES 2.43 of 4 For Renewals Only 1

2 Enter the approximate hours that the operator operated the facility.

3 4

Include the date and result of the most recent facility requalification examination.

5 6

Signatures 7

8 The operators signature must appear on the application.

9 10 Check the applicable box for the type of application, then have the facility licensee training 11 coordinator and highest level of management responsible for facility licensee operations sign 12 the application. This is normally the facility director or equivalent position; higher authority is not 13 needed. If the facility director is also the training coordinator, then they must sign in both places.

14 15 E. Procedure for Denying an Application for License Renewal 16 17 Upon receipt of a renewal application, the NRC may take the following actions, as appropriate:

18 19 (1)

Under 10 CFR 55.31(b), the Commission may at any time after the application has been 20 filed, and before the license has expired, require further information under oath or 21 affirmation to enable it to determine whether to grant or deny the application or whether 22 to revoke, modify, or suspend the license. After reviewing the application, the NRC may 23 ask the licensee or facility licensee to provide supplemental information. The NRC may 24 deny an application if an applicant fails to respond to a request for additional 25 information within 30 days from the date of the request or within such other period as 26 may be specified. (Requirements concerning denials appear in 10 CFR 2.108 27 and 10 CFR 2.103(b).)

28 29 (2)

The NRC will approve the application and issue the license renewal if it finds that the 30 applicant satisfies the requirements of 10 CFR 55.57(b). The operator does not have to 31 operate the facility for any minimum number of hours to qualify for license renewal 32 (i.e., inactive licenses are also renewable).

33 34 (3)

If the renewal applicant does not satisfy the requirements of 10 CFR 55.57, the NRC 35 shall inform the applicant and the facility licensee of the deficiencies and request any 36 supplemental information that it might require to make a renewal decision. If, after 37 evaluating the supplemental information, the NRC still concludes that the applicant does 38 not meet the requirements for license renewal, the responsible BC will issue, in 39 accordance with 10 CFR 2.103(b), a notice of denial of the application and inform the 40 applicant in writing of the right of the applicant to demand a hearing within 20 days from 41 the date of the notice or such longer period as may be specified in the notice. The BC 42 will also inform the applicant that they may request an NRC staff review of the denial.

43 ES 5.2 provides further information on this topic.

44 45 The applicant may file a demand for a hearing following the denial of their license renewal 46 application. A demand for a hearing shall be filed in accordance with 10 CFR Part 2, which is 47 accessible electronically from the NRCs website at https://www.nrc.gov/reading-rm/doc-48 collections/cfr/. Generally, a demand for a hearing should explain why the applicant believes 49 that the NRCs denial of their application was in error and why the applicant believes that they 50 have, in fact, satisfied the requirements for license renewal. A demand for a hearing must be 51

ES 2.44 of 4 filed in accordance with the NRCs E-Filing Rule. The NRC has published detailed guidance on 1

making electronic submissions on the agencys website at https://www.nrc.gov/site-help/e-2 submittals/contact-us-eie.html. The applicant may also file a request for an NRC staff review.

3 For more information with respect to demands for hearing and requests for NRC staff review, 4

see ES 5.2.

5 6

F. Procedure for Overturning Renewal Denials 7

8 If an NRC staff review or a hearing results in changes such that all the requirements of 10 CFR 9

55.57 are satisfied, then the license will be renewed. The licensee may perform activities 10 authorized by the renewed license upon meeting the requirements of 10 CFR 55.53(e) and 10 11 CFR 55.59. Upon the completion of an NRC staff review, the applicant may file a demand for a 12 hearing. Upon the completion of an NRC staff review with no demand for a hearing or upon the 13 completion of a hearing, and where all the requirements of 10 CFR 55.57 are not satisfied, the 14 NRCs denial of the application has been finally determined pursuant to 10 CFR 55.55(b) and 15 the license expires.

16 17 G. Notes 18 19 (1)

A notice of denial must be signed by the NRC management (BC or higher). In the case 20 of a request for NRC staff review or a demand for a hearing, a copy of the divisions 21 correspondence will be distributed to the BC for tracking purposes and to provide 22 substantive information supporting the decision.

23 24 (2)

The NRC will provide copies of all correspondence related to this process to the facility 25 licensees representative authorized to sign the renewal application.

26 27 (3)

The NRC should send all correspondence related to this process to the applicant by 28 certified mail with return receipt requested.

29 30 (4)

Asking the facility licensee to reassess its need for the operator to perform assigned 31 duties is inappropriate while conducting an NRC staff review or a hearing.

32 33 (5)

Requests for NRC staff review must (a) list the items for which additional review is being 34 requested and (b) include documentation supporting the contentions made by the 35 applicant. The package containing the supporting documentation for the review and the 36 review request must be mailed or delivered to the applicable division director within 37 20 days of the date of the notification of denial. The division staff should complete the 38 review within 45 days of receiving the package. The staff will review requests using the 39 guidance in ES 5.2.

40

ES 3.11 of 19 3.0 OPERATING TESTS 1

3.1 PREPARATION OF OPERATING TESTS 2

3 A. Purpose 4

5 As required by 10 CFR Part 55, all applicants for an RO or SRO license must take an operating 6

test, unless it has been waived or excused under either 10 CFR 55.35 or 10 CFR 55.47 (refer to 7

ES 2.3). The specific content of the operating test will depend on the type of license and the 8

type of facility for which the applicant has applied. This standard describes the procedure for 9

developing operating tests according to the requirements of 10 CFR 55.45.

10 11 B. Definitions 12 13 Applicant: An individual who has submitted an NRC Form 398 in pursuit of an operator 14 license. For the purposes of this and other examination standards, it is synonymous with 15 candidate. See the individual license level definitions in ES 2.2.

16 17 Section: A major subdivision of related subjects on the operating test.

18 19 Operating test: The portion of the operator licensing examination based on direct 20 interaction between an examiner and an applicant. It tests the applicants knowledge of 21 the design and operation of the reactor.

22 23 Scenario: An integrated group of events composing a set of facility malfunctions and 24 evolutions performed or discussed using the reactor.

25 26 C. Regulatory Basis 27 28 The operating test requires the applicant to show an understanding of and the ability to perform 29 the actions necessary to accomplish a representative sample from among the following 13 items 30 identified in 10 CFR 55.45(a):

31 32 (1)

Perform pre-startup procedures for the facility, including operating of 33 those controls associated with facility equipment that could affect 34 reactivity.

35 36 (2)

Manipulate the console controls as required to operate the facility 37 between shutdown and designated power levels.

38 39 (3)

Identify annunciators and condition-indicating signals and perform 40 appropriate remedial actions, where appropriate.

41 42 (4)

Identify the instrumentation systems and the significance of facility 43 instrument readings.

44 45 (5)

Observe and safely control the operating behavior characteristics of the 46 facility.

47 48

ES 3.12 of 19 (6)

Perform control manipulations required to obtain desired operating results 1

during normal, abnormal, and emergency situations.

2 3

(7)

Safely operate the facilitys heat removal systems, including primary 4

coolant, emergency coolant, and decay heat removal systems, and 5

identify the relations of the proper operation of these systems to the 6

operation of the facility.

7 8

(8)

Safely operate the facilitys auxiliary and emergency systems, including 9

operation of those controls associated with reactor equipment that could 10 affect reactivity or the release of radioactive materials to the environment.

11 12 (9)

Demonstrate or describe the use and function of the facilitys radiation 13 monitoring systems, including fixed radiation monitors and alarms, 14 portable survey instruments, and personnel monitoring equipment.

15 16 (10)

Demonstrate knowledge of significant radiation hazards, including 17 permissible levels in excess of those authorized, and ability to perform 18 other procedures to reduce excessive levels of radiation and to guard 19 against personnel exposure.

20 21 (11)

Demonstrate knowledge of the emergency plan for the facility, including, 22 as appropriate, the operators or senior operators responsibility to decide 23 whether the plan should be executed and the duties under the plan 24 assigned.

25 26 (12)

Demonstrate the knowledge and ability as appropriate to the assigned 27 position to assume the responsibilities associated with the safe operation 28 of the facility.

29 30 (13)

Demonstrate the applicants ability to function within the control room 31 team as appropriate to the assigned position, in such a way that the 32 facility licensees procedures are adhered to and that the limitations in its 33 license and amendments are not violated.

34 35 D. Level of ExaminationFacility Type 36 37 Non-power reactors vary widely in their complexity. To account for this, examinations are 38 developed using a graded approach. Non-power reactors have been classified into three levels 39 of complexity: Complex, Moderate, and Simple. Complex facilities are those licensed to operate 40 at 500 kilowatts or greater. Simple facilities are AGN-200 series reactors, and Moderate facilities 41 are all other non-power reactors. Attachment 2, Facility Listing by Type, to this standard is a 42 table listing non-power reactors by type and it is current as of the date of issuance of this 43 NUREG.

44 45 The following guidelines may be helpful in differentiating between operating test levels for the 46 three levels of non-power reactor complexity.

47 48 All operating tests will contain three categoriesCategory A (Administrative Topics),

49 Category B (Facility Walkthrough), and Category C (Integrated Facility Operations). However, 50

ES 3.13 of 19 the requirement for the minimum number of systems tested in Category C is facility-level 1

dependent, as follows:

2 3

Complex: A minimum of nine systems are tested covering as many of the six areas as 4

applicable.

5 6

Moderate: A minimum of six systems are tested covering as many of the six areas as 7

applicable.

8 9

Simple: A minimum of three systems are tested covering as many of the six areas as 10 applicable.

11 12 E. Level of ExaminationLicense Type 13 14 The license for which the applicant applies also dictates the depth and scope of operating tests.

15 In addition to the knowledge, skills, and abilities monitored for RO applicants, the NRC examiner 16 must evaluate SRO applicants on additional knowledge, skills, and abilities, such as their ability 17 to evaluate facility conditions during abnormal and emergency conditions and to direct others, 18 both reactor staff and outside support agencies, in recovery operations. All SRO applicants will 19 be examined for the highest on-shift position (e.g., shift supervisor).

20 21 The examiners review of the reference material may supply some guidance for developing an 22 operating test that is in concert with the assignment of duties and responsibilities at that non-23 power reactors.

24 25 The following guidelines may be used to help differentiate between RO and SRO operating 26 tests:

27 28 (1)

SROs must have a broader, more thorough knowledge of facility administrative controls, 29 including limitations imposed by regulations and limitations stated in the technical 30 specifications, along with their bases.

31 32 (2)

SROs are often assigned comprehensive actions during emergencies and abnormal 33 conditions and should display knowledge of these assignments. If the facilitys 34 procedures allow for the SRO to be on call, then the RO should display this knowledge.

35 36 (3)

SROs are often assigned responsibilities for auxiliary systems outside the control room 37 that are not normally operated by licensed operators. A common example is the waste 38 disposal and handling system for which the licensed operators responsibility ends when 39 the fluid passes the last instrument that has console display. However, the SRO is often 40 responsible for ensuring that facility limits for maximum permissible concentration, 41 effluent release rates, and other aspects are not exceeded.

42 43 The SRO-I operating test is the most comprehensive because the applicant must be 44 evaluated for both RO and SRO levels of responsibility. The examiner must be assured 45 that the applicant has the necessary skills and abilities as an RO and has the required 46 knowledge and supervisory capabilities to function as an SRO.

47

ES 3.14 of 19 1

F. Source Material 2

3 The content of the operating test will be based on licensed RO or SRO duties as described in 4

the non-power reactors safety analysis report, system description manuals, operating 5

procedures, license and license amendments, licensee event reports, and other materials 6

received from the facility licensee. (NOTE: This is the material requested from the facility 7

licensee in the preexamination letter described in ES 2.1.) In addition, the operating test may 8

contain RO and SRO duties described in 10 CFR Part 50 and 10 CFR Part 55.

9 10 G. Requirements 11 12 The operating test is divided into three major categoriesCategory A (Administrative Topics),

13 Category B (Facility Walkthrough), and Category C (Integrated Facility Operations).

14 15 When preparing operating tests, the examiner should pre-script questions to the maximum 16 extent possible. There will be some questions for which the answer will not be known until the 17 examiner is on site (especially for modified systems and procedures). In addition, any questions 18 asked to follow up on perceived applicant weaknesses must be documented for subsequent 19 review and grading purposes. The examiner must remember to document the safety 20 significance of the weakness.

21 22

1. Category A 23 24 Category A covers topics associated with the administrative control of the facility, which are 25 divided into three subcategories. The examiner should cover all topics and all subcategories as 26 applicable to the non-power reactors. The preparation and administration of Category A 27 questions will be basically the same at all three types of non-power reactors.

28 29 In developing Category A questions, the examiner may use previously developed questions 30 from either an NRC or facility examination bank or may develop new open-reference questions.

31 In either case, the questions asked should be pre-scripted to the maximum extent possible. Any 32 questions asked to follow up on perceived applicant weaknesses must be documented for 33 subsequent review and grading purposes.

34 35 The following descriptions should be used as guidelines for developing or selecting questions to 36 ascertain or confirm minimal applicant competency within each subcategory:

37 38

a. Subcategory A.1 39 40 Subcategory A.1 evaluates the applicants knowledge of the administrative requirements 41 associated with the operation of the facility. For example, information dissemination questions 42 may be asked within the framework of conducting a shift turnover or integrated into other 43 discussions as they apply throughout the operating test.

44 45

b. Subcategory A.2 46 47 Subcategory A.2 addresses radiation protection, a subject area in which there is significant 48 deviation between the knowledge expected of an RO and of an SRO. RO responsibilities 49 generally entail knowledge associated with radiation worker responsibilities and operation of 50 facility systems associated with liquid and gaseous waste releases. SROs, however, are also 51

ES 3.15 of 19 involved in the approval of release permits and should be aware of the requirements associated 1

with those releases and their potential effect on the health and safety of the public. A discussion 2

or simulated performance of a planned release may be used when examining these topics.

3 4

If possible, the examiner should enter a radiologically controlled area during the facility 5

walkthrough. This offers an excellent opportunity to discuss most of the radiological control 6

subjects in Subcategory A.2. A task with follow-up questions is also an appropriate method for 7

evaluating this subcategory.

8 9

c. Subcategory A.3 10 11 In Subcategory A.3 there are significant differences between the knowledge required of ROs 12 and of SROs for all three topicsthe emergency plan, fuel handling, and the security plan. For 13 the emergency plan, ROs typically only have to be able to implement the facility emergency plan 14 implementing procedures (EPIPs). A basic familiarity with the plan and their responsibilities is 15 appropriate for the RO applicant.

16 17 SROs must display knowledge based on their responsibility to direct and manage the 18 implementation of the EPIP during the initial phases of an emergency. SROs must be familiar 19 with event classification procedures and communication requirements and methods and have a 20 more detailed overall understanding of the EPIP. These requirements also apply to an RO if the 21 facilitys procedures assign the RO as acting emergency director in the absence of the SRO.

22 23 Fuel handling should be covered in the fuel-handling areas of the facility. The knowledge and 24 skills should be appropriate to the facility-specific requirements for the applicants license level.

25 Examiner guidance is best found in the facilitys procedures associated with fuel-handling 26 operations.

27 28 The RO should be aware of their duties in the control room during fuel handling (i.e., alarms 29 from the fuel-handling area, communication with the fuel storage facility, systems operated from 30 the control room in support of fueling operations, and supporting instrumentation). For the SRO, 31 this subject should cover information such as the delivery of new fuel, moving new or spent fuel, 32 the storage of new or spent fuel, the design of the fuel-handling area, tools used, and casualty 33 operations.

34 35 An RO applicant may be evaluated on security by observing their behavior during the 36 examination. An SRO applicant should be questioned on applicable aspects of the facilitys 37 security plan.

38 39

2. Category B 40 41 Category B tests the applicants knowledge of system design and operation. The examiner will 42 evaluate the applicants ability to perform tasks and to answer questions on specific systems.

43 44, Systems for Operating Tests, to this standard lists examples of systems 45 typically found at non-power reactors. Note that attachment 1 may not be all inclusive. The 46 examiner should select systems from this list as appropriate for the specific non-power reactors.

47 If an examination is administered over the course of 2 or more days, the examiner should vary 48 coverage of systems and subjects across test administrations to enhance test integrity.

49 50

ES 3.16 of 19 For Complex facilities, the examiner should evaluate RO and SRO-I applicants on at least nine 1

systems from all applicable categories listed in Attachment 1. For Moderate facilities, the 2

examiner should evaluate RO and SRO-I applicants on at least six systems from all applicable 3

categories listed in Attachment 1. For SRO-U applicants from all facilities and RO and SRO-I 4

applicants from Simple facilities, the examiner should evaluate each applicant on at least three 5

systems from at least three different categories listed in Attachment 1. For all SRO applicants, 6

the examiner will include questions, one task evaluating the applicants ability to carry out 7

actions required during an emergency or abnormal condition, or both.

8 9

Tasks and pre-scripted questions may be selected from existing facility examination banks, if 10 available. The examiner may choose to annotate procedures with clarifying comments on how 11 to execute particular steps, as well as identifying critical steps. Critical steps are those steps that 12 when not performed correctly, in the proper sequence, or at the proper time, will prevent the 13 system from functioning properly or preclude successful completion of the task. To evaluate a 14 subject area satisfactorily, the examiner will ask enough questions to determine the applicants 15 knowledge.

16 17 When using the facilitys examination bank, the examiner may use no more than 10 percent of 18 the questions associated with the particular system being evaluated. If the examiner determines 19 that additional questions must be asked to clarify the observed performance, the question and 20 the response must be fully documented to allow for postexamination review.

21 22

3. Category C 23 24 Category C covers integrated facility operations through the use of scenarios. Scenarios must 25 be prepared in advance to ensure a proper balance of events and sufficient basis to evaluate 26 operator competency in all required knowledge and abilities (K/As). The examiner must ensure 27 that the scenarios adequately cover the following integrated facility operations test 28 requirements:

29 30 (1)

Each scenario must require the applicant to operate during normal and reactivity 31 evolutions, instrument failures, component failures, and major facility transients. The 32 table below specifies the minimum requirements for the type and number of events for a 33 scenario set.

34 35 (2)

In addition to the events, there is a requirement to examine individual competencies for 36 the RO and SRO license levels. Form ES-3.1-1, Research Reactor and Test Reactor 37 Operator Licensing Individual Examination Report, describes these competencies in 38 detail.

39 40 For clarity, these two major requirements are discussed separately, although they are used 41 integrally during scenario development, administration, and grading.

42 43

a. Transients and Events 44 45 A scenario is a set of events designed to cover a combination of the six different types of facility 46 evolutions, equipment failures, and facility transients discussed below (meeting the 47 requirements of the table at the end of this section).

48 49

ES 3.17 of 19 (1)

Normal evolutions: Examples include system lineups, pre-startup checkouts, shifting 1

rod control mode between automatic and manual, and critical checks (e.g., excess 2

reactivity measurements).

3 4

(2)

Reactivity evolutions: Examples include reactor startup, power maneuvering, 5

experiment manipulation, and pulsing operations.

6 7

(3)

Instrument failures: These include failures of nuclear, control, process, and radiation 8

detection instrumentation.

9 10 (4)

Component failures: These include failures of significant reactor equipment or 11 components that cause significant system response and require operator action to 12 correct. Examples of component failures are control rod failure (stuck or dropped), pump 13 failure, and piping failure.

14 15 (5)

Major transients: These include facility transients that lead to an automatic protective 16 action. Examples are reactor trip/scram or engineered safety system actuation.

17 18 (6)

Major transients (with entry into emergency plan): These include transients that lead 19 to automatic protective actions such as a reactor trip/scram or an engineered safety 20 system actuation with subsequent entry implementation of the facility emergency plan or 21 EPIPs.

22 23 As required by 10 CFR 55.45(a)(2), all RO and SRO-I applicants must perform a reactor startup.

24 The startup should include performance or discussion of pre-startup checks (which provide a 25 good opportunity for systems-related discussions), startup of the facility to a critical condition, 26 ascension to a typically maintained power level, and placing control of the reactor in automatic 27 (if available). After completion of the startup, control of the reactor may be turned over to a 28 licensed operator. In the extraordinary situation in which a system failure occurs after the 29 examiners arrive on site and precludes reactor startup, examinations should be rescheduled to 30 a period when the reactor is available for this evolution.

31 32 RO applicants are required to operate the reactor during at least one normal evolution and one 33 reactivity evolution and to react to at least one instrument failure, one component failure, and 34 one major transient (actual or simulated).

35 36 Scenarios for SRO-I applicants will include all event types tested for an RO applicant plus an 37 additional major transient tailored to SRO supervisory skills and knowledge of the facility 38 emergency plan. SRO-I applicants will be evaluated for both operational and supervisory K/As.

39 40 SRO-U applicants will be given credit for having an RO license and will normally not be required 41 to manipulate the controls or be evaluated during a reactivity evolution. However, if the 42 examiner detects weaknesses during the test, additional scenarios, including a startup, may be 43 used to observe and evaluate the applicants ability to manipulate the controls. Also, the SRO-U 44 applicant will be tested on only one major transient tailored to SRO supervisory skills and 45 knowledge of the facility emergency plan. The SRO-U will be evaluated primarily for supervisory 46 K/As.

47 48 These minimum requirements for scenario events are intended to ensure that a range of events 49 and evolutions is exercised in each Category C of the operating test. Scenarios should be 50 developed such that a variety of systems are affected within each type of event (i.e., normal 51

ES 3.18 of 19 evolutions, instrument failures, component failures, and major transients). The severity of events 1

and the demands they place on the applicants should be balanced to allow each applicant to 2

show competency across a range of conditions.

3 4

Applicant RO SRO-I SRO-U Normal Evolution 11 11 0

Reactivity Evolution 11 11 0

Instrument Failure 12 13 14 Component Failure 12 13 14 Major Transient 12 13 0

Major Transient (implementation of emergency plan) 0 13 14 1

Normal and reactivity evolutions may be combined for RO and SRO-I candidates.

5 2

Either instrument failure or component failure may be combined with a major transient for RO candidates.

6 3

Either instrument failure or component failure may be combined with either a major transient or major transient 7

(implementation of emergency plan) for SRO-I candidates; however, the major transient and major transient 8

(implementation of emergency plan) may not be combined.

9 4

Either instrument failure or component failure may be combined with a major transient (implementation of 10 emergency plan) for SRO-U candidates.

11 12

b. Scenario Development Guidelines 13 14 To achieve the maximum benefit of using the non-power reactors for evaluation, the following 15 guidelines are recommended in preparing scenarios:

16 17 Normal evolutions can be used as a backdrop on which to stage the emergency or 18 abnormal situations. For example, an examiner may provide verbal cues that the reactor 19 period indication is not responding to a normal power change.

20 21 Selected short surveillances may be used to examine the applicants manipulation of 22 controls (e.g., exercising safety rods) and should be combined with other activities, such 23 as a reactor startup.

24 25 The interactions of systems and components can be used to evaluate an operators 26 knowledge by having one failure cause or exacerbate another failure. Within each 27 scenario, the events should be selected such that successive equipment failures lead to 28 a gradual and logical deterioration in facility status; a series of unrelated and isolated 29 events should be avoided. Avoid having one failure fully mask the symptoms of another 30 failure because this can cause a scenario to be deficient in covering the required types 31 of evolutions. The scenarios should incorporate facility-specific and generic industry 32 operating experience.

33 34 H. Attachments/Forms 35 36 Form ES-3.1-1, Research and Test Reactor Operator Licensing Individual Examination Report 37, Systems for Operating Tests 38, Facility Listing by Type 39, Example Areas of Discussion for Category A: Administrative Topics 40, Example Areas of Discussion for Category B: Facility Walkthrough 41

ES 3.19 of 19 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

NRC FORM ES-3.1-1 Page 1 of 6 RESEARCH AND TEST REACTOR OPERATOR LICENSING INDIVIDUAL EXAMINATION REPORT CANDIDATE NAME:

CANDIDATE DOCKET NUMBER:

FACILITY NAME:

FACILITY COMPLEXITY:

INITIAL EXAMINATION RETAKE EXAMINATION REACTOR OPERATOR REACTOR OPERATOR SENIOR OPERATOR (INSTANT)

SENIOR OPERATOR (INSTANT)

SENIOR OPERATOR (UPGRADE)

WRITTEN EXAMINATION

SUMMARY

PREPARED BY:

DATE ADMINISTERED:

GRADED BY:

CATEGORY A SCORE CATEGORY B SCORE CATEGORY C SCORE OVERALL SCORE OPERATING TEST

SUMMARY

ADMINISTERED BY:

DATE:

CATEGORY A SCORE CATEGORY B SCORE CATEGORY C SCORE OVERALL SCORE GRADING RESULTS PASS FAIL WAIVE/EXCUSE WRITTEN EXAMINATION GRADER:

DATE:

OPERATING TEST GRADER:

DATE:

POSTEXAMINATION PEER REVIEWER GRADER:

DATE:

CHIEF EXAMINER RECOMMENDATION CHIEF EXAMINER:

DATE:

LICENSE RECOMMENDATION BRANCH CHIEF:

DATE:

ISSUE LICENSE DENY LICENSE PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 2

ES 3.110 of 19 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

NRC FORM ES-3.1-1 PAGE 2 of 6 RESEARCH AND TEST REACTOR OPERATOR LICENSING INDIVIDUAL EXAMINATION REPORT FACILITY NAME:

CANDIDATE DOCKET NUMBER:

Operating Test Category A: ADMINISTRATIVE TOPICS SUBJECT AREA Individual Evaluation

1. Support and Conduct of Operations

a. Modifications to Procedures and Equipment (e.g., 10 CFR 50.59 and facility procedures/forms)

b. Surveillance Testing and Corrective Maintenance Requirements (e.g., ability to isolate equipment and components (tagouts, equipment lockouts), surveillance procedures, and official form location)

c. Information Dissemination (e.g., night orders, shift turnover logs, status boards)

d. Startup Requirements (e.g., pre-startup procedures/forms, technical specifications, required equipment)

e. Operational Limits and Requirements (e.g., safety limit (SL), limiting safety system setting (LSSS),

limiting conditions for operation (LCO), shift turnover process)

2. Radiation Health Physics

a. Radiation Sources and Hazards (e.g., N16, Ar41, H3, Na24, open beam ports, sample removal, pneumatic tubes)

b. Portable Radiation Monitoring Equipment (e.g., Geiger-Müller tubes, ion chambers, scintillation detectors, pocket dosimeters)

c. Exposure Limits and Control (e.g., 10 CFR Part 20 limits, local facility limits, deep dose vs shallow dose, annual limits on intake)

d. Radiation Work Permits/Release of Radioactive Materials (including waste)

3. Implementation of NRC-Required Procedures

a. Security (at the proper level (RO/SRO/management))

b. Fuel Handling (e.g., 10 CFR Part 55, technical specifications, procedures)

c. Emergency Plan (e.g., classifications, responsibilities, implementing procedures)

PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 2

ES 3.111 of 19 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

NRC FORM ES-3.1-1 Page 3 of 6 RESEARCH AND TEST REACTOR OPERATOR LICENSING INDIVIDUAL EXAMINATION REPORT FACILITY NAME:

CANDIDATE DOCKET NUMBER:

Operating Test CATEGORY B: FACILITY WALKTHROUGH SYSTEM/TASK TITLE1 SYSTEM TYPE1 GRADE Comment Page

1.

MAJ

2.

EXP

3.

ESF

4.

INST

5.

RDS

6.

AUX2

7.

8.

9.

10.

2 1

For all RO and SRO-I candidates: Test the minimum number of systems for the reactor type from as many 3

different areas as possible. Complex facilities: minimum of nine systems; Moderate facilities: minimum of 4

six systems; Simple facilities: minimum of three systems. For SRO-U candidates at ALL reactor types: Test a 5

minimum of three systems from as many different areas as applicable.

6 2

For many Moderate and for all Simple facilities, there are no applicable systems within this area.

7 8

PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 9

ES 3.112 of 19 1

PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 2

NRC FORM ES-3.1-1 Page 4 of 6 RESEARCH AND TEST REACTOR OPERATOR LICENSING INDIVIDUAL EXAMINATION REPORT FACILITY NAME:

CANDIDATE DOCKET NUMBER:

Operating Test CATEGORY C: INTEGRATED FACILITY OPERATIONS INITIAL CONDITIONS:

TURN OVER:

EVENT NUMBER PERFORM/

DISCUSS EVOLUTION TYPE 1

2 3

4 5

6 7

8 9

PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 3

ES 3.113 of 19 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

NRC FORM ES-3.1-1 Page 5 of 6 RESEARCH AND TEST REACTOR OPERATOR LICENSING INDIVIDUAL EXAMINATION REPORT FACILITY NAME:

CANDIDATE DOCKET NUMBER:

OPERATING TEST OUTLINE AND GRADING CATEGORY C: INTEGRATED FACILITY OPERATIONS COMPETENCY GRADING CHECK SHEET

1. Identification of Cues, Alarms, Annunciators, and Trends WEIGHT 3.0 2.0 1.0 ACTUAL

a.

Recognize & Acknowledge 0.30 0.90 0.60 0.30

b.

Locate, Interpret, & Verify Status 0.40 1.20 0.80 0.40

c.

Prioritize Problems 0.30 0.90 0.60 0.30 INDIVIDUAL COMPETENCY GRADE

2. Diagnosis of and Response to Conditions WEIGHT 3.0 2.0 1.0 ACTUAL

a.

Diagnose Conditions 0.40 1.20 0.80 0.20

b.

Report Conditions 0.20 0.60 0.40 0.40

c.

Effect of Actions 0.40 1.20 0.80 0.20 INDIVIDUAL COMPETENCY GRADE

3. Procedures and Technical Specifications WEIGHT 3.0 2.0 1.0 ACTUAL

a.

Recognize Entry Conditions 0.40 1.20 0.80 0.40

b.

Compliance 0.30 0.90 0.60 0.30

c.

Reference 0.30 0.90 0.60 0.30 INDIVIDUAL COMPETENCY GRADE

4. Control Board Basics WEIGHT 3.0 2.0 1.0 ACTUAL

a.

Locate and Manipulate Controls 0.33 1.00 0.67 0.33

b.

Understanding 0.33 1.00 0.67 0.33

c.

Manual Control 0.33 1.00 0.67 0.33 INDIVIDUAL COMPETENCY GRADE PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 2

ES 3.114 of 19 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

NRC FORM ES-3.1-1 Page 6 of 6 RESEARCH AND TEST REACTOR OPERATOR LICENSING INDIVIDUAL EXAMINATION REPORT FACILITY NAME:

CANDIDATE DOCKET NUMBER:

OPERATING TEST OUTLINE AND GRADING COMMENT PAGE SUBJECT INDEX COMMENT PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 2

ES 3.115 of 19 ATTACHMENT 1 1

SYSTEMS FOR OPERATING TESTS 2

3 MAJOR SYSTEMS (MAJ)

Primary System Secondary System Makeup Water System/Purification System Pool System(s)

Reactor Design/Construction Neutron Source EXPERIMENTAL FACILITIES (EXP)

Beam Tube In-Core Irradiation Pneumatic Tube System In-Pool Irradiation Facilities Lazy Susan Thermal Column Medical Exposure Facilities Exposure Rooms Hydraulic Tube System INSTRUMENTATION SYSTEMS (INST)

Startup Channel (Proportional Counters)

Log-N Channel (Compensated Ion Chambers)

Safety Channel(s) (Uncompensated Ion Chambers)

N16 Detectors Temperature Detectors (Resistance Temperature Device, Thermocouples)

Flow Detectors (Orifices, Change in Pressure Cells)

Control/Safety Rod Drive Systems Annunciator Systems Rod Position Indicating Systems Automatic Rod Positioning Systems Reactor Protective System RADIATION DETECTION SYSTEMS (RDS)

Area Radiation Monitoring Gaseous Radiation Monitoring Air Particulate Radiation Monitoring Liquid Effluent Radiation Monitoring Fission Product Monitoring Portable Monitors (Ion Chambers and Geiger-Müller Tubes)

ENGINEERED SAFETY FEATURES (ESF)

Core Spray Pool Makeup/Fill Systems Containment/Reactor Building Isolation Anti-Siphoning System AUXILIARY SYSTEMS (AUX)1 Service Air Reactor Building Air Recirculation Liquid Waste System Solid Waste System Gaseous Waste System Normal Alternating Current (AC) Supply Emergency AC Emergency Direct Current (DC)

Batteries Motor Generators Power Inverters Diesels/Gas Engines 1 For many Moderate and for all Simple facilities, there are no applicable systems within this area.

4

ES 3.116 of 19 ATTACHMENT 2 1

FACILITY LISTING BY TYPE 2

3 COMPLEX

1.

National Institute of Standards and Technology (NIST), 50-184 (TEST)

2.

University of Missouri - Columbia, 50-186 (TANK)

3.

Massachusetts Institute of Technology,50-020 (TANK)

4.

Rhode Island Atomic Energy Commission, 50-193 (POOL)

5.

University of California - Davis, McClellan Nuclear Research Center, 50-607 (TRIGA)

6.

University of Texas, 50-602 (TRIGA)

7.

Armed Forces Radiobiology Research Institute, 50-170 (TRIGA)

8.

Oregon State University, 50-243 (TRIGA)

9.

Texas A&M University, 50-128 (TRIGA)

10.

United States Geological Survey (USGS),

Department of the Interior, 50-274 (TRIGA)

11.

Pennsylvania State University, 50-5 (TRIGA)

12.

University of Wisconsin, 50-156 (TRIGA)

13.

Washington State University, 50-27 (TRIGA)

14.

University of Massachusetts - Lowell, 50-223 (POOL)

16.

North Carolina State University, 50-297 (PULSTAR)

MODERATE

1.

Dow Chemical Company, 50-264 (TRIGA)

2.

Kansas State University, 50-188 (TRIGA)

3.

Reed College, 50-288 (TRIGA)

4.

University of California - Irvine, 50-326 (TRIGA)

5.

University of Maryland, 50-166 (TRIGA)

6.

University of Missouri - Rolla, 50-123 (POOL)

7.

Rensselaer Polytechnic Institute, 50-225 (Cr. Ex.)

8.

University of Florida, 50-83 (ARGONAUT)

9.

University of Utah, 50-407 (TRIGA)

10.

Ohio State University, 50-150 (POOL)

11.

Purdue University, 50-182 (LOCKHEED)

SIMPLE

1.

Idaho State University, 50-284 (AGN-201)

2.

Texas A&M University, 50-59 (AGN-201)

3.

University of New Mexico, 50-252 (AGN-201)

This listing is current as of the date of issuance of this NUREG.

4

ES 3.117 of 19 1

ATTACHMENT 3 2

EXAMPLE AREAS OF DISCUSSION FOR CATEGORY A: ADMINISTRATIVE 3

TOPICS 4

5 Interpret and execute procedure steps.

6 7

Knowledge of the process for making design or operating changes to the facility. (SRO) 8 9

Knowledge of the process for changing procedures.

10 11 Knowledge of required level of authorization or approval before use of procedures with minor changes 12 (typos), significant changes, and temporary procedures.

13 14 Knowledge of how Title 10 of the Code of Federal Regulations (10 CFR) 50.59, Changes, tests, and 15 experiments, is integrated into the process. (SRO) 16 17 Knowledge of surveillance procedures.

18 19 Knowledge of tagging and clearance procedures.

20 21 Knowledge of pre-and post-maintenance operability requirements. (SRO) 22 23 Ability to determine operability and availability of safety-related equipment. (SRO) 24 25 Knowledge of shift or short-term relief turnover practices.

26 27 Knowledge of individual licensed operator responsibilities related to shift staffing, such as medical 28 requirements, no-solo operation, maintenance of active license status, 10 CFR Part 55, etc.

29 30 Ability to use procedures related to shift staffing, such as minimum crew complement, overtime 31 limitations, etc.

32 33 Knowledge of administrative requirements for temporary management directives, such as standing 34 orders, night orders, operations memos, etc.

35 36 Ability to make accurate, clear, and concise verbal reports.

37 38 Ability to make accurate, clear, and concise logs, records, status boards, and reports.

39 40 Knowledge of conduct of operations requirements.

41 42 Knowledge of criteria or conditions that require facility wide announcements, such as pump starts, reactor 43 trips, mode changes, etc.

44 45 Ability to interpret reference materials, such as graphs, curves, tables, etc.

46 47 Ability to explain and apply system limits and precautions.

48 49 Knowledge of limiting conditions for operation and safety limits.

50 51 Knowledge of the bases in technical specifications for limiting conditions for operation and safety limits.

52 53 Knowledge of conditions and limitations in the facility license.

54 55 Ability to apply technical specifications for a system.

56 57 Ability to recognize system parameters that are entry-level conditions for technical specifications.

58

ES 3.118 of 19 ATTACHMENT 4 1

EXAMPLE AREAS OF DISCUSSION FOR CATEGORY B: FACILITY 2

WALKTHROUGH 3

4 All knowledge is considered to be at the reactor operator (RO) level:

5 6

Ability to evaluate reactor performance and make operational judgments based on operating 7

characteristics, reactor behavior, and instrument interpretation.

8 9

Knowledge of criteria or conditions that require facility wide announcements, such as pump starts, reactor 10 trips, mode changes, etc.

11 12 Ability to interpret reference materials, such as graphs, curves, tables, etc.

13 14 Knowledge of system purpose and function.

15 16 Knowledge of the purpose and function of major system components and controls.

17 18 Ability to locate and operate components, including local controls.

19 20 Ability to explain and apply system limits and precautions.

21 22 Knowledge of procedures and limitations involved in core alterations.

23 24 Knowledge of the refueling process.

25 26 Knowledge of RO duties in the control room during fuel handling such as responding to alarms from the 27 fuel-handling area, communication with the fuel storage facility, systems operated from the control room 28 in support of fueling operations, and supporting instrumentation.

29 30 Ability to apply technical specifications for a system.

31 32 Ability to recognize system parameters that are entry-level conditions for technical specifications.

33 34 Ability to interpret control room indications to verify the status and operation of a system, and understand 35 how operator actions and directives affect reactor and system conditions.

36 37 Knowledge of radiological safety procedures pertaining to licensed operator duties, such as response to 38 radiation monitor alarms, containment entry requirements, fuel-handling responsibilities, access to locked 39 high-radiation areas, aligning filters, etc.

40 41 Knowledge of radiation monitoring systems, such as fixed radiation monitors and alarms, portable survey 42 instruments, personnel monitoring equipment, etc.

43 44 Operation of fission chambers and ion chambers.

45 46 Neutron monitoring indication units.

47 48 Effects of voltage changes on neutron detector performance.

49 50 Failure modes of fission chambers, ion chambers, and proportional counters.

51 52 Operation of ion chambers, Geiger-Müller tubes, and scintillation detectors.

53 54 Use of portable radiation monitoring instruments.

55 56

ES 3.119 of 19 Effect of excessive differential pressure on demineralizer performance.

1 2

Reason for sampling inlet and outlet of demineralizer.

3 4

Effects of channeling in a demineralizer.

5 6

Purpose of a demineralizer.

7 8

Purpose of demineralizer differential pressure gauge.

9 10 Reason for demineralizer temperature and flow limits.

11 12 Principles of demineralizer operation.

13 14 Demineralizer differential pressure to determine condition of demineralizer resin bed.

15 16 Effects of demineralizer operation on water conductivity.

17 18 For Piping and Ventilation Systems:

19 Demonstrate a working knowledge of the following:

20 system flowpath by walkthrough, drawing, or both, including major components and 21 instrumentation 22 system or component purpose, uses, and interlocks 23 component status (open/close, running/stopped) in normal and abnormal lineups 24 system/component abnormal/emergency lineups 25 routine readings, checks, and technical specification surveillance procedures 26 For Nuclear Instrumentation and Radiation Monitoring Equipment:

27 Demonstrate a working knowledge of the following:

28 detector types, range of detection, location, and scale of readouts 29 system and component purpose, uses, interlocks, and automatic actions 30

ES 3.21 of 6 3.2 ADMINISTRATION OF OPERATING TESTS 1

2 A. Purpose 3

4 This standard describes the procedure for administering operating tests according to the 5

requirements of 10 CFR 55.45. It assumes that the examiner has prepared for the operating test 6

according to ES 3.1.

7 8

B. Personnel Present 9

10 The number of persons present during an operating test should be limited to ensure the integrity 11 of the test and to reduce distractions to the applicant. According to 10 CFR 55.13, a licensed 12 RO or SRO must be present when doing reactivity manipulations. If the number of persons or 13 the noise level in the control room is excessive, the examiner should have the facility licensee 14 staff address the issue.

15 16 Except for the licensed RO or SRO, no other member of the facility licensee training or 17 operations staff will be allowed to witness an operating test without the permission of the CE.

18 Under no circumstances is another applicant allowed to witness an operating test. Operating 19 tests are not to be used as training vehicles for future applicants. Videotaping the administration 20 of initial operating tests is not allowed.

21 22 Examiners may witness an operating test as part of their training or to audit an examiner 23 administering the operating test. Other observers, such as NPUFOL staff, researchers, or NRC 24 supervisors, may be allowed to observe operating tests if (1) the CE has approved the request 25 to observe the test and (2) the applicant does not object to the observers presence.

26 27 C. Operating Test Withdrawals 28 29 Occasionally, an applicant will withdraw from the operating test just before it starts. If this 30 happens, the examiner will request a letter from the facility licensee withdrawing the applicants 31 application. This letter should be addressed to the CE who will forward it to the OLA for 32 inclusion in the applicants docket file.

33 34 In rare instances, an applicant will withdraw after the operating test has begun. The examiner 35 will inform the applicant that this is an examination failure and that they must reapply following 36 the rules of 10 CFR 55.35. Applicants who withdraw from the operating test after it has started 37 will be sent a denial letter.

38 39 D. Administration Procedures 40 41

1. General 42 43 The examiner will use Attachment 1, Operating Test Briefing Checklist, to this standard to brief 44 each candidate before beginning the operating test.

45 46

ES 3.22 of 6

2. Administrative Topics 1

2

a. Subcategory A.1 3

4 These questions are not intended to duplicate administrative system requirements covered in 5

Categories B and C (e.g., valve lineups, control room data system administration and use, etc.).

6 However, the administration of the walkthrough and the scenario is often the best time to ask 7

these questions, in conjunction with the questions associated with Categories B and C. The CE 8

must ensure that sufficient material is covered during the administration of each topic to make a 9

licensing determination.

10 11

b. Subcategory A.2 12 13 Subcategory A.2 subjects are also best covered during the conduct of tasks or questioning 14 associated with Category B, while walking around the facility in the vicinity of various radiation 15 equipment.

16 17

c. Subcategory A.3 18 19 The examiner may best evaluate the applicants emergency plan knowledge by integrating it 20 into a Category C transient discussion or by conducting a Category B task requiring its use.

21 Security may best be evaluated by observing the applicants demeanor and answers to 22 seemingly innocent questions concerning doors, restrictions on experimenters and operations 23 personnel, and similar topics.

24 25 ES 3.1, Attachment 3, Example Areas of Discussion for Category A: Administrative Topics, 26 should be used in the development of administrative questions.

27 28

3. Facility Walkthrough 29 30 The examiner should encourage the applicant to draw diagrams, flowpaths, and other visual 31 representations. Likewise, the examiner should encourage the applicant to use facility forms, 32 schedules, procedures, and similar materials, as appropriate. In addition, if it clarifies the 33 question, the examiner may present a drawing for interpretation by the applicant.

34 35 The examiner should retain any supporting material used during an operating test to provide 36 additional documentation in support of a pass or fail determination.

37 38 The examiner can improve the efficiency of the operating test by integrating discussions 39 required to complete the various categories. This is particularly true for parts of Category C that 40 must be conducted in a discussion format. For example, by postulating an abnormal facility 41 condition, such as a reactor trip/scram, the examiner may include related tasks and associated 42 subject area questions to cover systems in Category B.

43 44 The examiner must take sufficient notes during the operating test to document all applicant 45 deficiencies thoroughly. The examiner must cross-reference every comment to a specific task or 46 subject area question. The examiner must ensure that sufficient material is covered during the 47 administration of each system to make a licensing determination.

48 49 ES 3.1, Attachment 4, Example Areas of Discussion for Category B: Facility Walkthrough, 50 should be used in the development of facility walkthrough questions.

51 52

ES 3.23 of 6

4. Integrated Facility Operations 1

2 Just before starting a scenario, the examiner may review it with the licensed RO or SRO. This 3

review should familiarize the licensed RO or SRO with the sequence of the scenario events to 4

ensure that the scenario will go as planned with respect to the capabilities and limitations of the 5

facility and the anticipated applicant actions. Precautions should be taken so that the scenarios 6

are not revealed to an applicant before their test begins (see Form ES-3.2-1, Examination 7

Security Agreement.)

8 9

If the applicant acts in a way other than expected, the examiner should note these actions (or 10 lack of actions). The notes must provide sufficient information to allow the examiner to judge the 11 applicants performance with respect to the competencies described in Form ES-3.3-1, 12 RO/SRO Competency Grading Guidance for Integrated Facility Operations. Each examiner 13 must determine the best way to document applicant actions. Some examiners record a minute-14 by-minute account of all key facility events and operator actions that occur, while others record 15 only the candidates significant actions. It is left to the individual examiner to develop their own 16 technique. However, the documentation must provide an adequate basis for making a licensing 17 decision.

18 19 The examiner should limit discussions with the applicant during the reactor startup both to 20 maintain realism and to avoid distracting the applicant from operating the facility. The examiner 21 should limit questions asked during the scenario performance to those necessary to assess the 22 candidates understanding of facility conditions and required operator actions. Even these 23 questions should be deferred until a time (such as during breaks) when the applicant is not 24 operating or closely monitoring the reactor facility. After the applicant has completed the 25 required manipulation, the reactor may be turned over to the licensed RO or SRO or be shut 26 down to conduct the remainder of the questions and answers. The examiners follow-up 27 questions or concerns can often be addressed during a brief question-and-answer period after 28 each scenario or during the facility walkthrough portion of the operating test if it is conducted 29 after the integrated facility operations scenarios.

30 31 If the reactor facility becomes inoperable, the CE should discuss the situation with the 32 applicable BC so that a decision on the conduct of the operating test can be made. It may be 33 necessary to substitute discussions of transient operating conditions or to reschedule the 34 operating test for a later date.

35 36 E. Attachments/Forms 37 38, Operating Test Briefing Checklist 39 Form ES-3.2-1, Examination Security Agreement 40

ES 3.24 of 6 ATTACHMENT 1 1

OPERATING TEST BRIEFING CHECKLIST 2

3 Part AApplicable to All Operating Tests 4

5 (1)

Senior operator applicants are tested at the level of responsibility of the senior licensed 6

shift position (i.e., shift supervisor, senior shift supervisor, or whatever the position may 7

be titled).

8 9

(2)

I am a visitor. Escort responsibilities for ensuring compliance with safety, security, and 10 radiation protection procedures rest with you (the applicant).

11 12 (3)

Do not operate facility equipment without appropriate permission.

13 14 (4)

Do not hesitate to request clarification of a question during the operating test.

15 16 (5)

Frequently, I will stop to update my notes to document your performance. The amount of 17 note-taking is not indicative of your level of performance.

18 19 (6)

Operating tests are considered open reference. Any reference material in the facility 20 normally available to operators is also available to you. This includes calibration curves, 21 previous log entries, piping and instrument diagrams, calculation sheets, and 22 procedures. However, you are responsible for knowing automatic actions, setpoints and 23 interlocks, operating characteristics, and the immediate actions of emergency and other 24 procedures, as appropriate to the facility.

25 26 (7)

There is no specific time limit for the operating test. The test will take whatever time is 27 necessary to cover the selected areas in the depth and scope required. Typically, an RO 28 test lasts between 3 and 3-1/2 hours, an SRO-I test lasts between 3-1/2 and 4 hours4.62963e-5 days 0.00111 hours 6.613757e-6 weeks 1.522e-6 months , 29 and an SRO-U test lasts between 2-1/2 and 3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months .

30 31 (8)

I am not allowed to reveal the results of the operating test at its conclusion.

32 33 (9)

Do not hesitate to request a break during the operating test.

34 35 (10)

During the operating test you will be evaluated for your actions as if you were the actual 36 watch stander. Please operate the reactor as if you were licensed, with the exception 37 that you should announce your actions, then pause momentarily to give the operator of 38 record time to correct you or stop you, if necessary, before you actually perform the 39 action. In addition, the examiner will be observing that you meet all conditions of your 40 license (e.g., wearing corrective lenses to perform licensed duties).

41

ES 3.25 of 6 Part BJust before Reactor Startup 1

2 Briefing to the candidate and the licensed RO or SRO:

3 4

(1)

I will not intentionally ask you (the applicant) to perform an action that violates facility 5

regulations or procedures or that places the facility in a hazardous condition. If a 6

requested action meets one of these conditions, then you (the applicant) or you (the 7

licensed operator) should immediately inform me. If my intent was to find out whether 8

you (the applicant) would perform such an act, I will phrase the question in some manner 9

other than requesting that the act be performed.

10 11 (2)

My presence does not alter the normal chain of command during the operating test. You 12 (the applicant) should make all reports and obtain all permissions that would normally be 13 required. All directions to the applicant will come from the responsible supervisor 14 following the facility administrative procedures. I will only question you (the applicant) 15 and make requests of the supervisor.

16 17 (3)

I have not altered the setpoints or calibrations of any instrument nor have I manipulated 18 any controls.

19 20 (4)

It is your (licensed operator) responsibility to step in and take control of the reactor any 21 time there is an unsafe condition or if you think that the reactor will shut down if 22 conditions are not corrected. However, you may not provide any coaching or cuing to the 23 applicant.

24

ES 3.26 of 6 FORM ES-3.2-1 1

EXAMINATION SECURITY AGREEMENT 2

3 Preexamination Security Agreement 4

5 6

I _________________________ agree that I will not knowingly divulge any information 7

[Print Name]

8 concerning the operating tests scheduled for ___________________ to any unauthorized 9

[Print Date]

10 persons. I understand that I am not to participate in any instruction involving the reactor operator 11 or senior reactor operator applicants scheduled to be administered the above operating tests 12 from now until after the operating tests have been administered. I further understand that 13 violation of the conditions of this agreement may result in the operating tests being canceled 14 and/or enforcement action against me or the facility licensee by whom I am employed or 15 represent.

16 17 18 19 20 Signature/Date 21 22 23 24 25 26 27 Postexamination Security Agreement 28 29 30 I ___________________________did not, to the best of my knowledge, divulge any 31

[Print Name]

32 information concerning the operating tests administered on ________________ to any 33

[Print Date]

34 unauthorized persons. I did not participate in providing any instruction to the reactor operator 35 and senior reactor operator applicants who were administered the operating tests from the time 36 I was allowed access to the operating tests until the completion of the administration of the 37 operating tests.

38 39 40 41 42 Signature/Date 43 44

ES 3.31 of 7 3.3 GRADING OPERATING TESTS 1

2 A. Purpose 3

4 This standard describes the procedures for grading operating tests administered according 5

to 10 CFR 55.45. It includes methods for documenting all aspects of the operating test, making 6

pass or fail recommendations, and reviewing the documentation to ensure a quality product.

7 8

B. General Evaluation Guidelines 9

10 S

Satisfactory Working Knowledge and Understanding 11 12 The applicant may have had some minor difficulty related to system interactions. Their operation 13 of equipment was very good, although they may have shown some hesitation while discussing 14 or performing some tasks. Overall, the applicant seemed familiar with the equipment and 15 procedures.

16 17 U

Unsatisfactory Working Knowledge and Understanding 18 19 The applicant had difficulty answering questions in depth or related to system interactions. The 20 applicant showed a lack of familiarity with the equipment or the procedures. The applicants 21 answers were inaccurate or incomplete. The applicant displayed unfamiliarity with the subject or 22 system, as shown by hesitant answers, inability to find information, inability to find control board 23 indications or controls, or a lack of knowledge of procedural steps to operate systems.

24 25 Detailed notes stating the particular action or response displaying the deficiency must support 26 all deficiencies. Sufficient knowledge deficiencies in a common area may result in an 27 unsatisfactory evaluation for that area.

28 29 When documenting deficiencies, general statements such as did not know primary coolant 30 system are inadequate. The examiner must note specific items and the significance of each 31 deficiency to reactor safety or the health and safety of the public or reactor staff.

32 33 The examiner must document all unsatisfactory grades and all numerical grades of 1 or 2 for 34 failed competencies by providing the following (to the extent applicable):

35 36 the question asked by the examiner 37 the incorrect answer provided by the applicant 38 the knowledge or ability that the applicant lacks 39 the consequences (safety significance) of the incorrect answer 40 the correct answer 41 42 C. Specific Instructions for Completing Form ES-3.1-1 43 44 The examiner must use Form ES-3.1-1 (and all applicable attachments) to grade the operating 45 test according to the following instructions. Calculations shall be written by rounding to the 0.1 46 percent (e.g., 78.45 percent rounds to 78.5).

47 48

ES 3.32 of 7

1. Category A, Administrative Topics (Form ES-3.1-1, page 2) 1 2

The examiner must evaluate the applicants performance for each administrative topic 3

discussed or performed. All comments should be entered on Form ES-3.1-1, page 6 (or higher).

4 The examiner will review all comments concerning a topic, make a SAT/UNSAT determination 5

for the topic, and document the grade by placing an S or U in the appropriate block on ES-3.1-1, 6

page 2. The examiner then repeats this process for each topic covered in the category. For 7

topics not covered during the operating test, the examiner should indicate that no grade is to be 8

assigned by placing a dash or the letters N/E (Not Examined) in the block; this will clearly show 9

that the block was not missed.

10 11 After grading all applicable topics in the category, the examiner will determine the overall grade 12 for Category A by dividing the number of satisfactory topics by the total number of topics 13 examined. The applicant must be graded as satisfactory in at least 70 percent of the topics to 14 receive an overall satisfactory grade. This grade is then placed in the Category A block in the 15 Operating Test Summary section of the Form ES-3.1-1 cover page.

16 17 For example, if a candidate received two unsatisfactory grades and ten satisfactory grades, they 18 would receive an S for the category based on a grade of 10/12 (or 83.3 percent).

19 20

2. Category B, Facility Walkthrough (Form ES-3.1-1, page 3) 21 22 The examiner must indicate the systems selected and the tasks conducted in the appropriate 23 columns of Form ES-3.1-1, page 3. The examiner must then evaluate the applicants 24 performance for each of those systems. All comments should be entered on Form ES-3.1-1, 25 page 6 (or higher). The examiner will review all comments on the system, make a SAT/UNSAT 26 determination for the system, and document the grade by placing an S or U in the appropriate 27 block on Form ES-3.1-1, page 3. The examiner then repeats this process for each system 28 covered in the category.

29 30 The examiner will determine the overall category grade by calculating the ratio of systems 31 passed to systems evaluated. To receive a grade of Satisfactory, the applicant must receive a 32 satisfactory evaluation in at least 70 percent of the systems evaluated.

33 34 For example, if a candidate received one unsatisfactory system grade and seven satisfactory 35 system grades, they would receive an S for the category based on a grade of 7/8 (or 87.5 36 percent).

37 38

3. Category C, Integrated Facility Operations (Form ES-3.1-1, pages 4 and 5) 39 40 Before grading Category C of the operating test, the examiner must enter any scenario revisions 41 made during the test on page 6 of the applicable Form ES-3.1-1 so that the form accurately 42 reflects the events actually tested. The final product must be a clear, legible reproduction of the 43 actual events that occurred at the facility during the operating test. The NRC will expunge any 44 rough notes or irrelevant comments from the final version sent to the candidate.

45 46 The examiner will grade candidate performance by using the worksheet (Form ES-3.3-1, 47 RO/SRO Competency Grading Guidance for Integrated Facility Operations) and then 48 transcribing the grade onto page 4 of Form ES-3.1-1.

49 50 The worksheet contains several competencies for measuring operator performance. Each 51 competency has several rating factors, on a scale of 1 to 3, further defining the competency.

52

ES 3.33 of 7 The rating factors have definitions, or behavioral anchors, at each point along the scale. These 1

anchors aid the examiner in assigning a value based on the applicants actions. Each rating 2

factor is also assigned a specific weight representing the relative importance of that factor. The 3

weight factor, in conjunction with the value assigned to the rating factor by the examiner, yields 4

a numerical measure of the applicants performance on that rating factor. Combining all of the 5

rating factor numerical evaluations for all of the competencies yields the applicants overall 6

grade for Category C of the operating test.

7 8

The examiner must complete the following to evaluate the applicants performance on 9

Category C of the operating test:

10 11

a.

Review and Categorize Notes. Review the notes taken while administering the operating 12 test. Label the documented actions and behaviors with the number and letter of the 13 rating factor that they most accurately reflect. Each comment that reflects negatively on 14 the candidates performance should be coded, whether or not it results in a grade of 1 15 or 2 for that rating factor.

16 17

b.

Evaluate the Candidate on the Rating Factors. After categorizing the applicants actions 18 and behaviors, evaluate the applicants performance by completing page 4 of 19 Form ES-3.1-1. Form ES-3.3-1 gives the examiner guidance for evaluating each rating 20 factor. For each rating factor, circle the integral rating value corresponding to the rating 21 value (1-3) that most accurately reflects the applicants performance. (As discussed in 22 ES 3.1, Control Board Operations is optional for SRO-U applicants.)

23 24

c.

Document Low Ratings. All ratings of 1 must be justified by documenting the specific 25 actions or behaviors that warranted the evaluation and their consequences. Additionally, 26 ratings of 2 must be documented for any competency that contributes to a candidate 27 failing Category C of the operating test. Provide this documentation directly on page 6 of 28 Form ES-3.1-1.

29 30

d.

Compute Competency Grades. For each competency, sum the rating grades on page 5 31 of Form ES-3.1-1 to compute a final competency grade. (Final competency grades will 32 range from 1 to 3.) Record the final competency grades in the Total blocks on the form.

33 34

e.

Compute Overall Competency Rating. If the applicant receives a score of greater 35 than 1.8 in all of the competencies examined, then the examiner will enter an overall 36 grade of Satisfactory (SAT or S) in the Category C block on the cover page of Form 37 ES-3.1-1. (NOTE: For an SRO-U applicant, if Competence 5, Control Board Operations, 38 is evaluated, it should be factored into the applicants overall grade.)

39 40

ES 3.34 of 7

4. Operating Test Comments (Form ES-3.1-1, page 6) 1 2

The examiner must document all weaknesses identified during the operating test on page 6 of 3

Form ES-3.1-1. The examiner will enter the specific subject (e.g., A.3.c, B.1.3.C, etc.) on the left 4

side of the form and the specific comment to the right. The page numbers in the Comment Page 5

blocks are used to cross reference comments between the form and the attachments.

6 Comments from Category A should be documented first and in sequence as listed on Form 7

ES-3.1-1, page 2. Then comments from Category B should be documented and in sequence as 8

listed on Form ES-3.1-1, page 3. Finally, comments from Category C should be documented 9

beginning with comments from C.1, then C.2, etc. Also, comments for Category C should 10 include information about the scenario event in which the comment originated. The examiner 11 shall use Form ES-3.3-1 in determination of deficiency competency. The applicants Category C 12 deficiencies should not be marked against more than one competency, and that competency 13 should be the key anchor for that deficiency.

14 15 Documentation of comments for Categories A, B, and C should be provided in the following 16 format: (1) the candidates statements or actions in response to questions or scenarios; (2) the 17 candidates expected responses or actions based on referenced documentation; (3) the 18 references used by the examiner to obtain the correct answers or actions; and (4) a conclusion 19 or summary statement that explains why the candidates responses or actions led to the grading 20 assigned for that category item (i.e., satisfactory or unsatisfactory).

21 22 Example Comment Outline for Category A or B 23 24 The candidate was asked [insert question here]. The candidate 25

[correctly/incorrectly/partially correctly] stated [insert candidates response to the 26 question]. The candidate was expected to provide a response that demonstrated 27 knowledge of [question subject] consistent with the following information from Ref(s).

28

[number(s)]: [insert details associated with an expected answer based on the reference 29 material].

30 31 Reference(s): (1) [insert reference here]

32 (2) [insert reference here]

33 34 The candidate was able to correctly answer the remaining questions in this topic and is 35 therefore rated SATISFACTORY in this topic.

36 Or 37 The candidates inadequate knowledge of [question subject] could adversely impact their 38 ability to [insert safety or security basis for giving an unsatisfactory grade] and is 39 therefore rated UNSATISFACTORY in this topic.

40 41 Example Comment Outline for Category C 42 43 In event [insert event number] of scenario [insert scenario number] of the operating test, 44 the candidate was asked to [insert scenario topic here]. [Insert a summary of all of the 45 candidates actions that support the grading assigned for this rating factor]. The 46 candidate was expected to [response/perform the following actions] consistent with the 47 following information from Ref(s). [number(s)]: [insert details associated with expected 48 response/actions based on the reference material].

49 50 Reference(s): (1) [insert reference here]

51 (2) [insert reference here]

52

ES 3.35 of 7 1

The candidates inability to [insert identified operational deficiency] demonstrated [insert 2

how the inability is related to the competency category of the rating factor] resulting in a 3

rating factor of [insert rating factor] in the competency category and an overall [insert the 4

overall grading for the topic] in this topic.

5 6

Any figures, drawings, flowcharts, forms, or the like that the applicant used during the operating 7

test may be used in documenting their performance. This material should be appropriately 8

marked and cross-referenced to applicable comments on Form ES-3.1-1 and attached to the 9

examination package for retention.

10 11

5. Cover/Summary Page 12 13 The cover page of Form ES-3.1-1 summarizes all of the pertinent information about the 14 applicant, the facility, and the operating test.

15 16 The examiner will fill in the applicants name, docket number, the facility for which the license is 17 sought, the type of operating test, and the facility description.

18 19 Next the examiner will enter the name of the examiner who administered the operating test and 20 the date on which it was given. The grading summary blocks must be completed according to 21 the instructions in this standard by the examiner who administered the operating test.

22 23 The examiner who administered the operating test will enter their pass, fail, or waive 24 recommendation in the appropriate block. The examiner may make a pass recommendation 25 only if all summary blocks of the operating test contain SAT (S) grades or N/E. The examiner 26 will then sign as the test administrator.

27 28 Once completed, the entire examination package is given to a peer reviewer. All peer reviewer 29 comments shall be resolved before the CE makes a final recommendation.

30 31 D. Attachments/Forms 32 33 Form ES-3.3-1, RO/SRO Competency Grading Guidance for Integrated Facility Operations 34

ES 3.36 of 7 1

Form ES-3.3-1 Page 1 of 2 RO/SRO Competency Grading Guidance for Integrated Facility Operations

1. IDENTIFICATION OF CUES, ALARMS, ANNUNCIATORS, AND TRENDS This competency involves the ability to recognize and acknowledge cues, alarms, annunciators, and trends. It includes the ability to prioritize ones attention in keeping with the importance/severity of facility status information and the ability to correctly interpret and verify that signals are consistent with facility/system conditions (with the use of alarm response procedures, as appropriate). The competency deals strictly with the understanding and interpretation of annunciators and alarm signals and therefore does not include knowledge of, or the ability to diagnose, overall facility/system status based on other indications of facility/system status or condition(s).

DID THE CANDIDATE:

(A)

RECOGNIZE and ACKNOWLEDGE cues, alarms, annunciators, and trends?

3 Consistent and timely recognition/

acknowledgment 2

Some lapses in awareness 1

Failed to recognize/acknowledge cues, alarms, annunciators, or trends (B)

Correctly INTERPRET and VERIFY that information is consistent with facility/system conditions (including the use, when necessary, of the alarm response procedures (ARP)?

3 Consistently and effectively 2

Some inaccuracies in interpretation/

verification of signals 1

Inaccuracies resulting in facility degradation; poor use of ARPs (C)

ATTEND to ANNUNCIATOR/ALARM SIGNALS, CUES, and TRENDS in order of importance/severity?

3 Yes, in all cases 2

Some inaccuracies/oversights 1

Did not prioritize attention to facility status information; inattentive to important alarms

2.

DIAGNOSIS OF AND RESPONSE TO CONDITIONS This competency involves the ability to diagnose facility conditions and to recognize and report these to mitigate out-of-spec conditions. Included is the knowledge of the impact of continued operation under out-of-spec conditions and the knowledge of the effects of mitigating actions. This competency also includes correctly reporting these conditions to the appropriate individuals, departments, or agencies.

DID THE CANDIDATE:

(A)

Correctly DIAGNOSE facility conditions based on control room indications?

3 Diagnoses were accurate 2

Some errors/difficulties in diagnoses 1

Faulty diagnoses adversely impacted facility status (B)

Correctly REPORT conditions out of specification, diagnoses of conditions, and continuing status?

3 Accurate and timely reports provided 2

Some lapses in making reports 1

Delayed or faulty reports adversely impacted mitigation or emergency response (C)

Demonstrate an understanding of the EFFECTS of continued operation and responsive actions and how they AFFECTED FACILITY/SYSTEM CONDITIONS?

3 Understood the effects of continued operation and responsive actions 2

Some misunderstandings with no significant impact 1

Inadequate knowledge of effects resulted in facility degradation 2

ES 3.37 of 7 Form ES-3.3-1 Page 2 of 2 RO/SRO Competency Grading Guidance for Integrated Facility Operations

3.

COMPLIANCE/USE OF PROCEDURES AND TECHNICAL SPECIFICATIONS This competency involves the ability to refer to and comply with normal, abnormal, emergency, and administrative procedures in a timely manner (i.e., in sufficient time to avoid adverse impacts on facility status). Included is the ability to recognize procedure entry conditions and carry out required actions correctly and to recognize and comply with required LCO/action statements.

DID THE CANDIDATE:

(A)

RECOGNIZE entry condition requirements for normal, abnormal, emergency procedures, and technical specifications?

3 Consistent and timely recognition/

acknowledgment of conditions requiring procedure-driven actions 2

Some difficulties/oversights in understanding procedure entry conditions 1

Significant errors in important instances resulted in missed requirements or facility degradation (B)

COMPLY WITH procedures (including precautions and limitations) in an accurate, timely manner?

3 Accurate and timely compliance 2

Few errors; corrections made in sufficient time to avoid adverse impact 1

Many significant errors; required excessive assistance (C)

REFER to the appropriate procedure/technical specification in a timely manner?

3 Quickly located appropriate procedures/technical specifications.

2 Some difficulties/oversights in referring to appropriate procedures 1

Problems/failures in referring to appropriate procedure(s) in important instances

4.

CONTROL BOARD BASICS This competency involves the ability to locate and manipulate controls to attain a desired facility/system response/condition. Included is the ability to take manual control of automatic functions, when appropriate.

DID THE CANDIDATE:

(A)

LOCATE/MANIPULATE CONTROLS effectively and accurately?

3 Went directly to appropriate controls and manipulated them accurately in a timely manner 2

Some hesitancy/difficulty in locating or manipulating controls but effectively mitigated any resulting consequences 1

Demonstrated inability to locate controls without assistance or major system perturbation(s) resulting from improper manipulations (B)

Demonstrate an understanding of how his or her ACTIONS (or inaction) AFFECT REACTOR and SYSTEM CONDITIONS?

3 Understood the effect of actions on reactor and systems 2

Some misunderstanding of effect of actions on reactor and systems 1

Appeared to act without knowledge of or regard for effect on reactor and systems (C)

Take MANUAL CONTROL of automatic functions when appropriate?

3 Took manual control as appropriate 2

Some delays; some as appropriate before overriding automatic functions 1

Depended on automatic actions; required prompting to take manual control 1

ES 4.11 of 12 4.0 WRITTEN EXAMINATIONS 1

4.1 PREPARATION OF WRITTEN EXAMINATIONS 2

3 A. Purpose 4

5 This standard specifies the requirements, procedures, and guidelines for the preparation of 6

written examinations for the licensing of RO and SRO applicants at non-power reactors.

7 8

B. Background 9

10 The required content of written examinations is presented in 10 CFR 55.41 for ROs and 11 10 CFR 55.43 for SROs. Each written examination will include a representative selection of 12 questions on the K/As needed to perform licensed operator duties. The written examination is 13 administered in three sections, as described in Section D of this standard.

14 15 C. Examination Preparation 16 17 Examiners will prepare written examinations according to the guidelines and instructions 18 summarized below.

19 20

1. General Guidelines 21 22

a.

Prepare the written examination so that an applicant capable of safely operating the 23 facility can complete and review the examination within the time allotted, achieving a 24 grade of at least 70 percent in each category. When creating the examination, 25 estimate 2 minutes per response.

26 27

b.

Avoid excessive duplication of questions. Do not repeat more than 25 percent of the 28 questions from the last NRC-prepared written examination administered at the facility.

29 30

c.

All questions will be in multiple choice (preferred) or matching format. Do not use 31 true/false questions. Matching questions must have only one correct answer and are 32 limited to a total value of 2 points per question. All multiple-choice questions will have 33 four choices with one correct answer.

34 35

d.

It is desirable to develop questions that hypothesize events or circumstances leading to 36 events, thereby examining the applicants analytical abilities and knowledge of corrective 37 actions.

38 39

e.

Questions should contain a representative sample from among the following 21 items, to 40 the extent applicable to the facility and the examination level (the first 14 items apply to 41 both ROs and SROs and the last 7 items apply to only SROs):

42 43 (1) fundamentals of reactor theory, including fission process, neutron multiplication, 44 source effects, control rod effects, criticality indications, reactivity coefficients, 45 and poison effects 46 47 (2) general design features of the core, including core structure, fuel elements, 48 control rods, core instrumentation, and coolant flow 49

ES 4.12 of 12 1

(3) mechanical components and design features of the reactor primary system 2

3 (4) secondary coolant and auxiliary systems that affect the facility 4

5 (5) facility operating characteristics during steady-state and transient conditions, 6

including coolant chemistry, causes and effects of temperature, pressure and 7

reactivity changes, effects of load changes, and operating limitations, and 8

reasons for these operating characteristics 9

10 (6) design, components, and functions of reactivity control mechanisms and 11 instrumentation 12 13 (7) design, components, and functions of control and safety systems, including 14 instrumentation, signals, interlocks, failure modes, and automatic and manual 15 features 16 17 (8) components, capacity, and functions of emergency systems 18 19 (9) shielding, isolation, and containment design features, including access limitations 20 21 (10) administrative, normal, abnormal, and emergency operating procedures for the 22 facility 23 24 (11) purpose and operation of radiation monitoring systems, including alarms and 25 survey equipment 26 27 (12) radiological safety principles and procedures 28 29 (13) procedures and equipment available for handling and disposal of radioactive 30 materials and effluents 31 32 (14) principles of heat transfer thermodynamics and fluid mechanics 33 34 (15) conditions and limitations in the facility license 35 36 (16) facility operating limitations in the technical specifications and their bases 37 38 (17) facility licensee procedures required to obtain authority for design and operating 39 changes in the facility 40 41 (18) radiation hazards that may arise during normal and abnormal situations, 42 including maintenance activities and various contamination conditions 43 44 (19) assessment of facility conditions and selection of appropriate procedures during 45 normal, abnormal, and emergency situations 46 47

ES 4.13 of 12 (20) procedures and limitations involved in initial core loading, alterations in core 1

configuration, control rod programming, and determination of various internal and 2

external effects on core reactivity 3

4 (21) fuel-handling facilities and procedures 5

6

2. Use of Reference Material 7

8 The examiner is expected to use the following reference materials when preparing the written 9

examination:

10 11

a.

Facility reference material provided per ES 2.1, especially facility learning objectives 12 used in the applicants training program, if available.

13 14

b.

NRC questions previously used at the facility or at similar facilities, as applicable.

15 16

c.

Licensee event reports, safety evaluation reports, information notices, current industry 17 and facility problems, and facility question banks. Questions drawn from the facilitys 18 bank will not exceed 10 percent of the questions in that bank.

19 20

d.

The examiner may use reference material (i.e., diagrams, sketches, portions of facility 21 procedures) as attachments to the written examination and ask applicants to identify 22 components and other items on the attachments. The examiner will ensure that any 23 reference material used in the examination is easy to read, clearly marked, and provides 24 an effective and objective way for the applicant to display knowledge. The examiner 25 must also take care that the reference material does not give away the answers to any 26 other questions.

27 28

3. Examination Assembly 29 30 The examiner will produce several copies of the written examination, along with a cover sheet 31 stating whether the examination has an answer sheet (master copy and facility licensee review 32 copies) or not (applicant copies). In addition, the examiner will produce several copies of an 33 examination handout similar to Form ES-4.1-1, Written Examination Cover Sheet, attached to 34 this standard. This handout will contain a cover sheet for the applicant to sign; a copy of the 35 NRC Rules for Written Examination Administration; an equation sheet; answer sheets; and 36 any tables, drawings, or graph paper necessary to support the examination. The applicant must 37 sign the cover sheet and submit the handout before leaving the examination area.

38 39 D. Examination Structure 40 41 There are minimal differences between the K/As required of RO applicants and of SRO 42 applicants that can be tested in a written examination format. Therefore, the NRC writes only 43 one examination for both RO and SRO-I applicants. Because SRO-U candidates have already 44 passed an RO-level written examination, they are not required to take another written 45 examination. Differences in the K/As required of an SRO applicant versus an RO applicant are 46 better evaluated on the operating test (as described in ES 3.1). Modifying an SRO-I written 47 examination to include questions that relate directly to SRO duties and responsibilities is 48 permissible, but the operating test serves as a more suitable forum for evaluating such topics.

49 50

ES 4.14 of 12 Because non-power reactors vary widely in complexity, the structure of the written examination 1

will be based on the three types identified in ES 3.1, i.e., Complex, Moderate, or Simple.

2 to ES 3.1 lists non-power reactors by type as of the date of issuance of this 3

NUREG.

4 5

The written examination will contain the following three categories:

6 7

Category A Reactor Theory, Thermodynamics, and Facility Operating Characteristics 8

9 Category B Normal and Emergency Operating Procedures and Radiological Controls 10 11 Category C Facility and Radiation Monitoring Systems 12 13 The minimum number of questions contained in each of these categories depends on the facility 14 type.

15 16 Complex non-power reactor written examinations should have a minimum of 20 questions per 17 category. Moderate non-power reactor written examinations should have a minimum of 15 18 questions per category. Simple non-power reactor written examinations should have a minimum 19 of 10 questions per category.

20 21 The written examination will be divided into the three categories identified and described below.

22 23 Category AThis category contains questions related to basic nuclear theory, reactor behavior, 24 and processes that take place in a reactor. Thermodynamics should be limited only to those 25 areas that are applicable to the facilitys operations and should be related to pertinent heat 26 transfer and fluid flow processes that are observable at the facility. Questions should also relate 27 to the manner in which power, reactivity, rod worth, and other parameters of the facility change 28 in response to rod manipulation, core burnup, heatup, experiment insertion, or other activities 29 associated with the operation of the facility. Questions on facility behavior as seen on recorder 30 traces because of these activities should be included.

31 32 Category BThis category contains questions on the procedures for operation of the reactor 33 and auxiliary systems, including administrative controls pertinent to the RO position. Candidates 34 must display complete understanding of the immediate action steps and the bases associated 35 with abnormal and emergency operating procedures. Familiarity and understanding of technical 36 specifications and operating, surveillance, and maintenance procedures to the extent applicable 37 to the RO position should also be evaluated. This category will also include questions on 38 radiation hazards, radiological safety practices, and facility and Federal requirements 39 (e.g., 10 CFR Part 20, Standards for Protection against Radiation) for the identification and 40 control of radiation hazards and radioactive material handling and releases.

41 42 Category CThis category contains questions on the design, construction, operation, and 43 interrelationships of the systems most directly associated with reactor safety, such as rod 44 control, emergency power, or core flooding. Questions on the characteristics, operation, and 45 interrelationships of nuclear and process instrumentation and control systems are also to be 46 included, with an emphasis on safety-related devices. Investigating candidate knowledge of 47 auxiliary systems and instrumentation is allowable, but the bulk of the questions will be 48 associated with areas important to safety. This category shall also include questions associated 49 with radiation monitoring systems and detectors, including both fixed and portable equipment.

50

ES 4.15 of 12 These questions will evaluate the candidates knowledge of the operating characteristics, 1

limitations, and applications of the equipment as appropriate to the facility.

2 3

The goal for the relative weight of each category in the written examination should be 4

approximately 33 percent of the total examination worth. However, since the relative importance 5

of safety and emergency systems varies significantly from one size and type of non-power 6

reactor to another and since 10 CFR 55.41 and 10 CFR 55.43 allow flexibility in the selection of 7

questions to the extent applicable to the facility, examiners experienced in the operation and 8

examination activities associated with non-power reactors can modify the weighting of the 9

examination categories based on their professional judgment. In any case, the relative weight of 10 any one category should be no less than 20 percent and no more than 40 percent of the total 11 examination worth.

12 13 E. NRC Quality Assurance Reviews 14 15 After preparing the written examination, the author should independently review each 16 examination question for content and wording. The author should place themselves in the 17 position of the applicant by attempting to answer the questions without using reference material 18 or the answer key. In addition, the author should ensure that the conditions and requirements 19 posed in the question are complete and unambiguous and that all necessary information is 20 provided, all unnecessary information is deleted, and that the intended answer clearly follows 21 from what is asked in the question.

22 23 If time and resources permit, another NRC examiner should independently review the written 24 examination using the guidance above. A second reviewer is especially important for examiners 25 in training, newly certified examiners, and examination authors who are not the CE.

26 27 All reviewers should review the written examination using Form ES-4.1-1 attached to this 28 standard.

29 30 If the review of the written examination identifies major changes in structure or content (e.g.,

31 distractor or question replacements), the comments should be returned to the author for 32 correction. The corrected examination should then be returned to the peer reviewer for a final 33 quality check.

34 35 After the necessary changes have been made, the CE will review the final version of the written 36 examination for completeness and clarity.

37 38 F. Attachments/Forms 39 40 Form ES-4.1-1, Written Examination Cover Sheet 41, NRC Rules for Written Examination Administration 42, Equation Sheet 43 Form ES-4.1-2, Answer Sheets 44 Form ES-4.1-3, Written Examination Quality Assurance Checkoff Sheet 45

ES 4.16 of 12 Form ES-4.1-1 1

WRITTEN EXAMINATION COVER SHEET 2

3 U.S. NUCLEAR REGULATORY COMMISSION 4

RESEARCH AND TEST REACTOR LICENSE EXAMINATION 5

6 FACILITY:

7 8

REACTOR TYPE:

9 10 DATE ADMINISTERED:

11 12 CANDIDATE: _______________________________

13 14 INSTRUCTIONS TO CANDIDATE:

15 16 Answers are to be written on the answer sheets provided. Attach all answer sheets to the 17 examination. Point values are indicated in parentheses for each question. A 70 percent or 18 greater overall and in each category is required to pass the examination. Examinations will be 19 collected 3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months after they start.

20

% OF 21 CATEGORY % OF CANDIDATES CATEGORY 22 VALUE TOTAL SCORE VALUE CATEGORY 23 24 20.00 33.3 A. REACTOR THEORY, 25 THERMODYNAMICS, AND 26 FACILITY OPERATING 27 CHARACTERISTICS 28 29 20.00 33.3 B. NORMAL AND EMERGENCY 30 OPERATING PROCEDURES 31 AND RADIOLOGICAL 32 CONTROLS 33 34 20.00 33.3 C. FACILITY AND RADIATION 35 MONITORING SYSTEMS 36 37 60.00 TOTALS 38 FINAL GRADE 39 40 All work done on this examination is my own. I have neither given nor received aid.

41 42 43 44 Candidates Signature 45

ES 4.17 of 12 ATTACHMENT 1 1

NRC RULES FOR WRITTEN EXAMINATION ADMINISTRATION 2

3

1.

Cheating on the examination means an automatic denial of your application and could 4

result in more severe penalties.

5 6

2.

When you have completed your examination, you must sign the statement at the bottom 7

of the cover sheet in front of the examiner or NRC-authorized proctor. This indicates that 8

the work is your own and that you have not received or given assistance in completing 9

the examination.

10 11

3.

Only restroom trips are allowed and are limited to only one applicant at a time. You must 12 avoid all contact with anyone or any materials outside the examination room to preclude 13 even the appearance of cheating. No conversation with other individuals or other stops 14 are allowed.

15 16

4.

Use black ink or dark pencil only to facilitate legible reproductions.

17 18

5.

Print your name in the blank provided in the upper right corner of the examination cover 19 sheet and each answer sheet.

20 21

6.

Mark your answers on the answer sheet(s) provided. The answer sheet(s) contain 22 places to circle the correct answer or to fill in the correct answer and a blank space to 23 put your final answer if you have changed your choice.

24 25

7.

The point value for each question is shown in brackets after the question.

26 27

8.

If the intent of a question is unclear, ask questions of the examiner or NRC-authorized 28 proctor only.

29 30

9.

There is a time limit of 3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months for the written examination.

31 32

10.

You must achieve a grade of 70 percent or greater overall and in each category to pass 33 the examination.

34 35

11.

When turning in your examination, assemble the completed examination with 36 examination questions, examination aids, answer sheet(s), and all scrap paper. Give the 37 examiner or NRC-authorized proctor your answer sheet(s) along with the signed cover 38 sheet. Take all other material collected with you out of the examination area.

39 40

12.

After turning in your written examination, leave the examination area. If you are 41 observed in this area while the examination is still in progress, your license may be 42 denied or revoked.

43

ES 4.18 of 12 ATTACHMENT 2 1

EQUATION SHEET 2

3 T

UA

=

H m

=

T c

m

=

Q p

(k) 2

)

(

=

P 2

max seconds 10 x 1

=

-4 4

seconds 0.1

=

-1 eff

K 1

S S

=

SCR eff

)

(-

CR

=

)

(-

CR

)

K (1

CR

=

)

K (1

CR 2

2 1

1 eff 2

eff 1

2 1

5 6

26.06

=

SUR eff K

1 K

1

=

M eff eff 1

0 CR CR

=

K 1

1

=

M 2

1 eff 7

8 9

10 P

= P SUR(t) 0 e

P

=

P t

0 P

)

(1

=

P 0

10 11 K

)

K (1

=

SDM eff eff

=

eff

+

=

12 13 K

x k

K K

=

eff eff eff eff 2

1 1

2

1 2 =

0.693

K 1)

K

(

=

eff eff

14 15 16 e

DR

=

DR t

0 R

6CiE(n)

=

DR 2

d DR

=

d DR 2

2 2

1 2

1 17 Peak

)

(

=

Peak

)

(

1 1

2 2

18 DR - Rem; Ci - curies; E - Mev; R - feet 19 20 21 22 23 1 curie = 3.7 x 1010 dis/sec 1 kg = 2.21 lbm 24 1 horsepower = 2.54 x 103 BTU/hr 1 Mw = 3.41 x 106 BTU/hr 25 1 BTU = 778 ft-lbf F = 9/5 C + 32 26 1 gal (H2O) 8 lbm C = 5/9 (F - 32) 27 cP = 1.0 BTU/hr/lbm/F cp = 1 cal/sec/gm/C 28 29

ES 4.19 of 12 Form ES-4.1-2 1

ANSWER SHEETS 2

3 Category A: Reactor Theory, Thermodynamics, and Facility Operating Characteristics 4

5 A.1a n ___

A.7 a b c d ___

6 7

8 A.1b n ___

A.8 a b c d ___

9 10 11 A.1c n ___

A.9 a b c d ___

12 13 14 A.1d n ___

A.10 a b c d ___

15 16 17 A.2 a b c d ___

A.11 a b c d ___

18 19 20 A.3a 1 2 3 4 5 6 7 ___

A.12 a b c d ___

21 22 23 A.3b 1 2 3 4 5 6 7 ___

A.13 a b c d ___

24 25 26 A.3c 1 2 3 4 5 6 7 ___

A.14 a b c d ___

27 28 29 A.3d 1 2 3 4 5 6 7 ___

A.15 a b c d ___

30 31 32 A.4 a b c d ___

A.16 a b c d ___

33 34 35 A.5 a b c d ___

A.17 a b c d ___

36 37 38 A.6 a b c d ___

A.18 a b c d ___

39 40

ES 4.110 of 12 Form ES-4.1-2 (Continued) 1 ANSWER SHEETS 2

3 Category B: Normal and Emergency Operating Procedures and Radiological Controls 4

5 B.1 a b c d ___

B.9c NR Double NA ___

6 7

B.2a 1 2 3 4 5 6 7 8 9 ___

B.9d NR Double NA ___

8 9

B.2b 1 2 3 4 5 6 7 8 9 ___

B.10a Water Air Structural Fission ___

10 11 B.2c 1 2 3 4 5 6 7 8 9 ___

B.10b Water Air Structural Fission ___

12 13 B.2d 1 2 3 4 5 6 7 8 9 ___

B.10c Water Air Structural Fission ___

14 15 B.2e 1 2 3 4 5 6 7 8 9 ___

B.10d Water Air Structural Fission ___

16 17 B.3 a b c d ___

B.11 a b c d ___

18 19 B.4 a b c d ___

B.12 a b c d ___

20 21 B.5 a b c d ___

B.13 a b c d ___

22 23 B.6 a b c d ___

B.14a ___ days 24 25 B.7 a b c d ___

B.14b ___ weeks 26 27 B.8a SL LSSS LCO ___

B.14c ___ months 28 29 B.8b SL LSSS LCO ___

B.14d ___ months 30 31 B.8c SL LSSS LCO ___

B.15 a b c d ___

32 33 B.8d SL LSSS LCO ___

B.16 a b c d ___

34 35 B.9a NR Double NA ___

B.17 a b c d ___

36 37 B.9b NR Double NA ___

38 39

ES 4.111 of 12 Form ES-4.1-2 (Continued) 1 ANSWER SHEETS 2

3 Category C: Facility and Radiation Monitoring Systems 4

5 C.1 a b c d ___

C.10e Open Closed Throttled ___

6 7

C.2 a b c d ___

C.10f Open Closed Throttled ___

8 9

C.3 a b c d ___

C.11a Open Shut On Off ___

10 11 C.4 a b c d ___

C.11b Open Shut On Off ___

12 13 C.5 a b c d ___

C.11c Open Shut On Off ___

14 15 C.6 a b c d ___

C.11d Open Shut On Off ___

16 17 C.7 a b c d ___

C.11e Open Shut On Off ___

18 19 C.8 a b c d ___

C.11f Open Shut On Off ___

20 21 C.9a 1 2 3 4 ___

C.11g Open Shut On Off ___

22 23 C.9b 1 2 3 4 ___

C.11h Open Shut On Off ___

24 25 C.9c 1 2 3 4 ___

C.12 a b c d ___

26 27 C.9d 1 2 3 4 ___

C.13 a b c d ___

28 29 C.10a Open Closed Throttled ___

C.14 a b c d ___

30 31 C.10b Open Closed Throttled ___

C.15 a b c d ___

32 33 C.10c Open Closed Throttled ___

C.16 a b c d ___

34 35 C.10d Open Closed Throttled ___

C.17 a b c d ___

36 37

ES 4.112 of 12 1

NRC FORM ES-4.1-3 WRITTEN EXAMINATION QUALITY ASSURANCE CHECKOFF SHEET Examination Package No. 50-[xxx]/OL-YY-[xx], Facility Name, Month Year Author:

Date of Examination:

[Name]

[Date]

Author (Check)

Peer/CE/BC Review (Check)

Objectivity and clarity of questions. Answers clear and concise on answer key.

Questions and answers technically accurate and applicable to facility.

Proper level of knowledge (RO).

No questions that are similar and could cause failure based on one point of lack of knowledge.

10 CFR 55.41 (RO) sampling is appropriate.

No question worth more than 2 points.

Total point value correct for facility type (Simple, Moderate, or Complex)

ES 4.1.C.1 Examination question format criteria met. (Less than or equal to 25 percent overlap of questions from last examination. No true/false questions. All multiple-choice questions have four choices with one correct answer. Matching and completion questions have only one correct answer and are limited to 2 points.)

Author Review:

Date:

MM/DD/YYYY Peer/CE Review Date:

MM/DD/YYYY

ES 4.21 of 3 4.2 ADMINISTRATION OF WRITTEN EXAMINATIONS 1

2 A. Purpose 3

4 This standard specifies the requirements and procedures for administering the written 5

examination at a non-power reactor.

6 7

B. Written Examination Facilities 8

9 (1)

The facility licensee is responsible for providing a room that is suitable for administering 10 the written examination. The examination room should have nearby restroom facilities to 11 enable the examiner or proctor to maintain the security of the written examination.

12 in the confirmation letter (refer to Attachment 1 to ES 2.1) lists the NRCs 13 policies regarding the written examination facility and other preparations for 14 administering the written examination.

15 16 (2)

The CE will evaluate the examination room for adequacy. The applicants should not 17 have access to any reference material that is not approved by the CE. The CE will not 18 begin the examination until they are satisfied with the room where the examination is 19 going to be given.

20 21 C. Proctoring the Written Examination 22 23 (1)

The CE will ensure that the written examination is proctored at all times. For large 24 numbers of applicants, the CE may determine that they need assistance proctoring the 25 examination. If proctors are needed, the CE should request assistance from other 26 examiners or other responsible NRC employees.

27 28 The CE will brief all proctors on their responsibilities before the written examinations are 29 distributed. Proctors shall not engage in any activities that may divert their attention from 30 the applicants and possibly cause the examination to be compromised.

31 32 (2)

When an applicant asks for clarification of a question on the written examination, the 33 proctor should write down the applicants question, and in a case where the proctor is 34 not a certified examiner, present the question to a certified examiner for resolution.

35 When an examiner is not sure how to respond to a question without giving away the 36 answer, the examiner will refer the question to the CE. If there is no way to clarify a 37 question without giving away the answer, the proctor will so inform the applicant.

38 39 The proctor(s) will document all questions regarding specific written examination test 40 items on the master copy of the examination. The CE will use the comments for future 41 reference in resolving facility licensee comments and grading conflicts.

42 43 When responding to questions, the proctor should be alert for indications that an 44 applicant is unfamiliar with the terminology used in the written examination. The proctor 45 will ask the CE to determine the correct terminology and announce it to all the applicants 46 taking the examination.

47 48 All question changes or clarifications will be called to the attention of all applicants.

49 Changes made to questions during the examination should be made on the master copy 50 and on the copy provided to the facility licensee staff.

51

ES 4.22 of 3 1

D. Written Examination Administration Procedure 2

3 The CE will ensure that the written examination is administered as follows:

4 5

(1)

Verify each applicants identity against the examination assignment sheet (see 6, ES 2.1). Any errors or absences will be resolved with the facility licensee 7

staff, and the assignment sheet will be updated as required.

8 9

The CE will ask the facility licensee to withdraw the application of any individual not 10 taking the examination. This withdrawal will be formalized by the facility licensee sending 11 a letter to the CE who will forward it to the OLA for inclusion in the applicants docket file.

12 13 Inspect the examination room and either approve, have removed, or have covered any 14 reference material.

15 16 (2)

A proctor (whether the CE, a certified examiner, or a nonexaminer) will do the following:

17 18

a.

Inform the applicants that they may use calculators to complete the examination.

19 Define the examination room for the applicants.

20 21

b.

Pass out the examinations, answer sheets, and handouts and instruct the 22 applicants not to review the examination until told to do so.

23 24

c.

Brief the applicants on the rules and guidelines that will be in effect during the 25 examination by directing them to follow along with the instructions directly 26 beneath the examination cover sheet. Read the first two rules verbatim.

27 28

d.

Ask the applicants to verify the completeness of their examination by checking 29 each page.

30 31

e.

After answering any questions that the applicants may have regarding 32 examination rules, start the examination and record the start time.

33 34

f.

Periodically advise the applicants of the examination time remaining.

35 36

g.

Ensure that each applicant signs the cover sheet when turning in their 37 examination, and ensure that all answer sheets are included.

38 39

h.

Remind the applicants to leave the examination area.

40 41 (3)

When all of the written examinations are completed, the CE may conduct an 42 examination review with the facility licensee staff as described in Section E of this 43 standard.

44 45 E. Facility Licensee Staff Review of the Written Examination 46 47 After the last applicant completes the written examination, the CE will meet with all proctors and 48 ensure that the master copy of the examination is updated with all of the changes made to the 49 questions and answers while the examination was being administered.

50 51

ES 4.23 of 3 The CE will provide a copy of the master examination to the facility licensee staff and answer 1

any questions that the staff may have about the NRCs examination review and comment 2

process. ES 2.1, Attachment 1, Enclosure 4, provides detailed guidelines and instructions for 3

this review process.

4

ES 4.31 of 2 4.3 GRADING WRITTEN EXAMINATIONS 1

2 A. Purpose 3

4 This standard describes the requirements and procedures for resolving the facility licensees 5

comments on the written examination, grading the examination, and conducting a quality 6

assurance review of the graded examination.

7 8

B. Resolving Facility Licensee Comments 9

10 (1)

The examiner grading the written examination will analyze each facility licensee 11 comment and document the reason that the question was changed or the reason that 12 the comment was not accepted.

13 14 (2)

If there are two correct answers to a multiple-choice question, both answers will be 15 accepted as correct. However, if three or more answers could be considered correct, the 16 question will be deleted from the examination.

17 18 (3)

If 10 percent or more of the questions are deleted as a result of facility licensee 19 comments, the examination must be evaluated to ensure that the proper ratios between 20 sections are still satisfied. If deleting questions affects the content validity of the 21 examination, the examination shall be withdrawn and a new examination administered.

22 23 (4)

The examiner grading the examination must incorporate into the master examination 24 and into the answer key all changes in response to the facility licensees comments and 25 any corrections made while the examination was being administered.

26 27 C. Grading the Written Examination 28 29 (1)

The written examination will not be graded until the facility licensees comments have 30 been resolved.

31 32 (2)

Normally, the examiner who wrote an examination will grade it. However, if the author is 33 unavailable, the number of applicants is unusually large, or the CE wishes to expedite 34 the grading process, the CE may have another examiner or multiple examiners grade 35 the examination.

36 37 (3)

The grader will indicate in red pen or pencil the number of points given to or deducted for 38 each answer on the applicants answer sheet.

39 40 (4)

If changing a grade is necessary, the grader or reviewer will do so by lining out the 41 original grade so that it remains legible, briefly documenting the reason for the change 42 on the applicants answer sheet, and initialing the change. The grader or reviewer shall 43 not use Wite-Out' or other methods that obscure the change.

44 45 (5)

After all the questions are graded, the grader will enter the test value, applicants score, 46 and applicants grade in the Results section of the applicants written examination cover 47 sheet.

48 49 (6)

After grading the last applicant, the grader will review all of the answer sheets to ensure 50 that all applicants were graded consistently.

51

ES 4.32 of 2 1

(7)

The grader will fill in the Written Examination Summary section on page 1 of 2

Form ES-3.1-1, check the Pass, Fail, or Waive block, and sign and date the grader line 3

in the Grading Results section. The grader should then forward the written examination 4

package, including the master written examination and answer key, the applicants 5

examinations, and all associated forms (ES-3.1-1 and ES-4.1-1) to the CE. The CE will 6

continue the process for the examination as outlined in ES 5.1.

7

ES 5.11 of 15 5.0 POSTEXAMINATION ACTIVITIES 1

5.1 POSTEXAMINATION ACTIVITIES 2

3 A. Purpose 4

5 This standard describes the procedures for assembling and reviewing the examination package 6

and notifying the facility licensee and applicants of the examination results.

7 8

B. Background 9

10 The goal is to complete licensing actions within 30 days of resolving the facility licensees 11 written examination comments.

12 13 C. Examination Report 14 15 The CE will prepare an examination report. The sample examination report included as 16 to this standard should be used as a guide.

17 18 (1)

The report documents the results of the examination, including generic strengths and 19 weaknesses noted during the administration of the operating tests and the grading of the 20 written examination, and issues discussed at the exit meeting.

21 22 (2)

The report will also include a copy of the written examination with the answer key 23 modified to incorporate facility licensee comments.

24 25 (3)

Applicants names and grades (i.e., Form ES-5.1-1, Research and Test Reactor 26 Examination Results Summary Sheet) will not be included in the examination report.

27 28 D. Results Package 29 30 The CE will also prepare an examination results letter that includes a public cover letter and its 31 nonpublic enclosures. As a guide, the CE should use the sample examination results letter 32 (Attachment 2 to this standard) and the enclosures described below.

33 34 (1)

The enclosures that are nonpublic will include an examination grading summary sheet 35 (Form ES-5.1-1), individual operator examination reports (Form(s) ES-3.1-1), and 36 individual candidates written examination answer sheets, if a written examination was 37 administered.

38 39 E. Examination Reviews 40 41 (1)

The CE will forward the examination package to another examiner for peer review.

42 43 (2)

The peer reviewer will review the grading of the written examination and the operating 44 test documentation to ensure that they meet the requirements of ES 4.3 and ES 3.3, 45 respectively. During these reviews, the peer reviewer should pay particular attention to 46 the consistency of grading among all applicants tested.

47 48

ES 5.12 of 15 (3)

After reviewing the package, the peer reviewer will check either the Pass or Fail block, 1

then date and sign the peer reviewer line of each Form ES-3.1-1. If the peer reviewer 2

disagrees with the grading of either the written examination or the operating test, they 3

will resolve the disagreement with the grader of that portion of the examination. The peer 4

reviewer will return the package to the CE.

5 6

(4)

The CE will independently review the examination package, then concur with either the 7

Pass or Fail block, and sign and date the Grading Results section of each 8

Form ES-3.1-1.

9 10 (5)

The CE will give the completed packages to the BC who makes the final licensing 11 decision. A person acting for the BC may not sign license or denial letters.

12 13 F. Licensing Action 14 15 (1)

The CE/BC will give the examination package to the OLA who will prepare license and 16 denial letters for all applicants tested. Attachments 3 and 4 to this standard are sample 17 RO and SRO (conditional) license and denial letters. The license and denial letters will 18 become an attachment to the results package.

19 20 (2)

The OLA will give the completed packages to the BC, who makes the final licensing 21 decision. The licensing official will consider all recommendations and sign each 22 applicants license or denial letter.

23 24 Applicants who withdrew before taking any part of the examination will not be sent a 25 denial letter and will not be included in either package. Applicants who withdrew from the 26 examination after it had started will be sent a denial letter.

27 28 (3)

If the BC does not agree with the final recommendation, he or she will consult with the 29 grader, peer reviewer, and CE to resolve the disagreement. Disagreements usually arise 30 because of poor documentation. Therefore, it is very important for examiners to be 31 accurate in grading and writing comments.

32 33 (4)

If the BC decides to overturn the recommendation, they will line out and initial the 34 affected summary evaluations. The BC will enter a new summary evaluation in the 35 appropriate block and explain the change in the Integrated Facility Operations section of 36 Form ES 3.1-1.

37 38 (5)

Once the licensing decisions are complete, the examiners should discard any marked 39 documentation or rough notes for those applicants receiving licenses. Examiners should 40 retain notes and documentation associated with denials until the denial becomes final 41 according to ES 5.2.

42 43 (6)

For SRO-U applicants who fail an examination, the BC should direct a case-specific 44 review to decide if the applicant failed because of significant deficiencies in RO 45 knowledge or abilities. As stated in 10 CFR 55.7, Additional requirements, [t]he 46 Commission may, by rule, regulation, or order, impose upon any licensee such 47 requirements, in addition to those established in the regulations in this part, as it deems 48 appropriate or necessary to protect health and to minimize danger to life or property. If 49 the SRO-U applicants deficiencies pose such a threat, the NRC may require the facility 50

ES 5.13 of 15 licensee to provide remedial training and reevaluation and submit evidence of its 1

completion to the NRC.

2 3

G. Facility and Individual Notification 4

5 (1)

The CE may phone the facility licensee staff to inform them of examination results only 6

after the licensing official has reviewed and approved them.

7 8

(2)

After the BC has signed the license and denial letters, the OLA will send each applicant 9

the following material with their letter:

10 11 a copy of the as given Form ES-3.3-1 12 a copy of the applicants written examination answer sheet 13 14 (3)

The NPUFOL administrative assistant is responsible for distribution of the examination 15 package.

16 17 (4)

The OLA is responsible for distribution of the examination results and the notifications to 18 the individuals taking the examination per item 2 above.

19 20 (5)

If any examinations are regraded in response to an applicants request for NRC staff 21 review or demand for a hearing (refer to ES 5.2), the original Form ES-5.1-1 on file will be 22 corrected by lining out the old grade, entering the new grade, and initialing the change.

23 24 H. Returning Facility Reference Material 25 26 If all applicants passed the examination, the CE should return the facility reference material 27 when the licenses are issued. If any applicants failed the examination, the examiner should 28 retain the reference material to support either the resolution of appeals or the preparation of 29 retake examinations.

30 31 I. Record Retention 32 33 The following documents should be maintained in ADAMS:

34 35 (1)

ES-2.1, Attachment 1, Sample Examination Confirmation Letter, with all enclosures 36 (publicly available) 37 38 (2)

ES-2.1, Attachment 2, Sample Examination Assignment Sheet, with changes to identify 39 the applicants that were actually examined (not publicly available) 40 41 (3)

ES-5.1, Attachment 1, Examination Report, with all enclosures (publicly available) 42 43 (4)

ES-5.1, Attachment 2, Sample Results Cover Letter, cover letter only (publicly 44 available) 45 46 (5)

Form ES-5.1-1, Research and Test Reactor Examination Results Summary Sheet (not 47 publicly available) 48 49 (6)

Cover letter forwarding certificates for newly licensed individuals to the facility licensee 50 (but not the enclosed certificates) (not publicly available) 51

ES 5.14 of 15 1

Each applicants docket file should contain the original or a copy of the following items:

2 3

(1)

Form ES-3.3-1, RO/SRO Competency Grading Guidance for Integrated Facility 4

Operations (all pages), with final, clean versions of page 5 and all associated 5

documentation 6

7 (2) all correspondence with the applicant 8

9 (3) the applicants written examination answer sheets 10 11 J. Attachments/Forms 12 13, Sample Examination Report (Public) 14, Sample Examination Results Cover Letter (Public) 15, Sample License Letter (Nonpublic) 16, Sample Denial Letter (Nonpublic) 17 Form ES-5.1-1, Research and Test Reactor Examination Results Summary Sheet (Nonpublic) 18

ES 5.15 of 15 ATTACHMENT 1 1

SAMPLE EXAMINATION REPORT 2

3

[NRC Letterhead]

4 5

[Date]

6 7

[Name, Title]

8

[Facility Name]

9

[Street Address]

10

[City, State Zip Code]

11 12

SUBJECT:

INITIAL EXAMINATION REPORT NO. 50-[NUMBER]/OL-YY-NN, [FACILITY 13 NAME]

14 15

Dear [Name]:

16 17 During the week of [date], the U.S. Nuclear Regulatory Commission (NRC) administered an 18 initial operator licensing examination at your reactor. The examination was conducted according 19 to NUREG-1478, Operator Licensing Examiner Standards for Research and Test Reactors, 20 Revision 3. Examination questions and preliminary findings were discussed at the conclusion of 21 the examination with those members of your staff identified in the enclosed report.

22 23 In accordance with Title 10 of the Code of Federal Regulations 2.390, Public inspections, 24 exemptions, requests for withholding, a copy of this letter and its enclosures will be available 25 electronically for public inspection in the NRC Public Document Room or from the Publicly 26 Available Records component of the NRCs Agencywide Documents Access and Management 27 System (ADAMS). ADAMS is accessible from the NRC website at 28 https://www.nrc.gov/reading-rm/adams.html. The NRC is forwarding the individual grades to you 29 in a separate letter that will not be released publicly.

30 31 If you have any questions concerning this examination, please contact [chief examiner] at 32

[telephone number], or via email at [email address].

33 34 Sincerely, 35 36

[Branch Chief with Program Responsibility]

37 38 Docket No. 50-[number]

39 40

Enclosures:

41

1. Examination Report No. 50-[number]/OL-YY-NN 42

2. Facility Comments with NRC Resolution 43

3. Corrected Written Examination 44 45 cc w/enclosures: Facility Training Manager 46 (Standard Distribution) plus [Appropriate Project Manager]

47

ES 5.16 of 15 ATTACHMENT 1 1

SAMPLE EXAMINATION REPORT (Continued) 2 3

ENCLOSURE 1 4

5 EXAMINATION REPORT NO. 50-[NUMBER]/OL-YY-NN 6

[FACILITY]

7 8

Facility License No.: [License No.]

9 10 11 Submitted by:

/ /__

12

[Name], Chief Examiner Date 13 14 Summary:

15 16 During the week of [date], the NRC administered initial operator licensing examinations to 17

[number] SRO-I, [number] SRO-U, and [number] RO license applicants. [Number] SROs and 18

[number] ROs passed these examinations. [All others failed.]

19 20 Exit Meeting:

21 22 Attendees:

23 24

[Name, Title, Facility]

25

[Name, Title, Facility]

26

[Name], Examiner, NRC 27 28 At the conclusion of the site visit, the NRC examiners met with representatives of the facility 29 licensee staff to discuss the results of the examinations. The examiners made the following 30 observations concerning your training program:

31 32

a.

Areas of generic weaknesses were found in [brief statement of the areas of weakness 33 identified during the exit meeting]. The facility licensee staff committed to placing more 34 emphasis on these areas in future training programs [Open Item number].

35 36

b.

Areas in which the examiners believe that the applicants exhibited good training and 37 knowledge are [brief statement of any strengths identified during the exit meeting].

38 39

c.

The facility licensee staff presented comments on the written examination, and those 40 comments have been incorporated into the examination attached to this report.

41 42 OR 43 44

c.

The facility licensee staff presented comments on the written examination, and those 45 comments along with their resolution are included as Enclosure 2 to this report.

46

ES 5.17 of 15 ATTACHMENT 1 1

SAMPLE EXAMINATION REPORT (Continued) 2 3

ENCLOSURE 2 4

5 FACILITY COMMENTS WITH NRC RESOLUTION 6

7 Question 4.01 8

9 Comment:

Control Room Log Book should be included as an additional correct 10 response.

11 12 Justification:

Administrative Procedure AP-4.0, page 8.

13 14 NRC Resolution:

Comment accepted. The alternative answer is acceptable but not 15 required for a complete answer.

16

ES 5.18 of 15 1

ATTACHMENT 1 2

SAMPLE EXAMINATION REPORT (Continued) 3 4

ENCLOSURE 3 5

6 7

8 CORRECTED WRITTEN EXAMINATION 9

10

ES 5.19 of 15 ATTACHMENT 2 1

SAMPLE EXAMINATION RESULTS COVER LETTER 2

3

[NRC Letterhead]

4

[Date]

5 6

[Name, Title]

7

[Facility Name]

8

[Street Address]

9

[City, State Zip Code]

10 11

SUBJECT:

INITIAL EXAMINATION RESULTS LETTER NO. 50-[NUMBER]/OL-YY-NN, 12

[FACILITY NAME]

13 14

Dear [Name]:

15 16 This letter forwards to you personal privacy information associated with the initial operator 17 licensing examinations administered at your reactor during the week of [date]. This information 18 supplements the publicly available information in the examination report. Enclosure 1 lists 19 individual grades for all candidates. Enclosure 2 includes individual candidate summaries for all 20 candidates (license/denial letters and supporting documentation).

21 22 If you have any questions regarding the examination, please contact [chief examiner] at 23

[telephone number] or by email at [email address].

24 25 26 Sincerely, 27 28 29

[Branch Chief with Program Responsibility]

30 31 Docket No. 50-[number]

32 33

Enclosures:

34 As stated 35 36 DISTRIBUTION:

37 PUBLIC (w/o enclosures) 38 Facility File ([LA]) O6-D17 39 40

ES 5.110 of 15 1

ATTACHMENT 3 2

SAMPLE LICENSE LETTER 3

4

[NRC Letterhead]

5

[Date]

6 7

LICENSE 8

9 Docket No. 55-[number]

10 11

[Applicant Name]

12

[Street Address]

13

[City, State Zip Code]

14 15

Dear [Name]:

16 17 Pursuant to the Atomic Energy Act of 1954, as amended, and the Energy Reorganization Act 18 of 1974, as amended, and subject to the conditions and limitations incorporated herein, the U.S.

19 Nuclear Regulatory Commission hereby licenses you to [direct the licensed activities of licensed 20 operators at and to manipulate all controls of/manipulate all controls of] the [name of facility, 21 facility license number].

22 23 Your license number is [S]OP-[number]. Your docket number is 55-[number]. The effective date 24 is [date]. Unless sooner terminated, renewed, or upgraded, this license shall expire 6 years from 25 the effective date.

26 27 This license is subject to the provisions of Title 10 of the Code of Federal Regulations 55.53, 28 Conditions of licenses, with the same force and effect as if fully set forth herein.

29 30 While performing licensed duties, you shall observe the operating procedures and other 31 conditions specified in the facility license that authorizes operation of the facility. [You shall also 32 comply with the following condition(s):

33 34 You shall wear corrective lenses while performing the activities for which you 35 are licensed.]

36 37 The issuance of this license is based on examination of your qualifications, including the 38 representations and information contained in your application for this license.

39 40 A copy of this license has been made available to the facility licensee.

41 42 For the U.S. Nuclear Regulatory Commission, 43 44

[Name and title of licensing official]

45 46 Docket No. 55-[number]

47 48 cc: [Facility licensee representative who signed the applicants NRC Form 398]

49 50

ES 5.111 of 15 ATTACHMENT 4 1

SAMPLE DENIAL LETTER 2

3

[NRC Letterhead]

4

[Date]

5

[Applicant Name]

6

[Street Address]

7

[City, State Zip Code]

8 9

Dear [Name]:

10 11 This letter is to inform you that your grade on the [operating test, written examination, operating 12 test and written examination] taken on [date(s)], in connection with your application for a [reactor 13 operator, senior reactor operator] license for the [facility name], indicates that you did not pass 14 that [test, examination, test and examination]. As a result, the U.S. Nuclear Regulatory 15 Commission (NRC) proposes to deny your application. Enclosed is a copy of the [operating test, 16 written examination, operating test and written examination] results indicating those areas in 17 which you exhibited deficiencies. [A copy of the master answer key is also provided.]

18 19 If you accept the proposed denial and decline to request either an NRC staff review or a hearing 20 within 20 days as discussed below, this proposed denial will become a final denial. You may 21 then reapply for a license according to Title 10 of the Code of Federal Regulations (10 CFR) 22 55.35, Re-applications, [2/6/24] months after the date of this letter.

23 24

[Because you passed the written examination but did not pass the operating test, you may 25 request, in the new application, to be excused from retaking the written examination. The NRC 26 may grant this request at the agencys discretion if it determines that sufficient justification is 27 presented.]

28

OR [Because you passed the operating test but did not pass the written examination, you may 29 request, in the new application, to be excused from reexamination on the operating test. The 30 NRC may grant this request at the agencys discretion if it determines that sufficient justification 31 is presented.]

32

- OR [Because you did not pass either the written examination or the operating test, you will be 33 required to retake both the written examination and the operating test.]

34 35 If you do not accept the proposed denial, you may, within 20 days of the date of this letter, take 36 one of the following actions.

37 38 You may request an NRC staff review of the grading of your examination. Your written 39 request must be sent to the [appropriate division director], U.S. Nuclear Regulatory 40 Commission, Washington, DC 20555. Your request must identify the portions of your 41 examination that you believe were graded incorrectly or too severely. In addition, you 42 must provide the basis, including supporting documentation (such as procedures, 43 instructions, computer printouts, and chart traces), in as much detail as possible, to 44 support your contention that certain of your responses were graded incorrectly or too 45 severely.

46 47 The NRC will review your contentions, reconsider your grading, and inform you of the 48 results. If the proposed denial is sustained, you will have the opportunity to request a 49 hearing pursuant to 10 CFR 2.103(b)(2) at that time.

50 51

ES 5.112 of 15 Under 10 CFR 2.103(b)(2), you may demand a hearing on this denial of your application 1

within 20 days after the date of this letter. Under 10 CFR 2.307(a), you may request an 2

extension of this time limit if you can show good cause. A demand for a hearing shall be 3

filed in accordance with 10 CFR Part 2, Agency Rules of Practice and Procedure, 4

which is accessible electronically from the NRC Library on the NRCs website at 5

https://www.nrc.gov/reading-rm/doc-collections/cfr/. Generally, a demand for a hearing 6

should explain why you believe that the NRCs denial of your application was in error 7

and why you believe that you have, in fact, satisfied the requirements for license 8

issuance.

9 10

[Consult with the Office of the General Counsel for the most up-to-date E-Filing 11 language.]

12 13 A demand for a hearing must be filed in accordance with the NRCs E-Filing rule 14 (Volume 72 of the Federal Register, page 49139; August 28, 2007). The E-Filing 15 process requires participants to submit and serve all adjudicatory documents over the 16 internet, or in some cases, to mail copies on electronic storage media. Detailed guidance 17 on making electronic submissions may be found in the Guidance for Electronic 18 Submissions to the NRC and on the NRC website at https://www.nrc.gov/site-help/e-19 submittals.html. Participants may not submit paper copies of their filings unless they 20 seek an exemption in accordance with the procedures described below. To comply with 21 the procedural requirements of E-Filing, at least 10 days before the filing deadline, the 22 participant should contact the Office of the Secretary by email at 23 hearing.docket@nrc.gov or by telephone at 301-415-1677 to (1) request a digital 24 identification (ID) certificate, which allows the participant (or its counsel or 25 representative) to digitally sign submissions and access the E-Filing system for any 26 proceeding in which it is participating and (2) advise the Secretary that the participant 27 will be submitting a demand for a hearing. Based on this information, the Secretary will 28 establish an electronic docket for the hearing in this proceeding if the Secretary has not 29 already established an electronic docket. Information about applying for a digital ID 30 certificate is available on the NRCs public website at https://www.nrc.gov/site-help/e-31 submittals/getting-started.html. Once a participant has obtained a digital ID certificate 32 and a docket has been created, the participant can then submit a demand for a hearing.

33 Submissions must be in Portable Document Format (PDF). Additional guidance on PDF 34 submissions is available on the NRCs public website at 35 https://www.nrc.gov/sitehelp/electronic-sub-ref-mat.html. A filing is considered complete 36 at the time the document is submitted through the NRCs E-Filing system. To be timely, 37 an electronic filing must be submitted to the E-Filing system no later than 11:59 p.m.

38 eastern time on the due date. Upon receipt of a transmission, the E-Filing system 39 time-stamps the document and sends the submitter an email notice confirming receipt of 40 the document. The E-Filing system also distributes an email notice that provides access 41 to the document to the NRCs Office of the General Counsel and any others who have 42 advised the Office of the Secretary that they wish to participate in the proceeding, so that 43 the filer need not serve the document on those participants separately. Therefore, 44 applicants and other participants (or their counsel or representative) must apply for and 45 receive a digital ID certificate before adjudicatory documents are filed so that they can 46 obtain access to the documents through the E-Filing system.

47 48

ES 5.113 of 15 A person filing electronically using the NRCs adjudicatory E-Filing system may seek 1

assistance by contacting the NRCs Electronic Filing Help Desk through the Contact Us 2

link located on the NRCs public website at https://www.nrc.gov/site-help/e-3 submittals.html, by email to MSHD.Resource@nrc.gov, or by a toll-free call to 4

1-866-672-7640. The NRC Electronic Filing Help Desk is available between 9 a.m. and 5

6 p.m. eastern time, Monday through Friday, excluding Federal Government holidays.

6 Participants who believe that they have a good cause for not submitting documents 7

electronically must file an exemption request, in accordance with 10 CFR 2.302(g), with 8

their initial paper filing stating why there is good cause for not filing electronically and 9

requesting authorization to continue to submit documents in paper format. Such filings 10 must be submitted by (1) first-class mail addressed to the Office of the Secretary of the 11 Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, 12 Attention: Rulemaking and Adjudications Staff, or (2) courier, express mail, or 13 expedited delivery service to the Office of the Secretary, 11555 Rockville Pike, 14 Rockville, MD 20852, Attention: Rulemaking and Adjudications Staff. Participants filing 15 adjudicatory documents in this manner are responsible for serving the document on all 16 other participants. Filing is considered complete by first-class mail as of the time of 17 deposit in the mail, or by courier, express mail, or expedited delivery service upon 18 depositing the document with the provider of the service. A presiding officer, having 19 granted an exemption request from using E-Filing, may require a participant or party to 20 use E-Filing if the presiding officer subsequently determines that the reason for granting 21 the exemption from use of E-Filing no longer exists.

22 23 Documents submitted in adjudicatory proceedings will appear in the NRCs electronic 24 hearing docket, which is available to the public at https://adams.nrc.gov/ehd, unless 25 excluded pursuant to an order of the Commission or the presiding officer. If you do not 26 have an NRC-issued digital ID certificate as described above, click cancel when the 27 link requests certificates, and you will be automatically directed to the NRCs electronic 28 hearing dockets where you will be able to access any publicly available documents in a 29 particular hearing docket. Participants are asked not to include personal privacy 30 information, such as Social Security numbers, home addresses, or personal phone 31 numbers in their filings, unless an NRC regulation or other law requires submission of 32 such information. For example, in some instances, individuals provide home addresses 33 to demonstrate proximity to a facility or site. With respect to copyrighted works, except 34 for limited excerpts that serve the purpose of the adjudicatory filings and would 35 constitute a Fair Use application, participants are asked not to include copyrighted 36 materials in their submission.

37 38 Pursuant to 10 CFR 55.35, you may not reapply for a license until your application has been 39 finally denied. Failure on your part to exercise one of these options within 20 days constitutes a 40 waiver of your opportunity for an NRC staff review and your right to demand a hearing and, for 41 the purpose of reapplication under 10 CFR 55.35, renders this letter a notice of final denial of 42 your application, effective as of the date of this letter.

43 44

ES 5.114 of 15 If you have any questions, please contact [name] at [telephone number] or by email at [email 1

address].

2 3

Sincerely, 4

5

[Name and title of licensing official]

6 7

Docket No. 55-[number]

8 9

Enclosures:

10 As stated 11 12 cc: [senior management facility representative who signed the applicants NRC Form 398]

13 14 CERTIFIED MAILRETURN RECEIPT REQUESTED 15 16 Use for initial reactor operator or senior reactor operator license applicants who passed either the 17 written examination or the operating test but failed the other.

18 Use for second and subsequent retake applicants.

19 Use for applicants who failed both the written examination and the operating test.

20 21

ES 5.115 of 15 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY FORM ES-5.1-1 RESEARCH AND TEST REACTOR EXAMINATION RESULTS

SUMMARY

SHEET Facility:

Reactor Status:

Written Examination Date:

Operating Test Dates:

Examiners:

OVERALL RESULTS Total No.

No. Passed

% Passed No. Failed

% Failed Reactor Operator Senior Operator Name Docket 55-Type1 Written Grade Results2/Initials3 A

B C

Total Written Operating NOTES:

1 1=RO, 2=SRO-I, 3=SRO-U, 4=RO retake, 5=SRO-I retake, 6=SRO-U retake, 7=SRO-Fuel Handler 2 P=Passed, F=Failed, W=Waived, N/A=Not Applicable 3 Enter the initials of the examiner who graded the written examination or administered the operating test.

PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY

ES 5.21 of 12 5.2 ADMINISTRATIVE REVIEWS AND HEARINGS 1

2 A. Purpose 3

4 This standard describes the options and associated responsibilities for license application 5

denials, informal NRC staff reviews, and hearings.

6 7

B. Background 8

9 The letter in ES 5.1, Attachment 4, Sample Denial Letter, sent to applicants who fail an 10 operator licensing examination constitutes a proposed application denial. The letter informs the 11 applicant of their options for appeal as specified in Section C below and includes a list of the 12 deficiencies noted.

13 14 Applicants who fail an operator licensing examination may reapply pursuant to the provisions 15 of 10 CFR 55.35, only after their application has been finally denied, and only if they do not 16 have a pending request for an NRC staff review or demand for a hearing. The NRC will not 17 accept a reapplication while a request for an NRC staff review or a demand for a hearing is 18 pending.

19 20 The procedures that apply when the NRC has denied an application for an operator license 21 because the applicant fails to meet the eligibility requirements in 10 CFR 55.31 are similar to 22 those for processing NRC staff reviews and license denials. Section E explains the details of 23 this process.

24 25 C. Applicant Responsibilities 26 27 (1)

An applicant who does not appear to meet the experience and training requirements for 28 a license may be asked to provide additional information in accordance with ES 2.2. If 29 the NRC still denies the application after the applicant provides the additional information 30 requested by the NRC, the applicant may exercise one of the following options within 20 31 days after the date of the proposed denial letter:

32 33

a.

Do nothing. The proposed denial letter then becomes the final denial. The 34 applicant may reapply after obtaining the requisite training or experience.

35 36

b.

Request NRC staff review of the application denial. Applicants must submit such 37 requests in accordance with the requirements in 10 CFR 55.5(b)(3). The 38 applicants submittal must clearly state the basis for the request, including 39 supporting documentation as applicable.

40 41

c.

Demand a hearing within 20 days from the date of the denial or such longer 42 period as may be specified in the denial under 10 CFR 2.103(b)(2). The 43 application denial letter (see ES 5.1, Attachment 4) provides detailed guidance 44 related to the process of demanding a hearing. Under 10 CFR 2.307(a), the 45 applicant may request an extension of this time limit if they can show good 46 cause. A demand for a hearing shall be filed in accordance with 10 CFR Part 2, 47 which is accessible electronically from the NRC Library on the agencys website 48

ES 5.22 of 12 at https://www.nrc.gov/reading-rm/doc-collections/cfr/. Generally, a demand for a 1

hearing should explain why the applicant believes that the NRCs denial of their 2

application was in error and why the applicant believes that they have, in fact, 3

satisfied the requirements for license issuance. Applicants must submit such 4

demands electronically in accordance with the requirements of 10 CFR 2.302.

5 The NRCs website at https://www.nrc.gov/site-help/e-submittals.html offers 6

detailed guidance on making electronic submissions.

7 8

(2)

If an applicant fails the operator licensing written examination or operating test (or both) 9 and receives a proposed license denial letter issued in accordance with ES 5.1, the 10 applicant has 20 days from the date of the letter to exercise one of the following options:

11 12

a.

Do nothing. The proposed denial letter then becomes the final denial. The 13 applicant may reapply, pursuant to 10 CFR 55.35, 2 months after the date of the 14 first denial letter, 6 months after the second denial, and 24 months after each 15 successive denial.

16 17

b.

Request that the NRC staff review and regrade the written examination, the 18 operating test, or both, in light of new information to be provided by the applicant.

19 Applicants must submit such requests in accordance with the requirements 20 in 10 CFR 55.5(b)(3). If the applicant submits such a request, the NRC will not 21 consider a reapplication pursuant to 10 CFR 55.35 until a denial is final.

22 23 The applicants request for an NRC staff review must identify the item(s) for 24 which additional review is requested and must include supporting documentation.

25 The applicant is responsible for ensuring that the request and the supporting 26 documentation are sent to the staff within 20 days after the date of the proposed 27 denial letter.

28 29 If the NRC staff reviews a failure and determines that the applicant did not 30 provide sufficient basis to justify passing grades on all sections of the licensing 31 examination, the NRC staff will issue a letter to the applicant sustaining the 32 proposed denial. The applicant may then demand a hearing pursuant 33 to 10 CFR 2.103(b)(2). In such instances, the applicant must submit the demand 34 for a hearing within 20 days after the date on the letter from the staff sustaining 35 the proposed denial. In addition, the applicant must submit the hearing demand 36 in accordance with Section C.2.c.

37 38 If the applicant does not demand a hearing following an NRC staff review that 39 sustains a proposed denial, the proposed denial becomes the final denial. The 40 applicant may then reapply for a license, pursuant to 10 CFR 55.35, 2 months 41 after the date of the first sustained denial letter, 6 months after the second denial, 42 and 24 months after each successive denial.

43 44

c.

Demand a hearing pursuant to 10 CFR 2.103(b)(2). The applicant must submit 45 the demand for a hearing in accordance with the requirements in 10 CFR 2.302.

46 If the applicant demands a hearing, the NRC will not consider a reapplication 47 pursuant to 10 CFR 55.35 until a denial is final.

48

ES 5.23 of 12 1

D. Facility Licensee Responsibilities 2

3 The NRC may ask the facility licensee to provide reference materials, technical support, and a 4

confirmation of the validity of the test items, as necessary for the NRC staff to evaluate and 5

resolve any concerns raised by a license applicant who asks the NRC to reconsider a proposed 6

denial of an application.

7 8

E. NRC Responsibilities 9

10 (1)

The NRC staff will review 10 CFR Part 55 license application denials based on eligibility 11 as described in Section F.1.

12 13 (2)

The NRC staff will review 10 CFR Part 55 license application denials based on 14 examination failures as described in Section F.2.

15 16 (3)

The Commission will conduct hearings on 10 CFR Part 55 operator licensing in 17 accordance with 10 CFR Part 2.

18 19 F. NRC Staff Review Procedures 20 21

1. Application Eligibility 22 23 If an applicant requests an NRC staff review in accordance with Section C.1.b, the NPUFOL 24 staff will generally complete its review of the applicants eligibility within 60 days of receiving the 25 request. Upon completing its review, the NPUFOL staff will notify the applicant in writing as to 26 whether they will be allowed to take the license examination. If the review leads the NPUFOL 27 staff to sustain the proposed denial, the applicant may then demand a hearing pursuant 28 to 10 CFR 2.103(b)(2).

29 30

2. Examination Results 31 32 If an applicant requests an NRC staff review in accordance with Section C.2.b, the NPUFOL 33 staff will generally complete its review, as follows, within 45 days after receiving the request.

34 35

a.

The NPUFOL staff will determine whether to (1) review the request internally or 36 (2) convene a three-person board to review the request. A board will normally comprise 37 a BC and two examiners or subject matter experts, all of whom must not have been 38 involved with the applicants licensing examination.

39 40 For written examinations, the review will generally focus only on those questions that the 41 applicant is contesting. The review shall evaluate the original grading of the applicants 42 (or applicants) examination(s), the reference material supplied by the facility licensee, 43 and the contentions and supporting documentation provided by the applicant(s). If there 44 are multiple review requests, all question deletions and answer key changes will be 45 applied equally to each requestors examination, without regard to who submitted the 46 request. Moreover, in those rare instances when a generic finding results in a change to 47 an answer key (e.g., failure to provide a printout or other reference necessary to answer 48

ES 5.24 of 12 a question), the corrective action may be applied, as appropriate, to adjust the grading of 1

other questions that were not contested.

2 3

For operating tests, the review shall evaluate the examiners comments, the examination 4

report, the test that was administered, and the contentions and supporting 5

documentation provided by the applicant or facility licensee (e.g., reactor system 6

descriptions, operating procedures, logs, chart recorder traces, process computer 7

printouts, etc.).

8 9

b.

Based on the findings and recommendations from the review, the NPUFOL staff will 10 decide whether to sustain or overturn the applicants license examination failure. The 11 NPUFOL staff will then notify the applicant in writing of the results of the review. If the 12 review leads the NPUFOL staff to sustain the proposed denial, the applicant may then 13 demand a hearing pursuant to 10 CFR 2.103(b)(2).

14 15

c.

If the proposed denial is overturned, then the NPUFOL staff will review the examination 16 results of the other applicants to determine whether any of the licensing decisions are 17 affected and update the master examination file to reflect any test item deletions or 18 answer key changes.

19 20 G. Notes 21 22 (1)

A BC or above will sign all letters informing an applicant of an examination failure or an 23 application denial. The BC will include the appropriate licensing assistant on distribution 24 for all correspondence generated according to this standard.

25 26 (2)

All facility licensee representatives who signed the license applications will be sent 27 copies of all external correspondence generated because of this standard.

28 29 (3)

The BC is responsible for informing management of NRC staff review requests and 30 hearing demands from license applicants.

31 32 (4)

All correspondence referenced in this standard will be sent to the applicant via certified 33 mail, with return receipt requested.

34 35 H. Attachments/Forms 36 37, Sample License Notification Letter (from Division Director) 38, Proposed License Denial Letter (from Division Director) 39, Initial Application Denial Letter (from Division Director) 40

ES 5.25 of 12 ATTACHMENT 1 1

SAMPLE LICENSE NOTIFICATION LETTER 2

3

[NRC Letterhead]

4 5

[Date]

6 7

8

[Applicant Name]

9

[Street Address]

10

[City, State Zip Code]

11 12

Dear [Applicants Name]:

13 14 In response to your letter dated [postmarked date], the U.S. Nuclear Regulatory Commission 15 (NRC) staff has reviewed the results of the [operating test, written examination, or operating test 16 and written examination] taken by you on [date(s)], in connection with your application for a 17

[reactor operator or senior reactor operator] license for the [facility name]. Upon review of the 18 additional information that you supplied, the staff has determined that you passed the [operating 19 test, written examination, or operating test and written examination].

20 21 The NRC will issue you a [reactor operator or senior reactor operator] license, pursuant to 22 Title 10 of the Code of Federal Regulations 55.51, Issuance of licenses, in a separate letter.

23 24 For your information, I am enclosing a copy of the NRC staffs resolution of each of your 25 comments. If you have any questions, please contact [name] at [telephone number] or by email 26 at [email address].

27 28 Sincerely, 29 30 31

[Division Director with Program Responsibility]

32 Office of Nuclear Reactor Regulation 33 34 35 Docket No. 55-[number]

36 37

Enclosure:

As stated 38 cc w/o enclosure: [senior management facility representative who signed the applicants NRC 39 Form 398]

40 cc w/enclosure: [Training representative who signed the applicants NRC Form 398]

41 42 CERTIFIED MAILRETURN RECEIPT REQUESTED 43 44 45

ES 5.26 of 12 ATTACHMENT 2 1

PROPOSED LICENSE DENIAL LETTER 2

3

[NRC Letterhead]

4

[Date]

5

[Applicant Name]

6

[Street Address]

7

[City, State Zip Code]

8 9

Dear [Applicants Name]:

10 11 In response to your letter dated [postmarked date], the U.S. Nuclear Regulatory Commission 12 (NRC) staff has reviewed the results of the [operating test, written examination, or operating test 13 and written examination] taken by you on [date(s)], in connection with your application for a 14

[reactor operator or senior reactor operator] license for the [facility name]. Upon review of the 15 additional information that you supplied, the staff has determined that you did not pass the 16

[operating test, written examination, or operating test and written examination]. The results of 17 the review are provided in the enclosed report. Consequently, the results of your [operating test, 18 written examination, or operating test and written examination] now become the final results and 19 a denial of your license application.

20 21 Under Title 10 of the Code of Federal Regulations (10 CFR) 55.33, Disposition of an initial 22 application, the NRC will approve an initial application for [a reactor operator license or a senior 23 reactor operator license] if it finds that (1) the applicants medical condition and general health 24 will not adversely affect the performance of assigned operator job duties or cause operational 25 errors endangering public health and safety and (2) the applicant has passed the requisite 26 written examination and operating test. Your application was denied because the NRC 27 determined that you did not pass [the written examination, the operating test, or either the 28 written examination or the operating test].

29 30 Under 10 CFR 55.35, Re-applications, you may file a new application [2/6/24] months after the 31 date of this letter.

32

[Because you passed the written examination but did not pass the operating test, you may 33 request, in the new application, to be excused from retaking the written examination. The NRC 34 may grant this request at the agencys discretion if it determines that sufficient justification is 35 presented.]

36

OR [Because you passed the operating test but did not pass the written examination, you may 37 request, in the new application, to be excused from reexamination on the operating test. The 38 NRC may grant this request at the agencys discretion if it determines that sufficient justification 39 is presented.]

40

- OR [Because you did not pass either the written examination or the operating test, you will be 41 required to retake both the written examination and the operating test.]

42 43 Under 10 CFR 2.103(b)(2), you may demand a hearing on this denial of your application within 44 20 days after the date of this letter. Under 10 CFR 2.307(a), you may request an extension of 45 this time limit if you can show good cause. A demand for a hearing shall be filed in accordance 46 with 10 CFR Part 2, Agency Rules of Practice and Procedure, which is accessible 47 electronically from the NRC Library on the NRCs website at https://www.nrc.gov/reading-48

ES 5.27 of 12 rm/doc-collections/cfr/. Generally, a demand for a hearing should explain why you believe that 1

the NRCs denial of your application was in error and why you believe that you have, in fact, 2

satisfied the requirements for license issuance.

3 4

[Consult with the Office of the General Counsel for the most up-to-date E-Filing language.]

5 6

A demand for a hearing must be filed in accordance with the NRCs E-Filing rule (Volume 72 of 7

the Federal Register, page 49139; August 28, 2007). The E-Filing process requires participants 8

to submit and serve all adjudicatory documents over the internet, or in some cases, to mail 9

copies on electronic storage media. Detailed guidance on making electronic submissions may 10 be found in the Guidance for Electronic Submissions to the NRC and on the NRC website at 11 https://www.nrc.gov/site-help/e-submittals.html. Participants may not submit paper copies of 12 their filings unless they seek an exemption in accordance with the procedures described below.

13 14 To comply with the procedural requirements of E-Filing, at least 10 days before the filing 15 deadline, the participant should contact the Office of the Secretary by email at 16 hearing.docket@nrc.gov or by telephone at 301-415-1677 to (1) request a digital identification 17 (ID) certificate, which allows the participant (or its counsel or representative) to digitally sign 18 submissions and access the E-Filing system for any proceeding in which it is participating and 19 (2) advise the Secretary that the participant will be submitting a demand for a hearing. Based on 20 this information, the Secretary will establish an electronic docket for the hearing in this 21 proceeding if the Secretary has not already established an electronic docket.

22 23 Information about applying for a digital ID certificate is available on the NRCs public website at 24 https://www.nrc.gov/site-help/e-submittals/getting-started.html. Once a participant has obtained a 25 digital ID certificate and a docket has been created, the participant can then submit a demand for a 26 hearing. Submissions must be in Portable Document Format (PDF). Additional guidance on PDF 27 submissions is available on the NRCs public website at https://www.nrc.gov/sitehelp/electronic-28 sub-ref-mat.html. A filing is considered complete at the time the document is submitted through the 29 NRCs E-Filing system. To be timely, an electronic filing must be submitted to the E-Filing system 30 no later than 11:59 p.m. eastern time on the due date. Upon receipt of a transmission, the E-Filing 31 system time-stamps the document and sends the submitter an email notice confirming receipt of 32 the document. The E-Filing system also distributes an email notice that provides access to the 33 document to the NRCs Office of the General Counsel and any others who have advised the Office 34 of the Secretary that they wish to participate in the proceeding, so that the filer need not serve the 35 document on those participants separately. Therefore, applicants and other participants (or their 36 counsel or representative) must apply for and receive a digital ID certificate before adjudicatory 37 documents are filed so that they can obtain access to the documents through the E-Filing system.

38 39 A person filing electronically using the NRCs adjudicatory E-Filing system may seek assistance 40 by contacting the NRCs Electronic Filing Help Desk through the Contact Us link located on the 41 NRCs public website at https://www.nrc.gov/site-help/e-submittals.html, by email to 42 MSHD.Resource@nrc.gov, or by a toll-free call to 1-866-672-7640. The NRC Electronic Filing 43 Help Desk is available between 9 a.m. and 6 p.m. eastern time, Monday through Friday, 44 excluding Federal Government holidays. Participants who believe that they have a good cause 45 for not submitting documents electronically must file an exemption request, in accordance 46 with 10 CFR 2.302(g), with their initial paper filing stating why there is good cause for not filing 47 electronically and requesting authorization to continue to submit documents in paper format.

48

ES 5.28 of 12 Such filings must be submitted by (1) first-class mail addressed to the Office of the Secretary of 1

the Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, 2

Attention: Rulemaking and Adjudications Staff, or (2) courier, express mail, or expedited delivery 3

service to the Office of the Secretary, 11555 Rockville Pike, Rockville, MD 20852, 4

Attention: Rulemaking and Adjudications Staff. Participants filing adjudicatory documents in this 5

manner are responsible for serving the document on all other participants. Filing is considered 6

complete by first-class mail as of the time of deposit in the mail, or by courier, express mail, or 7

expedited delivery service upon depositing the document with the provider of the service. A 8

presiding officer, having granted an exemption request from using E-Filing, may require a 9

participant or party to use E-Filing if the presiding officer subsequently determines that the 10 reason for granting the exemption from use of E-Filing no longer exists.

11 12 Documents submitted in adjudicatory proceedings will appear in the NRCs electronic hearing 13 docket, which is available to the public at https://adams.nrc.gov/ehd, unless excluded pursuant 14 to an order of the Commission or the presiding officer. If you do not have an NRC-issued digital 15 ID certificate as described above, click cancel when the link requests certificates, and you will 16 be automatically directed to the NRCs electronic hearing dockets where you will be able to 17 access any publicly available documents in a particular hearing docket. Participants are asked 18 not to include personal privacy information, such as Social Security numbers, home addresses, 19 or personal phone numbers in their filings, unless an NRC regulation or other law requires 20 submission of such information. For example, in some instances, individuals provide home 21 addresses to demonstrate proximity to a facility or site. With respect to copyrighted works, 22 except for limited excerpts that serve the purpose of the adjudicatory filings and would constitute 23 a Fair Use application, participants are requested not to include copyrighted materials in their 24 submission.

25 26 Failure on your part to demand a hearing within 20 days constitutes a waiver of your right to 27 demand a hearing and, for the purpose of reapplication under 10 CFR 55.35, renders this letter 28 a notice of final denial of your application, effective as of the date of this letter.

29 30 If you have any questions, please contact [name] at [telephone number] or by email at [email 31 address].

32 33 Sincerely, 34 35 36 37

[Division Director with Program Responsibility]

38 Office of Nuclear Reactor Regulation 39 40 Docket No. 55-[number]

41 42

Enclosure:

As stated 43 cc w/o enclosure: [senior management facility representative who signed the applicants NRC 44 Form 398]

45 cc w/enclosure: [Training representative who signed the applicants NRC Form 398]

46 47

ES 5.29 of 12 CERTIFIED MAILRETURN RECEIPT REQUESTED 1

2 Use for initial reactor operator or senior reactor operator license applicants who passed either the 3

written examination or the operating test but failed the other.

4 Use for applicants who failed both the written examination and the operating test.

5

ES 5.210 of 12 ATTACHMENT 3 1

INITIAL APPLICATION DENIAL LETTER 2

3

[NRC Letterhead]

4

[Date]

5 6

[Applicant Name]

7

[Street Address]

8

[City, State Zip Code]

9 10

Dear [Applicants Name]:

11 12 In response to your letter dated [postmarked date], the U.S. Nuclear Regulatory Commission 13 (NRC) staff has reviewed the denial of your application for a [reactor operator or senior reactor 14 operator] license. Upon review of the additional information that you supplied, the staff has 15 determined that you still do not meet the eligibility requirements.

16 17

[Discussion of deficiencies with reference to relevant parts of Title 10 of the Code of Federal 18 Regulations (10 CFR) 55.31, ES 2.2, or an NRC-approved facility training program]. When you 19 have met the requirements of Title 10 of the Code of Federal Regulations (10 CFR) 55.31, How 20 to apply, you may submit another application.

21 22 Under 10 CFR 2.103(b)(2), you may demand a hearing on this denial of your application within 23 20 days after the date of this letter. Under 10 CFR 2.307(a), you may request an extension of 24 this time limit if you can show good cause. A demand for a hearing shall be filed in accordance 25 with 10 CFR Part 2, Agency Rules of Practice and Procedure, which is accessible 26 electronically from the NRC Library on the NRCs website at https://www.nrc.gov/reading-27 rm/doc-collections/cfr/. Generally, a demand for a hearing should explain why you believe that 28 the NRCs denial of your application was in error and why you believe that you have, in fact, 29 satisfied the requirements for license issuance.

30 31

[Consult with the Office of the General Counsel for the most up-to-date E-Filing language.]

32 33 A demand for a hearing must be filed in accordance with the NRCs E-Filing rule (Volume 72 of 34 the Federal Register, page 49139; August 28, 2007). The E-Filing process requires participants 35 to submit and serve all adjudicatory documents over the internet or, in some cases, to mail 36 copies on electronic storage media. Detailed guidance on making electronic submissions may 37 be found in the Guidance for Electronic Submissions to the NRC and on the NRC website at 38 https://www.nrc.gov/site-help/e-submittals.html. Participants may not submit paper copies of 39 their filings unless they seek an exemption in accordance with the procedures described below.

40 41 To comply with the procedural requirements of E-Filing, at least 10 days before the filing 42 deadline, the participant should contact the Office of the Secretary by email at 43 hearing.docket@nrc.gov or by telephone at 301-415-1677 to (1) request a digital identification 44 (ID) certificate, which allows the participant (or its counsel or representative) to digitally sign 45 submissions and access the E-Filing system for any proceeding in which it is participating and 46 (2) advise the Secretary that the participant will be submitting a demand for a hearing. Based on 47

ES 5.211 of 12 this information, the Secretary will establish an electronic docket for the hearing in this 1

proceeding if the Secretary has not already done so.

2 3

Information about applying for a digital ID certificate is available on the NRCs public website at 4

https://www.nrc.gov/site-help/e-submittals/getting-started.html. Once a participant has obtained a 5

digital ID certificate and a docket has been created, the participant can then submit a demand for a 6

hearing. Submissions must be in Portable Document Format (PDF). Additional guidance on PDF 7

submissions is available on the NRCs public website at https://www.nrc.gov/sitehelp/electronic-8 sub-ref-mat.html. A filing is considered complete at the time the document is submitted through the 9

NRCs E-Filing system. To be timely, an electronic filing must be submitted to the E-Filing system 10 no later than 11:59 p.m. eastern time on the due date. Upon receipt of a transmission, the E-Filing 11 system time-stamps the document and sends the submitter an email notice confirming receipt of 12 the document. The E-Filing system also distributes an email notice that provides access to the 13 document to the NRCs Office of the General Counsel and any others who have advised the Office 14 of the Secretary that they wish to participate in the proceeding, so that the filer need not serve the 15 document on those participants separately. Therefore, applicants and other participants (or their 16 counsel or representative) must apply for and receive a digital ID certificate before adjudicatory 17 documents are filed so that they can obtain access to the documents through the E-Filing system.

18 19 A person filing electronically using the NRCs adjudicatory E-Filing system may seek assistance 20 by contacting the NRCs Electronic Filing Help Desk through the Contact Us link located on the 21 NRCs public website at https://www.nrc.gov/site-help/e-submittals.html, by email to 22 MSHD.Resource@nrc.gov, or by a toll-free call to 1-866-672-7640. The NRC Electronic Filing 23 Help Desk is available between 9 a.m. and 6 p.m. eastern time, Monday through Friday, 24 excluding Federal Government holidays. Participants who believe that they have a good cause 25 for not submitting documents electronically must file an exemption request, in accordance with 26 10 CFR 2.302(g), with their initial paper filing stating why there is good cause for not filing 27 electronically and requesting authorization to continue to submit documents in paper format.

28 Such filings must be submitted by (1) first-class mail addressed to the Office of the Secretary of 29 the Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention:

30 Rulemaking and Adjudications Staff, or (2) courier, express mail, or expedited delivery service 31 to the Office of the Secretary, 11555 Rockville Pike, Rockville, MD 20852, Attention:

32 Rulemaking and Adjudications Staff. Participants filing adjudicatory documents in this manner 33 are responsible for serving the document on all other participants. Filing is considered complete 34 by first-class mail as of the time of deposit in the mail, or by courier, express mail, or expedited 35 delivery service upon depositing the document with the provider of the service. A presiding 36 officer, having granted an exemption request from using E-Filing, may require a participant or 37 party to use E-Filing if the presiding officer subsequently determines that the reason for granting 38 the exemption from use of E-Filing no longer exists.

39 40 Documents submitted in adjudicatory proceedings will appear in the NRCs electronic hearing 41 docket, which is available to the public at https://adams.nrc.gov/ehd, unless excluded pursuant 42 to an order of the Commission or the presiding officer. If you do not have an NRC-issued digital 43 ID certificate as described above, click cancel when the link requests certificates, and you will 44 be automatically directed to the NRCs electronic hearing dockets where you will be able to 45 access any publicly available documents in a particular hearing docket. Participants are asked 46 not to include personal privacy information, such as Social Security numbers, home addresses, 47 or personal phone numbers in their filings, unless an NRC regulation or other law requires 48

ES 5.212 of 12 submission of such information. For example, in some instances, individuals provide home 1

addresses to demonstrate proximity to a facility or site. With respect to copyrighted works, 2

except for limited excerpts that serve the purpose of the adjudicatory filings and would constitute 3

a Fair Use application, participants are requested not to include copyrighted materials in their 4

submission.

5 6

Failure on your part to demand a hearing within 20 days constitutes a waiver of your right to 7

demand a hearing and, for the purpose of reapplication under 10 CFR 55.35, renders this letter 8

a notice of final denial of your application, effective as of the date of this letter.

9 10 If you have any questions, please contact [name] at [telephone number] or by email at [email 11 address].

12 13 Sincerely, 14 15 16

[Division Director with Program Responsibility]

17 Office of Nuclear Reactor Regulation 18 19 Docket No. 55-[number]

20 21

Enclosure:

As stated 22 cc w/o enclosure: [senior management facility representative who signed the applicants NRC 23 Form 398]

24 cc w/enclosure: [Training representative who signed the applicants NRC Form 398]

25 26 CERTIFIED MAILRETURN RECEIPT REQUESTED 27 28

ES 6.11 of 21 6.0 REQUALIFICATION EXAMINATIONS AND OTHER LICENSE 1

ACTIONS 2

6.1 REQUALIFICATION EXAMINATION ADMINISTRATION 3

4 A. Purpose 5

6 This standard describes the methods to be used to prepare, conduct, and grade requalification 7

examinations meeting the provisions of 10 CFR 55.59(a)(2)(iii) and 10 CFR 55.59(c)(7). The 8

standard can be applied to a facility licensee where all licensed operators have lost proficiency 9

and are no longer in compliance with the requalification program due to an extended shutdown.

10 11 This standard also describes the methods to be used to evaluate the facility licensees 12 requalification program. The standard can be applied to facility licensees when the NRC has lost 13 confidence in the licensees ability to conduct its own examinations. Situations that could result 14 in a for cause requalification examination are significant operator errors, poor requalification 15 inspection results, and allegations of significant training program deficiencies.

16 17 B. General 18 19 If the standard is being applied following an extended shutdown, the NRC staff will develop the 20 requalification examination. The examination should be based on the NRC-approved 21 requalification program. The examination will consist of a written examination and an operating 22 test. A regularly scheduled biennial written examination may be substituted for the written 23 examination if it meets this standard.

24 25 If the standard is being applied for cause, if possible, a team of both NRC staff and facility 26 licensee staff should develop requalification examinations. The examination will be based on the 27 NRC-approved requalification program. Simultaneous evaluation of operator performance by 28 the facility licensee and the NRC will allow the NRC to assess both individual and program 29 performance. The examination will consist of a written examination and an operating test. A 30 regularly scheduled biennial written examination may be substituted for the written examination 31 if it meets this standard.

32 33 C. Examination Schedule 34 35 (1)

At least 90 days before examination administration, the NRC will notify the facility 36 licensee of the decision to administer an NRC requalification examination. When 37 appropriate, the NRC may ask whether the facility licensee has the resources to prepare 38 the written examination, the operating tests, or both. If the facility licensee commits to 39 preparing any part of the examination, the NRC will schedule a site visit to explain the 40 examination process and answer any questions that the facility licensee may have. The 41 NRC will also send the facility a letter in the format of the Confirmation Letter in 42 to this standard.

43 44 (2)

At least 60 days before examination administration, the facility licensee will send to the 45 NRC reference material (including its examination bank, if available). The NRC will 46 evaluate the material for adequacy. The facility licensee will identify the following:

47 48 systems covered during the requalification cycle 49

ES 6.12 of 21 new or recently modified systems 1

fuel accountability and handling 2

building and pre-startup requirements 3

experiment handling 4

radiation monitoring and control 5

other systems and procedures required for the safe operation of the facility 6

7 Where appropriate, the facility licensee will also provide a list of operators to be 8

examined and the names of any facility licensee staff assigned to the examination team.

9 The facility licensee staff will provide technical assistance in the development and review 10 of the written examination questions and the operating tests. Normally, the facility 11 licensee staff will act as the facility evaluators during the operating tests.

12 13 (3)

At least 30 days before the examination administration date, the facility licensee should 14 provide to the NRC any portions of the requalification examination that it has committed 15 to preparing. The NRC will evaluate the adequacy of the material and any examinations 16 prepared by the facility licensee. Also, the CE will reconfirm the schedule and 17 recommend any changes as necessary. The NRC reserves the right to reschedule the 18 examination if it finds the materials or examinations supplied by the facility licensee to be 19 inadequate.

20 21 D. Examination Preparation 22 23

1. Written Examination Preparation 24 25 The written examination will be a closed reference three-section examination and will be written 26 at the RO knowledge level.

27 28 Section A tests the operators knowledge of reactor theory, thermodynamics, and facility 29 operating characteristics. Section B tests the operators knowledge of normal, abnormal, and 30 emergency procedures, and administrative controls (including technical specifications, the 31 emergency plan, administrative procedures, and radiological procedures). Section C tests the 32 operators knowledge of facility systems, with the focus on systems applicable to reactor 33 operations (i.e., process and radiological monitoring).

34 35 The examination author should prepare 20 questions per section. Questions should come from 36 the facilitys requalification examination bank, with appropriate references. The questions should 37 be objective (i.e., multiple choice or matching).

38 39

2. Written Examination Reviews 40 41 The entire examination team will review the written examination, evaluating each question for 42 appropriateness, technical accuracy, and clarity. The examination team must repeat this 43 evaluation for any changes made as a result of this review.

44 45

3. Operating Test Preparation 46 47 The operating test is open reference. Each operator will be evaluated on their ability to complete 48 a minimum of five tasks satisfactorily. The operating tests will differentiate between RO and 49 SRO knowledge levels and abilities. An RO is responsible only for RO tasks; an SRO is 50 responsible for all tasks.

51

ES 6.13 of 21 1

Each operator must be tested on at least four different types of tasks (listed below). The 2

examiner may design the tasks to flow from one to the next, such as having the operator 3

perform a startup as the first task, then while critical, simulate an instrument failure as the 4

second task.

5 6

Reactivity task: Tasks that have the operator perform a startup, significant power 7

change, or shutdown.

8 9

Abnormal event: Tasks that have the operator respond to an instrument failure, 10 component failure, radiation monitor alarm, or similar problem.

11 12 Emergency event: Tasks that have the operator respond to events such as a building 13 evacuation, a large reactor pool leak, high-radiation levels, etc.

14 15 Outside event: Tasks that have the operator perform duties outside the control room, 16 such as refueling or surveillance on local radiation monitors.

17 18 Additional tasks will be developed at the discretion of the CE.

19 20 Each task will include at least two questions to be asked at the completion of the task.

21 Questions may be selected from facility question banks or from previously administered NRC 22 examinations. To the maximum extent possible, the questions should have the following 23 characteristics:

24 25 be based on the task or system being operated 26 discriminate between RO and SRO responsibilities, where appropriate 27 emphasize knowledge required for task performance or procedure use and compliance 28 29

4. Operating Test Review 30 31 NRC examiner(s) will evaluate the facility-identified tasks and questions to ensure that the 32 operating test tests knowledge and abilities appropriate for operators at that facility.

33 34 The NRC may substitute any or all of the facility-provided tasks and questions with ones 35 selected or developed by the NRC. However, facility-developed tasks and questions should be 36 used unless they fail to meet NRC standards. The CE has the final authority in deciding 37 operating test content.

38 39 E. Examination Administration 40 41

1. Written Examination 42 43 Either an NRC examiner or a facility licensee staff member will proctor the written examination.

44 The proctor will brief the operators using Attachment 1, Enclosure 3. Operators will have 3 45 hours5.208333e-4 days 0.0125 hours 7.440476e-5 weeks 1.71225e-5 months to complete the written examination.

46 47

2. Operating Test 48 49 Efforts must be made to avoid compromising the integrity of the operating tests. Operators 50 examined on the same day may all perform the same tasks. Operators examined on 51

ES 6.14 of 21 subsequent days must perform a minimum of two tasks that were not previously administered, 1

or the operators must complete a postexamination security agreement. The CE may agree to 2

other reasonable precautions.

3 4

The preferred method for administering operating tests is to have the facility licensee 5

examination team member(s) act as the facility evaluator(s). The facility evaluator(s) should 6

conduct the examination with the NRC examiner observing. If the facility licensee cannot supply 7

a facility evaluator, the NRC examiner will administer the operating tests. NRC examiners may 8

directly ask the operator follow-up questions after task completion. However, to the extent 9

possible, these questions will be asked through the facility evaluator.

10 11 The facility evaluator will brief the operator to be tested using the Briefing Checklist 12 (Attachment 2). If desired, the operators may be briefed as a group before the start of the 13 operating tests.

14 15 Immediately after the operator completes a task, the facility evaluator will ask the two 16 pre-scripted questions associated with the task. The facility evaluator may ask additional 17 questions for clarification or verification of the tasks performed. The questions should not 18 expand the scope of the pre-scripted questions.

19 20 The NRC examiner should review any additional questions asked with the facility evaluator as 21 soon as possible after the tasks are completed.

22 23 Normally, the facility evaluator will observe task performance passively. The facility evaluator 24 should not ask questions or present the next task while the operator is making console control 25 manipulations. New tasks should be presented when the facility is in a steady-state condition.

26 27 The NRC examiner will ensure that the facility evaluator appropriately conducts the operating 28 tests. If the NRC examiner determines that an operating test is inadequate to make a pass/fail 29 determination, the NRC examiner will discuss this concern with the facility evaluator. If the 30 facility evaluators conduct of the tests continues to be unsatisfactory, the NRC examiner may 31 choose to conduct the remainder of the tests with the facility evaluator grading in parallel. If this 32 option is chosen, the CE will be informed at the completion of the individual operating test. As 33 soon as possible after such issues arise, the CE will resolve with facility licensee 34 representatives all unforeseen technical questions or issues that could result in an operator 35 failing the operating test.

36 37 F. Examination Grading 38 39

1. Written Examination 40 41 The facility licensee and NRC evaluators will grade the written examinations independently.

42 Grading should be completed within 5 workdays of examination administration. They will record 43 the grades on Form ES-6.1-2, Examination Cover Sheet.

44 45 Each operator must achieve a score of at least 70 percent overall as graded by the NRC to pass 46 the written examination. A score of less than 70 percent on one section is not a failure but 47 indicates an area requiring remedial action by the facility licensee.

48 49 If a regularly scheduled biennial written examination is substituted, the NRC staff should review 50 the examination and grading to ensure that it meets this standard.

51

ES 6.15 of 21 1

2. Operating Test 2

3

a.

Deficiencies will be recorded using Form ES-6.1-1, Requalification Examination 4

Operating Test Record. Typically, significant deficiencies will be associated with critical 5

steps. Critical steps are those steps that, when not performed correctly, in the proper 6

sequence, or at the proper time, will prevent the system from functioning properly or 7

preclude successful completion of the task. Additional critical steps for a task may be 8

identified because of unanticipated operator actions. These will be identified and 9

conflicts resolved in the same manner as the original critical steps (see paragraph D.4).

10 11

b.

If an operator incorrectly performs or fails to perform a critical step, the task may be 12 graded as unsatisfactory if the deficiency jeopardizes the safety of the facility or has a 13 significant safety impact on the public. Failure to perform, or incorrect performance of, 14 two or more critical steps will result in failure of the task.

15 16

c.

Each operator must successfully complete at least 70 percent of the tasks and correctly 17 answer at least 70 percent of the pre-scripted task questions to pass the test.

18 19

d.

The NRC will notify the facility licensee immediately of any operator whose performance 20 requires immediate removal from licensed duties.

21 22 G. Requalification Program Evaluation 23 24 The NRC will evaluate the facility requalification program for any deficiencies or weaknesses 25 based on written examination and operating test adequacy and operator performance. The wide 26 variance in staff sizes and the small number of operators that will typically be examined 27 precludes performing a statistical evaluation of the program. However, if the NRC notes any of 28 the following items during the examination and tests, it will consider a subsequent evaluation of 29 the program:

30 31 (1)

More than 50 percent of the operators fail the examination (when four or more operators 32 are evaluated).

33 34 (2)

Facility licensee staff grading results in more than one candidate passing the 35 examination that the NRC staff believed should have failed (e.g., disagreement on the 36 pass/fail results).

37 38 (3)

The facility evaluator is unable to administer a satisfactory operating test (e.g., leads the 39 operator, cues by providing answers, or performs steps for the operator).

40 41 H. Actions for Requalification Program Deficiencies 42 43 The NRC will consider the following actions for any facility requalification program deficiencies:

44 45 (1)

Request that the facility licensee review program deficiencies and identify corrective 46 actions to improve operator performance.

47 48 (2)

Meet with senior facility licensee management to review program deficiencies, determine 49 root causes, propose corrective actions, and develop a schedule for implementing 50 corrective actions and follow-up inspections and examinations.

51

ES 6.16 of 21 1

(3)

Determine the following:

2 3

a.

the significance of generic deficiencies identified during the program evaluation 4

b.

how recent facility events relate to licensed operator performance 5

6 (4)

Develop NRC recommendations.

7 8

Additional actions may be taken at the discretion of the Director of the Office of Nuclear Reactor 9

Regulation or the Directors designee.

10 11 I. Final Requalification Program Evaluation Report 12 13 A final Form ES-6.1-3, Research and Test Reactor Requalification Results Summary Sheet, 14 will be prepared when the grading of requalification examinations has been completed. A 15 complete copy of the report will be filed in the facility examination file.

16 17 J. Individual Requalification Examination Report 18 19 Form ES-6.1-4, Individual Requalification Examination Report, is filled out for each operator 20 that received an NRC requalification examination. This report (original) is filed in the operators 21 electronic docket folder, with a copy sent to the facility licensee and a copy filed in the facility 22 examination file.

23 24 K. Record Retention 25 26 (1)

When the requalification evaluation has been completed, the facility licensee will receive 27 a copy of all NRC-administered written examinations and operating tests.

28 29 (2)

Material related to an examination will be retained as necessary. This includes the 30 following:

31 32

a.

examination cover page for all examinations 33

b.

the portions of the examination that resulted in failure 34 35 (3)

Examination Security 36 37 To ensure examination security, the facility licensee staff will be asked to follow 38 examination security restrictions. These restrictions begin with the first review of the 39 examination and continue until the examination is concluded. Each facility licensee staff 40 member will be required to sign the Preexamination Security Agreement 41 (Attachment 1, Enclosure 4) before reviewing the actual examination and the 42 Postexamination Security Agreement at the conclusion of the examination process 43 (Attachment 1, Enclosure 4).

44 45

ES 6.17 of 21 L. Attachments/Forms 1

2, Confirmation Letter 3, Briefing ChecklistOperating Test Tasks 4

Form ES-6.1-1, Requalification Examination Operating Test Record 5

Form ES-6.1-2, Examination Cover Sheet 6

Form ES-6.1-3, Research and Test Reactor Requalification Results Summary Sheet 7

Form ES-6.1-4, Individual Requalification Examination Report 8

ES 6.18 of 21 ATTACHMENT 1 1

CONFIRMATION LETTER 2

3

[NRC Letterhead]

4

[Date]

5 6

[Name, Title]

7

[Street Address]

8

[City, State Zip Code]

9 10

SUBJECT:

EXAMINATION CONFIRMATION LETTER, 50-[NUMBER]/OL-YY-NN, 11

[FACILITY NAME]

12 13

Dear [Name]:

14 15 This letter confirms arrangements [I or examiner name] have made with [you or facility contact]

16 for the administration of requalification examinations at the [facility]. The written examination 17 and operating tests, scheduled for the week of [date], will be performed according to 18 Examination Standard 6.1 in NUREG-1478, Revision 3, Operator Licensing Examiner 19 Standards for Research and Test Reactors. You should have a copy of this standard.

20 21 Please furnish the material listed in Enclosure 1, Reference Material Requirements, at 22 least 60 days before the examination date to the following address:

23 24 ATTN: [Chief Examiner]

25

[Appropriate Mail Stop]

26 U.S. Nuclear Regulatory Commission 27 11555 Rockville Pike 28 Rockville, MD 20852-2738 29 30 Failure to supply the reference material may result in a postponement of the examination. You 31 may volunteer to submit a written examination and/or operating test for use during the 32 examination week in addition to the material requirements of Enclosure 1. Submission of a 33 written examination and/or operating test is optional. However, if you do submit a written 34 examination and/or operating test, those personnel who developed it will be subject to the 35 security restrictions described below.

36 37 Facility licensees can submit reference material either electronically or in hard copy. All 38 procedures and reference materials should contain appropriate indices or tables of contents so 39 that they can be used efficiently, and a master table of contents should be provided for all 40 materials sent. Also, all electronic documents should be text searchable. Failure to provide 41 complete and indexed or text searchable reference materials may prompt the U.S. Nuclear 42 Regulatory Commission (NRC) to return the materials to the person at the highest level of 43 corporate management responsible for reactor operations. The NRC will include a cover letter 44 with the returned reference materials explaining the deficiencies in the materials and the basis 45 for postponing or canceling the examinations, as appropriate.

46 47 The facility licensee should provide at least one employee to complete the examination team.

48 These employees should be licensed or previously licensed senior reactor operators at your 49 facility or a similar facility. These individuals must not be scheduled for an examination 50

ES 6.19 of 21 administered by the NRC during this visit. These facility licensee representative(s) must sign a 1

security agreement (Enclosure 4).

2 The facility licensee representative(s) may continue to train operators with the understanding 3

that they will not describe details of the examination, either in scope or content. Should 4

questions arise that are on the examination, the facility licensee representatives may answer 5

them provided that they give no indication that the question is on the examination.

6 7

You are responsible for providing adequate accommodations to properly conduct the 8

examinations. Enclosure 2, Administration of Requalification Examinations, describes NRC 9

requirements for conducting the examinations. Enclosure 3 contains the NRC Rules and 10 Guidance for Examinees that will be in effect during the administration of the written 11 examination. You are responsible for ensuring that all operators are aware of these rules.

12 13 Paperwork Reduction Act Statement 14 15 This letter contains information collection requirements that are subject to the Paperwork 16 Reduction Act of 1995 (44 U.S.C. 3501 et seq.). These information collections were approved 17 by the Office of Management and Budget (OMB), approval numbers 3150-0018, 3150-0024, 18 and 3150-0090. The burden to the public for these mandatory information collections is 19 estimated to average 7.45 hours5.208333e-4 days 0.0125 hours 7.440476e-5 weeks 1.71225e-5 months per combined response for completing the information 20 collections. Send comments regarding this burden estimate or any other aspect of these 21 information collections, including suggestions for reducing the burden, to the Records and 22 Freedom of Information Act/Privacy Services Branch (T-5 F52), U.S. Nuclear Regulatory 23 Commission, Washington, DC 20555-0001, or by email to Infocollects.Resource@nrc.gov; and 24 to the Desk Officer, Office of Information and Regulatory Affairs, NEOB-10202 (3150-0018),

25 Office of Management and Budget, Washington, DC 20503. The NRC may not conduct or 26 sponsor, and a person is not required to respond to, a request for information or an information 27 collection requirement unless the requesting document displays a currently valid OMB control 28 number.

29 30 If you have any questions on the examination process, please contact me at [telephone] or by 31 email at [email address]

32 33 Sincerely, 34 35 36

[Appropriate Branch Chief or Program Director or Above]

37

[Appropriate Branch]

38

[Appropriate Division]

39 Office of Nuclear Reactor Regulation 40 41 Docket No. 50-[number]

42 43

Enclosures:

44

1.

Reference Material Requirements 45

2.

Administration of Requalification Examinations 46

ES 6.110 of 21

3.

NRC Rules and Guidance for Examinees 1

4.

Security Agreements 2

3 cc w/enclosures:

4

[Name], Reactor Supervisor 5

ES 6.111 of 21 ENCLOSURE 1 1

REFERENCE MATERIAL REQUIREMENTS 2

3 Test items to support all aspects of the requalification examination must be provided to the 4

U.S. Nuclear Regulatory Commission (NRC) 60 days before the examination date. These may 5

include the following:

6 7

(1)

Existing learning objectives, student handouts, and lesson plans (including training 8

manuals, facility orientation manual, system descriptions, reactor theory, and 9

thermodynamics principles).

10 11 Training materials should include all substantive written material used for the 12 requalification training of reactor operators (ROs) and senior reactor operators (SROs).

13 The written material should include learning objectives, if available, and the details 14 presented during lectures, rather than outlines. Training materials should be identified, 15 bound, and indexed. If hard copy material or electronic media that do not allow 16 copy/paste from the reference to the written examination are provided, examination 17 development may take longer and thereby result in schedule delays. Training materials 18 that include the following should be provided:

19 20 System descriptions including those for all operationally relevant flowpaths, 21 components, controls, and instrumentation. System training material should draw 22 parallels to the actual procedures used for operating and to the applicable 23 system.

24 25 Complete and operationally useful descriptions of all safety system interactions 26 and secondary interactions under emergency and abnormal conditions (including 27 consequences of anticipated operator error, maintenance error, and equipment 28 failure).

29 30 Training material used to clarify and strengthen understanding of emergency 31 operating procedures.

32 33 (2)

Complete procedure index (including temporary procedures).

34 35 (3)

All administrative procedures applicable to reactor operation or safety.

36 37 (4)

All integrated facility procedures, normal or general operating procedures, and 38 procedures for experiments.

39 40 (5)

All emergency procedures, emergency instructions, and abnormal or special procedures.

41 42 (6)

Standing orders or procedures changed by reactor supervision and important orders or 43 changes that are safety related and may supersede the regular procedures.

44 45 (7)

Applicable procedures (procedures that are run frequently).

46 47 (8)

Fuel-handling and core-loading procedures and initial core-loading procedures, when 48 appropriate.

49 50 (9)

Any annunciator or alarm procedures, as applicable.

51

ES 6.112 of 21 (10)

Radiation protection manual and radiation control manual or procedures.

1 2

(11)

Emergency plan and any emergency plan implementing procedures.

3 4

(12)

Technical specifications and interpretations, if available.

5 6

(13)

System operating procedures, including experiments.

7 8

(14)

Piping and instrumentation diagrams, electrical single-line diagrams, or flow diagrams, 9

as applicable.

10 11 (15)

Technical data book, facility curve information, or both as used by operators and facility 12 precautions, limitations, and setpoints.

13 14 (16)

Questions and answers specific to the facility training program, which may be used in 15 the written examination or operating test (if voluntarily provided by facility licensee).

16 17 (17)

Additional material as requested by the examiners to develop examinations that meet 18 regulations and the operator licensing examiner standards for research and test 19 reactors.

20 21 The above reference material should be the approved final issuances and marked as such. If a 22 facility licensee has not finalized some of the material, then the chief examiner should verify with 23 the facility licensee that the most complete, up-to-date materials are available and reach an 24 agreement with the facility licensee on limiting changes before the administration of the 25 examination.

26

ES 6.113 of 21 ENCLOSURE 2 1

ADMINISTRATION OF REQUALIFICATION EXAMINATIONS 2

3 (1)

The facility licensee shall provide a single room for the written examination. The location 4

of this room and supporting restroom facilities shall be chosen to minimize contact with 5

other facility personnel for the duration of the examination.

6 7

(2)

The chief examiner (CE) will ascertain that the facility provides the minimum spacing 8

required to ensure examination integrity. Minimum spacing consists of one examinee per 9

table and a 3-foot space between tables. No wall charts, models, or other training 10 materials shall be present in the examination room, unless with CE approval.

11 12 (3)

The CE will provide reference material as needed for the examination.

13 14 (4)

An attempt will be made to distinguish between reactor operator and senior reactor 15 operator knowledge and abilities to the extent that the facility training materials support 16 such a distinction.

17 18 (5)

Prudent scheduling of the activities for examination week is important to help alleviate 19 undue stress on the operators. Your training staff and the CE should work very closely in 20 formulating a schedule that does not result in excessive delays of individuals being 21 administered their examination.

22

ES 6.114 of 21 ENCLOSURE 3 1

NRC RULES AND GUIDANCE FOR EXAMINEES 2

3 (1)

Examinees may bring pens, pencils, and calculators into the examination room. Black 4

ink or dark pencils should be used for writing answers to questions. An examiner must 5

verify that calculators that have memory or storage capacity are cleared or empty before 6

the examination. Examinees shall not bring tablets, cell phones, or other 7

communications or electronic devices or recorders into the examination room.

8 9

(2)

Print your name in the blank provided on the cover sheet of the examination.

10 11 (3)

Fill in the date on the cover sheet of the examination, if necessary.

12 13 (4)

Answer each question on the answer sheets.

14 15 (5)

The point value for each question is indicated in parentheses after the question.

16 17 (6)

If the intent of parts of the examination is not clear, ask questions of the proctor only.

18 19 (7)

You must sign the statement on the cover sheet that indicates that the work on the 20 examination is your own and that you have not received or given any assistance in 21 completing the examination. This must be signed after the examination has been 22 completed.

23 24 (8)

Only restroom trips are allowed and limited to only one examinee at a time. You must 25 have no contact with anyone outside the examination room to avoid even the 26 appearance of examination compromise. No conversation with other individuals or other 27 stops are allowed.

28 29 (9)

Cheating on the examination will result in a revocation of your license and could result in 30 more severe penalties.

31 32 (10)

Each section of the examination is designed to take approximately 60 minutes to 33 complete. You will have 3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months to complete the examination.

34 35 (11)

When you are finished and have turned in your completed examination, leave the 36 examination area. If you are observed in this area while the examination is still in 37 progress, your license may be revoked.

38

ES 6.115 of 21 ENCLOSURE 4 1

SECURITY AGREEMENTS 2

3 PREEXAMINATION SECURITY AGREEMENT 4

5 I _________________________ agree that I will not knowingly divulge any information 6

[Print Name]

7 concerning the requalification examination for _____________________________ to any 8

[Print Facility Name]

9 unauthorized persons.

10 11

_________________________________/_____________

12 Signature Date 13 14 15 16 17 18 19 20 21 22 POSTEXAMINATION SECURITY AGREEMENT 23 24 I _________________________ did not, to the best of my knowledge, divulge any information 25

[Print Name]

26 concerning the examination administered on __________________to any unauthorized 27

[Print Date]

28 persons.

29 30

_________________________________/_____________

31 Signature Date 32 33

ES 6.116 of 21 ATTACHMENT 2 1

BRIEFING CHECKLISTOPERATING TEST TASKS 2

3 (1)

The U.S. Nuclear Regulatory Commission (NRC) examiner is a visitor; the facility 4

licensee is responsible for providing an escort to ensure compliance with safety, 5

security, and radiation protection procedures.

6 7

(2)

Do not operate facility equipment unless specifically allowed by procedure, standing 8

order, management direction, routine operating procedures, or other administrative 9

allowances. If equipment operation is specifically prohibited, nothing the NRC examiner 10 or I say or ask will be intended to violate that principle.

11 12 (3)

Do not hesitate to ask for clarification during the walkthrough. You may request that the 13 NRC examiner or I reword or clarify the question.

14 15 (4)

We will be taking notes throughout the test to document your performance. Frequently, 16 we will stop questioning for this purpose. The amount of note-taking does not reflect your 17 level of performance. The NRC examiner must document satisfactory as well as less 18 than satisfactory performance.

19 20 (5)

The operating test is considered open reference. The reference material in the 21 facility/control room that is normally available to operators is available during the test.

22 This includes calibration curves, previous log entries, piping and instrument diagrams, 23 calculation sheets, and procedures. However, operators are responsible for knowing 24 from memory the immediate actions of emergency and other procedures as appropriate 25 to the facility.

26 27 (6)

The operating test has been planned to last approximately 90 minutes. However, there is 28 no specific time limit. The NRC examiner and I will take whatever time is necessary to 29 cover the areas selected, in the depth and scope required. The test will evaluate a 30 minimum of five tasks.

31 32 (7)

The NRC examiner and I will explain the tasks to be completed and which steps to 33 simulate or discuss and will provide initial conditions. The operator is to proceed with 34 completing the task as if directed by facility procedures, shift supervision, or both. During 35 the task, the NRC examiner will supply the necessary facility conditions and parameters 36 needed to simulate the task. The operator should explain each step of the task before 37 doing it.

38 39 (8)

The NRC examiner is not allowed to reveal the results of the examination at its 40 conclusion.

41 42 (9)

The NRC examiner may ask clarifying questions of the operator at the end of each task.

43 To the extent possible and reasonable, these questions will be asked via the facility 44 evaluator.

45 46 (10)

The NRC examiner will indicate to the operator that no aspects of the examination 47 should be discussed with anyone until the conclusion of the examination.

48 49 (11)

You may request a break at any time during the operating test.

50 51

ES 6.117 of 21 (12)

During the operating test you will be evaluated for your actions as you are the 1

watchstander. Please operate the reactor as the watchstander, with the exception that 2

you should announce your actions, then pause momentarily to give the NRC examiner 3

time to correct you or stop you, if necessary, before you actually perform the action. In 4

addition, you will be observed to ensure that you meet all conditions of your license (e.g.,

5 wearing corrective lenses to perform licensed duties).

6

ES 6.118 of 21 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

FORM ES-6.1-1 2

REQUALIFICATION EXAMINATION OPERATING TEST RECORD 3

4 Name:_______________________________

License Number______________

5 6

Critical Steps Oral Questions 7

Number/Correct Number/Correct 8

9 Control Console Reactivity

______/______

10 Procedure No.:

11

Title:

12 13 Response to Abnormal Event

______/______

14 Procedure No.:

15

Title:

16 17 Response to Emergency

______/______

18 Procedure No.:

19

Title:

20 21 In-Facility Evolution

______/______

22 Procedure No.:

23

Title:

24 25 Any Task

______/______

26 Procedure No.:

27

Title:

28 29 Totals

______/______

30 31 Percentage 32 33 Overall Evaluation:

_____ Satisfactory 70%

70%

34 35

_____ Unsatisfactory 36 37 Facility Examiner

__________________________________ Date 38 39 NRC Chief Examiner __________________________________ Date 40 41 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 42 43 44

ES 6.119 of 21 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

2 FORM ES-6.1-2 3

EXAMINATION COVER SHEET 4

5 U.S. NUCLEAR REGULATORY COMMISSION 6

RESEARCH AND TEST REACTOR REQUALIFICATION EXAMINATION 7

8 FACILITY:

9 10 REACTOR TYPE:

11 12 DATE ADMINISTERED:

13 14 CANDIDATE:___________________________

15 16 INSTRUCTIONS TO CANDIDATE:

17 18 Answers are to be written on the answer sheets provided. Attach all answer sheets to the 19 examination. Points for each question are indicated in parentheses after each question. A score 20 of 70 percent or greater overall is required to pass the examination.

21 22 Examinations will be collected 3 hours3.472222e-5 days 8.333333e-4 hours 4.960317e-6 weeks 1.1415e-6 months after the examination starts.

23 24

% OF 25 CATEGORY % OF CANDIDATES CATEGORY 26 VALUE TOTAL SCORE VALUE CATEGORY 27 28 20.00 33.33

________ A. REACTOR THEORY, 29 THERMODYNAMICS, AND 30 FACILITY OPERATING 31 CHARACTERISTICS 32 33 20.00 33.33

________ B. NORMAL AND EMERGENCY 34 PROCEDURES 35 AND RADIOLOGICAL CONTROLS 36 37 20.00 33.33

________ C. FACILITY AND RADIATION 38 MONITORING 39 SYSTEMS 40 41 60.00 100.00

________% FINAL GRADE 42 43 All work done on this examination is my own. I have neither given nor received aid.

44 45 46 Candidates Signature 47 48 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 49 50

PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

FORM ES-6.1-3 2

RESEARCH AND TEST REACTOR REQUALIFICATION RESULTS

SUMMARY

SHEET 3

4 5

FACILITY:

OVERALL RESULTS TOTAL PASSED FAILED EXAM DATE:

/ %

/ %

EXAMINERS:

REACTOR OPERATOR

/

SENIOR OPERATOR

/

TOTAL

/

NAME DOCKET 55-GRADER TASK

_OF_

TASK %

OVERALL TASK QUESTIONS

_OF_

TASK %

QUESTIONS OVERALL WRITTEN %

RESULTS/INITIALS A

B C

TOTAL WRITTEN OPERATING

/

PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 6

7 ES 6.1 20 of 21

ES 6.121 of 21 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

FORM ES-6.1-4 2

INDIVIDUAL REQUALIFICATION EXAMINATION REPORT 3

4 FACILITY:

EXAMINEES NAME:

DOCKET NO. 55-LICENSE NO.:

EXPIRATION DATE:

EXAM TYPE: RO/SRO RETAKE EXAM: 1ST/2ND/NO DATE OF LAST EXAM (RETAKE):

6 EXAM

SUMMARY

WRITTEN EXAM RESULTS DATE OF EXAM:

NRC EXAMINER (PRINT):

FACILITY EXAMINER (PRINT):

NRC GRADING FACILITY GRADING SECTION A (POINTS)

OF %

SECTION B (POINTS)

OF %

SECTION C (POINTS)

OF %

OVERALL SCORE 8

OPERATING DATE OF EXAM:

NRC EXAMINER (PRINT):

FACILITY EXAMINER (PRINT):

NO. CORRECT TASKS OF %

OF %

NO. QUES. CORRECT OF %

OF %

10 NRC EXAMINER RECOMMENDATIONS CATEGORY RESULTS SIGNATURE WRITTEN PASS/FAIL OPERATING PASS/FAIL 12 PEER EXAMINER REVIEW PASS/FAIL SIGNATURE:

DATE:

14 BRANCH CHIEF REVIEW PASS/FAIL SIGNATURE:

DATE:

16 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 17

ES 6.21 of 6 6.2 REQUALIFICATION FAILURESREVIEWS AND HEARINGS 1

2 A. Purpose 3

4 The NRC staff should use these procedures to process requests for NRC staff reviews and 5

demands for hearing by 10 CFR Part 55 licensees concerning failures of NRC-conducted 6

requalification examinations and denials of applications for license renewal.

7 8

B. Background 9

10 The renewal license application differs in some respects from the initial license application. To 11 address these differences, the NRC staff has developed these procedures for NRC staff review 12 requests for hearing demands for the denial of license renewal.

13 14 C. Results of NRC-Conducted Requalification Examinations 15 16

1. Passing an NRC-Conducted Requalification Examination 17 18 The BC will inform all operators who pass all portions of the requalification examination in a 19 letter in the format of Attachment 1 to this standard.

20 21

2. Failure of Written Examination Section(s) 22 23 If an operator failed one or two written examination sections but received an overall grade of 70 24 percent or better, the facility licensee will determine the appropriate corrective action and retest 25 the operator on the failed section(s). No further NRC involvement is necessary.

26 27

3. Failing an NRC-Conducted Requalification Examination 28 29

a.

If an operator fails any part of an NRC-conducted requalification examination, the facility 30 licensee must remove that operator from licensed duty. The facility licensee must take 31 corrective action consistent with the provisions of its requalification program before 32 returning the operator to licensed duty.

33 34

b.

The BC will inform the operator of their failure in a letter in the format of Attachment 2 or 35 to this standard, as appropriate. The operator then has 20 days to request 36 an NRC staff review of the failed portion of the examination. The operator may submit 37 this request to the appropriate division director, U.S. Nuclear Regulatory Commission, 38 Washington, DC 20555. Note 5 in Section E provides additional information on the 39 requirements for supporting documentation.

40 41

c.

The NRC will not renew the license of any operator who failed to pass an 42 NRC-conducted requalification examination, without some level of NRC involvement in 43 the retesting process. NRC involvement may include conducting a retest according to 44 this NUREG, inspecting the facility licensee as it retests the operator, or simply 45 reviewing an examination prepared by the facility licensee. The BC will determine the 46 appropriate level of involvement depending on the quality of the facility licensees 47 program. As long as the operator submits a timely renewal application, the term of the 48 operators license will continue until the renewal requirements are satisfied or until the 49 operator has failed three NRC-conducted examinations as discussed in Section C.3.e.

50 51

ES 6.22 of 6

d.

The NRC will normally conduct a second (first retake) examination approximately 1

6 months after issuing the first failure notification according to Section C.3.b and will 2

concentrate on the areas in which the operator exhibited deficiencies.

3 4

e.

The NRC will conduct a third (second retake) examination approximately 6 months after 5

issuing a second failure notification according to Section C.3.b. The third examination 6

will be a comprehensive requalification examination.

7 8

If an operator fails a third requalification examination, the NRC will review the operators 9

performance and the facility licensees training program. A third failure may be grounds 10 for suspending or revoking the operators license. If an operator has an application 11 pending for license renewal at the time of a third requalification failure, that failure will 12 provide the basis for denying the application. Notification of the operator will be handled 13 on a case-by-case basis and coordinated through the BC.

14 15 D. Overturning Requalification Examinations or Renewal Denials 16 17 If an NRC staff review results in changes such that the staff reverses its decision on the failure 18 of the requalification examination, the staff will use a letter similar in format to the letter in 19 to inform the operator that they have passed the examination.

20 21 If an NRC staff review or a hearing results in changes such that all the requirements of 22 10 CFR 55.57 are satisfied, then the license will be renewed. The licensee may perform 23 activities authorized by the renewed license upon meeting the requirements of 10 CFR 55.53(e) 24 and 10 CFR 55.59. Upon the completion of an NRC staff review, the applicant may file a 25 demand for a hearing. Upon the completion of an NRC staff review with no demand for a 26 hearing or upon the completion of a hearing, and where all the requirements of 10 CFR 55.57 27 are not satisfied, the NRCs denial of the renewal application has been finally determined 28 pursuant to 10 CFR 55.55(b) and the license expires.

29 30 E. Notes 31 32 (1)

A notice of denial or examination failure must be signed by NRC management (BC or 33 higher). In the case of a request for NRC staff review or a demand for a hearing, a copy 34 of the divisions correspondence will be distributed to the BC for tracking purposes and 35 to provide substantive information supporting the decision.

36 37 (2)

The NRC will provide copies of all correspondence related to this process to the facility 38 licensees representative authorized to sign the renewal application.

39 40 (3)

The NRC should send all correspondence related to this process to the individual 41 licensee by certified mail with return receipt requested.

42 43 (4)

Asking the facility licensee to reassess its need for the operator to perform assigned 44 duties is inappropriate while conducting an NRC staff review or a hearing.

45 46 (5)

Requests for NRC staff review must (a) list the items for which additional review is being 47 requested and (b) include documentation supporting the contentions made by the 48 individual licensee. The package containing the supporting documentation for the review 49 and the review request must be mailed or delivered to the applicable division director 50 within 20 days of the date of the notice of denial or examination failure. The division staff 51

ES 6.23 of 6 should complete the review within 45 days of receiving the package. The staff will review 1

requests using the guidance in ES 5.2.

2 3

F. Attachments/Forms 4

5, Requalification Examination Pass Letter 6, Requalification Examination Failure Letter 7, Requalification Examination Second Failure Letter 8

ES 6.24 of 6 ATTACHMENT 1 1

REQUALIFICATION EXAMINATION PASS LETTER 2

3

[NRC Letterhead]

4

[Date]

5 6

Docket No. 55-[Number]

7 8

[Applicant Name]

9

[Street Address]

10

[City, State Zip Code]

11 12

Dear [Name]:

13 14 I am writing to inform you that you passed the requalification written examination and operating 15 test conducted by the U.S. Nuclear Regulatory Commission on [date]. Enclosed is a copy of 16 your Individual Requalification Examination Report (Form ES-6.1-5) summarizing the results of 17 your examination. Your facility training department has a copy of the master answer key.

18 19 If you have any questions, please contact [name] at [telephone number] or by email at [email 20 address].

21 22 Sincerely, 23 24 25 26 27

[BC or higher]

28 29

Enclosure:

30 As stated 31 32 cc: [senior management facility representative who signs NRC Form 398]

33

ES 6.25 of 6 ATTACHMENT 2 1

REQUALIFICATION EXAMINATION FAILURE LETTER 2

3

[NRC Letterhead]

4

[Date]

5 6

Docket No. 55-[Number]

7 8

[Applicant Name]

9

[Street Address]

10

[City, State Zip Code]

11 12 13

Dear [Name]:

14 15 I am writing to inform you that you did not achieve an acceptable score on the requalification 16

[written examination, operating test, or written examination and operating test] conducted by the 17 U.S. Nuclear Regulatory Commission (NRC) on [date]. Enclosed is a copy of the results 18 indicating the area(s) in which you exhibited deficiencies. Your facility training department has a 19 copy of the master answer key.

20 21 This failure places you in the same status as if you had failed a facility-conducted requalification 22 examination. Therefore, you are subject to the requirements set forth in the NRC-approved 23 requalification program for the facility for which you are licensed and must meet those 24 requirements before resuming licensed duties. The NRC will conduct a second requalification 25 examination in the areas in which you exhibited deficiencies.

26 27 If you believe an error was made in grading your examination, you may request within 20 days 28 of the date of this letter that the NRC staff review the grading of your examination. Requests for 29 NRC staff review should be sent to the [appropriate division director], U.S. Nuclear Regulatory 30 Commission, Washington, DC 20555. Your request must identify the portions of your 31 examination that you believe were graded incorrectly or too severely. In addition, you must 32 provide the basis, including supporting documentation (such as procedures, instructions, 33 computer printouts, and chart traces), in as much detail as possible, to support your contention 34 that certain of your responses were graded incorrectly or too severely.

35 36 If you have any questions, please contact [name] at [telephone number] or by email at [email 37 address].

38 39 Sincerely, 40 41 42

[BC or higher]

43 44

Enclosure:

45 As stated 46 47 cc: [senior management facility representative who signs NRC Form 398]

48 49 CERTIFIED MAILRETURN RECEIPT REQUESTED 50

ES 6.26 of 6 ATTACHMENT 3 1

REQUALIFICATION EXAMINATION SECOND FAILURE LETTER 2

3

[NRC Letterhead]

4

[Date]

5 6

Docket No. 55-[Number]

7 8

[Applicant Name]

9

[Street Address]

10

[City, State Zip Code]

11 12

Dear [Name]:

13 14 I am writing to inform you that you did not achieve an acceptable score on the requalification 15

[written examination, operating test, or written examination and operating test] conducted by the 16 U.S. Nuclear Regulatory Commission (NRC) on [date]. Enclosed is a copy of the results 17 indicating the area(s) in which you exhibited deficiencies. Your facility training department has a 18 copy of the master answer key.

19 20 This failure places you in the same status as if you had failed a facility-conducted requalification 21 examination. Therefore, you are subject to the requirements set forth in the NRC-approved 22 requalification program for the facility for which you are licensed and must meet those 23 requirements before resuming licensed duties. The NRC will conduct a third requalification 24 examination that will be comprehensive in scope.

25 26 If you believe an error was made in grading your examination, you may request within 20 days 27 of the date of this letter that the NRC staff review the grading of your examination. Requests for 28 NRC staff review should be sent to the [appropriate division director], U.S. Nuclear Regulatory 29 Commission, Washington, DC 20555. Your request must identify the portions of your 30 examination that you believe were graded incorrectly or too severely. In addition, you must 31 provide the basis, including supporting documentation (such as procedures, instructions, 32 computer printouts, and chart traces), in as much detail as possible, to support your contention 33 that certain of your responses were graded incorrectly or too severely.

34 35 If you have any questions, please contact [name] at [telephone number] or by email at [email 36 address].

37 38 Sincerely, 39 40 41

[BC or higher]

42 43

Enclosure:

44 As stated 45 46 cc: [senior management facility representative who signs NRC Form 398]

47 48 49 CERTIFIED MAILRETURN RECEIPT REQUESTED 50

ES 7.11 of 3 7.0 FUEL-HANDLING EXAMINATIONS 1

2 7.1 SRO LIMITED TO FUEL HANDLINGEXAMINATIONS 3

4 A. Purpose 5

6 This standard gives guidelines and instructions for preadministration activities in support of SRO 7

limited to fuel handling (LSRO) examinations at non-power reactors that have been permanently 8

shut down or are shut down for extended periods of time (with the fuel to be removed from the 9

facility). This standard supplements the guidance in ES 2.1, ES 2.2, ES 2.3, and ES 2.4 for 10 administering examinations.

11 12 B. Examination Coordination 13 14 The CE will schedule a specific examination date with the facility licensee staff. Normally, 15 examiners will administer all examinations in 1 week, giving the written examination before 16 administering the operating tests.

17 18 At least 3 months before the examination week, the CE will confirm the date of the examination 19 and the number of candidates to be examined. The CE should use ES 2.1, Attachment 1, 20 Sample Examination Confirmation Letter, as a guide and discuss the following:

21 22 (1) the need to have the reference materials identified in Attachment 1 at least 60 days 23 before the scheduled examination date 24 25 (2) the guidelines for review and administration of the written examination (Enclosures 1, 26 2, 3, and 4 in Attachment 1) 27 28 (3) the requirements (10 CFR 55.31) and guidelines (Attachment 1) for submitting the 29 license applications 30 31 The CE will normally issue a letter confirming these arrangements about 90 days before the 32 examination begins. This letter should be addressed to the person at the highest level of 33 management responsible for facility operations. Attachment 1 to ES 2.1 is an example of such a 34 letter. The CE may modify the wording as necessary to reflect the situation. The assignment of 35 examiners should follow the guidelines of ES 2.1, Section D.

36 37 If the examination must be rescheduled on short notice, the CE should change the date to 38 reduce the effect on other examinations scheduled. An examiner who fails an applicant on an 39 operating test may not administer that candidates retake operating test.

40 41 C. Eligibility 42 43 The duties and responsibilities associated with maintaining the facility after it is permanently 44 shutdown or shutdown for extended periods of time (with the fuel to be removed from the 45

ES 7.12 of 3 facility) are much less than those associated with an operating reactor. Therefore, the eligibility 1

requirements for an LSRO are less than those for an SRO at an operating reactor.

2 3

(1)

Education 4

5 The educational requirements are the same as described in ES 2.2, Section E.

6 7

(2)

Training 8

9 The applicant must satisfactorily complete a training program covering fuel-handling 10 operations. The program should include instruction in the following areas:

11 12

a.

health physics fundamentals and the principles of reactor theory and 13 thermodynamics 14 15

b.

design features of fuel-handling and storage activities and conditions, including 16 facility systems and equipment associated with fuel-handling operations, 17 pertinent instrumentation, and control systems 18 19

c.

use of systems to control or mitigate an accident in which the fuel is damaged 20 21

d.

administrative, operational, surveillance, emergency, radiation control, security, 22 and safety procedures for fuel handling and storage 23 24 In addition, where applicable, the applicant should have actively participated in at least 25 one fuel-handling evolution (this can be a dummy fuel movement) at the site for which 26 the license is sought or at a similar facility. The applicant should also complete a 27 minimum of 10 hours1.157407e-4 days 0.00278 hours 1.653439e-5 weeks 3.805e-6 months of on-the-job training in fuel-moving activities, including 28 manipulation of the refueling equipment, where applicable.

29 30 Persons who have either RO or SRO licenses at the time the reactor is shut down will 31 have their licenses renewed as LSRO licenses.

32 33 D. Reviewing LSRO Initial License Applications 34 35 The CE should refer to the regulatory requirements in 10 CFR Part 55, Subpart D:

36 37 (1)

Each applicant must complete and submit an NRC Form 398 and an NRC Form 396.

38 (Computer-generated duplicates are acceptable.) An application is not complete until 39 both forms are filled out, signed by the appropriate personnel, and signed by the NRC.

40 41 Detailed instructions for completing NRC Form 398 and NRC Form 396 accompany the 42 forms.

43 44 (2)

The facility licensees senior management representative must certify that the applicant 45 has successfully completed the required training on NRC Form 398. They should submit 46 the completed form to the applicable BC at least 20 days before the examination date.

47 48 (3)

The CE will review the applications against the eligibility requirements described in this 49 standard, process the medical certifications and any waiver requests (refer to ES 2.3),

50 and request any additional information that may be necessary.

51 52

ES 7.13 of 3 (4)

If the CE decides that an application does not meet the requirements of 10 CFR Part 55, 1

Subpart D, as clarified by this standard, they will note the deficiencies and ask the facility 2

licensee to supply additional information. If the CE decides that the applicant still does 3

not meet the eligibility requirements, the BC will notify the applicant in writing that the 4

application is being denied and inform the applicant of the deficiencies on which the 5

denial is based (see ES 2.2, Attachment 1).

6 7

In addition, the CE will check the Does Not Meet Requirements block at the bottom of 8

the application and sign and date the form. An applicant will not be permitted to take a 9

licensing examination until meeting the eligibility requirements.

10 11 If the applicant does not accept the denial, the applicant may ask for an NRC staff review or 12 may demand a hearing according to 10 CFR 2.103(b)(2). Further action will be taken according 13 to ES 5.2.

14 15 E. Medical Requirements 16 17 See ES 2.2, Section C.

18 19 F. NRC Form 398 20 21 Each applicant must submit an NRC Form 398. The form must be completely filled out per the 22 instructions and signed by the appropriate personnel. Those sections or items that are not 23 applicable to operators at non-power reactors that have ceased operations will be marked NA.

24 25 G. Excusals and Waivers 26 27 See ES 2.3, Section D.

28 29 H. Attachments/Forms 30 31 See ES 2.1, Attachment 1, Sample Examination Confirmation Letter.

32 See ES 2.2, Attachment 1, Sample Initial Application Denial.

33

ES 7.21 of 9 7.2 SRO LIMITED TO FUEL HANDLINGEXAMINATION PREPARATION 1

2 A. Purpose 3

4 This standard specifies guidelines and instructions for preparing LSRO examinations. This 5

standard supplements guidance in ES 3.1, ES 3.3, ES 4.1, ES 4.2, and ES 4.3 for administering 6

initial examinations.

7 8

B. Scope 9

10 The NRCs LSRO examination comprises a written examination and an operating test. This 11 standard includes the requirements for the preparation of these examinations and tests.

12 13 C. General Guidelines 14 15 (1)

The LSRO examination will consist of both a written examination and an operating test.

16 Applicants must pass both to obtain a license. The written examination and operating 17 test will be administered as described in this standard. If the facility licensee has a 18 refueling simulator, or dummy fuel elements, the examiner should use them to the 19 maximum extent possible.

20 21 (2)

Examinations will be documented using the same approval chain as examinations in 22 ES 2.2 and will use Form ES-7.2-1, Senior Reactor Operator Limited to Fuel Handling 23 Operator Licensing Individual Examination Report, included in this standard. Form 24 ES-7.2-2, Research and Test Reactor Examination Results Summary Sheet, Senior 25 Reactor Operator Limited to Fuel Handling, will be used to list the results (nonpublic).

26 27 (3)

If an applicant applies for a license on multiple units at a site, the examiner should 28 ensure comprehensive coverage for all of the applicable units.

29 30 (4)

LSRO licenses will be renewed on the same basis as any other operator license.

31 32 D. Written Examination Instructions 33 34

1. Content and Preparation 35 36 LSRO written examinations should consist of questions totaling 20 points and should be 37 constructed so that a competent applicant can complete the examination in 1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months .

38 39 The written examination will contain questions covering the items specified in 10 CFR 55.41 40 and 10 CFR 55.43 as they relate to the shutdown reactor.

41 42 If the reference material supplied by the facility licensee does not enable the examiner to 43 construct a balanced examination, the examiner should contact the facility licensee to obtain 44 additional material.

45 46

2. Quality Assurance Review 47 48 The written examination should meet all the guidelines and requirements for test question 49 construction, quality assurance, and facility licensee reviews specified in ES 4.1.

50 51

ES 7.22 of 9

3. Administration 1

2 The written examination should be administered according to ES 4.2, except that the time limit 3

to complete the examination is 1 hour1.157407e-5 days 2.777778e-4 hours 1.653439e-6 weeks 3.805e-7 months . The applicant must receive a grade of at least 70 percent 4

to pass the written examination.

5 6

E. Operating Test Instructions 7

8 The operating test should be performance based. The facility licensee, whenever feasible, 9

should be encouraged to permit the actual use of equipment to handle dummy fuel elements, 10 assemblies, or modules during the operating test. This may require careful coordination with the 11 facility licensee.

12 13 The examiner will assess the applicants ability to execute normal, abnormal, and emergency 14 procedures associated with fuel handling. Each applicant will be required to simulate or perform 15 tasks related to fuel handling and to answer questions associated with refueling equipment and 16 associated systems. The operating test will also determine whether the applicant can supervise 17 the operation of equipment and systems to conduct fuel-handling operations safely.

18 19

1. Administrative Topics (Category A) 20 21 Category A covers topics divided into three groups associated with the administrative control of 22 the facility. The examiner must cover the minimum number of subjects from each group as 23 shown on page 2 of Form ES-7.2-1. Selection of subjects is at the discretion of the examiner. To 24 evaluate varied subjects with different applicants, the examiner should be familiar with all of the 25 subjects.

26 27 In developing Category A questions, the examiner may use previously developed questions 28 from either an NRC or facility examination bank or may develop new open-reference questions.

29 In any case, the questions asked should be pre-scripted to the maximum extent possible. Any 30 questions asked to follow up on perceived applicant weaknesses must be documented for 31 grading and review.

32 33 The examiner should use the following descriptions as guidelines for developing or selecting 34 questions to confirm minimal competency within each subcategory:

35 36

a.

Subcategory A.1 37 38 Questions in Subcategory A.1 will evaluate the applicants knowledge of the daily administrative 39 operation of the facility. The questions may be integrated into other discussions as they apply 40 throughout the test.

41 42

b.

Subcategory A.2 43 44 These subjects deal with radiation protection, including the approval of release permits and 45 awareness of the requirements associated with those releases and their potential effect on the 46 health and safety of the public. A task with follow-up questions is appropriate for evaluating this 47 subcategory.

48 49

ES 7.23 of 9

c.

Subcategory A.3 1

2 Applicants must display knowledge based on their responsibility to direct and manage the EPIP 3

during the initial phases of an emergency. Applicants should be familiar with event classification 4

procedures and communication requirements and methods, and have a detailed understanding 5

of the EPIP overall.

6 7

Security may be evaluated by observing the applicants behavior during the examination.

8 Questioning an applicant about relevant aspects of the facilitys security plan is appropriate, 9

however.

10 11

2. Facility Walkthrough (Category B) 12 13 This category tests the applicants knowledge of system design and operation. The examiner 14 will evaluate the applicants ability to perform tasks and to answer questions about specific 15 systems.

16 17, Systems for Operating Tests, lists systems typically found at non-power 18 reactors. The examiner should select systems from this list as applicable to the specific facility.

19 To enhance test integrity, the examiner should vary coverage of systems and subjects across 20 test administrations. The examiner will evaluate applicants on at least five systems from at least 21 three categories listed in Attachment 1. Note that Attachment 1 may not be all inclusive.

22 23 Questions asked to clarify the performance of an applicant must be documented for 24 postexamination evaluation.

25 26 The examiner may select tasks and pre-scripted questions from existing facility examination 27 banks. The examiner may choose to annotate procedures with clarifying comments on how to 28 execute particular steps, as well as identifying critical steps. To evaluate a subject area 29 satisfactorily, the examiner will ask enough questions to determine the applicants knowledge.

30 31 If the facilitys examination bank is used, no more than 40 percent of the questions associated 32 with a particular system may be used without some change.

33 34 F. Attachments/Forms 35 36, Systems for Operating Tests 37 Form ES-7.2-1, Senior Reactor Operator Limited to Fuel Handling Operator Licensing 38 Individual Examination Report 39 Form ES-7.2-2, Research and Test Reactor Examination Results Summary Sheet, Senior 40 Reactor Operator Limited to Fuel Handling 41

ES 7.24 of 9 ATTACHMENT 1 1

SYSTEMS FOR OPERATING TESTS 2

3 MAJOR SYSTEMS Makeup Water/Purification System Reactor Design/Construction Reactor Pool System Fuel Storage Pool System Neutron Source INSTRUMENTATION SYSTEMS Area Radiation Monitoring Gaseous Radiation Monitoring Liquid Effluent Radiation Monitoring WASTE-HANDLING FACILITIES Liquid Waste System Solid Waste System Gaseous Waste System AUXILIARY SYSTEMS Normal Alternating Current Supply Batteries Service Air Reactor Building Air Recirculation Fuel Handling Containment/Reactor Building Isolation 4

ES 7.25 of 9 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

NRC FORM ES-7.2-1 Page 1 of 4 RESEARCH AND TEST REACTOR SENIOR REACTOR OPERATOR LIMITED TO FUEL HANDLING OPERATOR LICENSING INDIVIDUAL EXAMINATION REPORT CANDIDATE NAME:

CANDIDATE DOCKET NUMBER:

FACILITY NAME:

WRITTEN EXAMINATION

SUMMARY

PREPARED BY:

DATE ADMINISTERED:

GRADED BY:

CATEGORY A SCORE CATEGORY B SCORE CATEGORY C SCORE OVERALL SCORE OPERATING TEST

SUMMARY

ADMINISTERED BY:

DATE:

CATEGORY A SCORE CATEGORY B SCORE CATEGORY C SCORE OVERALL SCORE GRADING RESULTS PASS FAIL WAIVE/

EXCUSE WRITTEN EXAMINATION GRADER:

DATE:

OPERATING TEST GRADER:

DATE:

POSTEXAMINATION PEER REVIEWER GRADER:

DATE:

CHIEF EXAMINER RECOMMENDATION CHIEF EXAMINER:

DATE:

LICENSE RECOMMENDATION BRANCH CHIEF:

DATE:

ISSUE LICENSE DENY LICENSE PRIVAY ACT INFORMATION-FOR OFFICIAL USE ONLY

ES 7.26 of 9 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY NRC FORM ES-7.2-1 Page 2 of 4 RESEARCH AND TEST REACTOR SENIOR REACTOR OPERATOR LIMITED TO FUEL HANDLING OPERATOR LICENSING INDIVIDUAL EXAMINATION REPORT FACILITY NAME:

CANDIDATE DOCKET NUMBER:

Operating Test Category A: ADMINISTRATIVE TOPICS SUBJECT AREA Individual Evaluation

1. Support and Conduct of Operations (minimum of 3)

a. Modifications to Procedures and Equipment (e.g., 10 CFR 50.59 and facility procedures/forms)

b. Surveillance Testing and Corrective Maintenance Requirements (e.g., ability to isolate equipment and components (tagouts, equipment lockouts), surveillance procedures, and official form location)

c. Information Dissemination (e.g., night orders, shift turnover logs, status boards)

d. Startup Requirements (e.g., pre-startup procedures/forms, technical specifications, required equipment)

e. Operational Limits and Requirements (e.g., safety limit, limiting safety system setting, limiting conditions for operation, shift turnover process)

2. Radiation Health Physics (minimum of 2)

a. Radiation Sources and Hazards (e.g., N16, Ar41, H3, Na24, open beam ports, sample removal, pneumatic tubes)

b. Portable Radiation Monitoring Equipment (e.g., Geiger-Müller tubes, ion chambers, scintillation detectors, pocket dosimeters)

c. Exposure Limits and Control (e.g., 10 CFR Part 20 limits, local facility limits, deep dose vs. shallow dose, annual limits on intake)

d. Radiation Work Permits/Release of Radioactive Materials (including waste).

3. Implementation of NRC-Required Procedures (All Mandatory)

a. Security (at the proper level (LSRO/management))

b. Fuel Handling (e.g., 10 CFR Part 55, technical specifications, procedures)

c. Emergency Plan (e.g., classifications, responsibilities, implementing procedures)

PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

2

ES 7.27 of 9 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY NRC FORM ES-7.2-1 Page 3 of 4 RESEARCH AND TEST REACTOR SENIOR REACTOR OPERATOR LIMITED TO FUEL HANDLING OPERATOR LICENSING INDIVIDUAL EXAMINATION REPORT FACILITY NAME:

CANDIDATE DOCKET NUMBER:

Operating Test CATEGORY B: FACILITY WALKTHROUGH SYSTEM/TASK TITLE1 SYSTEM TYPE1 GRADE Comment Page

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2.

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1 1

The CE will evaluate applicants on at least five systems from at least three categories.

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PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 4

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ES 7.28 of 9 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

NRC FORM ES-7.2-1 Page 4 of 4 RESEARCH AND TEST REACTOR SENIOR REACTOR OPERATOR LIMITED TO FUEL HANDLING OPERATOR LICENSING INDIVIDUAL EXAMINATION REPORT FACILITY NAME:

CANDIDATE DOCKET NUMBER:

OPERATING TEST OUTLINE AND GRADING COMMENT PAGE SUBJECT INDEX COMMENT PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 2

ES 7.29 of 9 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

2 FORM ES-7.2-2 RESEARCH AND TEST REACTOR EXAMINATION RESULTS 3

SUMMARY

SHEET 4

SENIOR REACTOR OPERATOR LIMITED TO FUEL HANDLING 5

6 Facility:

Reactor Status:

SHUTDOWN Written Examination Date:

Operating Test Dates:

Chief Examiner:

OVERALL RESULTS Total No.

No. Passed

% Passed No. Failed

% Failed Senior Reactor Operator Limited to Fuel Handling Name Docket 55-Type1 Written Grade Results2/Initials3 A

N/A N/A Total Written Operating 7

NOTES:

8 1 1=SRO-Fuel Handler Initial, 2 = SRO-Fuel Handler Retake 9

2 P=Passed, F=Failed, W=Waived, N/A=Not Applicable 10 3 Enter the initial of the CE who graded the written examination or administered the operating test.

11 12 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 13 14

ES 7.31 of 6 7.3 SRO LIMITED TO FUEL HANDLINGEXAMINATION ADMINISTRATION 1

2 A. Purpose 3

4 This standard specifies guidelines and instructions for administering LSRO examinations. This 5

standard supplements guidance in ES 3.2 and ES 4.2.

6 7

B. Examination Withdrawals 8

9 Occasionally, an applicant will withdraw from the examination just before it starts. If this 10 happens, the CE will request a letter from the facility licensee withdrawing the applicants 11 application. This letter should be addressed to the CE who will forward it to the OLA for 12 inclusion in the applicants docket file.

13 14 In rare instances, an applicant will withdraw after the examination has begun. The CE will inform 15 the applicant that this is an examination failure and that they must reapply following the rules 16 of 10 CFR 55.35. Applicants who withdraw from the examination after it has started will be sent 17 a denial letter per ES 5.1.

18 19 C. Written Examination Facilities 20 21 (1)

The facility licensee is responsible for providing facilities suitable for administering the 22 written examination. The room and associated restroom(s) should allow the NRC CEs to 23 maintain examination security. Enclosure 2 of Attachment 1 in ES 2.1 summarizes the 24 NRCs policies regarding written examination facilities.

25 26 (2)

The CE will evaluate the facilities to ensure that the applicants do not have access to 27 any reference material not approved by the CE. The CE will not begin the examination 28 until they are satisfied with the arrangements.

29 30 D. Proctoring the Written Examination 31 32 (1)

The CE will ensure that the examination is proctored at all times. Before distribution of 33 examinations, the CE will ensure that all proctors clearly understand their 34 responsibilities.

35 36 If the CE determines that they need help with the administration or the oversight of the 37 administration of the written examination, the CE should request assistance from 38 another CE or other responsible NRC employee.

39 40 The proctor will not engage in any activities that may divert their attention from the 41 applicants and possibly cause the examination to be compromised.

42 43 (2)

A proctor should be available to clarify questions for the applicants during the 44 examination. Proctors should be careful not to give away answers when clarifying 45 questions. If a proctor has any doubt about how to respond to an applicants question, 46 the proctor should consult with the CE before explaining the test item to the applicant.

47 Proctors will document all questions about specific written examination test items for 48 future reference in resolving facility licensee comments and grading conflicts.

49 50 When responding to questions, the proctor should be alert for indications that an 51 applicant is unfamiliar with the terminology used in the examination. The proctor will ask 52

ES 7.32 of 6 the CE to determine the correct terminology and announce it to all the applicants taking 1

the examination.

2 3

All question changes or clarifications will be called to the attention of all the applicants.

4 Changes made to questions during the examination should be made on the master copy 5

and on the copy provided to the facility licensee staff.

6 7

E. Written Examination Administration Procedure 8

9 The CE will administer the written examinations as follows:

10 11 (1)

Verify each applicants identity and examination level against the examination 12 assignment sheet (see ES 2.1, Attachment 2). Any errors or absences will be resolved 13 with the facility licensee staff, and the assignment sheet will be updated as required.

14 15 The CE will request that the facility licensee withdraw the application of any applicant not 16 taking the examination. This withdrawal will be formalized by the facility licensee sending 17 a letter to the CE who will forward it to the OLA for inclusion in the applicants docket 18 file.

19 20 (2)

Inform the applicants that they may use calculators to complete the examination. Only 21 reference material approved by the CE is allowed in the examination area. The CE will 22 define the examination area.

23 24 (3)

Pass out the examinations, answer sheets, and handouts, and instruct the applicants not 25 to review the examination until told to do so.

26 27 (4)

Brief the applicants on the rules and guidelines that will be in effect during the written 28 examination using Attachment 1 to Form ES-4.1-1. Inform the applicants that they may 29 refer to the instructions directly beneath the examination cover sheet. Read the first two 30 rules verbatim.

31 32 (5)

Ask the applicants to verify the completeness of their examination by checking each 33 page.

34 35 (6)

After answering any questions that the applicants may have about examination rules, 36 start the examination and record the start time.

37 38 (7)

Periodically advise the applicants of the examination time remaining.

39 40 (8)

Ensure that each applicant signs the cover sheet when turning in their examination and 41 ensure that the examination package is complete (includes the cover sheet and all 42 answer sheets).

43 44 (9)

Remind the applicants to leave the examination area.

45 46 (10)

When all of the written examinations are complete, the CE may review the examination 47 with the facility licensee staff as described in Section F.

48 49 The CE will complete Form ES-4.1-1 and include it in the master examination package.

50 51

ES 7.33 of 6 F. Facility Licensee Staff Review of the Written Examination 1

2 After the last applicant completes the written examination, the CE will update the master copy of 3

the examination and answer key with all the changes made to the questions and answers while 4

the examination was being administered.

5 6

The CE will provide a copy of the master examination and answer key to the facility licensee 7

staff and answer any questions that they may have about the NRCs examination review and 8

comment process. ES 2.1, Attachment 1, Enclosure 4, provides detailed guidelines and 9

instructions for this review process.

10 11 G. Personnel Present at the Operating Test 12 13 The number of persons present during an operating test should be limited to ensure the integrity 14 of the test and to reduce distractions to the applicant.

15 16 Only the CE may grant permission for someone to witness an operating test. Under no 17 circumstances is another applicant allowed to witness an operating test. Operating tests are not 18 to be used as training vehicles for future applicants. Videotaping the administration of initial 19 examinations is not allowed.

20 21 Examiners may witness an operating test as part of their training or may audit an examiner 22 administering the operating test. Other observers may be allowed to watch operating tests if 23 (1) the CE has approved the request to observe the test and (2) the applicant does not object to 24 the observers presence.

25 26 H. Operating Test Administration Procedures 27 28

1. General 29 30 The CE will brief each candidate according to Attachment 1, Operating Test Briefing Checklist, 31 to this standard before beginning the operating test.

32 33

2. Administrative Topics (Category A) 34 35

a.

Subcategory A.1 36 37 These questions are intended to supplement, not duplicate, administrative system requirements 38 covered in Category B (e.g., valve lineups, control room data system administration and use).

39 40

b.

Subcategory A.2 41 42 These subjects are best covered during the conduct of tasks or questioning associated with 43 Category B.

44 45

d.

Subcategory A.3 46 47 The CE may best evaluate the applicants knowledge of the emergency plan by conducting a 48 Category B task requiring its use.

49 50

ES 7.34 of 6

3. Facility Walkthrough (Category B) 1 2

The CE should encourage the applicant to draw diagrams, flowpaths, and other visual 3

representations. Likewise, the CE should encourage the applicant to use facility forms, 4

schedules, procedures, and other similar materials as appropriate.

5 6

The CE should retain any supporting material used during the examination to provide additional 7

documentation in support of a pass or fail determination.

8 9

The CE can improve the efficiency of the operating test by integrating discussions required to 10 complete the various categories.

11 12 The CE must take sufficient notes during the operating test to document all applicant 13 deficiencies thoroughly. The CE must cross-reference every comment to a specific task or 14 subject area question.

15 16 I. Attachments/Forms 17 18, Operating Test Briefing Checklist 19

ES 7.35 of 6 ATTACHMENT 1 1

OPERATING TEST BRIEFING CHECKLIST 2

3 Part AApplicable to All Operating Tests 4

5 (1)

You will be tested at the level of responsibility of the senior reactor operator limited to 6

fuel handling.

7 8

(2)

I am a visitor. Escort responsibilities for ensuring compliance with safety, security, and 9

radiation protection procedures rest with you (the applicant).

10 11 (3)

Do not operate facility equipment without appropriate permission.

12 13 (4)

Do not hesitate to request clarification of a question during the operating test.

14 15 (5)

Frequently, I will stop to update my notes to document your performance. The amount of 16 note-taking is not dependent on your level of performance.

17 18 (6)

Operating tests are considered open reference. Any reference material in the facility 19 normally available to operators is also available to you. This includes calibration curves, 20 previous log entries, piping and instrumentation diagrams, calculation sheets, and 21 procedures. However, you are responsible for knowing automatic actions, setpoints and 22 interlocks, operating characteristics, and the immediate actions of emergency and other 23 procedures, as appropriate to the facility.

24 25 (7)

There is no specific time limit for the operating test. The test will take whatever time is 26 necessary to cover the selected areas in the depth and scope required.

27 28 (8)

I am not allowed to reveal the results of the operating test at its conclusion.

29 30 (9)

Do not hesitate to request a break during the operating test.

31 32 Part BJust before Fuel Movement 33 34 The CE should brief the candidate and the licensed operator on the following points:

35 36 (1)

I will not intentionally ask you (the applicant) to perform an action that violates facility 37 regulations or procedures or that places the facility in a hazardous condition. If a 38 requested action meets one of these conditions, then you (the applicant) or you (the 39 licensed operator) should immediately inform me. If my intent was to find out whether 40 you (the applicant) would perform such an action, I will phrase the question in some 41 manner other than a request that the action be performed.

42 43 (2)

My presence does not alter the normal chain of command during the operating test. You 44 (the applicant) should make all reports and obtain all permissions that would normally be 45 required. All directions to the applicant will come from the responsible supervisor 46 following the facilitys administrative procedures. I will only question you (the applicant) 47 and make requests of the supervisor.

48 49 (3)

I have not altered the setpoints or calibrations of any instrument nor have I manipulated 50 any controls.

51 52

ES 7.36 of 6 (4)

It is your (the licensed operators) responsibility to step in and take control any time there 1

is an unsafe condition. However, you may not provide any coaching or cuing to the 2

applicant.

3

ES 7.41 of 2 7.4 SRO LIMITED TO FUEL HANDLINGPOSTEXAMINATION ACTIVITIES 1

2 A. Purpose 3

4 This standard specifies guidelines and instructions for grading and documenting LSRO 5

examinations. This standard supplements guidance in ES 3.3 and ES 4.3 for grading initial 6

examinations.

7 8

B. Written ExaminationResolving Facility Licensee Comments 9

10 The CE should resolve facility licensee comments per the instructions contained in ES 4.3, 11 Section B, paragraphs 1 through 4.

12 13 C. Written ExaminationGrading 14 15 The CE will grade the written examination following steps 1 through 5 of ES 4.3, Section C.

16 After grading the last applicant, the CE will review the grading for all applicants in detail.

17 18 The grader will fill in Form ES-7.4-1, Research and Test Reactor LSRO Examination Results 19 Summary Sheet. The grader will then forward the examination package to the person who 20 administered the operating tests.

21 22 D. Operating TestGeneral Evaluation Guidelines 23 24 The operating test grader will score the test according to the guidelines in ES 3.3, Section B.

25 26 E. Operating TestSpecific Instructions for Completing Form ES-7.4-1 27 28 The operating test grader will score the operating test and fill out the form following the 29 guidelines of ES 3.3, Section C, parts 1, 2, 3, and 4.

30 31 F. Attachments/Forms 32 33 Form ES-7.4-1, Research and Test Reactor LSRO Examination Results Summary Sheet 34

ES 7.42 of 2 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 1

FORM ES-7.4-1 2

RESEARCH AND TEST REACTOR 3

LSRO EXAMINATION RESULTS

SUMMARY

SHEET 4

5 Facility:

Reactor Status:

SHUTDOWN Written Examination Date:

Operating Test Dates:

Chief Examiner:

RESULTS Total No.

No.

Passed Passed No.

Failed

% Failed Name Docket 55-Type1 Written Results2/Initials3 Grade Written Operat-ing 6

NOTES:

7 1 1 = LSRO initial, 2 = LSRO retake 8

2 P = Passed, F = Failed, W = Waived, N/A = Not Applicable 9

3 Enter only the initials of the CE who actually wrote or administered the examination.

10 11 PRIVACY ACT INFORMATION-FOR OFFICIAL USE ONLY 12 13

G 81 of 3 8.0 GLOSSARY 1

2 Academic training: Academic training is successfully completed job-related, college-level 3

work.

4 5

Applicant: Any individual who has submitted a U.S. Nuclear Regulatory Commission (NRC) 6 Form 398, Personal Qualification StatementLicensee, and an NRC Form 396, Certification 7

of Medical Examination by Facility Licensee, in pursuit of a reactor operator (RO) or senior 8

reactor operator (SRO) license. For the purposes of the examination standards, applicant is 9

synonymous with candidate.

10 11 Applicant license level: The level of operator license (i.e., RO or SRO) for which the applicant 12 has applied.

13 14 Certification: Affirmation, under penalty of perjury, that the information submitted in the 15 document and attachments is true and correct.

16 17 Controls: When used with respect to a nuclear reactor, means apparatus and mechanisms, the 18 manipulation of which directly affects the reactivity or power level of the reactor. When used with 19 respect to any other facility, means apparatus and mechanisms, the manipulation of which could 20 affect the chemical, physical, metallurgical, or nuclear process of the facility in such a manner 21 as to affect the protection of health and safety against radiation.

22 23 Critical steps: Those steps that when not performed correctly, in the proper sequence, or at the 24 proper time will prevent the system from functioning properly or preclude successful completion 25 of the task.

26 27 Defer/Deferral: To postpone completion of a license application requirement(s) until a later 28 date, typically after the applicant passes an initial NRC licensing examination. An applicants 29 request to defer a requirement(s) is documented as a deferral on NRC Form 398. The 30 applicant shall complete the deferred item(s) before the NRC issues a license.

31 32 Disqualifying condition: Something that precludes medical approval for operator licensing.

33 34 Event: Any normal evolution, instrument or component failure, equipment malfunction, reactivity 35 manipulation, and major reactor transient when used in the operating test.

36 37 Examining physician: A physician, as defined in 10 CFR 55.5, who is responsible for 38 evaluating applicants and operators and who has the ultimate responsibility for certifying that 39 the medical examination was conducted in accordance with the ANSI standard or an approved 40 NRC alternative method and that the individual meets the physical and mental health 41 requirements of this standard.

42 43 Excuse/Excusal: An applicant who has passed either the written examination or operating test 44 and failed the other may request in a new application on NRC Form 398 to be excused from 45 reexamination on the portions of the examination or test that the applicant had passed in 46 support of their immediately preceding application. The Commission may in its discretion grant 47 the request, if it determines that sufficient justification is presented.

48 49 Facility licensee: A holder of a license for a facility.

50

G 82 of 3 51 License: The written authorization, by the responsible authority, for an individual to carry out 52 the duties and responsibilities associated with a position requiring licensing.

53 54 Licensee: A person who is authorized to conduct activities under a license issued by the 55 Commission.

56 57 Multiple-choice item: A test item that is composed of an item stem and several alternatives 58 from which the trainee must select the best answer.

59 60 Nonpower reactor: A research or test reactor as defined by Title 10 of the Code of Federal 61 Regulations (10 CFR) 50.2, Definitions.

62 63 Nuclear experience: Experience acquired in reactor facility startup activities or operation.

64 Experience in design, construction, maintenance, or related technical services that is job-related 65 may also be considered. On-the-job training at the reactor facility may qualify as equivalent 66 nuclear experience on a one-for-one time basis. Appropriate research or teaching or both may 67 be includable as nuclear experience.

68 69 Operating test: That portion of the operator licensing examination based on direct interaction 70 between a CE and an applicant. The operating test assesses applicant knowledge of the design 71 and operation of the reactor and its associated reactor systems, both inside and outside the 72 control room.

73 74 Operator or reactor operator: Any individual licensed under 10 CFR Part 55, Operators 75 licenses, to manipulate a control of a facility.

76 77 Permanent medical condition: A change in the medical status of a licensed operator of 78 probable duration greater than 90 days and for which the activities of the licensed operator 79 should be restricted by the Level 2 person (defined as the facility director, manager, or 80 administrator). Notification of this change shall be made to the responsible authority within 81 30 days of defining the condition as permanent.

82 83 Scenario: An integrated group of events comprising a set of facility indications, malfunctions, 84 and evolutions performed or discussed using the facility.

85 86 Score: A numerical indication of the performance an individual displays on a test.

87 88 Senior reactor operator: Any individual licensed under 10 CFR Part 55 to manipulate the 89 controls of a facility and to direct the licensed activities of licensed operators.

90 91 Technical support personnel: Unlicensed personnel principally involved in the calibration, 92 maintenance, repair, and radiation protection activities or performance of other craft and 93 technical activities at the facility. Examples are laboratory technicians, instrument technicians, 94 and health physics personnel.

95 96 Temporary medical condition: A change in the medical status of a licensed operator of 97 probable duration of no more than 90 days and for which the activities of the licensed operator 98 may be restricted by the Level 2 person. This change does not require a notification to the 99 responsible authority.

100 101

G 83 of 3 Waive/Waiver: To forgo or relinquish a legal requirement that the NRC is legally entitled to 102 enforce. Forgoing such a requirement is documented as a waiver. The NRC specifies its ability 103 to waive examination and test requirements in 10 CFR 55.47, Waiver of examination and test 104 requirements.

105

1 NUREG-1478, Revision 3 M. DeSouza Division of Advanced Reactors and Non-Power Production and Utilization Facilities Office of Nuclear Reactor Regulation U.S. Nuclear Regulatory Commission Washington, DC 20555-0001 Division of Advanced Reactors and Non-Power Production and Utilization Facilities Office of Nuclear Reactor Regulation U.S. Nuclear Regulatory Commission Washington, DC 20555-0001 The U.S. Nuclear Regulatory Commission (NRC) publishes NUREG-1478, Operator Licensing Examiner Standards for Research and Test Reactors, to establish the procedures and practices for administration of operator licensing examinations for reactor operator and senior reactor operator licenses at non-power reactor facilities in accordance with Title 10 of the Code of Federal Regulations (10 CFR) Part 55, Operators Licenses.

The NRC intends these examiner standards (ESs) to ensure the equitable and consistent administration of examinations for all applicants and licensed operators at non-power reactor facilities. As stated in 10 CFR 55.40, Implementation, paragraph (d), [t]he Commission shall use the criteria in NUREG-1478 for all test and research reactors to prepare, proctor, and grade the written examinations required by [10 CFR]

55.41 and [10 CFR] 55.43 and the operating tests required by [10 CFR] 55.45 for non-power reactor facility licensees.

operator licensing examination operator test reactor operator senior reactor operator simulator training task analysis July 2025 Technical Operator Licensing Examiner Standards for Research and Test Reactors Draft Report for Comment

NUREG-1478, Revision 3 Draft Operator Licensing Examiner Standards for Research and Test Reactors July 2025

NUREG-1478, DFC, Rev. 3, Operator Licensing Examiner Standards for Research and Test Reactors Draft Report for Comment

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