NUREG-1478

Rev. 2

Operator Licensing

Examiner Standards for

Research and Test Reactors

U.S. Nuclear Regulatory Commission

Office of Nuclear Reactor Regulation

Washington, DC 20555-0001
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(NUREG-0750).
NUREG-1478

Rev. 2

Operator Licensing

Examiner Standards for

Research and Test Reactors

Manuscript Completed: April 2007

Date Published: June 2007

Division of Policy and Rulemaking

Office of Nuclear Reactor Regulation

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001

SUMMARY OF SIGNIFICANT CHANGES

Note: All standards have been revised to remove the name of the branch and division

responsible for the administration of operator licensing for research and test

reactors. This was done to improve efficiency by reducing the administrative

burden on the staff to revise this standard when the name of a branch and/or

division occurs. In addition the standards have been modified to a two-column

format.

ES-101N Added reference to new 700-series senior reactor operator limited to fuel

handling (LSRO).

ES-1 02N Removed reference to Regulatory Guide 1.114, "Guidance to Operators at the

Controls and to Senior Operators in the Control Room of a Nuclear Power Unit,"

issued May 1989, which is applicable to power reactors only.

ES-201N Changed time for issuance of confirmatory letter to facility from 120 days before

scheduled examination date to 90 days. Deleted reference to the use of contract

examiners. Deleted reference to submitting preliminary license applications 30

days before examination start date.

ES-202N Deleted reference to submitting preliminary license applications 30 days before

examination start date. Added further clarification concerning the review of the

NRC form 396 to check for the actual guidance used during the medical

examination.

ES-203N No significant changes.

ES-204N Moved procedures for reviewing license renewal applications from ES-601 N and

ES-602N to this new standard.

ES-301 N Moved portions of this standard that dealt with operating test administration to

ES-302N and portions that dealt with operating test grading to ES-303N.

Renamed Category B from Control Room Systems (B. 1) and Facility

Walkthrough (B.2) to Facility Walkthrough (B). Added definitions for Reactivity

evolutions and Major Transients (with entry into emergency plan) to Category C.

Modified reactor operator (RO) and senior reactor operator (SRO) competency

summaries to better reflect those necessary and able to be tested for operators

at research and test reactors. Revised table containing systems for operating

tests to better reflect systems at research and test reactors. Deleted

Transient/Event Checklist. Moved Competency Review Worksheets from

ES-301N to ES-303N. Modified scope of examination administered based on

facility type (a new table defines facility types).

ES-302N Moved portions of ES-301 N that dealt with operating test administration into this

standard and deleted redundancies. Modified examination administration

requirements to reflect different facility types.

-iii-
ES-303N Moved Competency Review Worksheets from ES-301 N to ES-303N. Revised

the Competency Review Worksheets to better reflect items important to an RO

and an SRO at a research and test reactor and to better reflect the methods of

examination possible at a research and test reactor.

ES-401 N Changed written examination requirements based on facility types introduced in

ES-301.

ES-402N Deleted Attachment 3, "Policies for Facility Review of Written Examinations,"

which the body of standards covered.

ES-403N Deleted reference to examinations prepared and graded by contract examiners.

Moved quality assurance reviews to ES-501 which already covered issue under

examination reviews.

ES-501 N Revised Form ES-501 N-2 to reflect written examination containing three

sections. Deleted Form ES-501N-3 which dealt with contract examiner

evaluations.

ES-502N No major changes.

ES-601 N Standard rewritten to flow from preexamination activities to examination

administration activities to postexamination activities.

ES-602N Moved sections on maintaining medical standards for licensees and procedure

for denying an application for license renewal to ES-204N.

ES-701 N New standard added to cover general items related to administration of LSRO

examinations at permanently shutdown research reactors.

ES-702N New standard added to cover preexamination activities related to administration

of LSRO examinations at permanently shutdown research reactors.

ES-703N New standard added to cover examination administration activities related to

administration of LSRO.

ES-704N New standard added to cover postexamination activities related to administration

of LSRO.

-iv-
ABBREVIATIONS

ADAMS

ANSI/ANS

BC

BC/PD

CE

CFR

EPIP

ES

FSAR

GED

K/A

KSAs

LSRO

NRC

OLA

PD

QA

RO

RTROL

SRO

SRO-l

SRO-U

Agencywide Documents Access and Management System

American National Standards Institute/American Nuclear Society

branch chief

branch chief or program director with program responsibility

chief examiner assigned to an examination

Code of Federal Regulations

emergency plan implementing procedures

examiner standards

final safety analysis report

General Education Development test

knowledge and ability

knowledge, skills, and abilities

senior reactor operator limited to fuel handling

U.S. Nuclear Regulatory Commission

licensing assistant responsible for research and test reactors operator licensing

docket files

program director

quality assurance

reactor operator

research and test reactor operator licensing

-senior reactor operator

senior reactor operator-instant

senior reactor operator-upgrade

CONTENTS

ES-1O1N Purpose and Format of NUREG-1478

ES-1 02N Applicable Regulations and Publications

ES-201 N Preexamination Activities

ES-202N Eligibility Requirements and Guidelines

ES-203N Processing Operator Licensing Waivers

ES-204N Reviewing License Renewal Applications

ES-301 N Preparation of Operating Tests

ES-302N Administration of Operating Tests

ES-303N Grading Operating Tests

ES-401N Preparation of Written Examinations

ES-402N Administration of Written Examinations

ES-403N Grading Written Examinations

ES-501 N Postexamination Activities

ES-502N Administrative Reviews and Hearings

ES-601 N Requalification Examination Administration

ES-602N Requalification. Failures, Reviews, and Hearings

ES-701N SRO Limited to Fuel-Handling-Examinations

ES-702N SRO Limited to Fuel Handling-Examination Preparation

ES-703N SRO Limited to Fuel Handling-Examination Administration

ES-704N SRO Limited to Fuel Handling-Postexamination Activities

-vii-

EXAMINER STANDARD 101N

PURPOSE AND FORMAT OF NUREG-1478

A. Purpose

The research and test reactor operator licensing (RTROL) examiner standards establish the

procedures and practices for administering initial and requalification written examinations and

operating tests to license applicants and operators pursuant to Title 10, Part 55, "Operators

Licenses," of the Code of Federal Regulations (10 CFR Part 55).

These standards describe the provisions of the Atomic Energy Act of 1954, as amended and

the regulations of 10 CFR Part 50, "Domestic Licensing of Production and Utilization Facilities,"

and 10 CFR Part 55 on which the program is based. These standards also provide for

equitable and consistent administration of examinations to all applicants and licensed operators

at research and test reactor facilities.

B. Format

Each standard describes procedures and practices for a particular aspect of the Research and

Test Reactor Operator Licensing Program. Each standard is assigned a three-digit number,

and related standards are grouped together for ease of reference. All the standards beginning

with the same digit apply to related aspects of the program as follows:

(1) general

(2) preexamination activities

(3) operating tests

(4) written examinations

(5) postexamination activities

(6) requalification examinations

(7) senior reactor operator limited to fuel handling (LSRO) licenses

Examiner Standards 1 of 2 Rev. 2, June 30, 2007
PURPOSE AND FORMAT OF NUREG-1478 ES-lOiN

PURPOSE AND FORMAT OF NUREG-1478 ES-101N

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Examiner Standards 2 of 2 Rev. 2, June 30, 2007

Examiner Standards 2 of 2 Rev. 2, June 30, 2007
EXAMINER STANDARD 102N

APPLICABLE REGULATIONS AND PUBLICATIONS

A. Purpose

This standard lists the U.S. statute and the regulations of the U.S. Nuclear Regulatory

Commission (NRC) that establish the requirements for the conduct of RTROL examinations

and the procedures for their administration. It also identifies the regulatory guides, NUREG

reports, and other published guidance intended to implement the regulations and the American

National Standards Institute/American Nuclear Society (ANSI/ANS) standards that may provide

additional guidance.

B. Statutes

1. Atomic Energy Act of 1954

Section 107 of the act, as amended (42 U.S.C. 2137), requires the NRC to prescribe uniform

conditions for licensing individuals as operators of production and utilization facilities, to

determine the qualifications of these individuals, and to issue licenses to such individuals.

C. Regulations

1. 10 CFR Part 55

The implementing regulation for licensing reactor operators (ROs) and senior reactor operators

(SROs) is found in 10 CFR Part 55. This regulation establishes the requirements and the

regulatory basis for licensing and requalifying operators.

2. 10 CFR Part 50

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

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

inspection, audit, and approval of requalification programs.

10 CFR 50.54(i-1), states "Within three months after issuance of an operating license, the

licensee shall have in effect an operator requalification program, which as a minimum, must

meet the requirements of § 55.59(c). Notwithstanding the provisions of § 50.59, the licensee

may not decrease the scope of its approved requalification program without authorization from

the Commission."

The regulations found in 10 CFR 50.54(k)-(m) restrict control manipulations to licensed

operators and conditions of all facility licenses issued under 10 CFR Part 50.

As required by 10 CFR 50.74, "Notification of Change in Operator or Senior Operator Status,"

facility licensees must notify the Commission within 30 days if the status of a licensed RO or

SRO changes.

NUREG-1478 1 of 4 Rev. 2, June 30, 2007

NUREG-1478 1 of 4, Rev. 2, June 30, 2007
APPLICABLE REGULATIONS AND PUBLICATIONS ES-1 02N

3. 10 CFR Part 2

The regulations in 10 CFR Part 2, "Rules of Practice for Domestic Licensing Proceedings and

Issuance of Orders," govern the conduct of all proceedings under the Atomic Energy Act of

1954, as amended, and the Energy Reorganization Act of 1974 for (a) granting, suspending,

revoking, amending, or taking other action with respect to any license, (b) imposing civil

penalties, and (c) public rulemaking.

The applicant's right to demand a review of a proposed license denial, including appeal and

hearing rights, is established in 10 CFR 2.103(b)(2).

Subpart C, "Rules of General Applicability: Hearing Requests, Petitions to Intervene,

Availability of Documents, Selection of Specific Hearing Procedures, Presiding Officer Powers,

and General Hearing Management for NRC Adjudicatory Hearings," of 10 CFR Part 2 governs

all adjudications initiated by the issuance of an order to show cause, an order designating the

time and place of a hearing requested by a person charged with a violation, and a notice of

hearing.

Subpart L, "Informal Hearing Procedures for NRC Adjudications," governs proceedings for the

granting, renewal, or licensee-initiated amendment of an RO or SRO.

4. 10CFR Part 9

The regulations in 10 CFR Part 9, "Public Records," prescribe the rules governing the NRC's

public records that relate to any proceeding subject to 10 CFR Part 2.

Subparts A, "Freedom of Information Act Regulations," and B, "Privacy Act Regulations," of

10 CFR Part 9 describe and implement the requirements for balancing the public's right to.

information under the Freedom of Information Act and the NRC's responsibility to protect

personal information under the Privacy Act.

Subparts C, "Government in the Sunshine Act Regulations," and D, "Production or Disclosure in

Response to Subpoenas or Demands of Courts or Other Authorities," of 10 CFR Part 9

implement the provisions of the Sunshine Act concerning the opening of Commission meetings

to public observation and describe the procedures governing the production of agency records,

information, or testimony in response to subpoenas or demands of courts or other judicial

authorities in State and Federal proceedings.

5. 10 CFR Part 20

The regulations in 10 CFR Part 20, "Standards for Protection against Radiation," establish

standards for protection against radiation hazards arising from licensed activities. Some

material is appropriate for inclusion in the examinations administered to candidates for RO or

SRO licenses.

NUREG-1478 2 of 4 Rev. 2, June 30, 2007
ES-102N APPLICABLE REGULATIONS AND PUBLICATIONS ES-102N AND 

D. Regulatory Guides, NUREG Reports, and ANSI/ANS Standards

Regulatory guides, NUREG reports, and industry standards are not requirements except as

specified in Commission orders or as committed to by the facility licensee. The appropriate

revisions should be consulted as referenced in the facility FSAR or approved training program.

The following paragraphs summarize the latest revisions of these documents.

ANSI/ANS 15.4-1988, "American National Standard for the Selection and Training of

Personnel for Research Reactors"

This standard provides criteria for the selection and training of research reactor personnel doing

a variety of functions at various levels of responsibility (e.g., directors/administrators, operators,

and technicians). The standard also covers the general health and disqualifying conditions

applicable to license applicants and licensed personnel.

NUREG-1 478 3 of 4 Rev. 2, June 30, 2007

NUREG-1478 3 of 4 Rev. 2, June 30, 2007
APPLICABLE REGULATIONS AND PUBLICATIONS ES-1 02N

APPLICABLE REGULATIONS AND PUBLICATIONS ES-i 02N

This Page Intentionally Left Blank

NUREG-1478 4 of 4 Rev. 2, June 30, 2007
EXAMINER STANDARD 201N

PREEXAMINATION ACTIVITIES

A. Purpose

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

at a research and test reactor facility. It includes procedures for scheduling the examination,

assigning an examiner(s), obtaining the facility-specific reference material, and reviewing the

license applications.

B. Examination Scheduling

The chief examiner (CE) will schedule a specific examination date with the licensee's training

representative. Normally, the examiner will schedule the administration of the written

examination and all required operating tests during a single site visit with the operating test

following the written examination.

C. Coordinating Examination Visits

Three months before the examination week, the CE should contact the facility licensee by

telephone or email to reconfirm the expected number of applicants, the exact examination

dates, and other arrangements for the examinations. The CE should use Attachment 1,

"Research and Test Reactor Corporate Notification Letter," as a guide and discuss with the

licensee the following:

delivery of the reference materials (Attachment 1, Enclosure 1) to the CE at least 60

days before the scheduled examination date

facility licensee responsibilities for written examinations (Attachment 1, Enclosure 2)

* applicant responsibilities for the written examination (Attachment 1, Enclosure 3)

* facility review of written examinations before administration (Attachment 1, Enclosure 4)

the requirements of 10 CFR 55.31, "How to Apply," for submitting the license

applications

The CE will normally issue a letter confirming these arrangements about 90 days before the

examinations begin. This letter should be addressed to the facility licensee management

representative responsible for facility operations. The exact wording of the corporate

notification letter may be modified as necessary to reflect the confirmed arrangement.

Upon receipt, the CE will review the reference materials to decide if they are adequate for

preparing the examination. If these materials are incomplete or inadequate, the CE will request

that the facility licensee send additional reference materials.

If necessary, an examiner may review and select additional reference materials during a site

orientation trip.

Examiner Standards 1 of 14 Rev. 2, June 30, 2007
PREEXAMINATION ACTIVITIES ES-201 N

ACTIVITIES ES-201 N

The CE will coordinate the examination site visit with the facility licensee and any other

examiners assigned. If this will be the first visit at a particular facility for an examiner, he or she

should review with the CE the need for a preexamination site visit as described in Section F of

this standard.

If the examination must be rescheduled on short notice, the CE should minimize the impact on

other facility examinations that have been scheduled. The same examiner should administer

the entire operating test to an applicant. An examiner who failed an applicant on an operating

test will not administer that applicant's retake of the operating test.

If weekend or shift work is required to administer the operating tests, the CE will coordinate with

the facility licensee and, if applicable, other assigned examiners.

D. Assignment of Examiners

Depending on the number of license applicants for a given facility examination, the CE may

request help to prepare and or to administer the examination. Care should be taken not to

overburden any examiner. An example of a heavy week for an examiner would be testing eight

initial candidates [Reactor Operator and Senior Reactor Operator (Instant)] and four Senior

Reactor Operator (Upgrade) candidates, at a Complex facility. Each examiner's certification

status, other examination commitments, and general availability will be considered when

making assignments.

An examiner who was previously employed by a facility licensee (or one of its contractors) will

not be assigned any direct responsibilities for developing or administering written examinations

or operating tests at that licensee's facilities for at least 2 years after the examiner ended his or

her employment.

If a facility examination assignment presents a conflict of interest for an examiner, that

examiner will inform his branch chief/program director (BC/PD). The examiner will discuss the

following areas, as applicable, with his or her BC/PD:

" the length of time the examiner worked at the facility

* the time elapsed since the examiner left the facility

* the reasons the examiner ended employment at the facility

* the nature and extent of previous relationships with persons employed at the facility

anything that could affect the administration, performance, evaluation, or results of the

examination or create the appearance of a conflict of interest

After reviewing the facts of the possible conflict-of-interest case to determine whether the

assigned examiner can maintain his or her objectivity, the BC/PD will make the appropriate

assignment determination.

Examiner Standards 2 of 14 Rev. 2, June 30, 2007

Examiner Standards 2 of 14 Rev. 2, June 30, 2007
ES-201 N PREEXAMINATION ACTIVITIES

E. Reviewing License Applications

The CE will review the applications according to ES-202N to decide whether the applicants

meet the requirements specified in 10 CFR 55.31, 10 CFR 55.33, "Disposition of an Initial

Application," and 10 CFR 55.35, "Re-Applications," for initial license candidates or the

requirements of 10 CFR 55.57, "Renewal of Licenses," for license renewal.

After the CE has reviewed and approved or denied each of the applications and resolved all of

the waiver requests, the CE will forward the applications to the licensing assistant responsible

for research and test reactors operator licensing docket files (OLA).

The OLA will create a 55 docket folder for each new applicant and prepare letters informing the

applicant of the final disposition of any application-specific waivers (refer to ES-203N). The

OLA will then prepare an examination assignment sheet (Attachment 2 to this standard) as far

in advance as possible. The assignment sheet will identify all assigned examiners by name and

list the applicants by name, docket number, and type of examination they are to take (e.g.,

SRO-Upgrade (SRO-U), RO written only). All applicants listed on the assignment sheet should

be administered complete examinations (written and operating) as indicated under Examination

Type unless the NRC has granted waivers in accordance with ES-203N. A copy of the

assignment sheet will be distributed to all examiners assigned and the facility project manager.

The assignment sheet, which can be found in the Agencywide Documents Access and

Management System (ADAMS), will be updated to reflect the examinations as they were

administered.

F. Preexamination Site Visits

Occasionally, taking a trip to the facility before the scheduled examination date may be

advantageous for an examiner. This will allow the examiner to familiarize himself or herself with

the facility and provide an opportunity to review and validate examination materials with the

facility licensee.

The branch chief (BC) will assess the need for a separate preparatory site visit. The BC should

carefully weigh the costs and benefits associated with each additional trip to the facility and

consider factors such as the experience of the assigned examiner(s), the number of applicants,

and the complexity of the operating tests to be administered.

G. Facility Preexamination Reviews

The CE may arrange for the facility licensee to review the written examination before it is

administered. The CE will conduct the examination review according to the guidelines and

instructions contained in Attachment 1.

ATTACHMENTSlFORMS:

Attachment 1, Sample Corporate Notification Letter

Attachment 2, Sample Examination Assignment Sheet

Examiner Standards 3 of 14 Rev. 2, June 30, 2007

Examiner Standards 3 of 14 Rev. 2, June, 30, 2007
PREEXAMINATION ACTIVITIES ES-201 N

ACTIVITIES ES-201 N

ATTACHMENT 1

SAMPLE CORPORATE NOTIFICATION LETTER

[NRC Letterhead]

[Date]

[Facility Contact Name]

[Facility Contact Title]

[Street Address line 1]

[Street Address line 2]

[City, State Zip Code]

SUBJECT: CORPORATE NOTIFICATION LETTER, 50-[Number]/OL-YY-NN, [FACILITY

NAME]

Dear [Name]:

I arranged with [facility contact or you] for the administration of operator licensing examinations

at the [facility] reactor. The written and operating examinations are scheduled for the week of

[date of exams].

To meet this schedule, please furnish the material listed in Enclosure 1, "Reference Material for

Operator Licensing Examinations," at least 60 days before the examination date to either of the

following addresses:

(U.S. Postal Service) (Private Mail Carrier)

ATTN: [Chief Examiner] ATTN: [Chief Examiner]

[Appropriate Mail Stop] [Appropriate Mail Stop]

U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission

Washington, DC 20555 11555 Rockville Pike

Rockville, MD 20852-2738

Enclosure 2, "Administration of Written Examinations," describes your responsibilities for

conducting written examinations. Enclosure 3, "Procedures for the Administration of Written

Examinations," describes applicant responsibilities during the administration of the written

examination. Please ensure that all applicants are aware of these rules.

Your review of the written examination will be conducted in accordance with the procedures

specified in Enclosure 4, "Facility Review of Written Examinations."

Final, signed reactor operator and senior reactor operator license applications certifying that all

training has been completed must be submitted at least 14 days before the first examination

dates. This will allow the chief examiner time to review the training and experience of the

applicants, process the medical certifications, and process the applications. If this review

cannot be completed in time to decide an applicant's eligibility, that applicant may not be

permitted to sit for the examination. Therefore, it is recommended that license applications be

provided as soon as possible to ensure an appropriate level of review.

Examiner Standards 4 of 14 Rev. 2, June 30, 2007
ES-201 N PREEXAMINATION ACTIVITIES

The NRC has posted copies of the application forms, "Personal Qualification

Statement-Licensee" (NRC Form 398) and "Certification of Medical History by Facility

Licensee" (NRC Form 396) on the agency's Web site at www.nrc.-qov/readinq-rm/doccollections/forms/nrc398.pdf and www.nrc..qov/reading-rm/doc-collections/forms/nrc398.pdf,

respectively. These forms are in Adobe Acrobat' format.

This letter contains information collection requirements that are subject to the Paperwork

Reduction Act of 1995 (44 U.S.C. 3501 et seq.). These information collections were approved

by the Office of Management and Budget, approval number 3150-0018.

The burden to the public for these mandatory information collections is estimated to average

7.7 hours per response, including the time for reviewing instructions, searching existing data

sources, gathering and maintaining the data needed, and completing and reviewing the

information collection. Send comments regarding this burden estimate or any other aspect of

these information collections, including suggestions for reducing the burden, to the Records

and FOIA/Privacy Services Branch (T-5 F52), U.S. Nuclear Regulatory Commission,

Washington, DC 20555-0001, or by Internet electronic mail to INFOCOLLECTS@NRC.GOV;

and to the Desk Officer, Office of Information and Regulatory Affairs, NEOB-1 0202, (3150-

0018), Office of Management and Budget, Washington, DC 20503.

The NRC may not conduct or sponsor, and a person is not required to respond to, a

request for information or an information collection requirement unless the requesting

document displays a currently valid OMB control number.

If you have any questions regarding the examination procedures and requirements, please

contact me at (301) 415-[number], or email at finitialsWcDnrc.gov.

Sincerely,

[Name], Chief Examiner

[Branch or Program Name] [Division Na~me]

office of Nuclear Reactor Regulation

Docket No. 50-[number]

Enclosures:

1. Reference Material for Reactor/Senior Operator Licensing Examinations

2. Administration of Written Examinations

3. Procedures for the Administration of Written Examinations

4. Facility Review of Written Examinations

cc w/enclosures:

[Name], Reactor Supervisor, if applicable

[Name], Training Supervisor, if applicable

Examiner Standards 5 of 14 Rev. 2, June 30, 2007

Examiner Standards 5 of 14 Rev. 2, June 30, 2007
PREEXAMINATION ACTIVITIES ES-201 N

ACTIVITIES ES-201 N

ENCLOSURE 1

REFERENCE MATERIAL FOR REACTOR/

SENIOR REACTOR OPERATOR LICENSING EXAMINATIONS

(1) Training materials including all substantive written material used to prepare applicants

for initial reactor operator and senior reactor operator licensing. The material should

include learning objectives, if available, and details presented during lectures, rather

than outlines. Training materials should be identified, bound, and indexed. Training

materials should include the following:

(a) System descriptions including descriptions of all operationally relevant flowpaths,

components, controls, and instrumentation. System training material should

draw parallels to the actual procedures used for operating an applicable system.

(b) Learning objectives, student handouts, and lesson plans (including training

manuals, facility orientation manual, system descriptions, reactor theory,

thermodynamics).

(c) Complete and operationally useful descriptions of all safety-system interactions

and secondary interactions under emergency and abnormal conditions, including

consequences of anticipated operator error, maintenance error, and equipment

failure.

(d) Training material used to clarify and strengthen understanding of emergency

operating procedures.

(2) Complete Procedure Index (including temporary procedures).

(3) All administrative procedures as applicable to reactor operation or safety.

(4) All integrated facility procedures, normal or general operating procedures, and

procedures for experiments.

(5) All emergency procedures, emergency instructions, and abnormal or special

procedures.

(6) Standing orders or procedures changed by reactor supervision and important orders or

changes that are safety related and may supersede the regular procedures.

(7) A list of all reactor facility surveillances, with copies of all COMPLETED surveillances

which require the collection of data (e.g., heat balance, rod drop times).

(8) Fuel-handling and core-loading procedures and initial core-loading procedure (if

appropriate).

(9) Any annunciator/alarm procedures, as applicable.

(10) Radiation protection manual and radiation control manual or procedures.

Examiner. Standards 6 of 14 Rev. 2, June 30, 2007
ES-201 N PREEXAMINATION ACTIVITIES

(111) Emergency plan and any emergency plan implementing procedures (EPIPs).

(12) Safety analysis report, technical specifications, and interpretations, if available.

(13) System operating procedures, including experiments.

(14) Piping and instrumentation diagrams, electrical single-line diagrams, and flow diagrams.

(15) Technical data book, and/or facility curve information, as used by operators and facility

precautions, limitations, and setpoints.

(16) Questions and answers specific to the facility training program, which may be used in

the written or operating examinations (voluntary by facility licensee).

(17) Facility modification authorizations, which were authorized since the last revision to the

safety analysis report.

(18) Additional material as requested by the examiners to develop examinations that meet

the requirements of the research and test reactor examiner standards and regulations.

The above reference material should be approved, final issues and be so marked. If a facility

has not finalized some of the material, the chief examiner should verify with the facility that the

most complete, up-to-date material is available. and that agreement has been reached with the

licensee for limiting changes before the administration of the examination.

Examiner Standards 7 of 14 Rev. 2, June 30, 2007

Examiner Standards 7 of 14 Rev. 2, June 30, 2007
PREEXAMINATION ACTIVITIES ES-201N

ACTIVITIES ES-201 N

ENCLOSURE 2

ADMINISTRATION OF WRITTEN EXAMINATIONS

(1) A single room must be provided for administration of the written examination. This room

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

facility personnel during the written examination.

(2) Minimum spacing is necessary to ensure examination integrity. The chief examiner will

determine whether the room has adequate area to support minimum spacing between

examination applicants to ensure examination integrity.

(3) The chief examiner will review any arrangements made by the facility to give the

applicants lunch, coffee, or other refreshments. These arrangements shall comply with

Item 1 above.

(4) The facility licensee may provide pads of 8.5 by 11-inch lined paper in unopened

packages for the applicant's use in completing the examination. The examiner will

distribute these pads as needed.

(5) Applicants may bring pens, pencils, calculators, or slide rules into the examination room.

Black ink or dark pencils should be used for writing answers to questions.

(6) The chief examiner must approve any wall charts, models, training materials,

equipment, or reference material present in the examination room.

(7) The chief examiner will give the facility staff a copy of the written examination with

answer key at the beginning of the examination. The facility staff will then have 5

working days to submit formal written comments with supporting documentation

regarding written examination questions and answers to the chief examiner.

Examiner Standards 8 of 14 Rev. 2, June 30, 2007

Examiner Standards 8 of 14 Rev. 2, June 30, 2007
ES-201 N PREEXAMINATION ACTIVITIES

ENCLOSURE 3

PROCEDURES FOR THE ADMINISTRATION OF

WRITTEN EXAMINATIONS

(1) Verify candidate identity.

(2) Pass out examinations and handouts. Instruct applicants not to review examination until

instructed to do so.

READ THE FOLLOWING INSTRUCTIONS VERBATIM:

(1) Cheating on the examination means an automatic denial of your application and could

result in more severe penalties.

(2) When you have completed your examination, you must sign the statement at the bottom

of the cover sheet. This indicates that the work is your own and you have not received

or given assistance in completing the examination.

READ THE FOLLOWING INSTRUCTIONS:

With the start of the examination, you must comply with the following rules. These rules are in

effect within the examination area (DEFINE THE AREA), until the last candidate has handed in

his or her examination:

(1) Restroom trips are limited to only one applicant at a time. You must avoid all contact

with anyone outside the examination room to preclude even the appearance of cheating.

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

(3) Print your name in the blank provided in the upper right corner of the examination cover

sheet and each answer sheet.

(4) Mark your answers on the answer sheet(s) provided.

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

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

(7) There is a time limit of 1 hour per section of the written examination. For example, a

one-section retake examination has a 1-hour time limit, while a normal three-section

initial examination has a 3-hour time limit.

(8) You must achieve a grade of 70 percent or greater in each category to pass the

examination.

(9) When turning in your examination, assemble the completed examination with

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

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

collected with you out of the examination area.

Examiner Standards 9 of 14 Rev. 2, June 30, 2007
PREEXAMINATION ACTIVITIES PREEAMIATIN ACIVIIESES-201 NES-201N

(10) After turning in your examination, leave the examination area. If you are observed in

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

revoked.

(11) During the examination you will be evaluated for your actions as if you were the actual

watchstander. Please operate the reactor as if you were licensed, with the exception

that you should announce your actions, then pause momentarily to give the operator of

record time to correct you or stop you, if necessary, before you actually perform the

action. In addition, the examiner will be observing that you meet all conditions of your

license, (e.g., wearing corrective lenses to perform licensed duties).

Examiner Standards 10 of 14 Rev. 2, June 30, 2007
ES-201 N PREEXAMINATION ACTIVITIES

ENCLOSURE 4

FACILITY REVIEW OF WRITTEN EXAMINATIONS

1. At the option of the appropriate NRC management, the facility may review the written

examination up to 2 weeks before its administration. This review may take place at the

facility or an NRC office. The chief examiner will coordinate the details of the review

with the facility. An NRC examiner will be presentat all times during the review. The

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

When using this option, the facility reviewers must sign the following statement before

being allowed access to the examination.

a. Preexamination Security Agreement:

I_ _acknowledge that I have acquired specialized knowledge

[Print Name]

concerning the examination scheduled for at

[Print Date] [Print Facility Name]

as of the date of my signature below. I agree that I will not knowingly divulge any information

concerning this examination to any unauthorized persons. I understand that I am not to

participate in any instruction involving those applicants scheduled to be administered the above

examination from this date until after the examination has been administered. I further

understand that violation of the conditions of this agreement may result in the examinations

being canceled and/or enforcement action against myself or the facility licensee by whom I am

employed or represent.

Signature/Date

In addition, the facility staff reviewers will sign the following statement after the written

examination has been administered.

b. Postexamination Security Agreement:

I_ _ did not, to the best of my knowledge, divulge any information

[Print Name]

concerning the examinations administered during the week of at

[Pdnt Date] [Print Facility Name]

or provide any instruction to those applicants who were administered the examination from the

date I entered into this security agreement until the completion of examination administration.

Signature/Date

2. The facility staff will be provided a copy of the examination and the answer key at the

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

questions during the examination administration.

Examiner Standards 11 of 14 Rev. 2, June 30, 2007
PREEXAMINATION ACTIVITIES ES-201 N

If members of the facility staff did not review the examination before its administration,

they will have 5 working days from the day of the written examination to submit formal

comments. If the facility staff reviewed the examination before its administration, they

must submit any additional comments before the examiner leaves the facility. The

reactor supervisor will address the comments to the chief examiner. The NRC will

consider comments submitted after the required period on a case-by-case basis. This

may cause delays in grading the examinations.

3. The facility licensee should submit comments in the following format:

• list the question section and number and state the comment along with a

recommendation for correction (e.g., delete, two correct answers)

" support the comment with a reference and provide a copy of the reference if it

was not included in the original reference material submitted

NOTES:

(1) No change to the examination will be made without a reference to support the facility

comment. Provide any supporting documentation not previously supplied.

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

(3) Comments not submitted within the requested time will be included in the grading

process on a case-by-case basis as determined by the NRC. Comments not submitted

within the requested time will delay the examination grading process.

(4) NRC policy is to delete a multiple-choice question that has no correct answer or more

than two correct answers and to give credit for either response for questions that have

two correct answers.

Examiner Standards 12 of 14 Rev. 2, June 30, 2007

Examiner Standards 12 of 14 Rev. 2, June 30, 2007
ES-201 N PREEXAMINATION ACTIVITIES

ES-201 N 

NOTE TO:

FROM:

SUBJECT:

ATTACHMENT 2

SAMPLE EXAMINATION ASSIGNMENT SHEET

(CE) [Name, Title, and Affiliation]

(OLA) [Name,.Title, and Affiliation]

EXAMINATION ASSIGNMENT SHEET [REPORT NO. AND FACILITY

NAME])

APPLICANT DOCKET NO. EXAMINATION TYPE

Facility and location

Facility contact

Written examination to be prepared by

Dates of examination

cc: [Project manager]

(Standard Headquarters distribution)

Examination Report No. 50-[Numberj

ADAMS Accession No. ML[Number]

Examiner Standards 13 of 14 Rev. 2, June 30, 2007

Examiner Standards 13 of 14 Rev. 2, June 30, 2007
PREEXAMINATION ACTIVITIES ES-201 N

ACTIVITIES ES-201 N

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Examiner Standards 14 of 14 Rev. 2, June 30, 2007

Examiner Standards 14 of 14 Rev. 2, June 30, 2007
EXAMINER STANDARD 202N

ELIGIBILITY REQUIREMENTS AND GUIDELINES

A. Purpose

This standard provides instructions for reviewing initial and retake operator license applications.

It identifies the experience, training, education, and certification requirements and guidelines

that applicants should satisfy before they will be allowed to take an RO or SRO license

examination.

B. Definitions

ANSI/ANS-15.4-1988, "American National Standard for the Selection and Training of Personnel

for Research Reactors," defines many of the terms used in this standard. Additional

clarification is provided where necessary. The following terms are relevant to the licensing

process:

* Nuclear experience: Defined in Section 2 of ANSI/ANS-15.4-1988.

* Academic training: Defined in Section 2 of ANSI/ANS-1 5.4-1988.

" Certification: Defined in Section 2 of ANSI/ANS-15.4-1988.

" Reactor operator applicant: An unlicensed individual who is applying for an RO

license.

* Senior reactor operator-upgrade applicant: A licensed RO who is applying for an

SRO license on the same unit(s).

Senior reactor operator-instant applicant: An unlicensed individual who is applying

for an SRO license.

Senior reactor operator limited to fuel handling applicant: An individual who is

applying for an SRO license limited to fuel handling license.

C. Reviewing Initial License Applications

Subpart D, "Applications," of 10 CFR Part 55 outlines the regulatory requirements associated

with the license application process. The CE should refer to them as necessary when reviewing

license applications.

1. Initial License Applications

a. All applicants must submit an NRC Form 398 and an NRC Form 396. (Computergenerated duplicates are acceptable.) An application is not complete until both forms

are filled out, signed by the appropriate facility licensee personnel, and signed by the

NRC.

Detailed instructions for completing NRC Form 398 are provided with the form.

Examiner Standards 1 of 8 Rev. 2, June 30, 2007
ELIGIBILITY REQUIREMENTS AND GUIDELINES ES-202N

ELIGIBILITY AND GUIDELINES ES-202N

b. The facility licensee senior management representative must certify that the applicant

has completed the training required for the desired license level by placing a check in

Item 19.b of NRC Form 398, signing the form, and submitting it to the CE at least 14

days before the examination date.

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

described in Section F, process the medical certifications, evaluate any waiver requests

(refer to ES-203N), and request any additional information that might be necessary.

c. If the CE decides that an application is incomplete or that the applicant does not meet

the requirements in 10 CFR 55.31, he or she will note the deficiencies on the application

and request additional information. If, after receipt of additional information, the CE

decides that the applicant still does not meet the eligibility requirements, the BC/PD will

notify the applicant in writing that the application is being denied and inform him or her

of the deficiencies on which the denial is based (Attachment 1).

The CE will check the Does Not Meet Requirements block (bottom of NRC Form 398)

and sign and date the form. Applicants who do not meet eligibility requirements will not

be permitted to take a license examination.

An applicant who does not accept the proposed denial may request a review of the

denial or request a hearing according to 10 CFR 2.103(b)(2). ES-502N provides further

information on this topic.

2. Retake License Applications

An applicant applying after a license denial must submit new NRC Forms 398 and 396 (refer to

10 CFR 55.35). The NRC will not process an application if the applicant has a request for

reconsideration or a hearing on the previous license denial outstanding (refer to ES-502N). The

CE will review the application as described in Section C.1, subject to the additional conditions

described in the following paragraphs.

a. If the first application was denied because the applicant failed either the written

examination, operating test, or both, the applicant may file a new application 2 months

after the date of the final denial. The applicant may file a third application 6 months

after the date of the second denial and successive applications 2 years after the date of

each subsequent denial.

b. The applicant may request a waiver of portions of the NRC examination passed on his

or her initial examination. (Refer to ES-204 for further guidance on this type of waiver.)

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

d. Facility licensee management must certify that the applicant has received sufficient

additional training at the facility and the results of that training have been objectively

evaluated to ensure that the applicant is ready for reexamination, as well as safely

assuming the duties and responsibilities of a licensed operator (NRC Form 398, Item

19.b).

Examiner Standards 2 of 8 Rev. 2, June 30, 2007
ES-202N ELIGIBILITY REQUIREMENTS AND GUIDELINES ES-202N AND GUIDELINES

D. Initial Licensing Medical Requirements

Subpart C, "Medical Requirements," of 10 CFR Part 55 specify the medical requirements for

license applicants and licensed operators.

10 CFR Part 55 requires the applicant to submit an NRC Form 396 as part of his or her

application for a license. The form should describe the guidance used by the doctor to perform

the medical examination. The form lists three guides recognized by the NRC for medical

examination; ANSI/ANS 3.4-1996, ANSI/ANS 3.4-1983 and ANSI/ANS 15.4-1988. If the facility

uses other guidance it must list that guidance under "other". Forms stipulating "other" will be

forwarded to the NRC doctor for evaluation, no licenses will be issued until the doctor

completes his or her review and finds the medical examination to be adequate. The medical

data in support of NRC Form 396 are normally good for 6 months from the date of the medical

examination. However, if the applicant is reapplying after withdrawing a previous application or

accepting a final license denial, he or she may request a waiver by checking Item 4.f.4 on NRC

Form 398 and either providing an explanation in Item 17 of the form or submitting a separate

letter with the application. The CE may waive the requirement for a new medical certificate

(i.e., NRC Form 396) if the date of the original medical examination is within 1 year of the

scheduled license examination. The CE will document the disposition of the waiver request by

checking the appropriate block at the bottom of NRC Form 398 and notifying the candidate in

writing (refer to ES-203N).

E. Initial License Eligibility Guidelines

The license eligibility guidelines in ANSI/ANS-15.4-1988 are summarized as follows.

1. Reactor Operator and Senior Reactor Operator-Instant Applications

a. Certification

The facility licensee management must certify that the applicant has received sufficient

training at the facility and the results of that training have been objectively evaluated to

ensure the safe assumption of the duties and responsibilities of a licensed operator

(NRC Form 398, Item 19.b).

b. Training

The training shall include the following:

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

(2) Topics identified in Sections 5.4 (RO) or 5.3 (SRO-I) of ANSI/ANS-15.4-1988.

(3). Operation of the reactor and its systems under the supervision of licensed ROs

and SROs.

Examiner Standards 3 of 8 Rev. 2, June 30, 2007

Examiner Standards 3 of 8 Rev. 2, June 30, 2007
ELIGIBILITY REQUIREMENTS AND GUIDELINES ES-202N

(4) Manipulation of the controls of the reactor during five significant changes in

reactivity or power level (refer to 10 CFR 55.31(a)(5)). Every effort should be

made to diversify the reactivity and power changes. Examples of control

manipulations include reactor startups and shutdowns and large power changes.

c. Education

The applicant should have a high school diploma or an equivalency certificate (e.g.,

General Education Development (GED) or home schooling certificate). Individuals who

have not completed high school or do not have a home schooling certification should not

be excluded. Previous job-related experience or education should also be considered.

If an applicant is still attending high school, then the facility licensee should carefully

review the applicant's background for selection into the training program.

2. Senior Reactor Operator-Instant Applications

The applicant should have a minimum of 3 years of nuclear experience. Two years of full-time

academic training may be substituted for 2 years of experience.

3. Senior Reactor Operator-Upgrade Applications

a. Experience

The applicant should have a minimum of 1 year of experience as an RO at the

facility or meet the requirements for an SRO-instant (SRO-l) listed above.

b. Training

The training shall:

(1) include the topics identified in Section 5.4 (RO) or 5.3 (SRO-I) of

ANSI/ANS-1 5.4-1988

F. NRC Form 398

Each applicant must submit a personal qualifications statement (NRC Form 398). The

form must be completely filled out per the instructions and signed by the appropriate facility

licensee personnel. Those sections or items that are not applicable to operators at research

and test reactors will be marked "NA."

Item 4. Type of Application

Item f. Waiver Requested (ES-203N discusses requests for reapplications)

Item g. Date Passed GFE (not applicable to research and test facilities)

Examiner Standards 4 of 8 Rev. 2, June 30, 2007

Examiner Standards 4 of 8 Rev. 2, June 30, 2007
ES-202N ELIGIBILITY REQUIREMENTS AND GUIDELINES ES-202N AND GUIDELINES

Item 10. Current Position at Facility

Items a, b, c, e, and i are not directly applicable to research and test reactors. Therefore, the

"other" Item j, Other, should be used to describe the applicant's position (e.g., facility director,

chief reactor supervisor). Items g and h are applicable only to licensed personnel. An

unlicensed control room operator trainee should not be listed as a control room operator in Item

h but, instead, should be listed as a trainee in Item j.

Item 13. Training (Since Last Application-See Instruction)

This section should contain only training received specifically for the license for which the

application is submitted. Research and test facilities normally do not have a training program

that excludes other concurrent activities, therefore, the period of training should be identified

(month and year) and condensed to the appropriate number of weeks.

For example, an applicant spends 4 months in training from June 1, 1984, through September

30, 1984, with 2 hours per week devoted to fundamentals, 2 hours per week tracing systems, 1

hour per week in the control room, and 1 hour per week in actual manipulation (two reactivity

changes per manipulation). The condensed training would be from June 1984 to October 1984

and included, approximately 1 week (16 weeks x 2 hours per week) of fundamentals, 1 week of

facility systems observation, 1 week of control room operations, and 32 reactivity manipulations.

Numbers do not have to be precise, but should be representative.

Items a.1, a.2, and a.3, Classroom, should identify training conducted in a classroom

setting.

* Item b, Simulator, is not applicable to research and test facilities.

Item c, SRO Instruction, should be used to identify SRO-level training given in

preparation for an SRO-level license examination.

* Item d is not applicable to research and test facilities.

Item f, Other, should be used to describe time spent in the facility in training (e.g., time

spent tracing systems, time in the control room observing or operating).

* ANSI/ANS-15.4-1988 contains additional guidance on training criteria.

Item 15. Experience

Experience must be current up to the date of application. Applicable experience gained at other

research and test facilities and/or nuclear power plants, as well as any military experience,

should be included. In all cases, the applicant should briefly and fully describe his or her

experience in Item 15.

Item 16. For Renewals Only (See ES-204)

Examiner Standards 5 of 8 Rev. 2, June 30, 2007

Examiner Standards 5 of 8 Rev. 2, June 30, 2007
ELIGIBILITY REQUIREMENTS AND GUIDELINES ES-202N

AND GUIDELINES ES-202N

Item 19. Signatures

Item a. The applicant's signature must appear on the application.

Item c: The training coordinator and highest level of facility management responsible for facility

operations must sign the application. This is normally the facility director or equivalent position;

higher authority is not needed. If the facility director is also the training coordinator, then he or

she must sign both places.

G. Maintaining Medical Standards for Licensees

1. Temporary Disability

When an operator is temporarily unable to meet medical standards, the facility licensee may

administratively classify that operator's license as "inactive" until he or she is again certified to

meet all medical standards by the facility licensee. The facility licensee need not notify the

NRC nor request a conditional license for the temporary disability provided the operator is

administratively prevented from performing licensed duties during his or her temporary

disability.

If the disability extends beyond the date of license expiration, the licensee may apply for timely

license renewal according to 10 CFR 55.55(a) and 10 CFR 55.57(a). The facility licensee

should document the nature of the licensee's temporary disability on the medical certificate and

submit a revised certificate to the NRC after the physician determines that the licensee meets

the requirements of 10 CFR 55.33(a)(1). The NRC will not renew the operator's license until it

finds that all of the conditions specified in 10 CFR 55.57(b) are satisfied.

2. Permanent Disability

If the facility licensee determines that an operator's medical condition is permanently

disqualifying according to Section 7.2 of ANSI/ANS 15.4-1988, the facility licensee shall notify

the NRC within 30 days of learning of the diagnosis (see 10 CFR 50.74 and 10 CFR 55.25).

ATTACHMENTS/FORMS:

Attachment 1, Sample Initial Application Denial

Examiner Standards 6 of 8 Rev. 2, June 30, 2007
ES-202N ELIGIBILITY REQUIREMENTS AND GUIDELINES

ATTACHMENT 1

SAMPLE INITIAL APPLICATION DENIAL

[NRC Letterhead]

[Date]

[Applicant Name]

[Street Address]

[City, State Zip Code]

Dear [Name]:

This letter is to inform you that your application for a [reactor operator, senior reactor operator]

license submitted for the [facility name] is hereby denied.

[Branch to discuss deficiencies and which part of 10 CFR 55.31, ES-202N, or ANSI/ANS-15.4-

1988 was involved.] When you have met the requirements of Title 10, Section 55.31, "How to

Apply," of the Code of Federal Regulations (10 CFR 55.1), you may submit another application.

If you do not accept this denial, you may, within 20 days of the date of this letter, take one of

the following actions:

(1) You may request the NRC to reconsider the denial of your application by writing to the

Director, Division of Regulatory Improvement Programs, Office of Nuclear Reactor

Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555. Your

request must include specific reasons for your belief that your application was

improperly denied. If the NRC determines that the denial of your application remains

appropriate, you still have the right to a hearing pursuant to 10 CFR 2.103(b)(2).

(2) If you do not request reconsideration, you may request a hearing in accordance with

10 CFR 2.103(b)(2). Submit your request, in writing, to the Secretary of the

Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555, with a copy

to the Assistant General Counsel for Hearings, Office of the General Counsel, at the

same address.

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

[initials]•cDnrc.gov.

Sincerely,

[Branch Chief or Program Director with Program Responsibility]

Docket No. 55-[number]

cc: [Facility representative who signed the applicant's NRC Form 398]

CERTIFIED MAIL-RETURN RECEIPT REQUESTED

Examiner Standards .7 of 8 Rev. 2, June 30, 2007
ELIGIBILITY REQUIREMENTS AND GUIDELINES ES-202N ELIGIBILITY AND GUIDELINES ES.202N

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Examiner Standards 8 of 8 Rev. 2, June 30, 2007

Examiner Standards 8 of 8 Rev. 2, June 30, 2007
EXAMINER STANDARD 203N

PROCESSING OPERATOR LICENSING WAIVERS

A. Purpose

This standard provides guidance for processing waiver requests from RO and SRO license

applicants.

B. Background

To speed the processing of an applicant's waiver request(s), the NRC management has

delegated the authority to grant waivers of certain operator licensing requirements to the CE.

The types of waiver requests identified in Section D. 1 of this standard may be granted by the

CE without first obtaining BC/PD approval.

C. General Guidelines

1. Submittal of Waiver Requests

The applicant may request a waiver of a license requirement by checking the appropriate block

in Item 4.f on NRC Form 398 providing a justification in Item 17.

2. Evaluation of Waiver Requests

The CE will evaluate waiver requests on a case-by-case basis. If there is insufficient

information upon which to base a decision, the CE will request additional information from the

facility licensee according to ES-202N.

Waiver requests may be denied if the evaluation and judgment of the staff so warrant. The

staff will document the disposition of every waiver request, whether granted or denied, by

completing the For NRC Use block on the applicant's application.

3. Notification of Applicants

The staff will notify the applicant in writing of the disposition of the request(s) when the decision

to grant or deny their waiver is made. If time is too short to notify the applicant in writing before

the examination date, the CE will notify the facility licensee's training representative by

telephone, with a memorandum to the applicant's docket file.

If the applicant is determined to be ineligible to take the license examination, the staff will issue

a denial letter according to ES-202N.

D. Waivers

1. Routine

a. If an applicant fails any section of the written examination, but has a passing grade

overall for the examination, the CE may waive those examination sections passed. For

candidates who have failing grades for the examination overall, the CE may grant a

Examiner Standards 1 of 2 Rev 2, June 30, 2007
PROCESSING OPERATOR LICENSING WAIVERS ES-203N

waiver for any sections for which the candidate scored greater than 80 percent. These

waivers are only applicable for the first retake examination, and that examination must

be applied for and taken within 1 year of the date of the examination that the applicant

failed.

b. The medical data in support of NRC Form 396 are good for 6 months from the date of

the medical examination for a person applying for an RO or an SRO-I license. For

reapplications following a license denial or withdrawal of an application, waivers

extending the 6-month period may be granted if the date of the original medical

examination is within 1 year of the scheduled reexamination. For renewal and SRO-U

applicants, the medical examination documented on NRC Form 396 is good for 2 years

from the date of the medical examination.

c. The NRC staff will consider examination waivers for previously licensed operators not

currently holding a license depending on the justification provided by the facility licensee

pursuant to 10 CFR 55.47, "Waiver of Examination and Test Requirements."

2. Nonroutine Waivers

For all other waiver requests, the CE will make the appropriate recommendations to the NRC

management. The NRC management will grant or deny the waiver request. NRC management

concurrence is not required for a waiver decision made by the CE in accordance with Section

D. 1 above.

Examiner Standards 2 of 2 Rev 2, June 30, 2007
EXAMINER STANDARD 204N

REVIEWING LICENSE RENEWAL APPLICATIONS

A. Purpose

This standard provides instructions for reviewing renewal license applications.

B. Timely Renewal

All operators must comply with the requirements of 10 CFR 55.57(a) to renew his or her

license.

(1) According to 10 CFR 55.55(b), "If an individual licensee files an application for renewal

or upgrade of an existing license on Form NRC-398 at least 30 days before the

expiration of the existing license, it does not expire until disposition of the application for

renewal or for an upgraded license has been finally determined by the Commission."

(2) If an individual licensee is waiting for reexamination after failing an NRC-conducted

requalification examination, his or her license will be extended under the provisions of

10 CFR 55.55(b) until the NRC makes a renewal decision.

(3) If the application is received less than 30 days before the date of license expiration and

too late for processing, the license will expire on the expiration date. A new license may

be issued when processing of the application is completed.

C. Reviewing License Applications

(1) The operator must submit NRC Form 398 and NRC Form 396 (computer-generated

duplicates are acceptable). The application is not complete until both forms are filled

out, signed by the appropriate personnel, and signed by the NRC.

Detailed instructions for completing NRC Form 398 are provided vith the form. Section

D of this standard provides additional information.

(2) 10 CFR 55.21, "Medical Examination," requires the facility licensee to submit an NRC

Form 396 certifying that a physician has performed a medical examination. The form

must showthat the physician performed the examination within the previous 2 years,

and stipulate the guidance used to perform the examination (e.g., ANSI/ANS 3.4-1983,

ANSI/ANS 3.4-1996, or ANSI/ANS 15.4-1988).

(3) The CE will review the application, process the medical certification, evaluate any waiver

requests, and request any additional information that might be necessary.

(4) The CE will approve the application and renew the license if he or she finds that the

conditions in 10 CFR 55.57(b) are satisfied.

(5) Upon deciding that the application is incomplete, the CE will note the deficiencies,

request the facility licensee to supply the additional information within 20 days, check

the Does Not Meet Requirements block at the bottom of Form 398, and sign and date

the form. The operator license will not be renewed until the operator meets all

requirements.

Examiner Standards 1 of 8 Rev. 2, June 30, 2007
REVIEWING LICENCE RENEWAL APPLICATIONS ES-204N

(6) If, after reviewing the additional information, the CE decides that the operator still does

not meet the requirements for license renewal, further action will be taken according to

the instructions in Section E of this standard.

D. NRC FORM 398

Each operator must submit a personal qualifications statement (NRC Form 398). The

form must be completely filled out per the instructions and signed by the appropriate personnel.

Item 4. Type of Application

Item f. Waiver Requested (ES-203N discusses waiver requests)

Item g. Date Passed GFE (not applicable to research and test reactor facilities)

Item 10. Current Position at Facility

Items a, b, and e are not applicable to research and test reactor facilities.

Item j, Other, should be used to describe facility staff positions (e.g., facility director, chief

reactor supervisor).

Item 13. Training (Since Last Application-See Instruction)

Item e, Requalification-The use of "continuous" or a similar type of entry to describe the

number of weeks in this block is not sufficient. The actual number of weeks (condensed into

one time period) spent in requalification must be listed as described in the example below.

Each operator should enter the number of weeks spent on requalification training during the 6-

year license period. For example, if the operator spent 10 months of each year in training with

2 hours per week devoted to study, the condensed training would be 6 years x 42 weeks/year x

2 hours/week = 512 hours. Divided by 40, this is approximately 13 weeks. Numbers do not

need to be precise, but should be representative.

ANSI/ANS-15.4-1988 contains additional guidance on training criteria.

Item 14. Significant Control Manipulations

Not required to be documented for license renewal.

Item 15. Experience

Not required to be documented for license renewal.

Item 16. For Renewals Only

Item a. Enter approximate hours operated facility.

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

Examiner Standards 2 of 8 Rev. 2, June 30, 2007
JES-204N REVIEWING LICENCE RENEWAL APPLICATIONS

Item 19. Signatures

Item a. The operator's signature must appear on the application.

Item c. Check the box, then have the facility licensee training coordinator and highest level of

management responsible for facility licensee operations sign the application. This is normally

the facility director or equivalent position; higher authority is not needed. If the facility director is

also the training coordinator then he or she must sign in both places.

E. Procedure for Denying an Application for License Renewal

If, after receipt of additional information, the CE decides that the applicant still does not meet

the eligibility requirements, the responsible BC/PD will notify the applicant in writing that the

application is being denied and inform him or her of the deficiencies upon which the denial is

based (Attachment 1).

Within 20 days of the date of the letter of notification of proposed denial, the individual licensee

may exercise one of the following options:

(1) Submit a written request for the NRC to review the application. Such requests should

be sent to either of the following addresses:

(U.S. Postal Service) (Private Mail Carrier)

Appropriate Division Director Appropriate Division Director

U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission

Washington, DC 20555 11555 Rockville Pike

Rockville, MD 20852-2738

The individual licensee should include the reasons for the review request and supporting

documentation as applicable. Note 5 in Section G of this standard provides additional

information on the requirements for supporting documentation.

(2) Submit a written request for a hearing pursuant to 10 CFR 2.103(b)(2). A hearing

request is required to be submitted to either of the following addresses:

(U.S. Postal Service) (Private Mail Carrier)

Secretary of the Commission Secretary of the Commission

U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission

Washington, DC 20555 11555 Rockville Pike

Rockville, MD 20852-2738

Send a copy to the Assistant General Counsel for Hearings, Office of General Counsel,

at the same address.

If the individual licensee exercises option (1) and the staff sustains its denial of the application,

the applicable division director will so inform the individual licensee using Attachment 2. The

individual licensee again has the option to request a hearing pursuant to 10 CFR 2.103(b)(2).

Examiner Standards 3 of 8 Rev. 2, June 30, 2007
REVIEWING LICENCE RENEWAL APPLICATIONS ES-204N

APPLICATIONS ES-204N

F. Procedure for Overturning Renewal Denials

If, during a hearing or an informal review, the staff reverses its decision regarding the failure of

a requalification examination or application denial, the staff will take one of the following three

actions, as appropriate:

(1) reinstate the license

(2) allow the individual licensee to renew the license pursuant to 10 CFR 55.57, if all other

requirements are satisfied

(3) allow the individual licensee to perform licensed duties when he or she has successfully

completed the facility's requalification program and the provisions of 10 CFR 55.53(e) or

(f)

If, upon conducting a hearing, the staff reverses its denial of an individual licensee's renewal

application, the individual licensee will be eligible for license renewal pursuant to 10 CFR 55.57

if all other requirements that were not at issue in the hearing are satisfied.

G. Notes

(1) Letters informing an individual licensee of a proposed denial or examination failure must

be signed by NRC management (BC/PD or higher). In case of an appeal, a copy of the

Division's correspondence will be distributed to the BC/PD for tracking purposes.

(2) The NRC will provide copies of all correspondence related to this process to the facility

licensee's representative authorized to sign the renewal application.

(3) The NRC should send all correspondence related to this process to the individual

licensee by certified mail with return receipt requested.

(4) Asking the facility licensee to reassess the need for the individual licensee's license is

inappropriate while conducting an informal review or hearing.

(5) Requests for informal reviews by the NRC must (a) list the items for which additional

review is being requested and (b) include documentation supporting the contentions

made by the individual licensee. The package containing the supporting documentation

for the review and the review request must be mailed or delivered to the applicable

division director within 20 days of the date of the failure or denial notification. The

division staff should complete the review within 45 days of receiving the package. The

staff will review requests using the guidance in ES-502N.

ATTACHMENTS/FORMS:

Attachment 1, Sample Renewal Application Denial Letter (Branch, Program Level)

Attachment 2, Sample Renewal Application Denial Letter (Division Level)

Examiner Standards 4 of 8 Rev. 2, June 30, 2007

Examiner Standards 4 of 8 Rev. 2, June 30, 2007
ES-204N REVIEWING LICENCE RENEWAL APPLICATIONS

ES-204N LICENCE APPLICATIONS

ATTACHMENT I

SAMPLE RENEWAL APPLICATION DENIAL LETTER

[NRC Letterhead]

[Date]

(Operator's Name]

[Street Address]

[City, State Zip Code]

Dear [Name]:

This letter is to inform you that your renewal application for a [reactor operator, senior reactor

operator] license submitted for the [facility name] is hereby denied.

[Branch to discuss deficiencies and which part of 10 CFR 55.31, ES-202N, or ANSI/ANS-1 5.4-

1988 was involved.] When you have met the requirements of Title 10, Section 55.31, "How to

Apply," of the Code of Federal Regulations (10 CFR 55.31), you may submit another

application.

If you do not accept this denial, you may, within 20 days of the date of this letter, take one of

the following actions:

1. You may request the NRC to reconsider the denial of your application by writing to either

of the following addresses:

(U.S. Postal Service)

[Applicable Division Director]

U.S. Nuclear Regulatory Commission

Washington, DC 20555,

(Private Mail Carrier)

[Applicable Division Director]

U.S. Nuclear Regulatory Commission

11555 Rockville Pike

Rockville, MD 20852-2738

Your request must include specific reasons for your belief that your application wasimproperly denied. If the NRC determines that the denial of your application remains

appropriate, you still have the right to a hearing pursuant to 10 CFR 2.103(b)(2).

2. If you do not request reconsideration, you may request a hearing according to

10 CFR 2.103(b)(2). Submit your request, in writing, to either of the following

addresses:

(U.S. Postal Service)

Secretary of the Commission

U.S. Nuclear Regulatory Commission

Washington, DC 20555,

(Private Mail Carrier)

Secretary of the Commission

U.S. Nuclear Regulatory Commission

11555 Rockville Pike

Rockville, MD 20852-2738

Examiner Standards 5 of 8 ERev. 2, June 30, 2007
REVIEWING LICENCE RENEWAL APPLICATIONS ES-204N

Send a copy to the Assistant General Counsel for Hearings, Office of the General

Counsel, at the same address.

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

finitialskDnrc.loV.

Sincerely,

[Branch Chief or Above]

[Appropriate Branch or Directorate]

[Appropriate Division]

Office of Nuclear Reactor Regulation

Docket No. 55-[number]

cc: [Facility representative who signed the operator's NRC Form 398]

CERTIFIED MAIL-RETURN RECEIPT REQUESTED

Examiner Standards 6 of 8 Rev. 2, June 30, 2007
ES-204N REVIEWING LICENCE RENEWAL APPLICATIONS E.S-204N LICENCE RENEWAL APPLICATIONS

ATTACHMENT 2

SAMPLE RENEWAL APPLICATION DENIAL LETTER

[NRC Letterhead]

[Date]

[Operator's Name]

[Street Address]

[City, State Zip Code]

Dear [Name]:

This letter is to inform you that my staff has reviewed the proposed denial of your renewal

application for a [reactor operator, senior reactor operator] license.

[Division staff -to discuss deficiencies and which part of 10 CFR 55.31., ES-204N, or ANSI/ANS15.4-1988 wasinvOlved.] When you have met the requirements of Title 10, Section 55.57,

"Renewal of Licenses," of the Code of Federal Regulations (10 CFR 55.57), you may submit

another application.

If you do not accept this denial, you may, within 20 days of the date of this letter, request a

hearing pursuant to 10 CFR 2.103(b)(2). Submit your request, in writing, to one of the following

addresses:

(U.S. Postal Service) (Private Mail Carrier)

Secretary of the Commission Secretary of the Commission

U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission

Washington, DC 20555 11555 Rockville Pike

Rockville, MD 20852-2738

Send a copy to the Assistant General Counsel for Hearings, Office of the General Counsel, at

the same address.

If you have any questions, please contact [name] at [telephone hnumber].

Sincerely,

[Name], Director

[Appropriate Division]

Office of Nuclear Reactor Regulation

Docket No. 55-[number]

cc: [Facility representative who signed the operator's NRC Form 398]

CERTIFIED MAIL-RETURN RECEIPT REQUESTED

Examiner Standards 7 of 8 Rev. 2, June 30, 2007
REVIEWING LICENCE RENEWAL APPLICATIONS ES-204N

REVIEWINGLICENCERENEWAL APPLICATIONS 

This Page Intentionally Left Blank

Examiner Standards 8 of 8 Rev. 2, June 30, 2007 .Examiner Standards 8 of 8 Rev. 2, June 30, 2007
EXAMINER STANDARD 301N

PREPARATION OF OPERATING TESTS

A. Purpose

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

test, unless it has been waived by 10 CFR 55.47 (refer to ES-203N). The specific content of

the examination will depend upon the type of license and the type of facility for which the

applicant has applied. This standard describes the procedure for developing operating tests

according to the requirements of 10 CFR 55.45, "Operating Tests."

B. Definitions

" Applicant: An individual who has submitted an NRC Form 398 in pursuit of an operator

license. For purposes of this and other examiner standards, it is synonymous with "candidate." See the individual license level definitions in ES-202 B.

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

Operating test: The portion of the operator licensing examination based upon direct

interaction between an examiner and an applicant. It tests the applicant's knowledge of

the design and operation of the reactor.

* Scenario: An integrated group of events comprising a set of facility malfunctions and

evolutions performed or discussed using the reactor.

C. Regulatory Basis

The operating test requires the applicant to show an understanding of and the ability to perform

the actions necessary to accomplish a representative sample from among the following 13

items identified in 10 CFR 55.45(a):

(1) Perform prestartup procedures for the facility, including operation of those controls

associated with facility equipment that could affect reactivity.

(2) Manipulate console controls as required to operate the facility between shutdown and

designated power levels.

(3) Identify annunciators, conditions, and indicating signals and perform remedial action,

where appropriate.

(4) Identify the instrumentation systems and the significance of facility instrument readings.

(5) Observe and safely control the operating behavior characteristics of the facility.

(6) Perform control manipulations required to obtain desired operating results during

normal, abnormal, and emergency situations.

(7) Safely operate the facility's heat removal systems, including primary coolant, emergency

coolant, and decay heat removal systems and identify the relation of the proper

operation of these systems to the operation of the facility.

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PREPARATION OF OPERATING TESTS ES-301 N

(8) Safely operate the facility's auxiliary and emergency systems, including operation of

those controls associated with facility equipment affecting reactivity or the release of

radioactive materials to the environment.

(9) Display or describe the use and function of the facility's radiation monitoring systems,

including fixed radiation monitors and alarms, portable survey instruments, and

personnel monitoring equipment.

(10) Display knowledge of significant radiation hazards, including levels more than those

authorized, and the ability to perform procedures to reduce excessive levels of radiation

and to guard against personnel exposure.

(11) Display knowledge of the emergency plan, including, as appropriate, the RO or SRO

responsibility to decide whether the plan should be executed and the duties under the

plan assigned.

(12) Display the knowledge and ability (K/A), as appropriate to the assigned position, to

assume the responsibilities associated with the safe operation of the facility.

(13) Display the ability to function within the control room team as appropriate to the

assigned position, assuring that facility procedures are followed and that the license

limitations and amendments are not violated.

D. Level of Examination-Facility Type

Research and test reactors vary widely in their complexity. To take this into account,

examinations are developed using a graded approach. The facilities have been classified into

three levels of complexity-Complex, Moderate, and Simple. Complex facilities are those

licensed to operator at 500 kilowatts or greater. Simple facilities are AGN-200 series reactors,

and Moderate facilities are all other research and test reactors.

Attachment 2 to this standard contains a table listing facilities by type. Please note that this

table may be modified to move facilities within complexity types without the need to revise the

standard.

The following guidelines may be helpful in differentiating between operating test levels for the

three levels of facility complexity.

All operating tests will contain three categories-Category A (Administrative Topics), Category

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

requirement for the minimum number of systems tested in Category C is facility-level

dependent.

The following definitions describe the levels of complexity:

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

applicable.

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

applicable.

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ES-301 N PREPARATION OF OPERATING TESTS ES-301 N PREPARATION OF OPERATING TESTS

Simple: A minimum of three systems tested covering as many of the six areas as

applicable.

E. Level of Examination-License Type

The depth and scope of operating tests are also dictated by the license for which the applicant

applies. In addition to the knowledge, skills, and abilities (KSAs) monitored for RO applicants,

the NRC examiner must evaluate SRO applicants on additional KSAs, such as their ability to

evaluate facility conditions during abnormal and emergency conditions and to direct others,

both reactor staff and outside support agencies, in recovery operations. All SRO applicants will

be examined for the highest on-shift position (e.g., shift supervisor).

The examiner's review of the reference material may supply some guidance in developing an

examination that is in concert with the assignment of duties and responsibilities at that facility.

The following guidelines may be used to help differentiate between RO and SRO operating

tests:

(1) SROs must have a broader, more thorough knowledge of facility administrative controls,

including limitations imposed by regulations and limitations set forth in the technical

specifications, along with their bases.

(2) SROs are often assigned comprehensive actions during emergencies and abnormal

conditions and should display knowledge of these assignments. If the facility's

procedures allow the SRO to be on call, the RO should display this knowledge.

(3) SROs are often assigned responsibilities for auxiliary systems outside the control room

that are not normally operated by licensed operators. A common example is the waste

disposal and handling system for which the licensed operator's responsibility ends when

the fluid passes the last instrument that has console display. However the SRO is often

responsible for ensuring that facility limits for maximum permissible concentration,

effluent release rates, and other aspects are not exceeded.

The SRO-I operating test is the most comprehensive because the applicant must be

evaluated for both RO and SRO levels of responsibility. The examiner must be assured

that the applicant has the necessary skills and abilities as an RO and has the required

knowledge and supervisory capabilities to function as an SRO.

F. Source Material

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

the safety analysis report, system description manuals, operating procedures, the facility

license and license amendments, licensee event reports, and other materials received from the

facility licensee. (NOTE: This is the material requested from the facility in the preexamination

letter described in ES-201 N.) In addition, the examination may contain RO and SRO duties

described in 10 CFR Part 50 and 10 CFR Part 55.

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NUREG-1478 3 of 16 Rev. 2, June 30, 2007
PREPARATION OF OPERATING TESTS ES-301 N

G. Requirements

The operating test is divided into three major categories-Category A (Administrative Topics),

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

When preparing operating tests, the examiner should pre-script questions to the maximum

extent possible. There will be some questions for which the answer will not be known until the

examiner is on site (especially for modified systems and procedures). In addition, any

questions asked to followup on perceived applicant weaknesses must be documented for

subsequent review and grading purposes.

1. Category A

Category A covers topics associated with the administrative control of the facility which are

divided into three groups. The examiner should cover all subjects and all groups as applicable

to the facility. The preparation and administration of Category A questions will be basically the

same at all three types of facility.

In developing Category A questions, the examiner may use previously developed questions

from either an NRC or facility examination bank or may develop new open-reference questions.

In either case, the questions asked should be pre-scripted to the maximum extent possible.

Any questions asked to followup on perceived applicant weaknesses must be documented for

subsequent review and grading purposes.

The following descriptions should be used as guidelines for developing or selecting questions to

ascertain/confirm minimal competency within each subcategory:

a. Subcategory A.1

Subcategory A. 1 evaluates the applicant's knowledge of the administrative requirements

associated with the operation of the facility. For example, information dissemination questions

may be asked within the framework of conducting a shift turnover or integrated into other

discussions as they apply throughout the test.

b. Subcategory A.2

Subcategory A.2 addresses radiation protection, a subject area in which there is significant

deviation between the knowledge expected of an RO and that expected of an SRO. RO

responsibilities generally entail knowledge associated with radiation worker responsibilities and

operation of facility systems associated with liquid and gaseous waste releases. SROs,

however, are also involved in the approval of release permits and should be aware of the

requirements associated with those releases and their potential effect on the health and safety

of the public. A discussion or simulated performance of a planned release may be used when

examining these topics.

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

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

subjects in Subcategory A.3. A task with followup questions is also an appropriate method for

performing an evaluation of this subcategory.

NUREG-1 478 4 of 16 Rev. 2, June 30, 2007

NUREG-1478 • 4 of 16 Rev. 2, June 30, 2007
ES-301 N PREPARATION OF OPERATING TESTS

c. Subcategory A.3

In Subcategory A.3, there are significant differences between the knowledge required of ROs

and that required of SROs for all three topics-the Emergency Plan, Fuel Movements, and the

Security Plan. For the emergency plan, ROs typically only have to be able to implement the

facility EPIPs. A basic familiarity with the plan and his or her responsibilities is appropriate for

the RO applicant.

SROs must display knowledge based upon their responsibility to direct and manage the

implementation of the EPIPs during the initial phases of an emergency. SROs must be familiar

with event classification procedures and communication requirements and methods and have a

more detailed overall understanding of the EPIPs. These requirements also apply to an RO if

the facility's procedures assign the RO as acting emergency director in the absence of the

SRO.

Fuel handling should be covered in the fuel-handling areas of the facility. The knowledge and

skills should be appropriate to the facility-specific requirements for the applicant's license level.

Examiner guidance is best found in the facility's procedures associated with fuel-handling

operations.

The RO should be aware of his or her duties in the control room during fuel handling (i.e.,

alarms from the fuel-handling area, communication with the fuel storage facility, systems

operated from the control room in support of fueling operations, and supporting

instrumentation). For the SRO, this subject should cover information such as the delivery of

new fuel, moving new/spent fuel, storage of new/spent fuel, design of the fuel-handling area,

tools used, and casualty operations.

An RO applicant may be evaluated on security by observing his or her behavior during the

examination. An SRO applicant should be questioned on applicable aspects of the facility's

security plan.

2. Category B

This category tests the applicant's knowledge of system design and operation. The examiner

will evaluate the applicant's ability to perform tasks and to answer questions on specific

systems.

Attachment 1, "Systems for Operating Tests," lists examples of systems typically found at

research and test reactor facilities. Note that Attachment 1 may not be all inclusive. The

examiner should select systems from this list as appropriate for the specific facility. If an

examination is administered over the course of 2 or more days, the examiner should vary

coverage of systems and subjects across test administrations to enhance test integrity.

For Complex facilities, the examiner should evaluate RO and SRO-I applicants on at least eight

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

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

categories listed in Attachment 1.

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NUREG-1478 5 of 16 Rev. 2, June 30, 2007
PREPARATION OF OPERATING TESTS ES-301 N

PREPARATION OF OPERATING TESTS ES-301 N

For SRO-U applicants from all facilities and RO and SRO-I applicants from Simple facilities, the

examiner should evaluate each applicant on at least three systems from at least three different

categories listed in Attachment 1.

For all SRO applicants, the examiner will include questions and/or one task evaluating the

applicant's ability to carry out actions required during an emergency or abnormal conditions.

Tasks and pre-scripted questions may be selected from existing facility examination banks, if

available. The examiner may choose to annotate procedures with clarifying comments on how

to execute particular steps, as well as identifying critical steps. To evaluate a subject area

satisfactorily, the examiner will ask enough questions to determine the applicant's knowledge.

When using the facility's bank, the examiner may use no more than 10 percent of the questions

associated with the particular system being evaluated. If the examiner determines that

additional questions must be asked to clarify the observed performance, the question and the

response must be fully documented to allow for postexamination review.

3. Category C

Scenarios must be prepared in advance to ensure a proper balance of events and sufficient

basis to evaluate operator competency in all required K/As. The examiner must ensure that the

scenarios adequately cover the following integrated facility operations test requirements:

(1) Each scenario must require the applicant to operate during normal and reactivity

evolutions, instrument failures, component failures, and major facility transients. The

table on the following page specifies the minimum requirements for the type and

number of events for a scenario set.

(2) In addition to the events, there is a requirement to examine individual competencies for

the RO and SRO license levels. Form ES-303N-1 describes these competencies in

detail. For clarity, these two major requirements are discussed separately, although

they are used integrally during scenario development, administration, and grading.

a. Transients and Events

A scenario is a set of events designed to cover a combination of the six different types of facility

evolutions, equipment failures, and facility transients discussed below (meeting the

requirements of the table at the end of this standard).

Normal evolutions: Examples include system lineups, prestartup checkouts, shifting

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

reactivity measurements).

Reactivity evolutions: Examples include reactor startup, power maneuvering,

experiment manipulation, and pulsing operations.

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

detection instrumentation.

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NUREG,1478 6 of 16 Rev. 2, June 30, 2007
ES-301 N PREPARATION OF OPERATING TESTS

Component failures: These include failures of significant reactor equipment or

components that cause significant system response and require operator action to

correct. Examples of component failures are control rod failure (stuck or dropped),

pump failure, and piping failure.

" Major transients: These include facility transients that lead to an automatic protective

action. Examples are reactor trip/scram or engineered safety system actuation.

" Major transients (with entry into emergency plan): These include transients that

lead to automatic protective actions such as a reactor trip/scram or an engineered safety

system actuation with subsequent entry implementation of the facility emergency

procedure and/or emergency implementing procedures.

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

The startup should include performance of prestartup checks (which provide a good opportunity

for system-related discussions), startup of the facility to a critical condition, ascension to a

typically maintained power level, and placing control of the reactor in automatic (if available).

After completing the startup, control of the reactor may be turned over to a licensed operator.

In the extraordinary situation in which a system failure occurs after the examiners arrive on site

that precludes reactor startup, examinations should be rescheduled to a period when the

reactor is available for this evolution.

RO applicants are required to operate the reactor during at least one normal evolution and one

reactivity transient and to react to at least one instrument failure, one component failure, and

one major facility transient (actual or simulated).

Scenarios for SRO-I applicants will include all transients types tested for an RO applicant plus

an additional major facility transient tailored to SRO supervisory skills and knowledge of the

facility's emergency plan. SRO-I applicants will be evaluated for both operational and

supervisory K/As.

SRO-U applicants will be given credit for having an NRC RO license and normally will not be

required to manipulate the controls or be evaluated during a reactivity evolution. However, if

the examiner detects weaknesses during the test, additional scenarios, including a startup, may

be used to observe and evaluate the applicant's manipulative skills.

Also, the SRO-U applicant will be tested on only one major transient tailored to SRO

supervisory skills and knowledge of the facility's emergency plan. The SRO-U will be evaluated

primarily for supervisory K/As.

These minimum requirements for scenario events are intended to ensure that a range of events

and evolutions is exercised in each reactor facility test. Scenarios should be developed such

that a variety of systems are affected within each type of event (i.e., normal evolutions,

instrument failures, component failures, and major facility transients). The severity of events,

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

show competency across a range of conditions.

NUREG-1478 7 of 16 Rev. 2, June 30, 2007
PREPARATION OF OPERATING TESTS ES-301 N

Applicant RO SRO-I SRO-U

Normal Evolution It It 0

Reactivity Evolution It It 0

Instrument Failure 1 1 1-

Component Failure 1 1-

Major Transient 1• 1' 0

Major Transient (Implementation of Emergency Plan) 0 1 it1

Normal and Reactivity evolutions may be combined for RO and SRO-l candidates.

Either Instrument or Component failures may be combined with Major Transient for RO candidates.

Either Instrument Failure or Component Failure may be combined with either Major Transient or Major

Transient (Implementation of Emergency Plan) for SRO-I candidates, however, the Major Transient and

Major Transient (Implementation of Emergency Plan) may not be combined.

Either Instrument Failure or Component Failure may be combined with Major Transient or Major Transient

(Implementation of Emergency Plan) for SRO-U candidates.

b. Scenario Development Guidelines

To achieve maximum benefit using the reactor facility for evaluation, the following guidelines

are recommended in preparing scenarios:

" Normal evolutions can be used as a backdrop upon which to stage the emergency or

abnormal situations. For example, an examiner may provide verbal cues that the

reactor period indication is not responding to a normal power change.

" Selected short surveillances may be used to examine panel dexterity (e.g., exercising

safety rods) and should be combined with other activities, such as a reactor startup.

" The interactions of systems and components can be used to evaluate an operator's

knowledge by having one failure cause or exacerbate another. Within each scenario,

the events should be selected such that successive equipment failures lead to a gradual

and logical deterioration in facility status; a series of unrelated and isolated events

should be avoided.. Avoid having one failure fully mask the symptoms of another

because this can cause a scenario set to be deficient in covering the required types of

evolutions. The scenarios should incorporate facility-specific and generic industry

operating experience.

ATTACHMENTS/FORMS:

Form ES-301 N-1, Research and Test Reactor Operator Licensing Individual Examination

Report

Attachment 1, Topics for Operating Tests

Attachment 2, Facility Listing by Type

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ES-301 N PREPARATION OF OPERATING TESTS

NRC FORM ES-301 N-1

RESEARC.H ANDTEST RE;ACTOR

OP1RERATOR.LIC ENSING INDIVIDUN; AL EX-AIATO REPORT

CANDIDATE NAME: CANDIDATE DOCKET NUMBER:

FACILITY NAME: FACILITY COMPLEXITY:

INITIAL EXAMINATiON'1&W RETAKE EXA',MINATION

REACTOR OPERATOR REACTOR OPERATOR

SENIOR OPERATOR (INSTANT) SENIOR OPERATOR (INSTANT)

SENIOR OPERATOR (UPGRADE) SENIOR OPERATOR (UPGRADE) I

NUREG-1 478 9 of 16 Rev. 2, June 30, 2007

NUREG-1478 9 of 16 Rev. 2, June 30, 2007
PREPARATION OF OPERATING TESTS ES-301 N

NRC FORM ES-ý301WNI Page 2 of 6

RESEAýR.CH.ýANýD.TEST REACTOR,.,,...,.... jOPERATOR"LICENSIN , INDIVIDUAL EXAMNATONREPOR-T

FACILITY NAME: CANDIDATE DOCKET NUMBER:

Operating Test

Category A: ADMINISTRATIVE TOPICS

UWEP-Ty,.vEA -Individ ual ~ 4 ~ r'.,. ~ ~ ~ Evaluationý,

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., abilityto Isolate equipment and

components (tagouts, equipment lockouts), surveillance procedures and official form location)

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

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

e. Operational Limits and Requirements (e.g.. SL, LSSS. LCO, shift turnoverprocess)

2. Radiation Health Physics

a. Radiation Sources and Hazards (e.g., N. A,"'. H', Na", open beam ports, sample removal, pneumatic tubes)

b. Portable Radiation Monitoring Equipment (e.g.. GM tubes, ion chambers, scintillation det ctors, pocket dosimeters)

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

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)

NUREG-1478 10 of 16 Rev. 2, June 30, 2007

NUREG-1478 10 of 16 Rev. 2, June 30, 2007
ES-301 N PREPARATION OF OPERATING TESTS

ES-301 N PREPARATION OF OPERATING TESTS

NRC FORM ES-301N-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 TITLE' SYSTEM Comment

TYPE1 G'DE Page

1.

MAJ

2. EXP

3. ESF

4. INST

5. RDS

6. AUX2

7.

8.

9.

10.

4 4 4.

4 4. 4

a a a

1 For Complex facilities a minimum of nine different systems from as many different areas as applicable. For Moderate

facilities a minimum of six different systems from as many different areas as applicable. For Simple facilities a minimum of

three different systems from as many different areas as applicable. 2 For many Moderate and all Simple facilities there are no applicable systems within this area.

NUREG-1478 11 of 16 Rev. 2, June 30, 2007

NUREG-1478 11 of 16 Rev. 2, June 30, 2007
PREPARATION OF OPERATING TESTS ES-301 N

NRC FORM ES-301N-1 Page 4 of 6

RESEARCH AND TEST REACTOR

OPERATOR LICENSING INDIVIDUAL EXAMINATION REPORT

FACILITY NAME: CANDIDATE DOCKET NUMBER:

CATEGORY C: INTEGRATED FACILITY OPERATIONS INITIAL CONDITIONS:

TURN OVER:

NUREG-1 478 12 of 16 Rev. 2, June 30, 2007

NUREG-1478 12 of 16 Rev. 2, June 30, 2007
ES-301 N PREPARATION OF OPERATING TESTS

ES-301 N PREPARATIWOF TESTS

NRC FORM ES-301N1- Pagd 5 of 6:

RESEARCH AND TST REACO

OPERATOR LICENSING NDIRIDUAL EXAMINATION REPOT•-.

FACILITY NAME: ' "ICANDIDATE DOCKET NUMBER:

OPERATING TEST OUTLINE AND GRADING

CATEGORY C: INTEGRATED FACILITY OPERATIONS

COMPETENCY GRADING CHECK SHEET

1 iiatoidf C~e~ as Trn

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

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. 4 1.20 0.80 0.20

INDIVIDUAL COMPETENCY GRADE

r e n q, At, h

a. Recognized Entry Conditions 0.40 1.20 0.80 0.0

b. Compliance 0.30 0.90 0.60 0.30

c. Reference 0.30 0.90 0.60 0.30

INDIVIDUAL COMPETENCY GRADE

a. Locate and Manipulate Controls... 0.33 1.00 0.67 0.33

b. Understanding 0.33 1.00 0.67 0.33

c. ManualControl 0.33 1.00 0.67 0.33

INDIVIDUAL COMPETENCY GRADE: '

SNRC FORM ES-301N-I 1.'-. : of 6

OPERATOR RS,.EARCH LICENSING AND[)TEST INDIVIDUAL EXAMINATION HEACTOR.REPORT

NUREG-1 478 13 of 16 Rev. 2, June 30, 2007

NUREG-1478 113 of 16 Rev. 2, June 30, 2007
PREPARATION OF OPERATING TESTS ES-301 N

PREPARATION OF OPERATING TESTS ES-301 N

FACILITY NAME: CANDIDATE DOCKET NUMBER:

OPERATING TEST OUTLINE AND GRADING

COMMENT PAGE

SUBJECT INDEX COMMENT

NUREG-1 478 14 of 16 Rev. 2, June 30, 2007

NUREG-1 478 14 of 16 Rev. 2, June. 30, 2007
ES-301 N PREPARATION OF OPERATING TESTS

ES-301 N PREPARATION OF OPERATING TESTS

ATTACHMENT 1

SYSTEMS FOR OPERATING TESTS

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 (RTDs, Thermocouples)

Flow Detectors (Orifices, AP Cells)

Control/Safety Rod Drive Systems

Annunciator Systems

Rod Position Indicating Systems

Automatic Rod Positioning Systems

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

GM Tubes)

ENGINEERED SAFETY FEATURES (ESF)

Reactor Protective System

Core Spray

Pool Makeup/Fill Systems

Containment/Reactor Building Isolation

Anti-Siphoning System

AUXILIARY SYSTEMS (AUX)'

Service Air

Reactor Building Air Recirculation

Liquid Waste System

Solid Waste System

Gaseous Waste System

Normal AC Supply

Emergency AC

Emergency DC

Batteries

Motor Generators

Power Inverters

Diesels/Gas Engines

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

NUREG-1 478 15 of 16 Rev. 2, June 30, 2007

NUREG-1478 15 of 16 Rev. 2, June 30, 2007
PREPARATION OF OPERATING TESTS ES-301 N

ATTACHMENT 2

FACILITY LISTING BY TYPE1

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 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)

1.

2.

3.

4.

5.

6.

MODERATE

Dow Chemical Company, 50-264(TRIGA)

Aerotest Operations, Inc., 50-228 (TRIGA)

Kansas State University, 50-188 (TRIGA)

Reed College, 50-288 (TRIGA)

University of Arizona, 50-113 (TRIGA)

University of California at Irvine, 50-326

(TRIGA)

7. University of Maryland, 50-166 (TRIGA)

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

9. General Electric Company-Nuclear Test

Reactor 50-73 (NTR)

10. Rensselaer Polytechnic Institute, 50-225 (Cr.

Ex.)

11. University of Florida, 50-83 (ARGONAUT)

12. University of Utah, 50-407 (TRIGA)

13. Ohio State University, 50-150 (POOL)

14. Worcester Polytechnic Institute, 50-134

(POOL)

15. 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)

Facilities within this table may be moved between types without requiring a revision to the examiner

standards.

NUREG-1478 16 of 16 Rev. 2, June 30, 2007
EXAMINER STANDARD 302N

ADMINISTRATION OF OPERATING TESTS

A. Purpose

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

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

test according to ES-301 N.

B. Personnel Present

The number of persons present during an examination should be limited to ensure the integrity

of the examination and to reduce distractions to the applicant. According to

10 CFR 55.13(a)(2), a licensed RO or SRO must be present when doing reactivity

manipulations. If the number of persons or the noise level in the control room is excessive, the

examiner should have the facility staff address the issue.

Except for the licensed RO, no other member of the facility training or operations staff will be

allowed to witness an operating test without the permission of the CE. Under no circumstances

is another applicant allowed to witness an operating test. Operating tests are not to be used as

training vehicles for future applicants. Videotaping the administration of initial examinations is

not allowed.

Examiners may witness an operating test as part of their training or to audit an examiner

administering the operating test. Other observers, such as RTR branch personnel,

researchers, or NRC supervisors, may be allowed to observe operating examinations if (1) the

CE has approved the request to observe the test and (2) the applicant does not object to the

observer's presence.

C. Examination Withdrawals

Occasionally, an applicant will withdraw from the examination just before its start. If this

happens, the examiner will request a letter from the facility withdrawing the application of the

individual(s). This letter should be addressed to the CE who will forward it to the OLA for

inclusion in the applicant's 55 docket file.

In rare instances, an applicant will withdraw after the examination has begun. The examiner will

inform the applicant that this is an examination failure, and he or she must reapply following the

rules of 10 CFR 55.35.

D. Administration Procedures

1. General

The examiner will use Attachment 1 to brief each candidate before beginning the operating test.

NUREG-1478 1 of 6 Rev. 2, June 30, 2007

NUREG-1478 1 of 6 Rev. 2, June 30, 2007
ADMINISTRATION OF OPERATING TESTS ES-302N

2. Administrative Topics

a. Subcategory A. 1

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

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

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

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

b. Subcategory A.2

Subcategory A.2 subjects are also best covered during the conduct of tasks or questioning

associated with Category B, while walking around the facility in the vicinity of various radiation

equipment.

c. Subcategory A.3

The examiner may best evaluate the applicant's emergency plan knowledge by integrating it

into a Category C transient discussion or by conducting a Category B task requiring its use.

Security may best be evaluated by observing the applicant's demeanor and answers to

seemingly innocent questions concerning doors, restrictions on experimenters and operations

personnel, and similar topics.

3. Facility Walkthrough

The examiner should encourage the applicant to draw diagrams, flowpaths, and other visual

representations. Likewise, the examiner should encourage the applicant to use facility forms,

schedules, procedures, and similar materials, as appropriate. In addition, if it clarifies the

question, the examiner may present a drawing for interpretation by the applicant.

The examiner should retain any supporting material used during an examination to provide

additional documentation in support of a pass or fail determination.

The examiner can improve efficiency of the operating test by integrating discussions required to

complete the various categories. This is particularly true for parts of Category C that must be

conducted in a discussion format. For example, by postulating an abnormal facility condition,

such as a reactor trip/scram, the examiner may include related tasks and associated subject

area questions to cover systems in Category B.

The examiner must take sufficient notes during the operating test to document all applicant

deficiencies thoroughly. The examiner must cross-reference every comment to a specific task

or subject area question.

4. Integrated Facility Operations

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

should familiarize the licensed RO with the sequence of the scenario events to ensure that it will

go as planned with respect to the capabilities and limitations of the facility and the anticipated

applicant actions. Precautions should be taken so that the scenarios are not revealed to an

applicant before his or her test begins (Form ES-302N-1).

NUREG-1478 2 of 6 Rev. 2, June 30, 2007
ES-302N ADMINISTRATION OF OPERATING TESTS ES-302N OF TESTS

If the applicant acts in a way other than expected, the examiner should note his or her actions

(or lack of actions). These notes must provide sufficient information to allow the examiner to

judge performance with respect to the K/A competencies described in Form ES-303N-1. Each

examiner must determine the best way to document applicant actions. Some examiners record

a minute-by-minute account of all key facility events and operator actions that occur, while

others only record the candidate's significant actions. It is left to the individual to develop his or

her own technique. However, the documentation must provide an adequate basis for making a

licensing decision.

The examiner should limit discussions with the applicant during the reactor startup both to

maintain realism and to avoid distracting the applicant from operating the facility. The examiner

should limit questions asked during the scenario performance to those necessary to assess the

candidate's understanding of facility conditions and required operator actions. Even these

questions should be deferred until a time (such as during breaks) when the applicant is not

operating or closely monitoring the reactor facility. The examiner's followup questions or

concerns can often be addressed during a brief question and answer period after each scenario

or during the facility walkthrough portion of the operating test if it is done after the operating

demonstration.

If the reactor facility becomes inoperable, the CE should discuss the situation with the

applicable BC (program manager) so that a decision on the conduct of the operating test can

be made. It may be necessary to substitute discussions of transient operating conditions or to

reschedule the examinations for a later date.

ATTACHMENTSIFORMS:

Attachment 1, Operating Test Briefing Checklist

Form ES-302N-1, Examination Security Agreement

NUREG-1 478 3 of 6 Rev. 2, June 30, 2007NUREG-1478 3 of 6 Rev. 2, June 30, 2007
ADMINISTRATION OF OPERATING TESTS ES-302N

OF TESTS ES-302N

ATTACHMENT 1

OPERATING TEST BRIEFING CHECKLIST

Part A-Applicable to All Operating Tests

(1) Senior operator applicants are tested at the level of responsibility of the senior licensed

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

be titled).

(2) I am a visitor. Escort responsibilities for ensuring compliance with safety, security, and

radiation protection procedures rest with you (the applicant).

(3) Do not operate facility equipment without appropriate permission.

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

(5) Frequently I will stop to update my notes to document your performance. The amount

of note-taking is not indicative of your level of performance.

(6) Operating tests are considered open reference. Any reference material in the facility

normally available to operators is also available to you. This includes calibration curves,

previous log entries, piping and instrument diagrams, calculation sheets, and

procedures. However, you are responsible for knowing automatic actions, setpoints and

interlocks, operating characteristics, and the immediate actions of emergency and other

procedures, as appropriate to the facility.

(7) There is no specific time limit for the operating test. The exam will take whatever time is

necessary to cover the areas selected in the depth and scope required. Typically an RO

examination is between 2-1/2 and 3 hours, an SRO-I exam between 3 and 3-1/2 hours,

and an SRO-U exam between 1⁄2/ and 2 hours.

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

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

(10) During the examination you will be evaluated for your actions as if you were the actual

watchstander. Please operate the reactor as if you were licensed, with the exception

that you should announce your actions, then pause momentarily to give the operator of

record time to correct you or stop you, if necessary, before you actually perform the

action. In addition, the examiner will be observing that you meet all conditions of your

license, (e.g., wearing corrective lenses to perform licensed duties).

NUREG-1 478 4 of 6 Rev. 2, June 30, 2007

NUREG-1478 4 of 6 Rev. 2, June 30, 2007
ES-302N ADMINISTRATION OF OPERATING TESTS

Part B--Just before Reactor Startup

Briefing to the candidate and the licensed operator:

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

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

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

operator) should immediately inform me. If my intent was to find out whether you (the

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

than requesting that the act be performed.

(2) My presence does not alter the normal chain of command during the examination. You

(the applicant) should make all reports and obtain all permissions that would normally be

required. All directions to the applicant will come from the responsible supervisor

following the facility administrative procedures. The examiner will only question and

make requests of the supervisor.

(3) I have not altered the setpoints or calibrations of any instrument nor have I manipulated

any controls.

(4) It is your (licensed operator) responsibility to step in and take control of the reactor any

time there is an unsafe condition or if you think that the reactor will shut down if

conditions are not corrected. However, you may not provide any coaching or cuing to

the applicant.

NUREG-1 478 5 of 6 Rev. 2, June 30, 2007

NUREG-1478 5 of 6 Rev. 2, June 30, 2007
ADMINISTRATION OF OPERATING TESTS ES-302N

FORM ES-302N-1

EXAMINATION SECURITY AGREEMENT

Preexamination Security Agreement

Iagree that I will not knowingly divulge any information

[Print Name]

concerning the operating tests scheduled for to any unauthorized

[Print Date]

persons. I understand that I am not to participate in any instruction involving the reactor

operator or senior reactor operator applicants scheduled to be administered the above

operating test from now until after the examination has been administered.

Signature/Date

Postexamination Security Agreement

___did not, to the best of my knowledge, divulge any

[Print Name]

information concerning the operating tests administered on to any

[Print Date]

unauthorized persons. I did not participate in providing any instruction to the reactor operator

and senior reactor operator applicants who were administered the operating test from the time I

was allowed access to the operating test.

Signature/Date

NUREG-1478 6 of 6 Rev. 2, June 30, 2007
EXAMINER STANDARD 303N

GRADING OPERATING TESTS

A. Purpose

This standard describes the procedures for grading operating tests given according to

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

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

B. General Evaluation Guidelines

S Satisfactory Working Knowledge and Understanding

The applicant may have had some minor difficulty relating to system interactions. His or her

operation of equipment was very good, although he or she may have shown some hesitation

while discussing or performing some tasks. Overall, the applicant seemed familiar with the

equipment and procedures.

U Unsatisfactory Working Knowledge and Understanding

The applicant had difficulty answering questions in depth or in relating the interactions of

systems. The applicant showed a lack of familiarity with the equipment or the procedures. The

applicant's answers were inaccurate or incomplete. The applicant displayed unfamiliarity with

the subject or system, as shown by hesitant answers, inability to find information, inability to find

.control board indications or controls, or the lack of knowledge of procedural steps to operate

systems.

Detailed notes must support all deficiencies stating the particular action or response displaying

the deficiency. Sufficient knowledge deficiencies in a common area may result in an

unsatisfactory evaluation for that area.

When documenting deficiencies, general statements such as "did not know primary coolant

system" are inadequate. The examiner must note specific items and the significance of each

deficiency to reactor safety or the health and safety of the public or reactor staff.

The examiner must document all Unsatisfactory grades and all numerical grades of 1 or 2 for

failed competencies by providing the following (to the extent applicable):

* the question asked by the examiner

* the incorrect answer from the applicant

* the knowledge or ability the applicant lacks

* the consequences of the incorrect answer

* the correct answer

C. Specific Instructions for Completing Form ES-303N-1

The examiner must use Form ES-301N-1 (and all applicable attachments) to grade the test

according to the following instructions.

NUREG-1 478 1 of 6 Rev. 2, June 30, 2007 NUREG-1478 1 of 6. Rev. 2, June 30, 2007
GRADING OPERATING TESTS ES-303N

1. Category A, Administrative Topics (Form ES-301-1, page 2)

The examiner must evaluate the applicant's performance for each administrative topic

discussed or performed. All comments should be entered on Form ES-301 N-1, page 6 (or

higher). The examiner will review all comments concerning a topic, make a SAT/UNSAT

determination for the topic, and document the grade by placing an S or U in the appropriate

block on ES-301 N-i, page 2. This process is then repeated for each topic covered in the

category. For topics not covered during the test, the examiner should indicate that no grade is

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

show that the block was not missed.

After grading all applicable topics in the category, the examiner will determine the overall grade

for Category A by dividing the number of satisfactory topics by the total number of topics

examined. The applicant must be graded as satisfactory in 75 percent of the topics to receive

an overall satisfactory grade. This grade is then placed in the Category A block in the

Operating Test Summary section of the ES-301 N-1 cover page.

2. Category B, Facility Walkthrough (Form ES-301-1, page 3)

The examiner must indicate the systems selected and the tasks conducted in the appropriate

columns of Form ES-301-1, page 3. The examiner must then evaluate the applicant's

performance for each of those systems.

All comments should be entered on Form ES-301 N-1, page 6. The examiner will review all

comments on the system, make a SAT/UNSAT determination, and document the grade by

placing an S or U in the appropriate block on ES-301 N-1, page 3. This process is then

repeated for all systems examined.

Finally, the examiner will determine the overall category grade by calculating the ratio of

systems passed to systems evaluated. To receive a grade of "Satisfactory," the applicant must

receive a satisfactory evaluation in at least 75 percent of the systems examined.

For example, if a candidate on a reactor facility examination received one unsatisfactory system

grade and seven satisfactory grades, he or she would receive an S for the category based on a

grade of 7/8 (or 87 percent).

3. Category C, Scenario Events (Form ES-301N-1, pages 4 and 5)

Before grading the operating test, the examiner must enter any scenario revisions made during

the test onto page 6 of the applicable ES-301 N-1 so that the evaluation form accurately reflects

the events actually tested. The final product must be a clear, legible reproduction of the actual

events that occurred at the facility during the operating test. The NRC will expunge any rough

notes or nonpertinent comments from the final version sent to the candidate.

The examiner will grade candidate performance by using the worksheet (Form ES-303N-1) and

then transcribing the grade onto page 4 of Form ES-301 N-1.

The worksheet contains several competencies for measuring operator performance. Each

competence has several rating factors, with scales of 1 through 3, further defining the

competence. The rating scales have definitions, or "behavioral anchors," at each point along

NUREG-1478 2 of 6 Rev. 2, June 30, 2007
ES-303N GRADING OPERATING TESTS ES-303N GRADING TESTS

the scale. These anchors aid the examiner in assigning a value based on the applicant's

actions. Each rating factor is also assigned a specific weight representing the relative

importance of that factor. The weight factor, in conjunction with the value assigned to the rating

factor by the examiner, yields a numerical measure of the applicant's performance on that

rating factor. Combining all the rating factor numerical evaluations for all competencies will

yield the applicant's overall grade for the integrated facility operation portion of the operating

test.

The examiner must complete the following to evaluate the applicant's performance on the

integrated facility operation portion of the operating test:

a. Review and Categorize Notes. Review the notes taken while administering the

examination. Label the documented actions and behaviors with the number and letter of

the rating factor they most accurately reflect. Each comment that reflects negatively on

the candidate's performance should be coded, whether or not it results in a grade of 1 or

2 for that rating factor.

b. Evaluate the Candidate on the Rating Factors. After categorizing the actions and

behaviors, evaluate the applicant's performance by completing page 4 of Form ES301N-1. Form ES-303N-1 gives the examiner guidance for evaluating each rating

factor. For each rating factor, circle the integral rating value corresponding to the rating

value (1-3) that most accurately reflects the applicant's performance. (As discussed in

ES-301 N, Control Board Operations is optional for SRO-U applicants.)

c. Document Low Ratings. All ratings of 1 must be justified by documenting the specific

actions or behaviors that warranted the evaluation and their consequence. Additionally,

ratings of 2 must be documented for any competency that contributes to a candidate

failing Category C. Provide this documentation directly on page 6 of Form ES-301 N-I.

d. Compute Competence Grades. For each competence, sum the rating grades on ES301 N-1, page 4, to compute a final competence grade. (Final competence grades will

range between 1 and 3.) Record the final competence grades in the Total blocks of the

form.

e. Compute Overall Competence Rating. If the applicant receives a score greater than 1.8

in all competencies examined, then the examiner will enter an overall grade of

Satisfactory (SAT or S) in the Category C block on the cover page of Form ES-301 N-I.

(NOTE: For an SRO-U applicant, if Competence 5, Control Board Operations, is

evaluated, it should be factored into the applicant's final grade.)

4. Operating Test Comments (Form ES-301 N-I, page 6)

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

Form ES-301 N-1. The examiner will enter the specific subject (e.g., A.3.c, B.1.3.C) on the left

side of the form and the specific comment to the right. The Comment Page No. blocks are

used to cross-reference comments between the form and the attachments. Paragraph D.5

contains additional instructions regarding the documentation of Category C comments.

NUREG-i 478 3 of 6 Rev. 2, June 30, 2007

NUREG-1478 3 of 6 Rev. 2, June 30, 2007
GRADING OPERATING TESTS ES-303N

Any figures, drawings, flowcharts, forms, or the like that the applicant used during the operating

test may be used in documenting his or her performance. They should be appropriately

marked and cross-referenced to applicable comments on Form ES-301 N-1 and attached to the

examination package for retention.

5. Cover/Summary Page

The cover page of Form ES-301N-1 summarizes all of the pertinent information about the

applicant, the facility, and the examination.

The examiner will fill in the applicant's name, docket number, the facility for which the license is

sought, the type of examination, and the facility description.

Next the examiner will enter the name of the examiner who conducted the operating test and

the date on which it was given. The grading summary blocks must be completed according to

the instructions in this standard by the examiner who administered the operating test.

The examiner who conducted the operating test will enter his or her pass, fail, or waive

recommendation in the appropriate block. The examiner may make a pass recommendation

only if all summary blocks of the operating test contain SAT (S) grades or N/E. The examiner

will then sign as the test administrator.

Once completed, the entire examination package is given to the CE.

ATTACHMENTS/FORMS:

Form ES-303N-1, RO/SRO Competency Grading Guidance for Integrated Facility Operations

NUREG-1 478 4 of 6 Rev. 2, June 30, 2007

NUREG-1478 4 of 6 Rev. 2, June 30, 2007
ES-303N GRADING OPERATING TESTS ES-303N GRADING OPERATING TESTS

Form ES-303N-1 ROISRO CompetenCy Grading: Guidance

for Integrated ..Facility Operations

1. IDENTIFICATION OF CUES, ALARMS, ANNUNCIATORSIAND TRENDS

This competency involves the ability to notice and acknowledge cues, alarms, ;,;annunciators, and trends. It includes

the ability to prioritize one's attention in keeping with the, severltylimportance of facility status information and the

ability to interpret correctly and verify that signals are consistent with faclllty/system conditions (with the use of

Alarm Response Procedures, as appropriate).' The competency deals strictly with the understanding and

interpretation of annunciators and alarm slgnals and therefore does not include knowledge of, or the ability to

diagnose, overall facility/system statusý based on other Indications of facilitylsystem status or condition(s).

DID THE CANDIDATE:

(A) RECOGNIZE and A'QKNOWLEDGE ,Cues akarms, unni ptosand trends?

. 3 2. 9 .. Consistently and timely. recognition/ Iees Some lapses in awareness'I i,.ailedt Faild to recognize/acknowledge eonz/cowdg acknowledgment ____•_____.-____________ L cues, alarms, annunciators, or trends:

'(B) Correctly INTERPRET and. V ERIFY that infýý t is cosstn with facilty/system.n

conditions. (including the use , when nece$$ary, of thi§Alarm Responqp Procedujres)?,

3. 1. I [IegrdatIn

Consistently and effectively Some inaccuracies in interpretation/ Inaccuracies resulting in facility

verification of signals poor use of ARPs

(C) ATTEND 'CUES, to ANNUNCIATORIALARM S GNALS; and TRENDS in order of

importarice/Sevprity?, -

S•1 2 F.

Yes in all cases Yesi al caes Some . ,. inaccuracies/oversights ;, ." : . :: . .: Did status not information; prioritize attention inattentive to facility to

important alarms iatnv

2. DIAGNOSIS OF AND RESPONSE TO CONDITIONS

This competency involves the ability to diagnose facility conditions to recognize and report these to mitigate out-ofspec 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 agencles.

DID THE CANDIDATE:

(A) Correctly DIAGNOSE facilit ,,conditions based on control room indications?

Diagnoses were accurate Some errors/difficulties in diagnoses Faulty diagnoses adversely impacted

a facility status

3 J2 - 1

Accurate and timely reports provided Some lapses in making reports Delayed or faulty reports adversely Iimpacted mitigation or emergency ___________________________j jresponse

(C) Demonstrate an understanding of the EFFECTS of ~cohtinued ope-'atjn and responsive

actions and how they AFFECTED FAIIYSSTM ODIT

3 2.1

Understood the effects of continued Some misunderstandings with no Inadequate knowledge of effects

operation and responsive actions significant impact resulted in facility degradation

NUREG-1 478 5 of 6 Rev. 2, June 30, 2007

NUREG-1478 5 of 6 Rev. 2, June 30, 2007
GRADING OPERATING TESTS ES-303N

Form ES-303N-1 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) ~RECOGN~IZE entry, condition requirements for NorrnWa, Abnormal, Emergency Procedures, and

3 2 1

Consistently and timely recognition / Some difficulties/oversights made in Significant errors in important

acknowledgment of conditions understanding procedure entry instances resulted in missed

requiring procedure driven actions conditions requirements or facility degradation

(13);' COMPLY VVITH. proceduresi including precautions and limitations) in an~ accurate, timeply manner?,

3 2 1

Accurate and timely compliance Few errors; corrections made in Many significant errors; required

_,_sufficient time to avoid adverse impact excessive assistance

(C) REFER to theapproprePriatýProcedure/Technical•Specification iIn. a timely. rmanner?

3 2 1 Quickly located appropriate Some difficulties/oversights made in Problems/failures in referring to

proceduresfTech specs. referring to appropriate procedures 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 THECANDIDATE: _

-A LOGATEIMANIPULA'TE CON TROLS effeqt~vely and.acquritelyF ,

.32 1

Went directly to appropriate controls Some hesitancy/difficulty in locating or Demonstrated inability to locate

and manipulated accurately in a manipulating controls, but efficiently controls without assistance, or major

timely manner mitigated any resulting consequences system perturbation(s) resulting from

D improper manipulations>.

(B3) CODITIonsrtea understanding of how his or her. ACTIONS (or nactioni) AFFECT PLAN~T' and SYSTEM

3 2 2 Understood the effect of actions on Some misunderstanding of effect of Appeared to act without knowledge plant and systems actions on plant and systems of or regard for effect on plant and

s ystems

(C). Take MANUAL CONTROL.f automatic functions when appropriate?

3 2 1

Took manual control as appropriate Some delays; some as appropriate Depended on automatic actions;

before overriding automatic functions required prompting to take manual

control

NUREG-1 478 6 of 6 Rev. 2, June 30, 2007NUREG-1478 6 of 6 Rev. 2, June 30, 2007
EXAMINER STANDARD 401N

PREPARATION OF WRITTEN EXAMINATIONS

A. Purpose

This standard specifies the requirements, procedures, and guidelines for the preparation of

written examinations for the licensing of RO and SRO applicants at research and test reactor

facilities.

B. Background

The content of the written licensing examinations is contained in 10 CFR 55.41, "Written

Examinations: Operators," and 10 CFR 55.43, "Written Examinations: Senior Operators."

Each examination will include a representative selection of questions on the K/As needed to

perform licensed duties. The written examination is administered in three sections, as

described in Section D of this standard.

C. Examination Preparation

Examiners will prepare written examinations according to the guidelines and instructions

summarized below.

1. General Guidelines

a. Prepare the examination so that an applicant capable of safely operating the facility can

complete and review the examination within the time allotted, achieving a grade of at

least 70 percent in each category. When creating the examination, estimate 2 minutes

per response.

b. Avoid excessive duplication of questions. Do not repeat more than 25 percent of the

questions from the last NRC-prepared examination administered at the facility.

c. All questions will be in the multiple choice (preferred) or matching format. Matching

questions should be limited to a total value of 2 points per question. All multiple choice

questions will have four choices.

d. It is desirable to develop questions that hypothesize events or circumstances leading to

events, thereby examining the applicants' analytical abilities and knowledge of corrective

actions.

e. Questions should contain a representative sample from among the following 21 items, to

the extent applicable to the facility and the exam level (RO):

(1) fundamentals of reactor theory, including fission process, neutron multiplication,

source effects, control rod effects, criticality indications, reactivity coefficients,

and poison effects.

(2) general design features of the core, including core structure, fuel elements,

control rods, core instrumentation, and coolant flow

(3) mechanical components and design features of the reactor primary system.

NUREG-1478 1 of 12 Rev. 2, June 30, 2007
PREPARATION OF WRITTEN EXAMINATIONS ES-401 N

(4) secondary coolant and auxiliary systems that affect the facility

(5) facility operating characteristics during steady-state and transient conditions,

including coolant chemistry, causes and effects of temperature, pressure and

reactivity changes, effects of load changes, and operating limitations and

reasons for these operating characteristics

(6) design, components, and functions of reactivity control mechanisms and

instrumentation

(7) design, components, and functions of control and safety systems, including

instrumentation, signals, interlocks, failure modes, and automatic and manual

features

(8) components, capacity, and functions of emergency systems

(9) shielding, isolation, and containment design features, including access

limitations

(10) administrative, normal, abnormal, and emergency operating procedures for the

facility

(11) purpose and operation of radiation monitoring systems, including alarms and

survey equipment

(12) radiological safety principles and procedures

(13) procedures and equipment available for handling and disposal of radioactive

materials and effluents

(14) principles of heat transfer thermodynamics and fluid mechanics

(15) conditions and limitations in the facility license

(16) facility operating limitations in the technical specifications and their bases

(17) facility licensee procedures required to obtain authority for design and operating

changes in the facility

(18) radiation hazards that may arise during normal and abnormal situations,

including maintenance activities and various contamination conditions

(19) assessment of facility conditions and selection of appropriate procedures during

normal, abnormal, and emergency situations

(20) procedures and limitations involved in initial core loading, alterations in core

configuration, control rod programming, and determination of various internal

and external effects on core reactivity

(21) fuel-handling facilities and procedures

NUREG-1478 2 of 12 Rev. 2, June 30, 2007
ES-401N PREPARATION OF WRITTEN EXAMINATIONS ES-401 N PREPARATION OF WRITTEN EXAMINATIONS

2. Use of Reference Material

The examiner is expected to use the following reference materials when preparing the sitespecific, written operator licensing examination:

a. Facility reference material provided per ES-201N, especially facility learning objectives

used in the applicants' training program, if available.

b. NRC questions previously used at the facility or at similar facilities, as applicable.

c. Licensee event reports, safety evaluation reports, information notices, current industry

and facility problems, and facility question banks. Questions drawn from the facility's

bank will not exceed 10 percent of the questions in that bank.

d. The examiner may use reference material (i.e., diagrams, sketches, portions of facility

procedures) as attachments to the written examination and ask applicants to identify

components and other items on the attachments. The examiner will ensure that any

reference material used in the examinations is easy to read, clearly marked, and

provides an effective and objective way for the applicant to display knowledge.

3. Examination Assembly

The examiner will produce several copies of the examination, along with a cover sheet stating

whether the examination has an answer sheet (master copy and facility review copies) or not

(applicant copies). In addition, the examiner will produce several copies of an examination

handout similar to Attachment ES-401 N-1 to this standard. This handout will contain a cover

sheet for the applicant to sign, a copy of the "Policies and Guidelines for Taking NRC Written

Examinations," an equation sheet, answer sheets, and any tables, drawings, or graph paper

necessary to support the examination. The applicant must sign the cover sheet and submit the

handout before leaving the examination area.

D. Examination Structure

There are minimal differences between the KSAs required of RO and SRO applicants that can

be tested in a written examination format. Therefore, the NRC only writes only one examination

for both RO and SRO-[ applicants. Because SRO-U candidates have already passed an ROlevel written examination, they are not required to take another written examination.

Differences in the KSAs required of an SRO versus an RO are better evaluated on the

operating exam (per ES-301 N). Modifying an SRO-I exam to include questions that relate

directly to SRO duties and responsibilities is permissible, but the operating exam serves as a

more suitable forum for evaluating such topics.

Because research and test reactor facilities vary widely in complexity, the structure of the

written examination will be based on the three classifications identified in ES-301 N, Complex,

Moderate, or Simple. Attachment 2 to ES-301 N is a list of research and test reactor facilities by

classification.

The examination will contain the following three categories:

A Reactor Theory, Thermodynamics, and Facility Operating Characteristics

NUREG-1478 3 of 12 Rev. 2, June 30, 2007
PREPARATION OF WRITTEN EXAMINATIONS ES-401 N

PREPARATION OF WRITTEN EXAMINATIONS ES-401 N

B Normal and Emergency Operating Procedures and Radiological Controls

C Facility and Radiation Monitoring Systems

The minimum number of questions contained in each of these categories depends upon the

facility type.

Complex reactor facility examinations should have a minimum of 20 questions per category.

Moderate reactor facility examinations should have a minimum of 15 questions per category,

and Simple reactor facility examinations should have a minimum of 10 questions per category.

The written examination will be divided into the three categories identified and described below.

Category A-This category contains questions relating to basic nuclear theory, reactor

behavior, and processes that take place in a reactor. Thermodynamics should be limited only

to those areas that are applicable to the facility's operations and should be related to pertinent

heat transfer and fluid flow processes that are observable at the facility. Questions should also

relate to the manner in which power, reactivity, rod worth, and other parameters of the facility

change in response to rod manipulation, core burnup, heatup, experiment insertion, or other

activities associated with the operation of the facility. Questions on facility behavior as seen on

recorder traces because of these activities should be included.

Category B-This category contains questions on the procedures for operation of the reactor

and auxiliary systems, including administrative controls pertinent to the RO position.

Candidates must display complete understanding of the immediate action steps and the bases

associated with abnormal and emergency operating procedures. Familiarity and understanding

of technical specifications and operating, surveillance, and maintenance procedures to the

extent applicable to the RO position should also be evaluated. This category will also include

questions on radiation hazards, radiological safety practices, and facility and Federal

regulations (e.g., 10 CFR Part 20) for the identification and control of radiation hazards and

radioactive material handling and releases.

Category C-This category contains questions on the design, construction, operation, and

interrelationships of the systems most directly associated with reactor safety, such as rod

control, emergency power, or core flooding. Questions on the characteristics, operation, and

interrelationships of nuclear and process instrumentation and control systems are also to be

included, with an emphasis on safety-related devices. Investigating candidate knowledge of

auxiliary systems and instrumentation is allowable, but the bulk of the questions will be

associated with areas important to safety. This category shall also include questions

associated with radiation monitoring systems and detectors, including both fixed and portable

equipment. These questions will evaluate the candidate's knowledge of the operating

characteristics, limitations, and applications of the equipment as appropriate to the facility.

The goal for the relative weight of each category in the examination should be approximately 33

percent of the total examination worth. However, since the relative importance of safety and

emergency systems varies significantly from one size and type of research and test reactor to

another and 10 CFR 55.41 allows flexibility in the selection of questions "to the extent

applicable to the facility ...,. examiners experienced in the operation and examination activities

associated with research and test reactors can modify the weighting of the examination

NUREG-1478 4 of 12 Rev. 2, June 30, 2007
ES-401 N PREPARATION OF WRITTEN EXAMINATIONS ES-401 N PREPARATION OF WRITTEN EXAMINATIONS

categories based on their professional judgement. In any case, the relative weight of any one

category should be no less than 20 percent and no more than 40 percent of the total

examination worth.

E. NRC Quality Assurance Reviews

After preparing the examination, the author should independently review each examination

question for content and wording. When reviewing, the author should place himself or herself

in the position of the applicant by attempting to answer the questions without using reference

material or the answer key. In addition, he or she should ensure that the conditions and

requirements posed in the question are complete and unambiguous and that all necessary

information is provided, all unnecessary information is deleted, and the intended answer clearly

follows from what is asked in the question.

If time and resources permit, another NRC examiner may independently review the examination

using the guidance above. A second reviewer is especially important for examiners in training,

newly certified examiners, and examination authors who are not the CE.

All reviewers should review the examination using Form ES-401 N-1, which is included at the

end of this standard.

If the examination review identifies major changes in structure or content (e.g., distractor or

question replacements), the CE is responsible for consolidating the comments from all

reviewers and submitting one set of comments to the author. If the examination conforms with

the requirements of the "Examiners' Handbook" and this standard and was transmitted

electronically to the staff, the CE may make the desired changes directly without involving the

author of the examination.

After the necessary changes have been made, the CE will review-the final version of the

examination for completeness and clarity.

ATTACHMENTS/FORMS:

Attachment ES-401 N-i, Sample Written Examination Cover Sheet, NRC Rules for Written

Examination Administration, Equation Sheet, and Answer Sheets

Form ES-401 N-1, Written Examination Quality Assurance Checkoff Sheet

NUREG-1 478 5 of 12 Rev. 2, June 30, 2007 NUREG-1478 5,of 12 .Rev. 2, June 30, 2007
PREPARATION OF WRITTEN EXAMINATIONS ES-401 N PREPARATION OF WRITTEN EXAMINATIONS ES-401 N

ATTACHMENT ES-401N-1

WRITTEN EXAMINATION COVER SHEET

U.S. NUCLEAR REGULATORY COMMISSION

RESEARCH AND TEST REACTOR LICENSE EXAMINATION

FACILITY:

REACTOR TYPE:

DATE ADMINISTERED:

CANDIDATE:

INSTRUCTIONS TO CANDIDATE:

Answers are to be written on the answer sheets provided. Attach all answer sheets to the

examination. Point values are indicated in parentheses for each question. A 70 percent in

each category is required to pass the examination. Examinations will be collected 3 hours after

the examination starts.

CATEGORY %OF

VALUE TOTAL

20.00 33.3

CANDIDATE'S

SCORE

% OF

CATEGORY

VALUE CATEGORY

A. REACTOR THEORY,

THERMODYNAMICS, AND FACILITY

OPERATING CHARACTERISTICS

B. NORMAL AND EMERGENCY

OPERATING PROCEDURES AND

RADIOLOGICAL CONTROLS

20.00 33.3

20.00 33.3

60.00

FINAL GRADE

C. FACILITY AND RADIATION

MONITORING SYSTEMS

% TOTALS

All work done on this examination is my own. I have neither given nor received aid.

Candidate's Signature

NUREG-1 478 6 of 12 Rev. 2, June 30, 2007

NUREG,1478 6 of 12 Rev. 2, June 30, 2007
ES-401 N PREPARATION OF WRITTEN EXAMINATIONS

ATTACHMENT ES-401 N-1 (Continued)

NRC RULES FOR WRITTEN EXAMINATION ADMINISTRATION

(1) Cheating on the examination will result in an automatic denial of your application and

could result in more severe penalties.

(2) After the examination has been completed, you must sign the statement on the cover

sheet indicating that the work is your own and that you have not received or given

assistance in completing the examination. This must be done after you complete the

examination.

(3) Restroom trips are to be limited and only one applicant at a time may leave. You must

avoid all contact with anyone outside the examination room to avoid even the

appearance or possibility of cheating.

(4) Print your name in the blank provided in the upper right corner of the examination cover

sheet and each answer sheet.

(5) Mark your answers on the answer sheet provided. USE ONLY THE PAPER PROVIDED

AND DO NOT WRITE ON THE BACK SIDE OF THE PAGE.

(6) The point value for each question is indicated in brackets after the question.

(7) If the intent of a question is unclear, ask questions of the proctor only.

(8) When turning in your examination, assemble the cover sheet and answer sheets.

(9) To pass the examination, you must achieve a grade of 70 percent or greater in each

category.

(10) There is a time limit of 3 hours for completion of the examination.

(11) When you have completed and turned in your examination, leave the examination area

(DEFINE THE AREA). If you are observed in this area while the examination is still in

progress, your license may be denied or revoked.

NUREG-1 478 7 of 12 Rev. 2, June 30, 2007

NUREG-1478 7 of 12 Rev. 2, June 30, 2007
PREPARATION OF WRITTEN EXAMINATIONS ES-401 N

ATTACHMENT ES-401N-1 (Continued)

EQUATION SHEET

Af = rhcp 0 T sH = th s = UA 

of~f 0 . 1 secondsPM = - (p-p) 2

T max 2 a(k)V

SCR - S S

-p 1 -Kef,

I -Kof°

M-

* = 1 x O-4 second.

R1(1 -Keff) = CR2(1 -Keff2

CR1(-pl) = CR2(-P 2)

SUR = 26.06 Aef°]

p =po 1 0 SUR(O

SDM -Kff) (1 

Keff

M -

1 -Keff

CR1

CR2

t

P = P0 e T p 13(1 -p) PO

13-p

T- p_- TP

p + keffP

kofX Keff2

DR =DRo e -1

T, - 0.693

DR- 6 CiE( n)

R 2

p (Keff-l)

Koff

DRidi 2 = DR2 d22

DR-Rem; Ci-curies; E-Mev; R-feet

(P2 -3)2

Peak2

(P1 -13)2

Peak1

1 Curie = 3.7 x 1010 dis/sec 1 kg = 2.21 Ibm

1 Horsepower = 2.54 x 103 BTU/hr 1 Mw = 3.41 x 106 BTU/hr

1 BTU = 778 ft-lbf OF = 9/5 °C + 32

1 gal (H20) = 8 Ibm C= 5/9 (F - 32)

Cp= 1.0 BTU/hr/Ibm/°F cP = 1 cal/sec/gm/°C

NUREG-1478 8 of 12 Rev. 2, June 30, 2007
ES-401 N PREPARATION OF WRITTEN EXAMINATIONS

ATTACHMENT ES-401 N-1 (Continued)

Section A IR Theory, Thermo, and Facility Characteristics Page 4

A.la a 3 yn A.7 a b c d

A.lb a 13 y n

A.lc a 13 y n

A.ld a3 yn

A.2 abcd

A.3a 1 2 3 4 5 6 7

A.3b 1 2 3 4 5 6 7

A.3c 1 2 3 4 5 6 7

A.3d 1 2 3 4 5 6 7

A.4 abcd

A.5 abcd

A.8 a b c d

A.9 abcd

A.10 a b c d

A.11 a b c d

A.12 a b c d

A.13 a b c d

A.14 a b c d

A.15 a b c d

A.16 a b c d

A.17 a b c d

A.6 abcd A.18 a b c d

NUREG-1 478 9 of 12 Rev. 2, June 30, 2007

NUREG-1478 9 of 12 Rev. 2, June 30, 2007
PREPARATION OF WRITTEN EXAMINATIONS ES-401 N

ATTACHMENT ES-401N-1 (Continued)

Section B Normal/Emerg. Procedures & Rad Con Page 5

B.1

B.2a

B.2b

B.2c

B.2d

B.2e

B.3

B.4

B.5

B.6

B.7

B.8a

B.8b

B.8c

B.8d

B.9a

B.9b

a t

ab

SL

a b

a b

a b

SL

SL

SL

SL

NR

NR

cd

234567

234567

234567

234567

234567

)cd

)cd

)cd

)cd

).cd

LSSS LCO

LSSS LCO

LSSS LCO

LSSS LCO

Double NA

Double NA

T

89

89

89

89

89

B.9c

B.9d

B.10a

B.10b

B. 1 Oc

B.10d

B.11

B.12

B.13

B.14a

B.14b

B.14c

B.14d

.B.15

B.16

B.17

NR Double NA

NR Double NA

Water Air Structural Fission

Water Air Structural Fission

Water Air Structural Fission

I Water Air Structural Fission

a bcd c

a. bcd

a bcd_

___ days

weeks

months

months

a bcd c

a bcd

.a bc d

NUREG-1478 10 of 12 Rev. 2, June 30, 2007

NUREG-1478 10 of 12 Rev. 2, June 30, 2007
ES-401 N PREPARATION OF WRITTEN EXAMINATIONS

ATTACHMENT ES-401N-1 (Continued)

Section 0 Facility and Radiation Monitoring Systems Page 6

C. 1 a b c d C.1OeOpen Closed Throttled

C.2 a b c d C.1Of Open Closed Throttled

C.3 a b c d C.11aOpenShutOn Off

C04 a b c d C.11bOpenShutOn Off

C.5 a b c d C.11C Open Shut On Off

C.6 a b c d C.11dOpen Shut On Off

C.7 a b c d C.11eopenShutOn Off

C.8 a b c d C.11f Open Shut On Off

C.9a 1 2 3 4 C.11g Open Shut On Off

C.9b 1 2 3 4 C.11hOpen Shut On Off

C.9c 1 2 3 4 C.12 a b c d

C.9d 1 2 3 4 C.13 a b c d

C. 1Oa open Closed Throttled C.14 a b c d

C. 1 Ob Open Closed Throttled C.015 a b c d

C. 1 OCOpen Closed Throttled C.16 a b c d

C.1OdOpen Closed Throttled 0.17 a b c d

NUREG-1 478 11 of 12 Rev. 2, June 30, 2007 NUREG-1478 11 of 12 Rev. 2, June 30, 2007
PREPARATION OF WRITTEN EXAMINATIONS ES-401 N

NRC FORM ES-401N-1

WRITTEN EXAMINATION QUALITY

ASSURANCE CHECKOFF SHEET

,Examination.-P-a'cka~qge ýNo.'5-[xx/LY- ] Fait Name,, Month Yeay r

Author: Date of Examination:

[[Date]

Autor Peer/CE/BC

(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 double jeopardy questions.

10 CFR 55.41 (RO) sampling is appropriate.

No question worth more than 2 points.

Total point value correct for facility classification

(I, II, or Ill)

ES-401 .C.1 .(a-d) Examination question format criteria met. (Less than

25 percent overlap of questions from last examination. No true/false questions. All

multiple choices questions have four choices with one correct answer. Matching &

Completion questions have only one correct answer and are limited to 2 points.

Author Review: Date:

/ /07

Peer/CE/BC Review (Not Required) Date:

/ /07

NUREG-1478 12 of 12 Rev. 2, June 30, 2007

NUREG-1478. 12 of 12 Rev. 2, June 30, 2007
EXAMINER STANDARD 402N

ADMINISTRATION OF WRITTEN EXAMINATIONS

A. Purpose

This standard specifies the requirements and procedures for administering the written examination at a

research and test reactor facility.

B. Examination Facilities

(1) The licensee is responsible for providing a room that is suitable for administering the written

examination. The examination room should have nearby restroom facilities to enable the

examiner and/or proctor to maintain security of the written examination. The NRC's policies

regarding the written examination facility and other preparations for administering the written

examination are listed in Enclosure 2 in the corporate notification letter (refer to Attachment 1 to

ES-201 N).

(2) The CE will evaluate the examination room for adequacy. The applicants should not have

access to any reference material that is not approved by the CE. The CE will not begin the

examination until he or she is satisfied with the room where the exam is going to be given.

C. Proctorinci the Examinations

(1) The CE will ensure that the examination is proctored at all times. For large numbers of

applicants, the CE may determine that he or she needs assistance proctoring the written

examination. If proctors are needed, the CE should request assistance from other examiners or

other responsible NRC employees.

The CE will brief all proctors on their responsibilities before the examinations are distributed.

Proctors shall not engage in any activities that may divert their attention from the applicants and

possibly cause the examination to be compromised.

(2) When an applicant asks for clarification of a question on the written examination, the proctor

should write down the applicant's question, and in a case where the proctor is not a certified

examiner, present the question to a certified examiner for resolution. When an examiner is not

sure how to respond to a question without giving away the answer, the examiner will refer the

question to the CE. If there is no way to clarify a question without giving away the answer, the

proctor will so inform the applicant.

The proctor(s) will document all questions regarding specific written examination test items on

the master copy of the examination. The CE will use the comments for future reference in

resolving facility comments and grading conflicts.

When responding to questions, the proctor should be alert for indications that an applicant is

unfamiliar with the terminology used in the examination. The proctor will ask the CE to determine

the correct terminology and announce it to all the applicants taking the examination.

All question changes or clarifications will be called to the attention of all the applicants. Changes

made to questions during the examination should be made on the master copy and on the copy

provided to the facility staff.

NUREG-1478 1 of 4 Rev. 2, June 30, 2007
ADMINISTRATION OF WRITTEN EXAMINATIONS ES-402N

OF EXAMINATIONS ES-402N

D. Examination Administration Procedure

The CE will insure that the written examination is administered as follows:

(1) Verify each applicant's identity against the examination assignment sheet (see Form ES-201N1). Any errors or absences will be resolved with the facility staff, and the assignment sheet will

be updated as required.

The CE will request the facility licensee to withdraw the application of any individual not taking

the examination. This withdrawal will be formalized by sending a letter to the BC/PD.

Inspect the examination room and either approve, have removed or have covered any reference

material.

(2) A proctor (whether the CE, a certified examiner, or a non-examiner) will do the following:

a. Inform the applicants that they may use calculators to complete the examination. Define

the examination room for the applicants.

b. Pass out the examinations, answer sheets, and handouts and instruct the applicants not

to review the examination until told to do so.

c. Brief the applicants on the rules and guidelines that will be in effect during the written

examination by directing them to follow along with the instructions directly beneath the

examination cover sheet. Read the first two policies verbatim.

d. Ask the applicants to verify the completeness of their examination by checking each

page.

e. After answering any questions that the applicants may have regarding examination

policies, start the examination and record the time.

f. Periodically advise the applicants of the examination time remaining.

g. Ensure that each applicant signs the cover sheet when turning in his or her examination

and ensure that all answer sheets are included.

h. Remind the applicants to leave the examination area.

(3) When all of the written examinations are completed, the CE may conduct an examination review

with the facility licensee staff as described in Section E below.

E. Facility Staff Review of the Written Examination

After the last applicant completes the examination, the CE will meet with all proctors and ensure that the

master copy of the examination is updated with all of the changes made to the questions and/or answers

while the examinations were being administered.

NUREG-1.478 2 of 4 Rev. 2, June 30, 2007
ES-402N ADMINISTRATION OF WRITTEN EXAMINATIONS ES-402N OF WRITTEN EXAMINATIONS

The CE will provide a copy of the master examination to the facility licensee staff and answer any

questions the staff may have regarding the NRC's examination review and comment process. ES-201 N,

Enclosure 4, provides detailed guidelines and instructions for this review process.

ATTACHMENTS/FORMS:

NONE

NUREG-1 478 3 of 4 Rev. 2, June 30, 2007

NUREG-1478 3 of 4 Rev. 2, June 30, 2007
ADMINISTRATION OF WRITTEN EXAMINATIONS ES-402N

OF WRITTEN EXAMINATIONS ES-402N

This Page Intentionally Left Blank

NUREG-1478 4 of 4 Rev. 2, June 30, 2007
EXAMINER STANDARD 403N

GRADING WRITTEN EXAMINATIONS

A. Purpose

This standard describes the requirements and procedures for resolving the facility licensee's comments

on the written examination, grading the examination, and conducting a quality assurance review of the

graded written examination.

B. Resolving Facility Comments

(1) The examiner grading the examination will analyze each facility comment and document the

reason that the question was changed or the reason that the comment was not accepted.

(2) If there are two correct answers to a multiple choice question, both answers will be accepted as

correct. However, if three or more answers could be considered correct, the question will be

deleted from the examination.

(3) If 10 percent or more of the questions are deleted as a result of facility licensee comments, the

examination must be evaluated to ensure that the proper ratios between sections are still

satisfied. If deleting questions affects the content validity of the examination, the examination

shall be withdrawn and a new examination administered.

(4) The examiner grading the examination must incorporate into the master examination and into the

answer key all changes in response to the facility licensee's comments and any corrections made

while the examination was administered.

C. Grading the Examination

(1) The written examination will not be graded until the facility licensee's comments have been

resolved.

(2) Normally, the examiner who wrote an examination will grade it. However, if the author is

unavailable, the number of applicants is unusually large, or the CE wishes to expedite the

grading process, he or she may have another examiner grade the examination.

(3) The grader will indicate in red pen or pencil the number of points given to or deducted for each

answer on the applicant's answer sheet.

(4) If changing a grade is necessary, the grader or reviewer will do so by lining out the original grade

so that it remains legible, briefly documenting the reason for the change on the applicant's

answer sheet, and initialing the change. The grader or reviewer shall not use Wite-Outý and

other methods that obscure the change.

(5) After all the questions are graded, the grader will enter the test value, applicant's score, and

applicant's grade in the Results section of the applicant's written examination cover sheet.

(6) After grading the last applicant, the grader will review all of the answer sheets to ensure that all

applicants were graded consistently.

NUREG-1 478 1 of 2 Rev. 2, June 30, 2007

NUREG-1478 1 of 2 Rev. 2, June 30, 2007
GRADING WRITTEN EXAMINATIONS ES-403N

(7) The grader will fill in the Written Examination Summary section on page 1 of Form ES-301 N-1,

check the Pass, Fail, or Waive block, and sign and date the grader line in the Examiner

Recommendations section. The grader should then forward the written examination package,

including the master written examination and answer key, the applicants' examinations, and all

associated forms (ES-301 N-1 and ES-401 N-1) to the CE. The CE will continue the process for

the examination as outlined in ES-501 N.

ATTACHMENTS/FORMS:

NONE

NUREG-1 478 2 of 2 Rev. 2, June 30, 2007

NUREG-1 478 2 of 2 Rev. 2, June 30, 2007
EXAMINER STANDARD 501N

POSTEXAMINATION ACTIVITIES

A. Purpose

This standard describes the procedures for assembling and reviewing the examination package and

notifying the facility and applicants of the examination results.

B. Background

The goal is to complete licensing actions within 30 days of resolving the facility licensee's written

examination comments.

C. Examination Report

The CE will prepare an examination report. The sample examination report included as Attachment 1

should be used as a guide.

(1) The report documents the results of the examination, including generic strengths and

weaknesses noted during administration of the operating tests, grading of the written

examinations, and issues discussed at the exit meeting.

(2) The report will also include a copy of the written examination with the answer key modified to

incorporate facility comments.

(3) Applicants' names and grades (i.e., Form ES-501N-1) will not be included in the examination

report.

D. Results Package

The CE will also prepare an examination results letter which includes a public cover letter and its

nonpublic enclosures. As a guide, the CE should use the sample examination results letter (Attachment

2 to this standard) and enclosures described below.

(1) The enclosures that are nonpublic will include an examination grading summary sheet (Form ES501 N-1),. individual operator examination reports (Form(s) ES-301 N-1), and individual candidates'

written examination answer sheets, if a written examination was administered.

E. Examination Reviews

(1) The CE will forward the examination package to another examiner for peer review.

(2) The peer reviewer will review the grading of the written examination and the operating test

documentation to ensure that they meet the requirements of ES-403N and ES-303N,

respectively. During these reviews, the peer reviewer should pay particular attention to the

consistency of grading among all applicants tested.

NUREG-i 478 lofl4 Rev. 2, June 30, 2007

NUREG-1478 1of 14 Rev. 2, June 30, 2007
POSTEXAMINATION ACTIVITIES ES-501 N

ACTIVITIES ES-501 N

(3) After reviewing the package, the peer reviewer will check either the Pass or Fall block, then date

and sign the peer reviewer line of each Form ES-301 N-1. If the peer reviewer disagrees with the

grading of either the written examination or the operating test, he or she will resolve the

disagreement with the grader of that portion of the examination. The peer reviewer will return the

package to the CE.

(4) The CE will independently review the examination package then check either the Issue or Deny

block and sign and date the License Recommendation section of each Form ES-301-1.

F. Licensing Action

(1) The CE will give the examination package to the OLA who will prepare license and denial letters

for all applicants tested. Attachments 3 and 4 are sample RO and SRO (conditional) license and

denial letters. The license and denial letters will become an attachment to the results package.

(2) The OLA will give the completed packages to the licensing official, who makes the final licensing

decision. Per NRC policy, the licensing official is the BC/PD with program responsibility. A

person acting for the BC/PD may not sign license or denial letters. The licensing official will

consider all recommendations and sign each applicant's license or denial letter.

Applicants who withdrew before taking any part of the license examination will not be sent a

denial letter and will not be included in either package. Applicants who withdrew from the

examination after it had started will be denied a license.

(3) If the licensing official does not agree with the final recommendation, he or she will consult with

the grader, peer reviewer, and CE to resolve the disagreement. Disagreements usually arise

because of poor documentation. Therefore, it is very important for examiners to be accurate in

grading and writing comments.

(4) If the licensing official decides to overturn the recommendation, he or she will line out and initial

the affected summary evaluations. The licensing official will enter a new summary evaluation in

the appropriate block and explain the change in the Operating Test Comments section of Form

ES-303N-1.

(5) Once the licensing decisions are complete, the examiners should discard any marked

documentation or rough notes for those applicants receiving licenses. Examiners should retain

notes and documentation associated with proposed denials until the denial becomes final

according to ES-502N.

(6) For SRO-U applicants who fail an examination, the BC/PD should direct a case-specific review to

decide if the applicant failed because of significant deficiencies in RO knowledge or abilities. As

stated under 10 CFR 55.7, "Additional Requirements," "the Commission may, by rule, regulation,

or order, impose upon any licensee such requirements, in addition to those established in the

regulations in this part, it deems appropriate or necessary to protect health and to minimize

danger to life and property." If the SRO-U applicant's deficiencies pose such a threat, the NRC

may require the facility licensee to provide remedial training and reevaluation and submit

evidence of its completion to the NRC.

NUREG-1 478 2 of 14 Rev. 2, June 30, 2007

NUREG-1478 12 of 14 Rev. 2, June 30, 2007
ES-501 N POSTEXAMINATION ACTIVITIES

G. Facility and Individual Notification

(1) The CE may phone the facility staff to inform them of examination results only after the licensing

official has reviewed and approved them.

(2) After the Licensing Official has signed the license and denial letters, the OLA will send each

applicant the following material with his or her letter:

• a copy of the "as given" Form ES-303N-1

• a copy of the applicant's written examination answer sheet

(3) The secretary for research and test reactors personnel is responsible for distribution of the

examination report package.

(4) The OLA is responsible for distribution of the examination results package and the notifications to

the individuals taking the examination per Item 2 above.

(5) If any examinations are regraded in response to an applicant's request for review (refer to ES502N), the original Form ES-501 N-1 on file will be corrected by lining out the old grade, entering

the new grade, and initialing the change.

H. Returning Facility Reference Material

If all applicants passed the examination, the CE should return the facility reference material when the

licenses are issued. If any applicants failed the examination, the examiner should retain the reference

material to support either resolution of appeals or preparation of retake examinations.

I. Record Retention

With the advent of ADAMS, the need to maintain hard (paper) copies of records is greatly reduced. The

following documents should be maintained in ADAMS:

(1) ES-201 N, Attachment 1, "Corporate Notification Letter," with all enclosures (publicly available)

(2) Form ES-201 N-1, "Examination Assignment Sheet, with changes to identify the applicants that

were actually examined (not publicly available)

(3) ES-501 N, Attachment 1, "Examination Report," with all enclosures (publicly available)

(4) ES-501 N, Attachment 2, "Examination Results Letter," cover letter only (publicly available)

(5) Form ES-501 N-1, "Examination Summary Sheet" (not publicly available)

(6) Certificate Transmittal Cover Letter (not publicly available)

Each applicant's docket file should contain the original or a copy of the following items:

(1) Form ES-303N-1 (all pages) with final, clean versions of page 5 and all associated

documentation

NUREG-1478 3 of 14 Rev. 2, June 30, 2007
POSTEXAMINATION ACTIVITIES ES-501 N

(2) all correspondence with the applicant

(3) the applicant's written examination answer sheets

ATTACHMENTS/FORMS:

Attachment 1, Sample Examination Report (Public)

Attachment 2, Sample Results Cover Letter (Public)

Attachment 3, Sample License Letters (Nonpublic)

Attachment 4, Proposed Denial Letter (Nonpublic)

Form ES-501 N-1, Research and Test Reactor Plant Examination, Results Summary Sheet (Nonpublic)

NUREG-1478 .4 of 14 Rev. 2, June 30, 2007
ES-501 N POSTEXAMINATION ACTIVITIES N ACTIVITIES

ATTACHMENT I

SAMPLE EXAMINATION REPORT

[NRC Letterhead]

[Date]

[Applicant/Facility Name]

[Street Address]

[City, State Zip Code]

SUBJECT: INITIAL EXAMINATION REPORT NO. 50-[NUMBER]/OL-YY-NN, (FACILITY NAME]

Dear [Name]:

During the week of KEYBOARD(Enter date, then hit ALT-SHIFT-C), the U.S. Nuclear Regulatory

Commission (NRC) administered an initial operator licensing examination at your FIELD(facility) reactor.

The examination was conducted according to NUREG-1 478, "Research and Test Reactor Operator

Licensing Examiner Standards," Revision 2, published in June 2007. Examination questions and

preliminary findings were discussed at the conclusion of the examination with those members of your

staff identified in the enclosed report.

In accordance with Title 10, Section 2.790, of the Code of Federal Regulations, a copy of this letter and

the enclosures will be available electronically for public inspection in the NRC Public Document Room or

from the Publicly Available Records (PARS) component of NRC's Agencywide Documents Access and

Management System (ADAMS). ADAMS is accessible from the NRC Web site at

http://www.nrc.qov/readinq-rm/adams.html (the Public Electronic Reading Room). The NRC is

forwarding the individual grades to you in a separate letter which will not be released publicly. If you

have any questions concerning this examination, please contact [chief examiner] at [telephone number],

or via email at finitialsla-nrc.aov.

Sincerely,

[Branch Chief with Program Responsibility]

Docket No. 50-[number]

Enclosures:

1. Examination Report No. 50-[number]/OL-YY-NN

2. Facility Comments with NRC Resolution

3. Corrected Written Examination

cc w/enclosures: Facility Training Manager

(Standard Distribution) plus [Appropriate Project Manager]

NUREG-1 478 5 of 14 Rev. 2, June 30, 2007

NUREG-1478 5 of 14 Rev. 2, June 30, 2007
POSTEXAMINATION ACTIVITIES ES-501 N

ATTACHMENT 1

SAMPLE EXAMINATION REPORT (Continued)

ENCLOSURE 1

EXAMINATION REPORT NO: 50-[NUMBER]/OL/YY-NN

[FACILITY]

Facility License No.: [License No.]

Submitted by: / I

[Name], Chief Examiner Date

Summary:

During the week of [date], the NRC administered licensing examinations to [number] SRO-I, [number]

SRO-U, and [number] RO license applicants. [Number] SROs and [number] ROs passed these

examinations. All others failed.

Exit Meeting:

Attendees:

[Name, Title, Facility]

[Name, Title, Facility]

[Name], Examiner, NRC

At the conclusion of the site visit, the examiners met with representatives of the facility staff to

discuss the results of the examinations. The examiners made the following observations

concerning your training program:

a. Areas of generic weaknesses were found in [brief statement of the areas of weakness

identified during the exit meeting]. The facility committed to placing more emphasis in

these areas in future training programs [Open Item number].

b. Areas in which the examiners believe that the applicants exhibited good training and

knowledge are [brief statement of any strengths identified during the exit meeting].

c. The facility presented comments on the written examination, and these comments have

been incorporated into the examination attached to this report.

OR

c. The facility presented comments on the written examination, and these comments along

with their resolutions are included as Attachment 2 to this report.

NUREG-1478 6 of 14 Rev. 2, June 30, 2007
ES-501 N POSTEXAMINATION ACTIVITIES

ATTACHMENT 1

SAMPLE EXAMINATION REPORT (Continued)

ENCLOSURE 2

FACILITY COMMENTS WITH NRC RESOLUTION

Question 4.01

Comment: Control Room Log Book should be included as an additional correct response.

Justification: Administrative Procedure AP-4.0, page 8.

Question 4.01

NRC Resolution: Comment accepted. The alternative answer is acceptable but not required for a

complete answer.

NUREG-1478 7 of 14 Rev. 2, June 30, 2007
POSTEXAMINATION ACTIVITIES ES-501 N

ATTACHMENT I

SAMPLE EXAMINATION REPORT (Continued)

ENCLOSURE 3

CORRECTED WRITTEN EXAMINATION

NUREG-1478 8 of 14 Rev. 2, June 30, 2007 NUREG-1478 8 of 14 Rev. 2, June 30, 2007
ES-501 N POSTEXAMINATION ACTIVITIES N ACTIVITIES

ATTACHMENT 2

SAMPLE RESULTS COVER LETTER

[NRC Letterhead]

(Date]

[Applicant/Facility Name]

[Street Address]

[City, State Zip Code]

SUBJECT: INITIAL EXAMINATION RESULTS LETTER NO. 50-[NUMBER]/OL-YY-NN, [FACILITY

NAME]

Dear [Name]:

This letter forwards to you personal privacy information associated with the operator licensing

examinations administered during the week of [date]. This information supplements the publicly

available information in the examination report. Enclosure 1 lists individual grades for all candidates.

Enclosure 2 includes individual candidate summaries for all candidates (license/denial letters and

supporting documentation).

If you have any questions regarding the examination, please contact [chief examiner] at

(301)415-[number], or via email at [initialslcfnrc.gov.

Sincerely,

[Branch Chief with Program Responsibility]

Docket No. 50-[number]

Enclosures:

As Stated

DISTRIBUTION:

PUBLIC (w/o enclosures)

Facility File ([LA]) 06-D17

ADAMS ACCESSION #: ML011

OFFICE branch/program:(

NAME [EXAMINER]

DATE [D,

C = COVER

ram: B

CE I E

:[SECRETARY]

ATE]

branch/program:OLA

[OLA]

[DATE]

E = COVER & ENCLOSURE

.OFFICIAL RECORD COPY

I branh/progrm1

B1C/

TEMPLATE #:NTR-079

/PDI

NTEC

N = NO COPY

NUREG-1 478 9 of 14 Rev. 2, June 30, 2007

NUREG-1478 9 of 14 Rev. 2, June 30, 2007
POSTEXAMINATION ACTIVITIES ES-SOiN

ACTIVITIES ES-501 N

ATTACHMENT 3

SAMPLE LICENSE LETTERS

[NRC Letterhead]

[Date]

[LICENSE]

Docket No. 55-[number]

[Applicant/Facility Name]

[Street Address]

[City, State Zip Code]

Dear [Name]:

Pursuant to the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as

amended (Public Law 93-438), and subject to the conditions and limitations incorporated herein, the U.S.

Nuclear Regulatory Commission hereby licenses you to manipulate all controls of the [name of facility,

facility license number].

Your License No. is OP-[number]. Your Docket No. is 55-[number]. The effective date is [date]. Unless

sooner terminated, renewed, or upgraded, this license shall expire 6 years from the effective date.

This license is subject to the provisions of Title 10, Section 55.53, "Conditions of Licenses," of the Code

of Federal Regulations, with the same force and effect as if fully set forth herein.

While performing licensed duties, you shall observe the operating procedures and other conditions

specified in the facility license which authorizes operation of the facility.

The issuance of this license is based on examination of your qualifications, including the representations

and information contained in your application for this license.

A copy of this license has been made available to the facility licensee.

For the Nuclear Regulatory Commission

[Name and title of licensing official]

cc: [Facility representative who signed the applicant's NRC Form 398]

NUREG-1 478 10 of 14 Rev. 2, June 30, 2007

NUREG-1478 .10 of 14 Rev. 2, June 30, 2007
ES-SO 1 N POSTEXAMINATION ACTIVITIES ES-501 N ACTIVITIES

ATTACHMENT 3

SAMPLE LICENSE LETTERS (Continued)

[NRC Letterhead]

[Date]

[LICENSE]

Docket No. 55-[number]

[Applicant Name]

[Street Address]

[City, State Zip Code]

Dear [Name]:

Pursuant to the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974, as

amended (Public Law 93-438), and subject to the conditions and limitations incorporated herein, the U.S.

Nuclear Regulatory Commission hereby licenses you to direct the licensed activities of licensed

operators at, and to manipulate all controls of, the [name of facility, facility license number].

Your License No. is SOP-[number]. Your Docket No. is 55-[number]. The effective date is [date].

Unless sooner terminated or renewed, this license shall expire 6 years from the effective date.

This license is subject to the provisions of Title 10, Section 55.53, "Conditions of Licenses," of the Code

of Federal Regulations, with the same force and effect as if fully set forth herein.

While performing licensed duties, you shall observe the operating procedures and other conditions

specified in the facility license which authorizes operation of the facility and shall comply with the

following condition:

You shall wear corrective lenses while performing the activities for which you are licensed.

The issuance of this license is based on examination of your qualifications, including the representations

and information contained in your application for this license.

A copy of this license has been made available to the facility licensee.

For the Nuclear Regulatory Commission

[Name and title of licensing official]

cc: [Facility representative who signed the applicant's NRC Form 398]

NUREG-1 478 11 of 14 Rev. 2, June 30, 2007

NUREG-1478 11 of 14 Rev. 2, June 30, 2007
POSTEXAMINATION ACTIVITIES ES-501 N

ATTACHMENT 4

PROPOSED DENIAL LETTER

[NRC Letterhead]

[Date]

[Applicant/Facility Name]

[Street Address]

[City, State Zip Code]

Dear [Name]:

This letter is to inform you that your grade on the [operating test, written examination, or both] taken on

[date(s)], in connection with your application for a [reactor operator, senior reactor operator] license for

the [facility name], indicates that you did not pass that [test, examination, or both]. As a result, the U.S.

Nuclear Regulatory Commission (NRC) proposes to deny your application. Enclosed is a copy of the

[operating test, written examination, or both] results indicating those areas in which you exhibited

deficiencies. [A copy of the master answer key is also provided.]

If you accept the proposed denial and decline to request either an informal NRC staff review or a hearing

within 20 days as discussed below, this proposed denial will become a final denial. You may then

reapply for a license according to Title 10, Section 55.35, "Re-applications," of the Code of Federal

Regulations (10 CFR 55.35) subject to the following conditions:

* a. Because you passed [a written examination, an operating test] on [date], you may request a

waiver of that portion. This waiver will be granted by the NRC and will be valid up to 1 year from

your [examination, test] date.

* b. Because you did not pass the [written examination, operating test] administered to you on [date],

you will be required to retake [a written examination, an operating test].

* c. You may reapply for a license 2 months from the date of this letter.

OR

** a. Because this is a [second, subsequent] examination failure, you will be required to retake the

written examination and the operating test.

** b. You may reapply for a license [6, 24] months from the date of this letter.

OR

a. Because you passed neither the written examination nor the operating test administered to you

on [date(s)], you will be required to retake both the operating test and the written examination.

b. You may reapply for a license [2, 6, 24] months from the date of this letter.

If you do not accept the proposed denial, you may, within 20 days of the date of this letter, take one of

the following actions:

NUREG-1478 12 of 14 Rev. 2, June 30, 2007
ES-501 N POSTEXAMINATION ACTIVITIES

ATTACHMENT 4

PROPOSED DENIAL LETTER (Continued)

2

You may request an informal NRC staff review of the grading of your examination. Your written

request must be sent to the [appropriate division director], U.S. Nuclear Regulatory Commission,

Washington, DC 20555. Your request must identify the portions of your examination that you

believe were graded incorrectly or too severely. In addition, you must provide the basis, including

supporting documentation (such as procedures, instructions, computer printouts, and chart

traces), in as much detail as possible, to support your contention that certain of your responses

were graded incorrectly or too severely.

The NRC will review your contentions, reconsider your grading, and inform you of the results. If

the proposed denial is sustained, you will have the opportunity to request a hearing pursuant to

10 CFR 2.103(b)(2) at that time.

You may request a hearing pursuant to 10 CFR 2.103(b)(2). Submit your request, in writing, to

the Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, Attention:

Rulemakings and Adjudications Staff, with a copy to the Assistant General Counsel for Hearings,

Enforcement and Administration, Office of the General Counsel, at the same address. (Refer to

10 CFR 2.302, "Filing of Documents," for additional filing options and instructions.)

Pursuant to 10 CFR 55.35, you may not reapply for a license until your license has been finally denied.

Failure on your part to exercise one of these options within 20 days constitutes a waiver of your

opportunity for informal review and your right to demand a hearing and, for the purpose of reapplication

under 10 CFR 55.35, renders this letter a notice of final denial of your application, effective as of the

date of this letter.

If you have any questions, please contact [name] at [telephone number].

Sincerely,

[Name and title of licensing official]

Docket No. 55-[number]

Enclosures:

As stated

cc: [Facility representative who signed the applicant's NRC Form 398]

CERTIFIED MAIL-RETURN RECEIPT REQUESTED

Use for initial reactor operator or senior reactor operator license applicants who passed either the written examination or the operating

test but failed the other.

Use for second and subsequent retake applicants.

Use for applicants who failed both the written examination and the operating test.

NUREG-1 478 13 of 14 Rev. 2, June 30, 2007

NUREG-1478 13 of 14 Rev. 2, June 30, 2007
POSTEXAMINATION ACTIVITIES ES-501 N

FORM ES-501 N-1

RESEARCH AND TEST REACTOR PLANT

Results Summary Sheet

EXAMINATION

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NUREG-1 478 14 of 14 Rev. 2, June 30, 2007

NUREG-1478 14 of 14 Rev. 2, June 30, 2007
EXAMINER STANDARD 502N

ADMINISTRATIVE REVIEWS AND HEARINGS

A. Purpose

This standard specifies the NRC's policies and practices for processing informal staff reviews of license

application denials, issuing final denials of license applications, and reapplying for a license after a final

denial of an application has been issued.

B. Background

The letter sent to applicants who fail an operator licensing examination in ES-501 constitutes a proposed

license denial. The letter informs the applicant of his or her options for appeal as specified in Section C

below and includes a list of the deficiencies noted.

Applicants who fail an operator licensing examination may reapply pursuant to the provisions of 10 CFR

55.35, only after they have been issued a final denial of their application, and only if they have not

requested either an informal NRC review or a hearing. The NRC will not accept a reapplication while a

request for either an informal NRC review or a hearing is pending.

The procedures that apply when the NRC has denied an application for an operator license because the

applicant fails to meet the eligibility requirements in 10 CFR 55.31 are similar to those for processing

informal NRC reviews and license denials. The details of this process are described in Section E below.

C. Applicant Responsibilities

(1) An applicant who does not appear to meet the experience and training requirements for a license

may be asked to provide additional information in accordance with ES-202N, "Eligibility

Requirements and Guidelines." If the NRC still denies the application after the applicant provides

the additional information requested by the NRC, the applicant may exercise one of the following

options within 20 days after the date of the proposed denial letter:

a. Do nothing. The proposed denial letter then becomes the final denial. The applicant may

reapply after obtaining the requisite training or experience.

b. Request reconsideration of the application denial. Applicants must submit such requests

to the Director, Division of Regulatory Improvement Program, Office of Nuclear Reactor

Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The

applicant's submittal must clearly state the basis for the request.

c. Request a hearing pursuant to 10 CFR 2.103(b)(2). Applicants must submit such

requests to the Office of the Secretary, U.S. Nuclear Regulatory Commission,

Washington, DC 20555-0001, Attention: Rulemakings and Adjudications Staff, with a

copy to the Associate General Counsel for Hearings, Enforcement, and Administration,

Office of the General Counsel, at the same address. (Refer to 10 CFR 2.302, "Filing of

Documents," for additional filing options and instructions.)

(2) If an applicant fails the operator licensing written examination or operating test (or both) and

receives a proposed license denial letter issued in accordance with ES-501 N, the applicant has

20 days from the date of the letter to exercise one of the following three options:

NUREG-1478 1 of 8 Rev. 2, June 30, 2007
ADMINISTRATIVE REVIEWS AND HEARINGS ES-502N

a. Do nothing. The proposed denial letter then becomes the final denial. The applicant may

reapply, pursuant to 10 CFR 55.35, 2 months after the date of the first denial letter, 6

months after the second denial, and 24 months after each successive denial.

b. Request that the NRC administratively regrade the written examination, the operating

test, or both, in light of new information to be provided by the applicant. Applicants must

submit such requests to the Director, Division of Regulatory Improvement Program, Office

of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC

20555-0001. If the applicant submits such a request, the NRC will not consider a

reapplication pursuant to 10 CFR 55.35 until a denial is final.

The applicant's request for administrative review must identify the item(s) for which

additional review is requested and must include documentation supporting the item(s) in

contention. The applicant is responsible for ensuring that the request and the supporting

documentation are sent to RTROL within 20 days after the date of the proposed denial

letter.

If the NRC staff administratively reviews a failure and determines that the applicant did

not provide sufficient basis to justify passing grades on all sections of the licensing

examination, the NRC will issue a letter to the applicant sustaining the proposed denial.

The applicant may then request a hearing pursuant to 10 CFR 2.103(b)(2). In such

instances, the applicant must submit a request for a hearing after an administrative

review within 20 days after the date on the letter from the RTROL sustaining the proposed

denial. In addition, the applicant must submit the hearing request in accordance with

Section C.2(c), below.

If the applicant does not request a hearing when the RTROL sustains the proposed

denial, the proposed denial becomes the final denial. The applicant may then reapply for

a license, pursuant to 10 CFR 55.35, 2 months after the date of the first sustained denial

letter, 6 months after the second denial, and 24 months after each successive denial.

c. Request a hearing as provided by 10 CFR 2.103(b)(2). The applicant must submit the

hearing request to the Office of the Secretary, U.S. Nuclear Regulatory Commission,

Washington, DC 20555-0001, Attention: Rulemakings and Adjudications Staff, with a

copy to the Associate General Counsel for Hearings, Enforcement, and Administration,

Office of the General Counsel, at the same address. (Refer to 10 CFR 2.302 for

additional filing options and instructions.) If the applicant requests a hearing, the NRC will

not consider a reapplication pursuant to 10 CFR 55.35 until the denial is final.

D. Facility Licensee Responsibilities

The NRC may ask the facility licensee to provide reference materials, technical support, and a

confirmation of the validity of the test items, as necessary for the NRC staff to evaluate and resolve any

concerns raised by a license applicant who asks the NRC to reconsider a proposed denial of an

application or license.

E. NRC Responsibilities

(1) The NRC will conduct administrative reviews of 10 CFR Part 55 license application denials based

on eligibility as described in Section F.1, below.

NUREG-1478 2 of 8 Rev. 2, June 30, 2007
ES-502N ADMINISTRATIVE REVIEWS AND HEARINGS

(2) The NRC will conduct administrative reviews of 10 CFR Part 55 license denials based on

examination failures as described in Section F.2, below.

(3) The NRC will conduct 10 CFR Part 55 operator licensing hearings in accordance with

10 CFR Part 2

F. Administrative Review Procedures

1. Application Denial

If an applicant requests an administrative review in accordance with Section C.1 .b, the RTROL will

generally complete its review of the applicant's eligibility within 60 days of receiving the request. Upon

completing its review, the RTROL will notify the applicant in writing as to whether he or she will be

allowed to retake the license examination. If the review leads the RTROL to sustain the original denial,

the applicant may request a hearing pursuant to 10 CFR 2.103(b)(2).

2. Examination Results

If an applicant requests an administrative review in accordance with Section C.2.b, the RTROL will

generally complete its review, as follows, within 45 days after receiving the request.

a. The RTROL will determine whether to (1) review the appeal internally or (2) convene a threeperson board to review the applicant's documented contentions. The appeal board will normally

be composed of a BC/PD and two examiners or subject matter experts, but no one who was

involved with the applicant's licensing examination.

For written examinations, the review will generally focus only on those questions that the

applicant is contesting. The review shall evaluate the original grading of the applicant's (or

applicants') examination(s), the reference material supplied by the facility licensee, and the

contentions and supporting documentation provided by the applicant(s). If there are multiple

appeals, all question deletions and answer key changes will be applied equally to each

appellant's examination, without regard to who submitted the complaint. Moreover, in those rare

instances when a generic finding results in a change to an answer key (e.g., failure to provide a

print or other reference necessary to answer a question), the corrective action may be applied,

as appropriate, to adjust the grading of other questions that were not contested.

For operating tests, the review shall evaluate the examiner's comments, the examination report,

the test that was administered, and the contentions and supporting documentation provided by

the applicant or facility licensee (e.g., plant system descriptions, operating procedures, logs,

chart recorder traces, and process computer printouts).

b. Based on the findings and recommendations from the review, the RTROL will decide whether to

sustain or overturn the applicant's license examination failure. The RTROL will then notify the

applicant in writing of the results of the review.

NUREG-1478 3 of 8 Rev. 2, June 30, 2007
ADMINISTRATIVE REVIEWS AND HEARINGS ES-502N

c. If the proposed denial was overturned, then the RTROL will review the examination results of the

other applicants to determine whether any of the licensing decisions are affected and update the

master examination file to reflect any test item deletions or answer key changes.

G. Notes

(1) A BC/PD or above will sign all letters informing an applicant of an examination failure or an

application denial. The BC/PD will include the appropriate licensing assistant on distribution for

all correspondence generated according to this standard.

(2) All facility licensee representatives who signed the license applications will be sent copies of all

external correspondence generated because of this standard.

(3) The BC/PD is responsible for informing management of review requests from license applicants.

(4) All correspondence referenced in this standard will be sent to the applicant via certified mail, with

return receipt requested.

ATTACHMENTS/FORMS:

Attachment 1, Sample License Notification Letter from Division Director

Attachment 2, Proposed License Denial Letter from Division Director

Attachment 3, Initial Application Denial Letter from Division Director

NUREG-1 478 4 of 8 Rev. 2, June 30, 2007

NUREG-1478 14 of 8 Rev. 2, June 30, 2007
ES-502N ADMINISTRATIVE REVIEWS AND HEARINGS

ATTACHMENT I

SAMPLE LICENSE NOTIFICATION LETTER

[NRC Letterhead]

[Date]

[Applicant/Facility Name]

[Street ,Address]

[City, State Zip Code]

Dear [Name]:

As a result of the additional information you supplied in your letter of [date], we have decided that you

passed the [written examination, operating test] administered to you on [date(s)], and satisfy the

requirements of Title 10, Section 55.33(a), of the Code of Federal Regulations (10 CFR 55.33(a)) for

approval of your license application.

The NRC will issue you a [reactor operator or senior reactor operator] license, pursuant to

10 CFR 55.51, "Issuance of Licenses," in a separate letter.

{For your information, I am enclosing a copy of the staff's resolution of each of your comments.} If you

have any questions, please contact [name] at [telephone number].

Sincerely,

[Division Director with Program Responsibility]

Office of Nuclear Reactor Regulation

Docket No. 55-[number]

{Enclosure:}

{As stated}

Include only if letter does not discuss comment resolutions.

NUREG-1478 5 of 8 Rev. 2, June 30, 2007

NUREG-1478 5 of 8 Rev. 2, June 30, 2007
ADMINISTRATIVE REVIEWS AND HEARINGS ES-502N

ATTACHMENT 2

PROPOSED LICENSE DENIAL LETTER

[NRC Letterhead]

[Date]

[Applicant/Facility Name]

[Street Address]

[City, State Zip Code]

Dear [Name]:

Using the information you supplied in your letter of [date], we have reviewed the grading of the [written

examination, operating test] administered to you on [date(s)]. We find that you did not pass the

[examination, test]. Consequently, the proposed denial of your license application is sustained. We

have enclosed our review results with this letter.

If you do not request a hearing within 20 days of the date of this letter, the proposed denial will become

a final denial, and you may reapply for a license according to Title 10, Section 55.35, "Re-applications,"

of the Code of Federal Regulations (10 CFR 55.35) subject to the following conditions:

* a. You may request a waiver of the portions of the examination that you passed. The NRC will

grant this waiver provided that you submit it within 1 year from your previous examination date.

* b. You are required to take an operator licensing examination, consisting of the portions of the

examination not waived.

* c. You may reapply for a license 2 months from the date of this letter. The NRC will schedule an

examination upon request by you or your facility management.

OR

** a. Because this is a [second, subsequent] examination failure, you will be required to retake all

portions of the written examination and the operating test.

** b. You may reapply for a license [6, 24] months from the date of this letter. The NRC will schedule

an examination upon request by you or your facility management.

If you do not accept the proposed denial, you may, within 20 days of the date of this letter, request a

hearing according to 10 CFR 2.103(b)(2). Submit your request, in writing, to the Secretary of the

Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555, with a copy to the Assistant

General Counsel for Hearings, Office of the General Counsel, at the same address.

Failure on your part to request a hearing within 20 days constitutes a waiver of your right to demand a

hearing and, for the purpose of reapplication under 10 CFR 55.35, renders this letter a notice of final

denial of your application, effective as of the date of this letter.

NUREG-1478 6 of 8 Rev. 2, June 30, 2007
ES-502N ADMINISTRATIVE REVIEWS AND HEARINGS

If you have any questions, please contact (name] at [telephone number].

Sincerely,

[Division Director with Program Responsibility]

Office of Nuclear Reactor Regulation

Docket No. 55-[number]

Enclosure: As stated

cc: [Facility representative who signed the applicant's NRC Form 398]

CERTIFIED MAIL-RETURN RECEIPT REQUESTED

* Use for initial reactor operator or senior reactor operator license applicants who passed either the written examination or the operating

test but failed the other.

Use for second and subsequent retake applicants.

NUREG-1478 7 of 8 Rev. 2, June 30, 2007
ADMINISTRATIVE REVIEWS AND HEARINGS ES-502N

AND HEARINGS ES-502N

ATTACHMENT 3

INITIAL APPLICATION DENIAL LETTER

[NRC Letterhead]

[Date]

Docket No. 55-[number]

[Applicant/Facility Name]

[Street Address]

[City, State Zip Code]

Dear [Name]:

In response to your letter dated [date], we have reviewed the denial of your application for a [reactor

operator, senior reactor operator] license issued on [date]. Our review of your application indicates that

you still do not meet the eligibility requirements.

[Discussionof6 deficiencies with referenced tofelevant parts of' 0 CFR 55.31, ES-202N, or NRCapproved facility:training progr;am] When you have met the requirements of Title 10, Section 55.31,

"How To Apply," of the Code of Federal Regulations (10 CFR 55.31), you may submit another

application.

If you do not accept this denial, you may, within 20 days of the date of this letter, request a hearing

pursuant to 10 CFR 2.103(b)(2). Submit your request, in writing, to the Secretary of the Commission,

U.S. Nuclear Regulatory Commission, Washington, DC 20555, with a copy to the Assistant General

Counsel for Hearings, Office of the General Counsel, at the same address.

If you have any questions, please contact [name] at [telephone number].

Sincerely,

[Division Director with Program Responsibility]

Office of Nuclear Reactor Regulation

cc: [Facility representative who signed the applicant's NRC Form 398]

CERTIFIED MAIL-RETURN RECEIPT REQUESTED

NUREG-1478 8 of 8 Rev. 2, June 30, 2007 NUREG-1478 8 of 8 Rev. 2, June 30, 2007
EXAMINER STANDARD 601 N

REQUALIFICATION EXAMINATION ADMINISTRATION

A. Purpose

This standard describes the methods to be used to prepare, conduct, and grade requalification

examinations meeting the provisions of 10 CFR 55.59(a)(2)(iii) and 10 CFR 55.59(c)(7). This standard

also describes the methods to be used to evaluate the facility licensee's requalification program. The

program will be applied to licensees where the NRC has lost confidence in the licensee's ability to

conduct its own examination. Situations that could result in a for cause requalification examination are

significant operator errors, poor requalification inspection results, and allegations of significant training

program deficiencies.

B. General

When possible, a team of both NRC and facility members will develop requalification examinations. The

examination will be based on the NRC-approved requalification program. Simultaneous evaluation of

operator performance by the facility and the NRC will allow the NRC to assess both individual and

program performance. The examination will consist of a written examination and an operating test.

C. Examination Schedule

(1) At least 90 days before examination administration, the NRC will notify the facility licensee of the

decision to administer an NRC requalification examination and ask whether the facility has the

resources to prepare the written examination, the operating tests, or both. If the facility commits

to preparing any part of the examination, the NRC will schedule a site visit to explain the

examination process and answer any questions that the facility may have. The NRC will also

send the facility a letter in the format of the Notification Letter in Attachment 1 to this standard.

(2) At least 60 days before examination administration, the facility licensee will send the NRC

reference material (including its examination bank, if available). The NRC will evaluate the

material for adequacy. The facility will identify the following:

* systems covered during the requalification cycle

* new or recently modified systems

* fuel accountability and handling

* building and prestartup requirements

* experiment handling

* radiation monitoring and control

* other systems and procedures required for the safe operation of the facility

The facility will also provide a list of operators to be examined and the names of any staff

(referred to as "facility staff") assigned to the examination team. The facility staff will provide

technical assistance in the development and review of the written examination questions and the

operating test. Normally, the facility staff will act as the facility evaluators during the operating

tests.

NUREG-1 478 1 of 20 Rev. 2, June 30, 2007 NUREG-1478 1 of 20 Rev. 2, June 30, 2007
REQUALIFICATION EXAMINATION ADMINISTRATION ES-601 N

ADMINISTRATION ES-601 N

(3) At least 30 days before the examination administration date, the facility should provide any

portions of the requalification examination that it has committed to preparing. The NRC will

evaluate the material and any facility-prepared examinations for adequacy. Also, the CE will

reconfirm the schedule and recommend any changes necessary. The NRC reserves the right to

reschedule the examination if it finds the facility-supplied materials or examinations inadequate.

D. Examination Preparation

1. Written Examination Preparation

The written examination will be an open-reference, three-section examination and will not discriminate

between RO and SRO knowledge levels.

Section A tests operators' knowledge of reactor theory, thermodynamics, and facility operating

characteristics. Section B tests operators' knowledge of normal, abnormal, and emergency procedures,

and administrative controls (including technical specifications, the emergency plan, administrative

procedures, and radiological procedures). Section C tests operators' knowledge of facility systems, with

the focus on systems applicable to reactor operations (i.e., process and radiological monitoring).

The author should prepare 20 questions per section. Questions should come from the facility's

requalification examination bank, with appropriate references. The questions should be objective (i.e.,

multiple choice or matching).

2. Written Examination Reviews

The entire examination team will review the written examination evaluating each question for

appropriateness, technical accuracy, and clarity. The examination team must repeat this evaluation for

any changes made as a result of this review.

3. Operating Test Preparation

The operating test is also open reference. Each operator will be evaluated on his or her ability to

complete a minimum of five tasks satisfactorily. The operating tests will differentiate between RO and

SRO knowledge levels and abilities. An RO is only responsible for RO tasks; an SRO is responsible for

all tasks.

The preparer will specify the criteria for satisfactory completion of each task indicating "critical steps." A

critical step is one that, if performed incorrectly or not at all, would prevent the system from operating

safely or prevent completion of an essential safety action. Examples of essential safety actions include

the following:

* effective manipulation of the controls affecting reactivity

* actuation of a reactor trip

* compliance with technical specifications

* reduction in excessive levels of radiation and guarding against personnel exposure

NUREG-1478 2 of 20 Rev. 2, June 30, 2007
ES-601 N REQUALIFICATION EXAMINATION ADMINISTRATION

When preparing tasks, use of a copy of the procedure (or sections) marking steps considered critical is

acceptable. For tasks with no written procedure, the preparer will supply a written description of the

task, list of expected actions, and indication of critical steps.

Each operator must be tested on at least four different types of tasks (listed below). The examiner may

design the tasks to flow from one to the next, such as having the operator perform a startup as the first

task, then while critical, simulate an instrument failure as the second task.

Reactivity task: Tasks that have the operator perform a startup, significant power change, or

shutdown.

Abnormal event: Tasks that have the operator respond to an instrument failure, component

failure, radiation monitor alarm, or similar problem.

Emergency event: Tasks that have the operator respond to events such as a building

evacuation, a large reactor pool leak, high-radiation levels.

Outside event: Tasks that have the operator perform duties outside the control room, such as

refueling or surveillance on local radiation monitors.

Additional tasks will be developed at the discretion of the CE.

Each task will include at least two questions to be asked at the completion of the task. Questions may

be selected from facility question banks or from previously administered NRC examinations. To the

maximum extent possible, the questions should have the following characteristics:

* be based on the task or system being operated

* discriminate between RO/SRO responsibilities, where appropriate

* emphasize knowledge required for task performance or procedure use and compliance

4. Operating Test Review

All team members must agree on critical steps. The CE will resolve any disagreements in the selection

of tasks.

NRC examiner(s) will evaluate the facility-identified systems, tasks, and questions to ensure that the

examination tests knowledge and abilities appropriate for operators at that facility.

The NRC may substitute any or all of the facility-provided tasks and questions with ones selected or

developed by the NRC. However, facility-developed questions or tasks should be used unless they fail

to meet NRC standards. The NRC CE has the final authority in deciding examination content.

NUREG-l 478 3 of 20 Rev. 2, June 30, 2007

NUREG-1478 3 of 20 Rev. 2, June 30, 2007
REQUALIFICATION EXAMINATION ADMINISTRATION ES-601 N

E. Examination Administration

1. Written Examination

Either an NRC examiner or a facility staff member will proctor the written examination. The proctor will

brief the operators using Attachment 1, Enclosure 3. Operators have 3 hours to complete the written

examination.

2. Operating Test

Efforts must be made to avoid compromising the operating test. Operators examined on the same day

may all perform the same tasks. Operators examined on subsequent days must perform a minimum of

two tasks that were not previously administered, or the operators must complete a postexamination

security agreement. The CE may agree to other reasonable precautions.

The preferred method for administering operating tests is to have the facility examination team

member(s) act as the facility evaluator(s). The facility evaluator(s) should conduct the examination with

the NRC examiner observing. If the facility cannot supply a facility evaluator, the NRC examiner will

conduct the examination. NRC examiners may ask followup questions directly of the operator after task

completion. However, to the extent possible, these questions will be asked through the facility evaluator.

The facility evaluator will brief the operator, using the "Briefing Checklist" (Attachment 2). If desired, the

operators may be briefed as a group before the start of the operating tests.

Immediately after the operator completes a task, the facility evaluator will ask the two pre-scripted

questions associated with the task. The evaluator may ask additional questions for clarification or

verification of the tasks performed. The questions should not expand the scope of the pre-scripted

questions.

Any additional questions asked should be reviewed with the facility evaluator as soon as possible after

the tasks are completed.

Normally, the evaluator will observe task performance passively. The evaluator should not ask

questions or present the next task while the operator is making console control manipulations. New

tasks should be presented when the facility is in a steady-state condition.

The NRC examiner will ensure that the facility evaluator conducts an appropriate examination. If the

NRC examiner determines that the examination is inadequate to make a pass/fail determination, the

NRC examiner will discuss this concern with the facility evaluator. If the evaluator's examination

continues to be unsatisfactory, the NRC examiner may choose to conduct the remainder of the

examination with the facility evaluator grading in parallel. If this option is chosen, the CE will be informed

at the completion of the individual examination. As soon as possible after such issues arise, the NRC

CE will resolve with facility representatives all unforeseen technical questions or issues that could result

in an operator failing the examination.

F. Examination Gradina

NUREG-1478 4 of 20 Rev. 2, June 30, 2007

NUREG-1478 4 of 20 Rev. 2, June 30, 2007
ES-601 N REQUALIFICATION EXAMINATION ADMINISTRATION N ADMINISTRATION

1. Written Examination

The facility and NRC evaluators will grade the examinations independently. Grading should be

completed within 5 workdays of examination administration. They will record the grades on the

"Examination Cover Sheet," Form ES-601 N-2.

Each operator must achieve a score of at least 70 percent overall as graded by the NRC to pass the

examination. A score of less than 70 percent on one section is not a failure but indicates an area

requiring remedial action by the facility.

2. Operating Tests

a. Deficiencies will be recorded using the "Requalification Examination Operating Test Record,"

Form ES-601 N-1. Typically, significant deficiencies will be associated with critical steps.

Additional critical steps for a task may be identified because of unanticipated operator actions.

These will be identified and conflicts resolved in the same manner as the original critical steps

(see paragraph D.4).

b. If an operator incorrectly performs or fails to perform a critical step, the task may be graded as

unsatisfactory if the deficiency jeopardizes the safety of the facility or has a significant safety

impact on the public. Failure to perform, or incorrect performance of, two or more critical steps

will result in failure of the task.

c. Each operator must successfully complete 70 percent of the tasks and correctly answer

70 percent of the prepared task questions to pass the test.

d. The NRC will notify the facility immediately of any operator whose performance requires

immediate removal from licensed duties.

G. Regualification Program Evaluation

The NRC will evaluate the program for any deficiencies or weaknesses based on examination and test

adequacy and operator performance. The wide variance in staff sizes and the small number of

operators that will typically be examined precludes performing a statistical program evaluation.

However, if the NRC notes any of the following items during the examinations, it will consider a

subsequent evaluation of the facility's training program:

(1) More than 50 percent of the operators fail the examination (four or more operators are

evaluated).

(2) A significant deviation in pass/fail results exists between the NRC and the facility (i.e., the facility

is less conservative in the evaluation of more than one operator).

(3) The facility evaluator is unable to administer a satisfactory examination (e.g., leads the operator,

cues by providing answers, or performs steps for the operator).

H. Actions for Requalification Program Deficiencies

NUREG-1478 5 of 20 Rev. 2, June 30, 2007
REQUALIFICATION EXAMINATION ADMINISTRATION ES-601 N

The NRC will consider the following actions for any program deficiencies:

(1) request that the facility review program deficiencies and identify corrective actions to improve

operator performance

(2) meet with senior facility management to review program deficiencies, determine root causes,

propose corrective actions, and develop a schedule for implementing corrective action and

followup inspections and examinations

(3) determine the following:

a. the significance of generic deficiencies identified during the program evaluation

b. how recent facility events relate to licensed operator performance

(4) develop NRC recommendations

Additional actions may be taken at the discretion of the Director of the Office of Nuclear Reactor

Regulation or his designee.

I. Final Requalification Program Evaluation Report

A final requalification results summary sheet (Form ES-601N-3) will be prepared when the grading of

requalification examinations has been completed. A complete copy of the report will be filed in the

facility examination file.

J. Individual Requalification Examination Report

Form ES-601 N-4 is filled out for each operator who has received an NRC requalification examination.

This report (original) is filed in the individual's docket folder in the licensing assistant's office, with a copy

sent to the facility and a copy filed in the facility examination file.

K. Record Retention

(1) When the requalification evaluation has been completed, the facility will receive a copy of all

NRC-administered written and operating examinations.

(2) Material relating to an individual failure will be retained as necessary to support denial of license

renewal per 10 CFR 55.57(b)(2)(iii). This includes the following:

a. examination cover page for all examinations

b. the portions of the examination that resulted in failure

(3) Examination Security

To ensure examination security, the facility staff will be asked to follow examination security

restrictions. These restrictions begin with the first review of the examination and continue until

the examination is concluded. Each facility staff member will be required to sign the

NUREG-1478 6 of 20 Rev. 2, June 30, 2007
ES-601 N REQUALIFICATION EXAMINATION ADMINISTRATION

"Preexamination Security Agreement" (Attachment 1, Enclosure 4) before reviewing the actual

examination and the "Postexamination Security Agreement" at the conclusion of the examination

process (Attachment 1, Enclosure 4).

ATTACHMENTS/FORMS:

Attachment 1, Notification Letter

Attachment 2, Briefing Checklist-Operating Test Tasks

Form ES-601 N-, Requalification Examination Operating Test Record

Form ES-601 N-2, Examination Cover Sheet

Form ES-601 N-3, Research and Test Reactor Requalification Results Summary Sheet

Form ES-601N-4, Individual Requalification Examination Report

NUREG-1478 7 of 20 Rev. 2, June 30, 2007
REQUALIFICATION EXAMINATION ADMINISTRATION ES-601 N

ATTACHMENT I

NOTIFICATION LETTER

[NRC Letterhead]

[Date]

[Applicant/Facility Name]

[Street Address]

[City, State Zip Code]

SUBJECT: CORPORATE NOTIFICATION LETTER, 50-[NUMBER]/OL-YY-NN, [FACILITY NAME]

Dear [Name]:

This letter confirms arrangements [I or examiner name] have made with [you or facility contact] for the

administration of requalification examinations at the [facility]. The written and operating examination,

scheduled for the week of [date], will be performed according to Examiner Standard 601 N in the

"Operator Licensing Standards for Research and Test Reactors," (NUREG-1478), issued in June 2007.

You should have a copy of this standard.

Please furnish the material listed in Enclosure 1, "Reference Material Requirements," at least 60 days

before the examination date to the following address:

(U.S. Postal Service ) (Private Mail Carrier)

ATTN: [Chief Examiner] ATTN: [Chief Examiner]

[Appropriate Mail Stop] [Appropriate Mail Stop]

U.S. Nuclear Regulatory Commission U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001 11555 Rockville Pike

Rockville, MD 20852-2738

Failure to supply the reference material may result in a postponement of the examination. You may

volunteer to submit a written examination for use during the examination week in addition to the material

requirements of Enclosure 1. Submission of a written examination is optional. However, if you do

submit a written examination, those personnel who developed it will be subject to the security restrictions

described below.

The facility should provide at least one employee to complete the examination team. These employees

should be licensed or previously licensed senior reactor operators at your facility or a similar facility.

These individuals must not be scheduled for an examination administered by the U.S. Nuclear

Regulatory Commission (NRC) during this visit. These facility representative(s) must sign a security

agreement (Enclosure 4).

The facility representative(s) may continue to train operators with the understanding that they will not

describe details of the examination, either in scope or content. Should questions arise that are on the

examination, the facility representatives may answer them provided that they give no indication that the

question is on the examination.

NUREG-1478 8 of 20 Rev. 2, June 30, 2007
ES-601 N REQUALIFICATION EXAMINATION ADMINISTRATION

You are responsible for providing adequate accommodations to properly conduct the examinations.

Enclosure 2, "Administration of Requalification Examinations," describes NRC requirements for

conducting the examinations. Enclosure 3 contains the "NRC Rules and Guidance for Examinees" that

will be in effect during the administration of the written examination. You are responsible for ensuring

that all operators are aware of these rules.

This letter contains information collection requirements that are subject to the Paperwork Reduction Act

of 1995 (44 U.S.C. 3501 et seq.). These information collections were approved by the Office of

Management and Budget, approval number 3150-0018.

The burden to the public for these mandatory information collections is estimated to average 7.7 hours

per response, including the time for reviewing instructions, searching existing data sources, gathering

and maintaining the data needed, and completing and reviewing the information collection. Send

comments regarding this burden estimate or any other aspect of these information collections, including

suggestions for reducing the burden, to the Records and FOIA/Privacy Services Branch (T-5 F52), U.S.

Nuclear Regulatory Commission, Washington, DC 20555-0001, or by Internet electronic mail to

INFOCOLLECTS@NRC.GOV; and to the Desk Officer, Office of Information and Regulatory Affairs,

NEOB-1 0202, (3150-0018), Office of Management and Budget, Washington, DC 20503.

The NRC may not conduct or sponsor, and a person is not required to respond to, a

request for information or an information collection requirement unless the requesting

document displays a currently valid OMB control number.

If you have any questions on the evaluation process, please contact me at [telephone], or email at

[initials(nrc.oov]

Sincerely,

[Appropriate Branch Chief or Program Director or Above]

[Appropriate Branch]

[Appropriate Division]

Office of Nuclear Reactor Regulation

Docket No. 50-[number]

Enclosures:

1. Reference Material Requirements

2. Administration of Requalification Examinations

3. NRC Rules and Guidance for Examinees

4. Security Agreements

cc w/enclosures:

[Name], Reactor Supervisor

NUREG-1 478 9 of 20 Rev. 2, June 30, 2007

NUREG-1478 9 of 20 Rev. 2, June 30, 2007
REQUALIFICATION EXAMINATION ADMINISTRATION ES-601 N

ENCLOSURE I

REFERENCE MATERIAL REQUIREMENTS

Test items to support all aspects of the requalification examination must be provided to the NRC 60 days

before the examination date. These may include the following:

(1) Existing learning objectives, student handouts, and lesson plans (including training manuals,

facility orientation manual, system descriptions, reactor theory, and thermodynamics principles).

Training materials should include all substantive written material used for preparing applicants for

initial RO and SRO licensing. The written material should include learning objectives, if available,

and the details presented during lectures, rather than outlines. Training materials should be

identified, bound, and indexed. Training materials that include the following should be provided:

" System descriptions including descriptions of all operationally relevant flowpaths,

components, controls, and instrumentation. System training material should draw

parallels to the actual procedures used for operating and to the applicable system.

* Complete and operationally useful descriptions of all safety system interactions,

secondary interactions under emergency and abnormal conditions, including

consequences of anticipated operator error, maintenance error, and equipment failure.

" Training material used to clarify and strengthen understanding of emergency operating

procedures.

(2) Complete procedure index (including temporary procedures).

(3) All administrative procedures applicable to reactor operation or safety.

(4) All integrated facility procedures, normal or general operating procedures, and procedures for

experiments.

(5) All emergency procedures, emergency instructions, and abnormal or special procedures.

(6) Standing orders or procedures changed by reactor supervision and important orders or changes

that are safety related and may supersede the regular procedures.

(7) Applicable procedures (procedures that are run frequently).

(8) Fuel-handling and core-loading procedures and initial core-loading procedures, when

appropriate.

(9) Any annunciator/alarm procedures, as applicable.

(10) Radiation protection manual, radiation control manual, or procedures.

(11) Emergency plan implementing procedures.

(12) Technical specifications and interpretations, if available.

NUREG-1478 10 of 20 Rev. 2, June 30, 2007
ES-601 N REQUALIFICATION EXAMINATION ADMINISTRATION

(13) System operating procedures, including experiments.

(14) Piping and instrumentation diagrams, electrical single-line diagrams, or flow diagrams, as

applicable.

(15) Technical data book and/or facility curve information as used by operators and precautions,

limitations, and set points for the facility.

(16) Questions and answers specific to the facility training program, which may be used in the written

or operating examinations (voluntary by facility licensee).

(17) Additional material as requested by the examiners to develop examinations that meet the

requirements of the research and test reactor examiner standards and regulations.

The above reference material should be the approved final issues and so marked. If a facility has not

finalized some of the material, the NRC CE should verify with the facility that the most complete, up-todate material is available and that agreement has been reached with the licensee on limiting changes

before the administration of the examination.

NUREG-1 478 11 of 20 Rev. 2, June 30, 2007

NUREG-1478 11 of 20 Rev. 2, June 30, 2007
REQUALIFICATION EXAMINATION ADMINISTRATION ES-601 N

ADMINISTRATION ES-601 N

ENCLOSURE 2

ADMINISTRATION OF REQUALIFICATION EXAMINATIONS

(1) The CE will review the reference material.

(2) The facility shall provide a single room for the written examination. The location of this room and

supporting rest room facilities shall be chosen to minimize contact with other facility personnel for

the duration of the examination.

(3) The CE will ascertain that the facility provides the minimum spacing required to ensure

examination integrity. Minimum spacing consists of one examinee per table and a 3-foot space

between tables. No wall charts, models, and/or other training materials shall be present in the

examination room.

(4) Each examinee will receive copies of reference material for the written examination. The CE will

review the reference material, which will consist of technical specifications, operating/abnormal

procedures, administrative procedures, and emergency plans as available to the facility

operators.

(5) An attempt will be made to distinguish between RO and SRO knowledge and abilities to the

extent that the facility training materials support such a distinction.

(6) Prudent scheduling of the activities for examination week is important to help alleviate undue

stress on the operators. Your training staff and the CE should work very closely in formulating a

schedule that does not result in excessive delays of individuals being administered their

examination.

NUREG-1478 12 of 20 Rev. 2, June 30, 2007
ES-601 N REQUALIFICATION EXAMINATION ADMINISTRATION

ENCLOSURE 3

NRC RULES AND GUIDANCE FOR EXAMINEES

(1) Print your name in the blank provided on the cover sheet of the examination.

(2) Fill in the date on the cover sheet of the examination, if necessary.

(3) Answer each question on the answer sheets.

(4) The point value for each question is indicated in parentheses after the question.

(5) If the intent of parts of the examination are not clear, ask questions of the proctor only.

(6) You must sign the statement on the cover sheet that indicates the work on the examination is

your own and that you have not received or given any assistance in completing the examination.

This must be signed after the examination has been completed.

(7) Rest room trips are to be limited, and only one examinee at a time may leave. You must avoid all

contact with anyone outside the examination room to avoid even the appearance of examination

compromise.

(8) Cheating on the examination will result in a revocation of your license and could result in more

severe penalties.

(9) Each section of the examination is designed to take approximately 60 minutes to complete. You

will have 3 hours to complete the examination.

(10) When you are finished and have turned in your completed examination, leave the examination

area.

NUREG-1478 13 of 20 Rev. 2, June 30, 2007
REQUALIFICATION EXAMINATION ADMINISTRATION ES-601 N

ENCLOSURE 4

SECURITY AGREEMENTS

PREEXAMINATION SECURITY AGREEMENT

I agree that I will not knowingly divulge any information

[Print Name]

concerning the requalification examination for to any

[Print Facility Name]

unauthorized persons.

/

Signature Date

POSTEXAMINATION SECURITY AGREEMENT

I did not, to the best of my knowledge, divulge any information

[Print Name]

concerning the examination administered on to any unauthorized

[Print Date]

persons.

/

Signature Date

NUREG- 1478 14 of 20 Rev. 2, June 30, 2007

NUREG-1478 14 of 20 Rev. 2, June 30, 2007
ES-601 N REQUALIFICATION EXAMINATION ADMINISTRATION

ATTACHMENT 2

BRIEFING CHECKLIST-OPERATING TEST TASKS

(1) The NRC examiner is a visitor; the facility is responsible for providing an escort to ensure

compliance with safety, security, and radiation protection procedures.

(2) Do not operate facility equipment unless specifically allowed by procedure, standing order,

management direction, routine operating procedures, or other administrative allowances. If

equipment operation is specifically prohibited, nothing I or the NRC examiner says or asks will be

intended to violate that principle.

(3) Do not hesitate to ask for clarification during the walk-through. You may request that the

examiner or I reword or clarify the question.

(4) We will be taking notes throughout the test to document your performance. Frequently, we will

stop questioning for this purpose. The amount of note-taking does not reflect your level of

performance. The examiner must document satisfactory as well as less than satisfactory

performance.

(5) The operating test is considered "open reference." The reference material in the facility/control

room that is normally available to operators is available during the test. This includes calibration

curves, previous log entries, piping and instrument diagrams, calculation sheets, and procedures.

However, operators are responsible for knowing from memory the immediate actions of

emergency and other procedures as appropriate to the facility.

(6) The operating test has been planned to last approximately 90 minutes. However, there is no

specific time limit. The examiner will take whatever time is necessary to cover the areas

selected, in the depth and scope required. The test will evaluate a minimum of five tasks.

(7) The examiner will explain the tasks to be completed and which steps to simulate or discuss and

will provide initial conditions. The operator is to proceed with completing the task as if directed

by facility procedures and/or shift supervision. During the task, the examiner will supply the

necessary facility conditions and/or parameters needed to simulate the task. The operator

should explain each step of the task to the examiner before doing it.

(8) The examiner is not allowed to reveal the results of the examination at its conclusion.

(9) The NRC examiner may ask clarifying questions of the operator at the end of each task. To the

extent possible and reasonable, these questions will be asked via the facility evaluator.

(10) The NRC examiner will indicate to the operator that no aspects of the examination should be

discussed with anyone until the conclusion of the examination.

(11) You may request a break at any time during the operating test.

(10) During the examination you will be evaluated for your actions as if you were the actual

watchstander. Please operate the reactor as if you were licensed, with the exception that you

should announce your actions, then pause momentarily to give the operator of record time to

correct you or stop you, if necessary, before you actually perform the action. In addition, the

examiner will be observing that you meet all conditions of your license, (e.g., wearing corrective

lenses to perform licensed duties).

NUREG-1478 15 of .20 Rev. 2, June 30, 2007
REQUALIFICATION EXAMINATION ADMINISTRATION ES-601 N ADMINISTRATION ES-601 N

FORM ES-601N-1

REQUALIFICATION EXAMINATION OPERATING TEST RECORD

Name: License Number

Control Console Reactivity

Procedure No.:

Title:

Response to Abnormal Event

Procedure No.:

Title:

.Response to Emergency

Procedure No.:

Title:

In-Facility Evolution

Procedure No.:

Title:

Any Task

Procedure No.:

Title:

Critical Steps

Number/Correct

/

Oral Questions

Number/Correct

/

Totals / /

Percentage

Overall Evaluation: Satisfactory >_80% Ž70%

Unsatisfactory

Facility Examiner

NRC Chief Examiner

Date

Date

NUREG-1478 16 of 20 Rev. 2, June 30, 2007
ES-601 N REQUALIFICATION EXAMINATION ADMINISTRATION

ES-601 N 

FORM ES-601N-2

EXAMINATION COVER SHEET

U.S. NUCLEAR REGULATORY COMMISSION

RESEARCH AND TEST REACTOR REQUALIFICATION EXAMINATION

FACILITY:

REACTOR TYPE:

DATE ADMINISTERED:

CANDIDATE:

INSTRUCTIONS TO CANDIDATE:

Answers are to be written on the answer sheets provided. Attach all answer sheets to the examination.

Points for each question are indicated in parentheses after each question. A score of 70 percent overall

is required to pass the examination.

Examinations will be collected 3 hours after the examination starts.

CATEGORY

VALUE

% OF CANDIDATE'S

TOTAL SCORE

%OF

CATEGORY

VALUE CATEGORY

20.00 33.33 A. REACTOR THEORY, THERMODYNAMICS, AND FACILITY

OPERATING CHARACTERISTICS

20.00 33.33 B. NORMAL AND EMERGENCY PROCEDURES AND

RADIOLOGICAL CONTROLS

20.00 33.33 C. FACILITY AND RADIATION MONITORING SYSTEMS

60.00 100.00 % FINAL GRADE

All work done on this examination is my own. I have neither given nor received aid.

Candidate's Signature

NUREG-1478 17 of 20 Rev. 2, June 30, 2007

NUREG-1478 17 of 20 Rev. 2, June 30, 2007
z

00

Form ES-601 N-3

Research and Test Reactor Requalification Results Summary Sheet

Personally Identifiable Information

- Withhold under 10 CFR 2.390

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RESEARCH AND TEST REACTOR REQUALIFICATION RESULTS SUMMARY SHEET

FACILITY: OVERALL RESULTS TOTAL PASSED FAILED EXAM DATE: # #1% #/%

EXAMINERS: REACTOR OPERATOR I I

SENIOR OPERATOR I I

TOTAL I /

NAME DOCKET GRADER TASK TASK % TASK TASK % WRITTEN % RESULTS/INITIALS 55- OF_ OVERALL QUESTIONS QUESTIONS

_OF- OVERALL A .B C TOTAL WRIT•EN OPERATING

NRC 50F5 OF 100 100 100 100 / /

FAC OF OF /

NRC OF OF I

FAC OF OF /

NRC OF OF I,

FAC OF OF / I

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ES-601 N REQUALIFICATION EXAMINATION ADMINISTRATION

FORM ES-601N-4

INDIVIDUAL REQUALIFICATION EXAMINATION REPORT

INDIVIDUAL REQUALIFICATION EXAMINATION REPORT

FACILITY: EXAMINEE'S NAME:

DOCKET NO. 55- LICENSE NO.: EXPIRATION DATE:

EXAM TYPE: RO/SRO RETAKE EXAM: 1ST/2ND/NO DATE OF LAST EXAM (RETAKE):

.EXAM SUMMARY

WRITTEN EXAM RESULTS

DATE OF EXAM: NRC EXAMINER (PRINT): FACILITY EXAMINER (PRINT):

NRC GRADING FACILITY GRADING

SECTION A (POINTS) OF % OF %

SECTION B (POINTS) OF % OF %

SECTION C (POINTS) OF % OF %

OVERALL SCORE % %

OPERATING EXAM RESULTS

DATE OF EXAM: NRC EXAMINER (PRINT): FACILITY EXAMINER (PRINT):

NO. CORRECT TASKS OF % OF %

NO. QUES. CORRECT OF % OF %

NRC EXAMINER RECOMMENDATIONS

CATEGORY RESULTS SIGNATURE

WRITTEN PASS/FAIL

OPERATING PASS/FAIL

CHIEF EXAMINER REVIEW

PASS/FAIL SIGNATURE: I DATE:

NUREG-1 478 19 of 20 Rev. 2, June 30, 2007

NUREG-1478 19 of 20 Rev. 2, June 30, 2007
REQUALIFICATION EXAMINATION ADMINISTRATION ES-601 N

ADMINISTRATION ES-601 N

This Page Intentionally Left Blank

NUREG-1478 20 of 20 Rev. 2, June 30, 2007
EXAMINER STANDARD 602N

REQUALIFICATION FAILURES, REVIEWS, AND HEARINGS

A. Purpose

The NRC staff should use these procedures to process requests for administrative reviews and

hearings by 10 CFR Part 55 licensees concerning failures of NRC-conducted requalification

examinations and denials of applications for license renewal.

B. Background

The renewal license application differs in some respects from the initial license. To address these

differences, the staff has developed these procedures for requests for administrative reviews and

hearings for the denial of license renewal.

C. Results of NRC-Conducted Requalification Examinations

1. Passing an NRC-Conducted Requalification Examination

The BC/PD will inform all operators who pass all portions of the requalification examination in a

letter in the format of Attachment 1.

2. Failure of Written Examination Section(s)

If an operator failed one or two sections but received an overall grade of 70 percent or better, the

facility will determine the appropriate corrective action and retest the operator on the failed

section(s). No further NRC involvement is necessary.

3. Failing an NRC-Conducted Requalification Examination

a. If an operator fails any part of an NRC-conducted requalification examination, the facility

licensee must remove that operator from licensed duty. The facility licensee must take

corrective action consistent with the provisions of its requalification program before

returning the operator to licensed duty.

b. The BC/PD will inform the operator of his or her failure in a letter in the format of

Attachment 2 or Attachment 3 of this standard as appropriate. The operator then has 20

days to request an informal review of the failed portion of the examination. The operator

may submit a request for reconsideration to the appropriate Division Director, U.S. Nuclear

Regulatory Commission, Washington, DC 20555. Note 5 in Section E provides additional

information on the requirements for supporting documentation.

c. The NRC will not renew the license of any operator who failed to pass an NRC-conducted

requalification examination, without some level of NRC involvement in the retesting process.

NRC involvement may include conducting a retest according to this NUREG, inspecting the

facility as it retests the operator, or simply reviewing an examination prepared by the facility.

The BC/PD will determine the appropriate level of involvement depending on the quality of

the facility's program. As long as the operator submits a timely renewal application, the

term of the operator's license will continue until the renewal requirements are satisfied or

until the operator has failed three NRC-conducted examinations as discussed in

Section C.2.e.

NUREG-1478 1 of 6 Rev. 2, June 30, 2007
REQUALIFICATION FAILURES, REVIEWS, AND HEARINGS ES-602N

d. The NRC will normally conduct a second (first retake) examination approximately 6 months

after issuing the first failure notification according to Section C.3.b of this standard and will

concentrate on the areas in which the operator exhibited deficiencies.

e. The NRC will conduct a third (second retake) examination approximately 6 months after

issuing a second failure notification according to Section C.3.b of this standard. The third

examination will be a comprehensive requalification examination.

If an operator fails a third requalification examination, the NRC will review the operator's

performance and the facility's training program. A third failure may be grounds for

suspending or revoking the operator's license. If an operator has an application pending for

license renewal at the time of a third requalification failure, that failure will provide the basis

for denying the application. Notification of the operator will be handled on a case-by-case

basis and coordinated through the BC/PD.

D. Overturning Requalification Examinations or Renewal Denials

If, upon conducting a hearing or an informal review, the staff reverses its decision regarding the

failure of a requalification examination or application denial, the staff will take one or more of the

following actions, as appropriate:

(1) reinstate the license

(2) allow the operator to renew the license pursuant to 10 CFR 55.57, if all other requirements

are satisfied

(3) allow the operator to perform licensed duties when he or she has successfully completed

the facility's requalification program and the provisions of 10 CFR 55.53(e) or (f)

If, upon conducting a hearing, the staff reverses its decision regarding the failure of the

requalification examination, the staff will inform the operator that he or she has passed the

examination using a letter similar in format to the letter in Attachment 1.

If, upon conducting a hearing, the staff reverses its denial of an operator's renewal application, the

operator will be eligible for license renewal pursuant to 10 CFR 55.57 if the licensee has satisfied

all other requirements that were not at issue in the hearing.

E. Notes

(1) Letters informing an operator of a proposed denial or examination failure must be signed at

the division level and a copy of the correspondence will be distributed to the branch

(program) level for tracking purposes.

(2) Copies of correspondence sent to the operator because of this process will be provided to

the facility licensee's representative who is authorized to sign the renewal application.

(3) All examination failure or application denial correspondence sent to the operator should be

sent by certified mail with return receipt requested.

NUREG-1478 2 of 6 Rev. 2, June 30, 2007
ES-602N REQUALIFICATION FAILURES. REVIEWS, AND HEARINGS

(4) Asking the facility licensee to reassess the need for an operator's license is inappropriate

while conducting an informal review or hearing.

(5) Requests for informal review by the NRC must (a) list the items for which additional review

is being requested and (b) include documentation supporting the contentions made by the

operator. The package containing the review request along with supporting documentation

must be mailed or delivered to the division director's office within 20 days of the date of the

failure or denial notification. Division staff should complete the review within 45 days of

receiving the package. The staff will review requests using the guidance in ES-502N.

ATTACHMENTS/FORMS:

Attachment 1, Requalification Examination Pass Letter

Attachment 2, Requalification Examination Failure Letter

Attachment 3, Requalification Examination Second Failure Letter

NUREG-1478 3 of 6 Rev. 2, June 30, 2007
REQUALIFICATION FAILURES, REVIEWS. AND HEARINGS ES-602N

REQUALIFICATION FAILURES, REVIEWS. AND HEARINGS ES-602N

ATTACHMENT I

REQUALIFICATION EXAMINATION PASS LETTER

[Date]

Docket No. 55-[Number]

[Applicant/Facility Name]

[Street Address]

[City, State Zip Code]

Dear [Name]:

I am writing to inform you that you passed the requalification written examination and operating test

conducted by the U.S. Nuclear Regulatory Commission (NRC) on [date]. Enclosed is a copy of

your "Individual Requalification Examination Report" (Form ES-601N-5) summarizing the results of

your examination. Your facility training department has a copy of the master answer key.

If you have a question, please contact [name] at [telephone number].

Sincerely,

[BC/PD or higher]

cc: [Facility-authorized representative who signs NRC Form 398]

NUREG-1 478 4 of 6 Rev. 2, June 30, 2007

NUREG-1478 4 of 6 Rev. 2, June 30, 2007
ES-602N REQUALIFICATION FAILURES, REVIEWS, AND HEARINGS

ATTACHMENT 2

REQUALIFICATION EXAMINATION FAILURE LETTER

[Date]

Docket No. 55-[Number]

[Applicant/Facility Name]

[Street Address]

[City, State Zip Code]

Dear [Name]:

I am writing to inform you that you did not achieve an acceptable score on the requalification

[written examination and/or operating test] conducted by the U.S. Nuclear Regulatory Commission

(NRC) on [date]. Enclosed is a copy of the results indicating the area(s) in which you exhibited

deficiencies. Your facility training department has a copy of the master answer key.

This failure places you in the same status as if you had failed a facility-conducted requalification

examination. Therefore, you are subject to the requirements set forth in the NRC-approved

requalification program for the facility for which you are licensed and must meet those requirements

before resuming licensed duties. The NRC will conduct a second requalification examination in the

areas in which you exhibited deficiencies.

If you believe an error was made in grading your examination, you may request within 20 days of

the date of this letter that the NRC informally regrade the examination. Requests for informal

regrade should be sent to the [appropriate division director], U.S. Nuclear Regulatory Commission,

Washington, DC 20555. In the request, please state the items you wish to have reviewed and

provide supporting documentation as applicable.

If you have any questions, please contact [name] at [telephone number].

Sincerely,

[BC/PD or higher]

cc: [Facility authorized representative who signs NRC Form 398]

CERTIFIED MAIL-RETURN RECEIPT REQUESTED

NUREG-1 478 5 of 6 Rev. 2, June 30, 2007 NUREG-1478 5 of 6 Rev. 2, June 30, 2007
REQUALIFICATION FAILURES, REVIEWS, AND HEARINGS ES-602N

ATTACHMENT 3

REQUALIFICATION EXAMINATION SECOND FAILURE LETTER

[Date]

Docket No. 55-[Number]

[Applicant/Facility Name]

[Street Address]

[City, State Zip Code]

Dear [Name]:

Based on the grading of the NRC-conducted requalification [written examination and/or operating

test] taken on [date], you did not achieve an acceptable score. Enclosed is a copy of the results

indicating the area(s) in which you exhibited deficiencies. Your facility training department has a

copy of the master answer key.

This failure places you in the same status as if you had failed a facility-conducted requalification

examination. Therefore, you are subject to the requirements set forth in the NRC-approved

requalification program for the facility for which you are licensed and you must meet those

requirements before resuming licensed duties. The NRC will conduct a third requalification

examination that will be comprehensive in scope.

If you believe an error was made in grading your examination, you may request within 20 days of

the date of this letter that the NRC informally regrade the examination. Requests for informal

regrade should be sent to the [appropriate division director], U.S. Nuclear Regulatory Commission,

Washington, DC 20555. In the request, please state the items you wish to have reviewed and

provide supporting documentation as applicable.

If you have any questions, please contact [name] at [telephone number].

Sincerely,

[BC/PD or higher]

cc: [Facility authorized representative who signs NRC Form 398]

CERTIFIED MAIL-RETURN RECEIPT REQUESTED

NUREG-1478 6 of 6 Rev. 2, June 30, 2007
EXAMINER STANDARD 701N

SRO LIMITED TO FUEL HANDLING-EXAMINATIONS

A. Purpose

This standard gives guidelines and instructions for preadministration activities in support of LSRO

examinations at research and test reactors that have been permanently shut down. This standard

supplements guidance contained in ES-201N, ES-202N, ES-203N, and ES-204N for administering

initial examinations.

B. Examination Coordination

The CE will schedule a specific examination date with the facility staff. Normally, examiners will

administer all examinations in 1 week, giving the written examination before administering the

operating tests.

At least 3 months before the examination week, the CE will reconfirm the date of the examination

and the number of candidates to be examined. The CE should use ES-201 N, Attachment 1

("Sample Corporate Notification Letter"), as a guide and discuss the following:

(1) the need to have the reference materials identified in Attachment 1 at least 60 days before

the scheduled examination date

(2) the guidelines for review and administration of the written examinations (Enclosures 1, 2, 3,

and 4 in Attachment 1)

(3) the requirements (10 CFR 55.31) and guidelines (Attachment 1) for submitting the license

applications

The CE will normally issue a letter confirming these arrangements about 90 days before the

examination begins. This letter should be addressed to the person at the highest level of

management responsible for facility operations. Attachment 1 is an example of such a letter. The

CE may modify the wording as necessary to reflect the situation. The assignment of examiners

should follow the guidelines of ES-201 N, Section D.

If the examination must be rescheduled on short notice, the CE should reschedule to reduce the

effect on other examinations scheduled. An examiner who fails an applicant on an operating test

may not administer that candidate's retake operating test.

C. Eligibility

The duties and responsibilities associated with maintaining the facility after permanent shutdown

are much less than those associated with an operating reactor. Therefore, the eligibility

requirements for an LSRO are less than those for an SRO at an operating reactor.

(1) Education

The educational requirements are the same as described in ES-202N, Section E.l(c).

NUREG-1 478 1 of 4 Rev. 2, June 30, 2007

NUREG-1478 1 of 4 Rev. 2, June 30, 2007
SRO LIMITED TO FUEL HANDLING-EXAMINATIONS ES-701 N

SRO LIMITEDTO FUEL HANDLING-EXAM I NATIONS ES-701 N

(2) Training

The applicant must satisfactorily complete a training program covering fuel-handling

operations. The program should include instruction in the following areas:

a. health physics fundamentals and the principles of reactor theory and

thermodynamics

b. design features of fuel-handling and storage activities and conditions, including

facility systems and equipment associated with fuel-handling operations, pertinent

instrumentation, and control systems

c. use of systems to control or mitigate an accident in which the fuel is damaged

d. administrative, operational, surveillance, emergency, and radiation control, security,

and safety procedures concerning fuel handling and storage

In addition, the applicant should have actively participated in at least one fuel-handling

evolution (this can be a dummy fuel movement) at the site for which the license is sought or

at a similar facility. The applicant should also complete a minimum of 10 hours of

on-the-job training in fuel-moving activities, including manipulation of the refueling

equipment.

Persons who have either RO or SRO licenses at the time the reactor is shut down will be

renewed as LSROs.

D. Reviewing LSRO Initial License Applications

The regulatory requirements associated with the license process are as stated in 10 CFR Part 55,

Subpart D The CE should refer to them as necessary when reviewing license applications.

(1) Each applicant must submit an NRC Form 398.and an NRC Form 396. (Computergenerated duplicates are acceptable.) An application is not complete until both forms are

filled out, signed by the appropriate personnel, and signed by the NRC.

Detailed instructions for completing NRC Form 398 accompany the form.

(2) The facility licensee's senior management representative must certify that the applicant has

completed the training required for the desired license level by placing a check in Item 1 9.b

and signing the application. He or she should submit the completed form to the applicable

BC/PD, at least 14 days before the examination date.

(3) The CE will review the applications against the eligibility requirements described in this

standard, process the medical certifications and any waiver requests (refer to ES-203N),

and request any additional information that might be necessary.

NUREG-1478 2 of 4 Rev. 2, June 30, 2007

NUREG-1478 2 of 4 Rev. 2, June 30, 2007
ES-701 N SRO LIMITED TO FUEL HAN DL I NG-EXAM I NATIONS

(4) If the CE decides that an application does not meet the requirements of 10 CFR 55.31, as

modified by this standard, he or she will note the deficiencies and ask the facility licensee to

supply additional information. If the CE decides that the applicant still does not meet the

eligibility requirements, the BC/PD will notify the applicant in writing that the application is

being denied and inform him or her of the deficiencies on which the denial is based

(Attachment 2).

In addition, the CE will check the Does Not Meet Requirements block at the bottom of the

application and sign and date the form. An applicant will not be permitted to take a license

examination until he or she meets the eligibility requirements.

If the applicant does not accept the proposed denial, he or she may request that the applicable

division director review the application denial or may request a hearing according to

10 CFR 2.103(b)(2). Further action will be taken according to ES-502N.

E. Medical Requirements

See ES-202N, Section D.

F. NRC Form 398

Each applicant must submit an NRC Form 398. The form must be completely filled out per the

instructions and signed by the appropriate personnel. Those sections or items that are not

applicable to operators at research and test reactors that have ceased operations will be marked

"NA."

G. Maintaining Medical Standards for Licensees

See ES-202N, Section G.

H. Routine Waivers

See ES-203N, Section D.

I. Routine Exemptions

Because the facility is permanently shut down, it is impossible for the applicant to meet the

requirements of 10 CFR 55.31(a)(5). All applicants for an LSRO license at a permanently

shutdown facility should request an exemption to this requirement. This exemption will be granted

for all applicants at permanently shutdown reactors.

ATTACHMENTS/FORMS:

Refer to Sample Corporate Notification Letter, Attachment 1 to ES-201 N

NUREG-1478 3 of 4 Rev. 2, June 30, 2007

NUREG-1478 3 of 4 Rev. 2, June 30, 2007
SRO LIMITED TO FUEL HANDLING-EXAMINATIONS ES-701 N

This Page Intentionally Left Blank

NUREG-1 478 4 of 4 Rev. 2, June 30, 2007

NUREG-1478 4 of 4 Rev. 2, June 30, 2007
EXAMINER STANDARD 702N

SRO LIMITED TO FUEL HANDLING-EXAMINATION PREPARATION

A. Purpose

This standard specifies guidelines and instructions for preparing LSRO examinations. This

standard supplements guidance contained in ES-301 N, ES-303N, ES-401 N, ES-402N, and

ES-403N for administering initial examinations.

B. Scope

The NRC's LSRO examination comprises a written examination and an operating test. This

standard includes the requirements for the preparation of these examinations.

C. General Guidelines

(1) The examination will consist of both a written examination and an operating test. Applicants

must pass both to obtain a license. The written examination and operating test will be

administered as described in ES-703N. If the facility licensee has a refueling simulator, or

dummy fuel elements, the examiner should use them to the maximum extent possible.

(2) Examinations will be documented using the same approval chain as initial examinations and

use the cover sheet (Form ES-702N-1) included in this standard.

(3) If an applicant applies for a license on multiple units at a site, the examiner should ensure

comprehensive coverage for all of the applicable units.

(4) Additional unit licenses may be issued if the applicant passes a plant difference

examination.

(5) LSRO licenses will be renewed on the same basis as any other operator's license.

D. Written Examination Instructions

1. Content and Preparation

LSRO written examinations should consist of questions totaling 20±3 points and should be

constructed so that a competent applicant can complete the examination in 40 minutes. Applicants

will be allowed a maximum of 1 hour to complete and review the examination.

The written examination will contain questions covering the 21 items specified in 10 CFR 55.41 and

10 CFR 55.43 as they relate to the shutdown reactor.

If the reference material supplied by the facility licensee does not enable the examiner to construct

a balanced examination, the examiner should contact the facility licensee to obtain additional

material.

NUREG-1478 1 of 8 Rev. 2, June 30, 2007NUREG-1478 1 of 8 Rev. 2, June 30, 2007
SRO LIMITED TO FUEL HANDLING-EXAMINATION PREPARATION ES-702N

2. Quality Assurance Review

The written examination should meet all the guidelines and requirements for test question

construction, quality assurance, and facility reviews specified in ES-401N and NUREG BR-0122,

"Examiners' Handbook for Developing Operator Licensing Written Examinations," Revision 5,

issued in 1990.

3. Administration

The written examination should be administered according to ES-402N, except that the time limit to

complete the examination is 1 hour.

E. Operating Test Instructions

The operating test should be performance based. The facility licensee should be encouraged to

permit the actual use of equipment to handle dummy fuel elements, assemblies, or modules during

the operating test whenever feasible. This may require careful coordination with the facility

licensee.

The examiner will assess the applicant's ability to execute normal, abnormal, and emergency

procedures associated with fuel handling. Each applicant will be required to simulate or perform

tasks related to fuel handling and to answer questions associated with refueling equipment and

associated systems. The operating test will also determine whether the applicant can supervise the

operation of equipment and systems to conduct fuel-handling operations safely.

1. Administrative Topics (Category A)

Category A covers topics associated with the administrative control of the facility divided into three

groups. The examiner must cover the minimum number of subjects from each group shown in the

heading on page 2 of Form ES-702N-1. Selection of subjects is at the discretion of the examiner.

To evaluate varied subjects with different applicants, the examiner should be familiar with all of the

administrative topics.

In developing Category A questions, the examiner may use previously developed questions from

either an NRC or facility examination bank or may develop new open-reference questions. In any

case, the questions asked should be pre-scripted to the maximum extent possible. Any questions

asked to follow up on perceived applicant weaknesses must be documented for grading and

review.

The examiner should use the following descriptions as guidelines for developing or selecting

questions to confirm minimal competency within each subcategory:

a. Subcategory A. 1

Questions in Subcategory A.1 will evaluate the applicant's knowledge of the daily administrative

operation of the facility. The questions may be integrated into other discussions as they apply

throughout the test.

NUREG-1478 2 of 8 Rev. 2, June 30, 2007
ES-702N SRO LIMITED TO FUEL HANDLING-EXAMINATION PREPARATION

b. Subcategory A.2

These subjects deal with radiation protection, including the approval of release permits and

awareness of the requirements associated with those releases and their potential effect on the

health and safety of the public. A task with followup questions is appropriate for performing an

evaluation of this subcategory.

c. Subcategory A.3

Applicants must display knowledge based on their responsibility to direct and manage the EPIPs

during the initial phases of an emergency. Applicants should be familiar with event classification

procedures, communication requirements and methods, and have a detailed understanding of the

EPIPs overall.

Security may be evaluated by observing the applicant's behavior during the examination.

Questioning an applicant about applicable aspects of the facility's security plan is appropriate,

however.

2. Facility Walkthrough (Category B)

This category tests the applicant's knowledge of system design and operation. The examiner will

evaluate the applicant's ability to perform tasks and to answer questions about specific systems.

Attachment 1, "Systems for Operating Tests," lists systems typically found at research and test

reactors. The examiner should select systems from this list as applicable to the specific facility. To

enhance test integrity, the examiner should vary coverage of systems and subjects across test

administrations. The examiner will evaluate applicants on at least five systems from at least three

categories listed in Attachment 1. Note that Attachment 1 may not be all inclusive.

Questions asked to clarify the performance of an applicant must be documented for

postexamination evaluation.

The examiner may select tasks and pre-scripted questions from existing facility examination banks.

The examiner may choose to annotate procedures with clarifying comments on how to execute

particular steps, as well as identifying critical steps. To evaluate a subject area satisfactorily, the

examiner will ask enough questions to determine the applicant's knowledge.

If the facility's examination bank is used, no more than 40 percent of the questions associated with

a particular system may be used without some change.

ATTACHMENTS/FORMS:

Attachment 1, Systems for Operating Tests

Form ES-702N-1, Senior Reactor Operator Limited to Fuel Handling Examination Report

NUREG-1478 3 of 8 Rev. 2, June 30, 2007
SRO LIMITED TO FUEL HANDLING-EXAMINATION PREPARATION ES-702N

SRO LIMITED TO FUEL HANDLING-EXAMINATION PREPARAliON ES-702N

ATTACHMENT 1

SYSTEMS FOR OPERATING TESTS

MAJOR SYSTEMS

Makeup Water/Purification System

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 AC Supply

Batteries

Service Air

Reactor Building Air Recirculation

Fuel Handling

Containment/Reactor Building Isolation

NUREG-1 478 4 of 8 Rev. 2, June 30, 2007

NUREG-1478 4 of 8 Rev. 2, June 30, 2007
ES-702N SRO LIMITED TO FUEL HANDLING-EXAMINATION PREPARATION

NRC FORM ES-702N-1 U.S. NUCLEAR REGULATORY COMMISSION

SENIOR REACTOR OPERATOR LIMITED TO FUEL HANDLING

EXAMINATION REPORT CANDIDATE'S NAME DOCKET NUMBER FACILITY 55-7XXXX

EXAMINATION TYPE

SENIOR REACTOR OPERATOR LIMITED TO FUEL HANDLING

INITIAL EXAMINATION -FRETAKE EXAMINATION

WRITTEN EXAMINATION SUMMARY

Written by: (Print Name) GRADE

Date Administered

Graded by: (Print Name) %

OPERATING TEST SUMMARY

Administered by: Date Administered:

A. Administrative Topics B. Facility Walk-Through/Integrated Plant Operations

SAT/U N SAT SAT/UNSAT

EXAMINER RECOMMENDATIONS

PASS FAIL WAIVE

GRADER DATE:

Written Examination

ADMINISTRATOR DATE:

Operating Test

PEER REVIEWER DATE:

Final Recommendation

LICENSE RECOMMENDATION SIGNATURE CHIEF EXAMINER: DATE:

ISSUE LICENSE

DENY LICENSE

NUREG-1478 .5 of 8 Rev. 2, June 30, 2007
SRO LIMITED TO FUEL HANDLING-EXAMINATION PREPARATION ES-702N

CANDIDATE DOCKET NO. 55-7XXXX PAGE 2 OF 4

A. ADMINISTRATIVE TOPICS

A.1 (MINIMUM 3) EVALUATION A.2 (MINIMUM 2) EVALUATION

A. CONDUCT OF

OPERATIONS

SAT

UNSAT

N/E

A. RADIATION SOURCES

AND HAZARDS AND

DETECTION

SAT

UNSAT

N/E

B. MODIFICATIONS

(SYSTEMS AND

PROCEDURES)

SAT

UNSAT

N/E

B. RADIATION EXPOSURE

LIMITS AND

CONTAMINATION

CONTROL

SAT

UNSAT

:N/E

I.

C. SURVEILLANCE

TESTING

SAT

UNSAT

N/E

C. RADIATION WORK

PERMITS, RADIATION

RELEASE CONTROL

(PERMITS, RATES,

LIMITS)

SAT

UNSAT

N/E I

D. MAINTENANCE

PROCEDURES SAT

UNSAT

N/E A.3 (ALL MANDATORY) EVALUATION

I 4 4.

E. SHORT-TERM

INFORMATION

(NIGHT/STANDING

ORDERS, ETC.)

SAT

UNSAT

N/E

A. EMERGENCY PLAN

(UNDERSTANDING/

FAMILIARITY)

SAT

UNSAT

N/E

B. SECURITY (AWARENESS/ SAT

FAMILIARITY) UNSAT

N/E

NUREG-1478 6 of 8 Rev. 2, June 30, 2007NUREG-1478 6 of 8 Rev. 2, June 30, 2007
ES-702N SRO LIMITED TO FUEL HANDLING-EXAMINATION PREPARATION

CANDIDATE DOCKET NO. 55-7XXXX PAGE 3 OF 4

TYPE

SUBJECT A:*

EQUIPMENT/COMPONENTS

SUBJEC

INSTRUMENTA

T B:*

TION/PROTECTION/INTERLOCKS

B. FACILITY WALKTHROUGH

(MINIMUM 5)

SUBJECT C:*

PROCEDURAL KNOWLEDGE/USE

SUBJECT D:*

ADMINISTRATIVE REQUIREMENTS

SYSTEM COMMENT

GRADE I PAGE NO.

SYSTEM/TASK TITLE

12_______ _______ _____

24___ _ _ _ _ _ _ _ _ _ _ _

6 _ _ _ ____ __ _ _ _ _ _ _ _

47_ _ _ _ _ _ _ _

10

NUREG-1478 7 of 8 Rev. 2, June 30, 2007
SRO LIMITED TO FUEL HANDLING-EXAMINATION PREPARATION ES-702N

CANDIDATE DOCKET NO. 55-7XXXXX

OPERATING TEST COMMENTS

PAGE 4 OF 4

Alpha/Numeric

Subject Index Comment

1*

4.

NUREG- 1478 8 of 8 Rev. 2, June 30, 2007

NUREG-1478 8 of 8 Rev. 2, June 30, 2007
EXAMINER STANDARD 703N

SRO LIMITED TO FUEL HANDLING-EXAMINATION

ADMINISTRATION

A. Purpose

This standard specifies guidelines and instructions for administering LSRO examinations. This

standard supplements guidance contained in ES-302N and ES-402N.

B. Examination Withdrawals

Occasionally, an applicant will withdraw from the examination just before its start. When this

happens, the examiner will request a letter from the facility withdrawing the application of the

individual(s).

In rare instances, an applicant will withdraw after the examination has begun. The examiner will

inform the applicant that this is an examination failure, and he or she must reapply following the

rules of 10 CFR 55.35.

C. Written Examination Facilities

(1) The facility licensee is responsible for providing facilities suitable for administering the

written examination. The room and associated rest room(s) should allow the NRC

examiners to maintain examination security. Enclosure 2 in Attachment 1 to ES-701N,

"Administration of Written Examinations," summarizes the NRC's policies regarding

written examination facilities.

(2) The CE will evaluate the facilities to assure that the applicants do not have access to

any reference material not approved by the CE. The CE will not begin the examination

until he or she is satisfied with the arrangements.

D. Proctoring the Written Examination

(1) The CE will ensure that the examination is proctored at all times. Before distribution of

examinations, the CE will ensure that all proctors clearly understand their

responsibilities.

If the CE determines that he or she needs assistance with the administration or the

oversight of the administration of the written examination, the CE should request

assistance from another examiner or other responsible NRC employee.

The proctor will not engage in any activities that may divert his or her attention from the

applicants and possibly cause the examination to be compromised.

(2) An examiner should be available to clarify questions for the applicants during the

examination. Proctors should be careful not to give away answers when clarifying

questions. If a proctor has any doubt about how to respond to an applicant's question,

he or she should consult with the CE before explaining the test item to the applicant.

Proctors will document all questions regarding specific written examination test items for

future reference in resolving facility comments and grading conflicts.

NUREG-1478 1 of 6 Rev. 2, June 30, 2007
SRO LIMITED TO FUEL HANDLING-EXAMINATION ADMINISTRATION ES-703N

When responding to questions, the proctor should be alert for indications that an

applicant is unfamiliar with the terminology used in the examination. The proctor will ask

the CE to determine the correct terminology and announce it to all the applicants taking

the examination.

All question changes or clarifications will be called to the attention of all the applicants.

Changes made to questions during the examination should be made on the master copy

and on the copy provided to the facility staff.

E. Written Examination Administration Procedure

The CE will administer the written examinations as follows:

(1) Verify each applicant's identity and examination level against the examination

assignment sheet (see Form ES-701 N-1). Any errors or absences will be resolved with

the facility staff, and the assignment sheet will be updated as required.

The CE will request the facility licensee formally to withdraw the application of any

individual not taking the examination by submitting a letter to the BC/PD.

(2) Remind the applicants that they may use calculators to complete the examination. Only

reference material approved by the examiner is allowed in the examination area. The

examiner will define the examination area.

(3) Pass out the examinations, answer sheets, and handouts and instruct the applicants not

to review the examination until told to do so.

(4) Brief the applicants on the rules and guidelines that will be in effect during the written

examination using Enclosure 3 in Attachment 1 to ES-701N, "Policies and Guidelines for

Taking NRC Written Examinations." Inform the applicants that they may refer to the

instructions directly beneath the examination cover sheet. Read the first two policies

verbatim.

(5) Ask the applicants to verify the completeness of their examination by checking each

page.

(6) After answering any questions that the applicants may have regarding examination

policies, start the examination and record the time.

(7) Periodically advise the applicants of the time remaining.

(8) Ensure that each applicant signs the cover sheet when turning in his or her examination.

The proctor will ensure that the examination package is complete (includes the cover

sheet and answer sheets).

(9) Remind the applicants to leave the examination area.

(10) When all of the written examinations are complete, the CE may conduct an examination

review with the facility staff as described in Section F below.

NUREG-1 478 2 of 6 Rev. 2, June 30, 2007

NUREG,-1478 2 of 6 Rev. 2, June 30, 2007
ES-703N SRO LIMITED TO FUEL HANDLING-EXAMINATION ADMINISTRATION

The CE will complete Form ES-703N-1, "Examination Administration Quality Assurance

Checkoff Sheet," and include it in the master examination package.

F. Facility Staff Review of the Written Examination

Immediately after the last applicant completes the examination, the CE will update the master

copy of the examination and answer key with all the changes made to questions while the

examinations were being administered.

The CE may provide a copy of the master examination and answer key to the facility licensee

staff and answer any questions they may have regarding the NRC's examination review and

comment process. ES-201 N, Enclosure 4, provides detailed guidelines and instructions for this

review process.

G. Personnel Present at the Operating Test

The number of persons present during administration of an operating test should be limited to

ensure the integrity of the examination and to reduce distractions to the applicant.

Only the CE may grant permission for someone to witness an operating test. Under no

circumstances may another applicant witness an operating test. Operating tests are not to be

used as training vehicles for future applicants. Videotaping of initial examinations is not

allowed.

Examiners may witness an operating test as part of their training or may audit an examiner

administering the operating test. Other observers, such as regional personnel, researchers, or

NRC supervisors, may be allowed to observe operating examinations if (1) the CE has

approved the request to observe the test and (2) the applicant does not object to the observer's

presence.

H. Operating Test Administration Procedures

1. General

The examiner will brief each candidate according to Attachment 1 to this standard before

beginning the operating test.

2. Administrative Topics

a. Subcategory A.1

These questions are intended to supplement not duplicate administrative system requirements

in Category B (e.g., valve lineups, control room data system administration and use).

b. Subcategory A.2

These subjects are best covered during the conduct of tasks or questioning associated with

Category B.

NUREG-1 478 3 of 6 Rev. 2, June 30, 2007 NUREG-1478 3 of 6 Rev. 2, June 30, 2007
SRO LIMITED TO FUEL HANDLING-EXAMINATION ADMINISTRATION ES-703N

d. Subcategory A.3

The examiner may best evaluate the appiicant's knowledge of the emergency plan by

conducting a Category B task requiring its use.

3. Operating Test

The examiner should encourage the applicant to draw diagrams, flowpaths, and other visual

representations. Likewise, the examiner should encourage the applicant to use facility forms,

schedules, procedures, and other similar materials as appropriate.

The examiner should retain any supporting material to provide additional documentation in

support of a pass or fail determination.

The examiner can improve the efficiency of the operating test by integrating the discussions

required to complete the various categories.

The examiner must take sufficient notes during the operating test to document all applicant

deficiencies thoroughly. The examiner must cross-reference every comment to a specific task

or subject area question.

ATTACHMENTS/FORMS:

Attachment 1, Operating Test Briefing Checklist

NUREG-1478 4 of 6 Rev. 2, June 30, 2007
ES-703N SRO LIMITED TO FUEL HANDLING-EXAMINATION ADMINISTRATION

ATTACHMENT 1

OPERATING TEST BRIEFING CHECKLIST

Part A-Applicable to All Operating Tests

(1) You will be tested at the level of responsibility of the senior licensed shift position (i.e.,

shift supervisor, senior shift supervisor, or whatever the position may be titled).

(2) I am a visitor. Escort responsibilities for ensuring compliance with safety, security, and

radiation protection procedures rest with you (the applicant).

(3) Do not operate facility equipment without appropriate permission.

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

(5) Frequently, I will stop to update my notes to document your performance. The amount

of note-taking is not dependent on your level of performance.

(6) Operating tests are considered "open reference." Any reference material in the facility

normally available to operators is also available to you, including calibration curves,

previous log entries, piping and instrumentation diagrams, calculation sheets, and

procedures. However, you are responsible for knowing systematic automatic actions,

set points and interlocks, operating characteristics, and the immediate actions of

emergency and other procedures, as appropriate to the facility.

(7) There is no specific time limit for the operating test. The exam will take whatever time is

necessary to cover the areas selected, in the depth and scope required.

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

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

Part B--Just before Fuel Movement

The examiner should brief the candidate and the licensed operator on the following points:

(1) I will not intentionally ask you (the applicant) to do an act that violates facility regulations

or procedures or which places the facility in a hazardous condition. If a requested act

meets one of these conditions, then you (the applicant or operator) should immediately

inform me. If my intent was to discover whether you (the applicant) would perform such

an act, I will phrase the question in some manner other than a request that the act be

performed.

(2) My presence does not alter the normal chain of command during the examination. You

(the candidate) should make all reports and obtain all permissions that would normally

be required. All directions to the applicant will come from the responsible supervisor

and follow the facility administrative procedures. The examiner will only question and

make requests of the supervisor.

NUREG-1 478 5 of 6 Rev. 2, June 30, 2007

NUREG-1478 5 of 6 Rev. 2, June 30, 2007
SRO LIMITED TO FUEL HANDLING-EXAMINATION ADMINISTRATION ES-703N

(3) I have not altered the set points or calibrations of any instrument nor have I manipulated

any controls.

(4) It is your (the licensed operator's) responsibility to step in and take control any time

there is an unsafe condition. However, you may not provide any coaching or cuing to

the applicant.

NUREG-1 478 6 of 6 Rev. 2, June 30, 2007

NUREG-1478 6 of 6 Rev. 2, June 30, 2007
EXAMINER STANDARD 704

SRO LIMITED TO FUEL HANDLING-POSTEXAMINATION ACTIVITIES

A. Purpose

This standard specifies guidelines and instructions for grading and documenting LSRO

examinations. This standard supplements guidance contained in ES-303N and ES-403N for

grading initial examinations.

B. Written Examination-Resolving Facility Comments

The CE should resolve facility comments per the instructions contained in ES-403N, Section B,

paragraphs 1 through 4.

C. Written Examination-Grading

The CE will grade the examination following steps 1 through 5 of ES-403N, Section C. After

grading the last applicant, the examiner will review the grading for all applicants in detail.

The grader will fill in the Written Examination Summary section of Form ES-704-1 and check

the Pass or Fail or Waive block and sign and date the grader line in the Examiner

Recommendations section. The grader will then forward the examination package to the

person who administered the operating tests.

D. Operating Test-General Evaluation Guidelines

The operating test grader will score the test according to the guidelines in ES-303N, Section B.

E. Operating Test-Specific Instructions for Completing Form ES-902-1

The operating test grader will score the operating test and fill out the form following the

guidelines of ES-303N, Section C, parts 1, 2, and 4.

ATTACHMENTS/FORMS:

Form ES-704-1, Research and Test Reactor LSRO Examination Results Summary Sheet

NUREG-1478 1 of 2 Rev. 2, June 30, 2007
SRO LIMITED TO FUEL HANDLING-POSTEXAMINATION ACTIVITIES ES-704N

PERSONALLY IDENTIFIABLE INFORMATIONWITHHOLD UNDER 10 CFR 2.390

FORM ES-704-2

RESEARCH AND TEST REACTOR

LSRO EXAMINATION RESULTS SUMMARY SHEET

Facility: Plant Status:

PERMANENTLY SHUTDOWN

Written Exam Date: Operating Exam Dates:

Examiners:

TOTAL No. No. Passed % Passed No. Failed % Failed RESULTSJJpj______ ___

Written Results 2/Initials'

Name Docket 55- TypeW

Grade Written Operating

NOTES:

11 LSRO initial, 2 = LSRO retake

2 p = Passed, F = Failed, W = Waived, N/A = Not Applicable

3 Enter only the initials of the examiner who actually wrote or administered the examination.

NUREG-1478 2 of 2 Rev. 2, June 30, 2007
NRC FORM 335 U.S. NUCLEAR REGULATORY COMMISSION 1. REPORT NUMBER

(9-2004) (Assigned by NRC, Add Vol., Supp., Rev.,

NRCMD 3.7 and Addendum Numbers, if any.)

BIBLIOGRAPHIC DATA SHEET

(See instructions on the reverse) NUREG-1478 Rev. 2

2. TITLE AND SUBTITLE 3. DATE REPORT PUBLISHED

Operator Licensing Examiner Standards for Research and Test Reactors MONTH YEAR

June 2007

4. FIN OR GRANT NUMBER

5. AUTHOR(S) 6. TYPE OF REPORT

P. Doyle Staff Technical

7. PERIOD COVERED (Inclusive Dates)

8. PERFORMING ORGANIZATION - NAME AND ADDRESS (If NRC, provide Division, Office or Region. U.S. Nuclear Regulatory Commission, and mailing address; if contractor,

provide name and mailing address.)

Divsion of Policy and Rulemaking

Office of Nuclear Reactor Regulation

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001

9. SPONSORING ORGANIZATION - NAME AND ADDRESS (If NRC, type "Same as above'; if contractor, provide NRC Division, Office or Region, U. S. Nuclear Regulatory Commission,

and mailing address.)

Same as above

10. SUPPLEMENTARY NOTES

Revision 2 is a complete rewrite of NUREG-1478. Replace any old copies of NUREG-1 478 with Revision 2. To be published June 2007

11. ABSTRACT (200 words or less)

NUREG-1 478 "Operator Licensing Examiner Standards for Research and Test Reactors" establishes the policy, guidance and

procedures for examining licensees and applicants for reactor operator and senior reactor operator licenses at non-power

reactor facilities pursuant to Part 55 of Title 10 of the Code of Federal Regulations (1 OCFR55).

The NRC is issuing Revision 2 primarily to classify Rearch and Test Reactor (RTR) facilities into three new classes, Complex,

Moderate and Simple. The revision presents new procedures for the generation, administration and grading of the written and

operating tests at the three classes of facility types. In addition it clarifies the grading criteria for operating test portion of the

examination. Finally a new series (700) covers the administration of Senior Reactor Operator licenses limited to fuel handling

(LSRO).

12. KEY WORDS/DESCRIPTORS (List words or phrases that will assist researchers in locating the report.) 13. AVAILABILITY STATEMENT

Operator Licensing unlimited

Examination 14. SECURITY CLASSIFICATION

Research and Test Reactor (This Page)

unclassified

(This Report)

unclassified

15. NUMBER OF PAGES

16. PRICE

NRC FORM 335 (9-2004) PRINTED ON RECYCLED PAPER


Federal Recycling Program

UNITED STATES

NUCLEAR REGULATORY COMMISSION

WASHINGTON, DC 20555-0001

OFFICIAL BUSINESS