NUREG-1021

Rev. 9, Supp. 1

Operator Licensing

Examination Standards

For Power Reactors

Draft Report for Comment

U.S. Nuclear Regulatory Commission

Office of Nuclear Reactor Regulation

Washington, DC 20555-0001
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NUREG-1021

Rev. 9, Supp. 1

Operator Licensing

Examination Standards

For Power Reactors

Draft Report for Comment

Manuscript Completed: April 2007

Date Published: May 2007

Prepared by

D. Muller

Division of Inspection and Regional Support

Office of Nuclear Reactor Regulation

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001
COMMENTS ON DRAFT REPORT

Any interested party may submit comments on this report for consideration by the NRC staff.

Comments may be accompanied by additional relevant information or supporting data. Please

specify the report number, NUREG-1021, Revision 9, Draft Supplement 1, in your comments,

and send them within 60 days to the following address:

Chief, Rules, Directives, and Editing Branch

U.S. Nuclear Regulatory Commission

Mail Stop T6-D59

Washington, DC 20555-0001

Comments may also be submitted electronically via the NRC's Public Electronic Reading Room

at http:l/www.nrc.gov/public-involve/doc-comment/form.html.

For any questions about the material in this report, please contact:

David S. Muller

Mail Stop 06F2

U.S. Nuclear Regulatory Commission

Washington, DC 20555-0001

Phone: 301-415-1412

E-mail: dsm3@nrc.gov
ABSTRACT

The U.S. Nuclear Regulatory Commission (NRC) publishes NUREG-1021, "Operator Licensing

Examination Standards for Power Reactors," to establish the policies, procedures, and practices

for examining licensees and applicants for reactor operator and senior reactor operator licenses

at power reactor facilities pursuant to Title 10, Part 55, of the Code of Federal Regulations

(10 CFR Part 55). The related guidance that was previously published in the "Examiners'

Handbook for Developing Operator Licensing Written Examinations" (NUREG/BR-0122, Rev. 5,

dated March 1990) has been incorporated herein. NUREG/BR-0122 is no longer in effect.

These examination standards are intended to help NRC examiners and facility licensees

better understand the processes associated with initial and requalification examinations.

The standards also ensure the equitable and consistent administration of examinations

for all applicants. These standards are for guidance purposes and are not a substitute

for the operator licensing regulations (i.e., 10 CFR Part 55), and they are subject to revision

or other changes in internal operator licensing policy. Minor policy clarifications that become

necessary before the next formal revision of these standards will be promulgated

on the NRC's operator licensing Web page at http://www.nrc.gov/reactors/operator-licensinq.html.

The NRC isued Revisibn 9 in July_2OO4 primarily to (1) improve efficiency by reducing the

length of the reactor operator written examination, without sacrificing validity or reliability;

(2) clarify and simplify the design of the senior reactor operator written examination;

(3) bettgr risk-inform both written examinations; (4) better balance the administrative

and systems portions of the walk-through operating test; (5) clarify the grading criteria for

the simulator operating test to improve objectivity and ensure proper emphasis on competence;

and (6) incorporate guidance that was previously promulgated on the NRC's operator licensing

Web page regarding the suppression of inappropriate knowledge and ability (K/A) statements

and the conduct of peer checks. The changes are identified with bars in the margins

and described in the Executive Summary.

Draft Supplement 1 to Revision 9 is being issued4bo(1) clarify hicensed operator medical

requirements, including the use of prescription medications; (2) clarify the use of surrogate'

operators during dynamic simulator scenarios; (3) clarify the selection process for generic

knowledge and ability (K/A) statements; (4) qualify the NRC reviewof post-exami nation

comments; (5) provide additional guidance for maintaining an active license (watchstander

proficiency) and license reactivation; and (6) conform with proposed updates to NUREGs-1 122

[and -1123], "Knowledge and Abilities Catalog[s] for Nuclear Power Plant Operators:

Pressurized [and Boiling] WyteroReactirs." The proposed hces

strikeout format.

Revision 9 , Supplementf 1,- will become effective for corporate notification letters issued 60 days

after publication of the final revision is noticed in the Federal Register. This will provide facility

licensees with at least 180 days notice that the examinations will be administered in accordance

with the revised policies, procedures, and practices. Facility licensees may make arrangements

for earlier implementation by contacting their NRC regional office.

iii
PAPERWORK REDUCTION ACT STATEMENT

The information collections contained in this final regulatory guidance are covered by the

requirements of Title 10, Part 55.of the Code of Federal Regulations, which the Office of

Management and Budget has approved under OMB control number 3150-0018.

Public Protection Notification

The NRC may neither conduct nor 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.
NUREG-1021, REVISION 9, SUPPLEMENT 1, RECORD OF PROPOSED CHANGES

ES-# NATURE OF THE CHANGE AFFECTED

PAGE(S)

201 Added guidance on procedure "freezes;" reference new attachment. 3, 6, 15, 18

Added criteria for 30 day separation of written and operating test. Separation not allowed to better 8

prepare applicants.

Revised the Exam Approval Letter (Attachment 5) to include wording that the facility agrees that the 9, 24

examination meets the requirements of NUREG-1021. Added Supplement 1 to letter.

Removed requirement to send list of applicants form (Form ES-201-4) to headquarters. 9

Added new policy to minimize the use of surrogate operators during the simulator scenario exam. 12

Updated the OMB clearance date and added Supplement 1 on Attachment 4. 22, 23

The footnote explaining that the (*)'d items are not applicable to NRC-prepared exams was restored to 26

the form.

Revised attachment numbers throughout ES-201. 7,15,19-25

202 Changed wording of availability of forms 396 and 398. 3

Clarified medical guidance that a RO upgrading to a SRO license does not require a waiver if >6 months

since exam. Added allowed waiver for exam delays. 4

Clarified the submittal of license applications in electronic format, including a follow-on phone call to the 6

region.

Updated Division of Inspection Program Management (DIPM) to Division of Inspection and Regional 6

Support (DIRS).

Changed "Restricted Individuals List" to "Escalated Enforcement Actions Issued to Individuals." 7

Page 1 of 4
NUREG-1021, REVISION 9, SUPPLEMENT 1, RECORD OF PROPOSED CHANGES

ES-# NATURE OF THE CHANGE AFFECTED

PAGE(S)

202 For new plants, cold license training programs will likely not do start-ups on research reactors. Deleted 12

this wording.

Updated DIPM to DIRS. Added address for express mail. 13

204 Corrected paragraph C.2.g to reference Form ES-201-4, the list of applicants, instead of the old 3

assignment sheet.

Clarified D.1 .c to cover delayed exams that may cause medicals to extend beyond 6 months. 3

For clarity and consistency, revised D.1 .c and f to reflect that the region may grant the waiver. 3, 4

205 Updated the title and address for the Chief, Operator Licensing, and DIRS in Attachments 1 & 2. 6, 7,10

301 Changed administrative topics to line up with the new K/A catalogs. 2, 3,11,12

Added clarifying guidance that JPMs from the past 2 NRC exams must be randomly selected. 10

Added control room ESF as a required JPM for SRO-U on JPM outline form (Form ES-301-2). 23

Revised attachment number to conform with ES-201. 4

If a SRO-I performs in an additional scenario as balance of plant operator (BOP), allow credit for one 26

malfunction as BOP.

302 Added new guidance on using surrogate operators only when necessary. Applicants may be exposed to 4

one scenario above the minimum, but not two scenarios above the minimum.

401 Moved K/A elimination guidance out of Attachment 2 and into the body of ES-401. Revised K/A sampling 4, 5, 6, 14,

guidance for generic K/As, to include changes from new K/A catalogs. Added clarification for developing 16, 17, 22

RO and SRO-only exam questions. Deleted Attachment 2.

Page 2 of 4
NUREG-1021, REVISION 9, SUPPLEMENT 1, RECORD OF PROPOSED CHANGES

ES-# NATURE OF THE CHANGE AFFECTED

PAGE(S)

401 Revised attachment number to conform with ES-201. 2

Added requirement to include the version number, when noting the required technical reference for each 9, 29

written examination question.

Added new E/APE to Tier 1 of the BWR and PWR outlines (Forms 401-1 and 401-2), for Generator 18, 23

Voltage and Electric Grid Disturbances.

Added column on Form ES-401-9 to track and check bank/modified/new questions. 33, 34

402 Added wording that licensees should submit all applicant post exam comments, provide the docket 6

number to identify which applicant made which comment, and provide a facility position on applicant

comments.

Added words that licensees should consider the guidance in ES-403 D.1 prior to submitting post- 6

examination comments.

403 Added examples of what types of post-exam comments are likely to be accepted, and what types won't, 3

given the facility and NRC pre-review of any exam.

On post-exam comments, two correct answer choices will not both be accepted correct, if the answer 3, 4

choices conflict with each other.

501 Added wording for chief examiners to refer to ES-403 D.1 when reviewing post-exam comments. 4

Fixed typo, item 'f' should be item "d." 8

Revised attachment numbers to conform with ES-201. 13

Fixed the typos in the sample license letters; the Energy Reorganization Act of 1974 is PL 93-438. 18, 19

Updated DIPM to DIRS on Attachment 4. Added address for express mail to license denial letter. 20, 21

502 Updated DIPM to DIRS. Added address for express mail for informal reviews and hearings. 1,2, 3

Page 3 of 4
0

NUREG-1 021, REVISION 9, SUPPLEMENT 1, RECORD OF PROPOSED CHANGES

ES-# NATURE OF THE CHANGE AFFECTED

PAGE(S)

601 Revised attachment number to conform with ES-201. 5

Updated the OMB clearance date and added Supplement 1 to Attachment 2. 19, 20

603 Added requirement that JPMs cannot test solely for simple recall or memorization. 3

605 Clarified the 2 year/24 month allotted time to complete a requal program. Clarified when the biennial 1

requal written exam must be completed.

Added watch standing proficiency guidance - tech spec vs. non tech spec positions, minimum number of 3-6

SRO watches in an SRO position, re-activation under-direction watches, etc.

Clarified the expectations related to medical conditions. 8-10

Added the wording to specify LSRO no solo license restriction. 9

Allow ROs to renew license if attending SRO upgrade training in lieu of requal. training 11, 12, 13

Included electronic submittals as an option for license renewals and medicals. Added follow on phone 12

call to the region.

Updated DIPM to DIRS. Added address for express mail for informal reviews and hearings. 12,13

701 Due to the elimination of ES-401 Attachment 2, replaced text with Section D.1 of ES-401 2, 7,10

Clarified in text that written exams are no more than 30 bank questions, with at least 4 new questions 3

and the rest significantly modified. Made text agree with words on QA sheet, Form ES-701-6.

Eased up on limits for repeating JPMs from previous 2 exams for LSROs. Only check for repeats from 14,15

last NRC exam, vice previous two NRC exams.

Add * footnote to Form ES-701-5 for NRC-developed examinations. 15

App. C Added requirement that JPMs cannot test solely for simple recall or memorization, and to refer to ES- 2, 3, 10

602, Attachment 1.

Page 4 of 4
eligibility questions with their NRC regional office before commencing an initial

license training class.

In accordance with 10 CFR 55.40(c), facility licensees who elect to have

the NRC prepare, proctor, and grade any portion of their operator licensing

examinations shall submit written requests (to the responsible NRC regional office)

for those examinations pursuant to 10 CFR 55.31 (a)(3). A response to

the NRC's annual letter will satisfy this requirement.

b*. In accordance with 10 CFR 55.49, facility licensees and applicants shall not

engage in any activity that compromises the integrity of any application, test,

or examination that is required by 10 CFR Part 55. Attachment 1 to this

examination standard summarizes several examination security and integrity

considerations. NUREG-1 600, "General Statement of Policy and Procedures

for NRC Enforcement Actions," dated May 1, 2000, addresses possible

enforcement actions against parties who are subject to the requirements in the

regulation (i.e., Part 55 license applicants and licensees and Part 50 licensees).

c. Pursuant to 10 CFR 55.40(b)(2), facility licensees who elect to prepare their own

examinations shall establish, implement, and maintain procedures to control

examination security and integrity. Attachment 1 discusses a number of

examination security and integrity guidelines that may be appropriate

for incorporation in those procedures.

d*. All facility and contractor personnel involved with an examination are subject to

the restrictions stated in Section D of this examination standard. Any questions

regarding those restrictions should be resolved with the NRC chief examiner

before granting an individual access to the licensing examination.

The facility licensee shall designate a point of contact to work with the NRC

chief examiner and assign additional personnel as required to ensure that

the examinations are developed, reviewed, administered, and graded

in accordance with the applicable examination standards. The facility licensee

may use contractors or other outside assistance to develop the examinations,

but the licensee bears full responsibility for the product, including conformance

with the examination criteria and maintenance of examination security and integrity.

e*. The facility contact shall submit the required reference materials, examination

outlines, and examinations, as applicable, based on the level of facility participation.

Form ES-201-1 specifies target due dates for the various materials; the actual

dates may be adjusted with prior agreement from the NRC regional office. For

the purposes of operator training and examination, the facilitylicensee may

"freeze" the plant procedures at a particular revision in order to facilitate

examination development. The facility licensee shall discuss this option with the

NRC chief examiner in advance andýrefer:to Attachment 2 for additional

guidance on procedure freezes.

f. The examination outlines and examinations shall be prepared in accordance

with the guidelines in ES-301, ES-401, and ES-701, as applicable.

The proposed outlines and examinations shall cover all portions of the license

ES-201, Page 3 of 28
should use that information to estimate the required number of NRC examiners

and to make preliminary work assignments.

c. The regional office should contact the facility licensee by telephone

at least 4 months before the scheduled examinations to reconfirm

the expected number of applicants and the examination dates,

and to make other preliminary arrangements for developing the examinations.

The person who contacts the facility licensee shall discuss the following

examination arrangements, as applicable, depending on the facility licensee's

level of participation in the examination development process:

* the examination integrity and security requirements and considerations

(refer to Attachment 1)

the guidandc •erelated to. !freezing• pýbant procedure changes (refer to

Attachment 2)

the requirement that an authorized representative of the facility licensee

must approve the examination outlines and examinations before they

are submitted to the NRC for review

the need to have the examination outlines delivered to the NRC

approximately 75 days before the scheduled examination date

the need to have the reference materials necessary for the NRC

to develop the examination (if applicable; refer to Attachment 3)

delivered to the regional office at least 75, but preferably 90, days

before the scheduled examination date

the guidelines for developing, administering, and grading the written

examinations, as applicable (i.e., the effective version of ES-401, ES-402,

and ES-403, respectively)

the need to ensure simulator fidelity in accordance with 10 CFR

55.46(c)(1)(1), and to have the simulator and a list of uncorrected

performance deficiencies and deviations from the reference plant

available at the time of the operating tests

the guidelines for developing and administering the operating tests

(i.e., the effective version of ES-301 and ES-302, respectively)

the need to have the examinations and the supporting reference materials

(refer to Attachment 3) delivered to the NRC regional office

approximately 45 days before the scheduled examination date

the option to submit some sample test items (e.g., 5 to 10 written questions,

1 scenario, and 1 to 2 job performance measures) for preliminary

NRC review and comment (this could increase the efficiency

of the examination review process by promoting early identification

and correction of generic examination development concerns)

ES-201, Page 6 of 28
the requirements (refer to 10 CFR 55.31) and guidelines (refer to ES-202)

for submitting the license applications

The NRC regional office may negotiate earlier due dates with the facility contact,

but should refrain from advancing the dates if it is unlikely that the review

will begin promptly after the material arrives in the regional office. The regional

office should also keep the facility contact informed of the dates by which

the region expects to provide its comments regarding the licensee's submittals.

d. The NRC regional office shall normally issue a letter confirming the arrangements

no later than 120 days before the examination begins. The letter should be

addressed to the person at the highest level of corporate management who is

responsible for plant operations (e.g., Vice President of Nuclear Operations).

Attachment 4 is an example of such a letter; the exact wording may be modified,

as necessary to reflect the situation.

e. Approximately 4 months before the scheduled examination, the NRC regional office

will assign the required number of examiners to develop, prepare for, and

administer the examination as arranged with the facility licensee. The regional

office will also designate a chief examiner to coordinate the examination project

with the facility licensee and other examiners assigned to the examination.

When making assignments, the regional office should consider each examiner's

certification status, other examination commitments, possible conflicts of interest

(as discussed in Section D of this examination standard), and general availability.

Once the facility licensee has begun preparing the examination, the regional office

shall avoid changing the chief examiner assignment unless absolutely necessary.

If a change is unavoidable, the responsible supervisor shall attempt to minimize

the impact on the facility licensee.

Regional management should try to assign a sufficient number of examiners

so that no examiner will have to administer more than four operating tests per week.

f. The regional office will evaluate each examination assignment to determine

if some or all of the assigned examiners should make a separate preparatory

site visit. The purposes of such a visit may include providing examiner orientation,

retrieving additional reference material, auditing the accuracy of the license

applications per ES-202, or reviewing and validating the examinations.

When making a decision, the regional office should carefully weigh the costs

and benefits associated with each additional trip to the facility. The regional office

should also consider such factors as the experience of the assigned examiners,

the quality of the facility licensee's examinations (if applicable), the number

of written examinations and operating tests to be validated, and the status

of the simulation facility (e.g., is it new or recently upgraded?). In addition,

the regional office should consider the alternative of reviewing the written

examination(s) and operating test(s) with the facility licensee via telephone

(if the examination quality is high) or in the regional office, as well as

the alternative of validating the operating test(s) on-site at the beginning

of the examination week.

ES-201, Page 7 of 28
g. Upon receiving the preliminary license applications, approximately 30 days

before the examination date, the regional office shall review the applications

in accordance with ES-202. In addition, the regional office shall evaluate

any waiver requests in accordance with ES-204 to determine if the applicants

meet the eligibility criteria specified in 10 CFR 55.31.

h. The responsible regional supervisor will review the examination outlines

and the draft examinations and evaluate any recommended changes

and corrections noted during the chief (and other) examiner's review.

(Refer to ES-301 and ES-401 for additional guidance regarding examination reviews).

The supervisory review is not intended to be another detailed review, but rather

a check to ensure that all applicable administrative requirements have been

implemented. If the outlines, examinations, and recommended changes

are acceptable, the supervisor will authorize the chief examiner to resolve

any noted deficiencies with the author or facility contact.

If any of the facility-developed examination materials (written, walk-through,

or simulator) require substantive changes and cannot be made to conform

with the examination standards by the end of the designated examination

review week, regional management shall consult the NRR operator licensing

program office and make a decision whether to proceed with the facilitydeveloped examinations or develop the examinations in-house. If the regional

office does not have the resources to ensure that acceptable examinations

are prepared by the scheduled administration date, regional management

shall negotiate with the facility licensee to reschedule the examinations

as necessary. Although it is generally easier to postpone the written examination

and focus on the operating tests so that they can be administered on schedule

and without affecting examinations at other facilities, regional management

may delay either part (written examination or operating test).of an examination

for up to 30 days to allow additidnal ltime for examination development or to

address other scheduling concerns. It is no apppriate to delay one part of an NRC examination based on license applicant performance on another part of an

NRC examination that has already been administered,orbased on applicant

performance on facility-administered audit examinations. However, the entire

NRC ýexamination may be delayed for other ,reasons (e.g.;, applicant readiness)

as agreed upon by the regional office. The regional office shall consult the NRR

operator licensing program office regarding any delay and notify the facility licensee

in writing of the reasons for delaying the examination(s).

The responsible supervisor will also ensure that any significant deficiencies and

problems are addressed in the examination report in accordance with ES-501.

After the chief examiner has verified that the necessary changes and corrections

have been made, the responsible supervisor will review and approve the

examinations for administration. Before signing the applicable quality checklist

(i.e., Form ES-301-3 and/or Form ES-401-6), the supervisor must be satisfied

that the examination is acceptable for administration.

After approving the examination and license applications, including resolving

all waiver requests, the region will prepare an "Examination Approval Letter"

ES-201, Page 8 of 28
(in the format of Attachment 5) and a "List of Applicants" (Form ES-201-4).

The letter will notify the facility licensee that the NRC has completed its review

of the license applications, confirm that both the NRC and the fabilitY` licensee

agree-that the examination meets the guidelines of NUREG-1 021, and provide

authorization to the facility licensee to administer the written examinations, if

applicable. Form ES-201-4 will identify the approved applicants by name, docket

number, and type of examination to be administered (e.g., SRO upgrade, SROonly written, RO written only). All applicants listed on the form will be

administered complete examinations (written and operating) as indicated unless

waivers have been granted in accordance with ES-204. A copy of Form ES-201 -

4 will be distributed to all assigned examiners and the N,,f, operator •icensing

prograrn offiee; however, because it contains information that is protected by the

Privacy Act, the form will not be attached to the approval letter, but will be

provided separately to the facility licensee.

j. The responsible supervisor shall query the facility licensee management counterpart

regarding the licensee's views on the examination sometime before

the examination is administered. The following subjects should be considered

for discussion, and corrective measures shall be implemented when necessary:

* whether the NRC test item comments were justified and clearly explained

* the licensee's assessment of the significant test item changes

whether any of the examination changes are believed to render

the test items or the examination/test as a whole unfair,

and whether this concern was shared with the chief examiner

whether the NRC asked the licensee to rework any "NRC-validated"

questions

whether the facility licensee requested and was permitted to defer

the correction of test item flaws that were identified as minor in nature

k. If there is an indication that an examination may have been compromised,

the responsible supervisor will take action as necessary to ensure and restore

the integrity and security of the examination process. Actions may include

not giving the examination, making additional changes to the examination,

voiding the results if the examination has already been given, reevaluating

the licensing decisions pursuant to 10 CFR 55.61 (b), and possibly imposing

enforcement action in accordance with NUREG-1600. The supervisor shall

keep regional management and the NRR operator licensing program office

informed of any concerns regarding examination integrity or security.

3. Assigned NRC Examiners

a. When assigned to administer operating tests for the first time at a particular

facility, the examiner should inform the chief examiner and the responsible

supervisor so that arrangements can be made to conduct an orientation trip

to the facility as described in Item C.2.f, if deemed appropriate.

ES-201, Page 9 of 28
As soon as possible after the responsible supervisor has approved the operating

tests for administration, the chief examiner shall distribute copies of the scenarios,

job performance measures (JPMs), and questions to the other assigned

examiners so that they can familiarize themselves with those materials

and be better prepared to probe the applicants' deficiencies if required.

j. The chief examiner should work with the designated facility contact to schedule

the operating tests to optimize efficiency and the mix of RO and SRO applicants

in the crews assembled for the simulator examinations. The chief examiner

may elect to make or change the facility licensee's crew assignments; however,

crew changes will generally not be made less than 2 weeks before the date

on which the examinations are scheduled to begin, so that the affected

applicants have some time to adapt to working as a crew. Wh enassembling

crews for the' simulator ýexaminations,surrogate operators, should be used only

when they aren-ecessarylto complete an operating crew. :A facility licenseenmay

not replacel•icense ,applicants ,with surrogates :solely because the applicants

have performed the eminimum ;required number of events-or scenarios. If an

applicantwo6uld be 'exposed to ohnly one additional scenari6 •albove the minimum

requir~eda sur•rogateoperator shouldnot be used in place of a license applicant.

However, no app licant will be ;required toparticipate in -more than one scenario

above the minimumrrequired, in whichcase, a surrogate operator shoulidbe

used. If,-.at lthe dis'cretion ofthe chief examiner, it is desiredito use surrogate

operators contra ryt o ýthe ::above guidance, the operator. licensing program office

should:becon sIultedprior torimi ementat ion.

The number of applicants on a crew shall not exceed the number of assigned

examiners (i.e., one-on-one evaluations are mandatory), except as noted below.

However, if the facility licensee's technical specifications routinely require

more than two ROs to be stationed in the control room, the chief examiner

may authorize the use of additional surrogates. Only one individual

(applicant or surrogate) is allowed to fill a shift supervisor or manager position

during the simulator operating test.

If a three-person operating crew consists entirely of SRO-upgrade applicants

(who do not have to be evaluated on the control boards), the region may assign

only two examiners to observe the crew. Although the applicants in the RO

and balance-of-plant positions may not be individually evaluated, they will

be graded and held accountable for any errors that occur as a result of their

action(s) or inaction(s). SRO-instant applicants will always be individually

evaluated, regardless what operating position they are filling during a given scenario.

Normally, for purposes of test integration and continuity, the same examiner

should administer all three operating test categories to an applicant. However,

under certain circumstances, the walk-through portion of the operating test

may be divided among different examiners. Such division is appropriate

if a facility licensee's simulator is not located near the plant, because of

limitations in examiner resources or scheduling, or if a facility licensee

requests examinations for an unusually large group of applicants. Refer to ES-302

for specific instructions regarding administration of the operating tests.

ES-201, Page 12 of 28
all on-the-job training, practice, coaching, and sign-offs

the preparation, review, grading, and evaluation of periodic quizzes,

examinations, and simulator exercises (Individuals on the security

agreement may prepare and grade the audit examination, subject to

an NRC review for test item duplication.)

Supervisors and managers having knowledge of the examination content

may continue their general oversight of the training program for the license

applicants, including the review of examinations, quizzes, and remedial training

programs, as well as the counseling of applicants concerning non-technical

issues. However, those supervisors and managers may not provide

any technical guidance, training, or other direct feedback regarding the content

of those examinations, quizzes, or programs in a manner that might compromise the

integrity of the licensing examination as defined in 10 CFR 55.49.

The original security agreement forms must be submitted to the NRC's

regional office for retention after the examinations are complete.

E. Attachments/Forms

Attachment 1,

Attachment 2,

Attachment 3,

Attachment 4,

Attachment 5,

Form ES-201-1,

Form ES-201-2,

Form ES-201-3,

Form ES-201-4,

"Examination Security and Integrity Considerations"

iGuidelines for Freezing Plant "Procedures"

"Reference Material Guidelines for Initial Licensing Examinations"

"Sample Corporate Notification Letter"

"Sample Examination Approval Letter'

"Examination Preparation Checklist"

"Examination Outline Quality Checklist"

"Examination Security Agreement"

"List of Applicants"

ES-201, Page 15 of 28
ES-201 Guidelines for Procedure Freezes Attachment.2

The NRC understands that, facility licensees may wish to train and examine their license

applicants using the same version of plant procedures. At their discretion, facility licensees

may "freeze" plant procedures to-a-particular revision for purposes of applicant traininq and

examination development (either for facility-prepared examinations or as reflected in the

reference materials submitted for NRC-prepared examinations). The NRC does not have

specific requirements related to Ithe timing of' procedure freezes, but offers the following general guidance and cautions:

Clearly, the later, the procedures are frozen' the better, thereby liritingqithe disparity

between traihing/testing and current -plant operations. Alternatively, facility licensees

could choose to no'tfreeze procedures at all, but •irather track any procedure changes

and make adjustments to the training and examinations as required. "7However,

depending on ,the nature and volumef'changes, this alternative cotuld4impose a

significant additional burden on the facility .and NRC examiners to ensure that procedure

reviýsions:affetinqg test items are reconciled prior to exam-administtation.

* Note that. applicants will be exposed t"othe current version of the procedIures when they

spend time in ,the'contfol room. Therefore,.freezing procedures for the exam has the

potential• to,.Conf use applicants, by testin .them on a different version of, proceduresthan

they have seen. There have been cases in ,which such confusion contributed to

applicants' .fdilure on the written "examinationibecause -they based their answers on the

wrong .version of procedures. If theprocedures are frozen,'the applicants must have a

complete understanding of which.version ,of Ithe'iprI ocedures the NR ex•amination is

based upon. _Note that freezingq different procedures at different times would probably

just add to applicant Confusion.

authors and NR revewers nee to consider the •Examination implications of the freeze

when they devel op the examination;Jfor .example, the plausibility and .c roirrectness of, a

distractor should not•hingqdeon a.procedure changethat has not yet been incorporated

into the frozen version -.of theý procedure. • Another consideration is whether the simulator

will suppoit thebimplementationmof 'both procedure versions - the new on'e for license

holders and the old o. one -for& the applicants. ... ...

If changes in the 'procedures occur after theJfreeze and before thelicensing date, the

NRC would expect the facilit' licensee to, provide traininq to fill the gap; ifthe Chainges

are significant,4the NRCwoould-likely irequest more, information about the'nature of such training and testing. In at least one-instance,.applicants were trained.and tested on a

new version of the emergency operating procedures (EOPs) that, had not yet been

implemented in'the.plant; this eliminated'the'need to retrain the applicants but prompted

the NRC to bdelaytheir licensing until the new.EOPs went into effect.

The facility contact. should discuss the details of and basisfor their freeze proposal'with their

NRC contact when confirming the examination arranrgements as discussed in Section'C.2.cof

ES-201 of NUREG-1021. The chief examiner, in consultation with the regional operator.

licensing supervisor (and the operator licensing .program office, if deemed necessary), will

review the facility's propoSal and negotiate a mutually acceptable plan and cut-off date before

beginning examination deVelopment.

ES-201, Page 18 of 28
ES-201 Reference Material Guidelines Attachment 3

For Initial Licensing Examinations

This attachment discusses the reference materials that facility licensees are expected to

provide for each NRC initial licensing examination. The regional office will customize the list

of reference materials, as required, to support the specific examination assignment;

the regional office may request additional materials at a later time, if necessary, to ensure

the accuracy and validity of the examinations.

In determining the need for reference materials, the regional office will consider the facility licensee's

level of participation in the examination development process. If the facility licensee will prepare the

examinations, it may be sufficient to obtain only those references necessary to review

and validate the items that appear on the examination, plus a set of key procedures

and other documents required to prepare for the operating tests. The regional office

will duly consider the administrative burden it places on the facility licensee and will request

only those materials that are actually necessary for the NRC examiners to prepare for

the examinations.

All reference materials provided for the license examinations should be approved, final issues

and should be so marked; any personal, proprietary, sensitive, or safeguards information

should be marked and submitted in a separate enclosure. If any of the material is expected to

change before the scheduled examination date, the facility licensee should reach agreement

with the NRC chief examiner regarding changes before the examinations are administered.

The facility licensee may submit reference materials on computer diskettes (in a format that

is compatible with the NRC's word processing software), as hard copy, or a combination,

as arranged with the NRC chief examiner. If the facility licensee prepares the examinations,

the hard-copy references should normally be limited to those materials required to validate

the selected test items. All procedures and reference materials should be bound with appropriate

indices or tables of contents so that they can be used efficiently; a master table of contents

should be provided for all materials sent. Failure to provide complete, properly bound,

and indexed reference materials may prompt the NRC to return the materials to the person

at the highest level of corporate management responsible for plant operations. The returned

reference materials will be accompanied by a cover letter explaining the deficiencies

in the materials and the basis for postponing or canceling the examinations.

Unless otherwise instructed by the NRC's regional office, the facility licensee is expected

to provide the following reference materials for each NRC initial licensing examination:

1. Materials used by the facility licensee to ensure operator competency

a. The following types of materials used to train applicants for initial RO and SRO

licensing, as necessary to support examination development:

learning objectives, student handouts, and lesson plans

system descriptions, drawings, and diagrams of all operationally relevant

flow paths, components, controls, and instrumentation

ES-201, Page 19 of 28
ES-201 2 Attachment 3

material used to clarify and strengthen understanding of normal,

abnormal, and emergency operating procedures

complete, operationally useful descriptions of all safety system interactions

and, where available, balance-of-plant system interactions under

emergency and abnormal conditions, including consequences of

anticipated operator errors, maintenance errors, and equipment failures,

as well as plant-specific risk insights based on a probabilistic risk analysis

(PRA) and individual plant examination (IPE)

These materials should be complete, comprehensive, and of sufficient detail

to support the development of accurate and valid examinations without being

redundant.

b. Questions and answers specific to the facility training program that may be used

in the written examinations or operating tests

c. Copies of facility-generated simulator scenarios that expose the applicants

to abnormal and emergency conditions, including degraded pressure control,

degraded heat removal capability, and containment challenges, during all modes

of operation, including low-power conditions (A description of the scenarios

used for the training class may also be provided.)

d. All JPMs used to ascertain the competence of the operators in performing tasks

within the control room complex and outside the control room (i.e., local operations)

as identified in the facility's job task analysis (JTA) (JPMs should evaluate

operator responsibilities during normal, abnormal, and emergency conditions

and events, and during all modes of operation including cold shutdown,

low power, and full power.)

2. Complete index of procedures (including all categories sent)

3. All administrative procedures applicable to reactor operation or safety

4. All integrated plant procedures (normal or general operating procedures)

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

6. Standing orders (important orders that are safety-related and may modify the regular

procedures)

7. Surveillance procedures that are run frequently (i.e., weekly) or that can be run

on the simulator

8. Fuel handling and core loading procedures (if SRO applicants will be examined)

ES-201, Page 20 of 28
ES-201 3 Attachment 3

9. All annunciator and alarm procedures

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

11. Emergency plan implementing procedures

12. Technical Specifications or similar technical requirements documents

(and interpretations, if available) for all units for which licenses are sought

13. System operating procedures

14. Technical data book and plant curve information used by operators,

as well as the facility precautions, limitations, and set points document

15. The following information pertaining to the simulation facility:

a. list of all initial conditions

b. list of all malfunctions with identification numbers and cause-and-effect information,

including a concise description of the expected result or range of results

that will occur upon initiation and an indication of which annunciators

will be actuated as a result of the malfunction

c. a description of the simulator's failure capabilities for valves, breakers, indicators,

and alarms

d. the range of severity of each variable malfunction (e.g., the size of a reactor

coolant or steam leak, or the rate of a component failure such as a feed pump,

turbine generator, or major valve)

e. a list of modeling conditions (e.g., simplifications, assumptions, and limits)

and problems that may affect the examination

f. a list of any known performance test discrepancies not yet corrected

g. a list of differences between the simulator and the reference plant's control room

h. simulator instructor's manual

16. Any additional plant-specific material that the NRC examiners have requested

to develop examinations that meet the guidelines of these standards and the regulations

ES-201, Page 21 of 28
ES-201 Sample Corporate Notification Letter Attachment 4

(Date)

(Name, Title)

(Name of facility)

(Address)

(City, State, Zip code)

Dear (Name):

In a telephone conversation on daWte between Mr./Ms. (Name, Title) and Mr./Ms. (Name, Title),

arrangements were made for the administration of licensing examinations at (facility name)

during the week(s) of (date).

As agreed during the telephone conversation, [your staff][[the staff of the U.S. Nuclear Regulatory

Commission (NRC)]] will prepare the'examinations based on the guidelines in Revision 9,

SuppI' emernt 1, of NUREG-1021, "Operator Licensing Examination Standards for Power Reactors."

[The NRC's regional office will discuss with your staff any changes that might be necessary

before the examinations are administered.][[ Your staff will be given the opportunity to review

the examinations during the week of (date).]]

To meet the above schedule, it will be necessary for your staff to furnish the [examination

outlines by (date). The written examinations, operating tests, and supporting] reference

materials identified in Attachment 3 to ES-201 [will be due] by (date). [Pursuant to Title 10,

Section 55.40(b)(3), of the Code of Federal Regulations (10 CFR 55.40(b)(3)), an authorized

representative of the facility licensee shall approve the outlines, examinations, and tests

before they are submitted to the NRC for review and approval. All materials shall be complete

and ready-to-use.] We request that any personal, proprietary, sensitive unclassified, or

safeguards information in your response be contained in a separate enclosure and

appropriately marked. Any delay in receiving the required [examination and] reference

materials, or the submittal of inadequate or incomplete materials, may cause the examinations

to be rescheduled.

In order to conduct the requested written examinations and operating tests, it will be necessary

for your staff to provide adequate space and accommodations in accordance with ES-402, and

to make the simulation facility available on the dates noted above. In accordance with ES-302,

your staff should retain the original simulator performance data (e.g., system pressures,

temperatures, and levels) generated during the dynamic operating tests until the examination

results are final.

Appendix E to NUREG-1021 contains a number of NRC policies and guidelines that will be

in effect while the written examinations and operating tests are being administered.

To permit timely NRC review and evaluation, your staff should submit preliminary reactor

operator and senior reactor operator license applications (Office of Management and Budget

(OMB) approval number 3150-0090), medical certifications (OMB approval number 3150-0024),

and waiver requests (if any)(OMB approval number 3150-0090) at least 30 days before the first

examination date. If the applications are not received at least 30 days before the examination

ES-201, Page 22 of 28
ES-201 2 Attachment 4

date, a postponement may be necessary. Signed applications certifying that all training has

been completed should be submitted at least 14 days before the first examination date.

This letter contains information collections that are subject to the Paperwork Reduction Act of

1995 (44 U.S.C. 3501 et seq.). These information collections were approved by OMB, under

approval number 3150-0018, which expires on June 30, 2009. The public reporting burden for

this collection of information is estimated to average [500] [[50]] hours per response, including

the time for reviewing instructions, gathering and maintaining the data needed, [writing the

examinations, ]and completing and reviewing the collection of information. Send comments on

any aspect of this collection of information, including suggestions for reducing the burden, to

the Information and Records Management Branch (T-6 F33), U.S. Nuclear Regulatory

Commission, Washington, DC 20555-0001, or by Internet electronic mail to BJS1 @nrc.gov;

and to the Desk Officer, Office of Information and Regulatory Affairs, NEOB-10202, (3150-

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

The NRC may neither conduct nor sponsor, and a person is not required to respond to,

an information collection, unless it displays a currently valid OMB control number.

In accordance with 10 CFR 2.390 of the NRC's "Rules of Practice," a copy of this letter

and its enclosures will be available electronically for public inspection in the NRC's Public

Document Room or from the Publicly Available Records (PARS) component of the NRC's

Agencywide Documents Access and Management System (ADAMS). ADAMS is accessible

from the Electronic Reading Room page of the NRC's public Web site at

http://www.nrc.gov/reading-rm/adams.html.

Thank you for your cooperation in this matter. (Name) has been advised of the policies and

guidelines referenced in this letter. If you have any questions regarding the NRC's examination

procedures and guidelines, please contact (name of regional contact) at (telephone number), or

(name of responsible regional supervisor) at (telephone number).

Sincerely,

(Appropriate regional representative,

Title)

Docket No.: 50-(Number)

Distribution: Public

NRC Document Control System

Regional Distribution

[ ] Include only for examinations to be prepared by the facility licensee.

[[ ]] Include only for examinations to be prepared by the NRC.

ES-201, Page 23 of 28
ES-201 Sample Examination Approval Letter Attachment 5

(Name, Title)

(Name of facility)

(Address)

(City, State. Zip code)

SUBJECT: OPERATOR LICENSING EXAMINATION APPROVAL

Dear (Name):

The purpose of this letter is to confirm the final arrangements for the upcoming operator

licensing examinations at (Facility).

The NRC has completed its review of the operator license applications submitted in connection

with this examination and separately provided a list of approved applicants to (Name, Title).

Note that any examination waivers and application denials have been addressed in separate

correspondence.

The NRC has approved the subject examinations and hereby authorizes you to administer the

written examinations in accordance with Revision 9,zSupplement 1, of NUREG-1021, "Operator

Licensing Examination Standards for Power Reactors," on (date). The NRC staff will administer

the operating tests during the week of (date). This examination has undergone extensive

reviewby :my stafftand rep4esentatives responsible for1licensed ýoperator training at your facility.

Based on this review, -Ihave concludedithait ithe examination meets the guidelines of NUREG10211 for content, operational, and discr'imi nation ,validity.: By-administering this exam ination,

you also agree that :it meets NUREG-1021 guidelines andliszappropriate fornmeasuring the

qualifications of licensed operator applicants at your facility. -If you determine that this

examination is not appropriate for licensing operatorSat ýyour facility, ,do not administer the

examination and contact me at (phone number).

Please contact your Chief Examiner, (Name), at (phone number), if you have any questions or

identify any errors or changes in the license level (RO or SRO) or type of examination (partial or

complete written examination and/or operating test) specified for each applicant.

Sincerely,

(Appropriate regional representative, Title)

Docket No.: 50-

cc: Public

NRC Document Control System

Regional Distribution

ES-201, Page 24 of 28
ES-201 Examination Preparation Checklist Form ES-201-1

Facility: Date of Examination:

Developed by: Written - Facility ED NRC ED // Operating - Facility El NRC ED

Target Chief

Date* Task Description (Reference) Examiner's

Initials

-180 1. Examination administration date confirmed (C.l.a; C.2.a and b)

-120 2. NRC examiners and facility contact assigned (C.1 .d; C.2.e)

-120 3. Facility contact briefed on security and other requirements (C.2.c)

-120 4. Corporate notification letter sent (C.2.d)

[-90] [5. Reference material due (C.l.e; C.3.c; Attachment 3)]

{-75} 6. Integrated examination outline(s) due, including Forms ES-201-2, ES-201-3,

ES-301-1, ES-301-2, ES-301-5, ES-D-I's, ES-401-1/2, ES-401-3, and

ES-401-4, as applicable (C.1.e and f; C.3.d)

{-70} {7. Examination outline(s) reviewed by NRC and feedback provided to facility licensee (C.2.h; C.3.e)}

{-451 8. Proposed examinations (including written, walk-through JPMs, and

scenarios, as applicable), supporting documentation (including Forms

ES-301-3, ES-301-4, ES-301-5, ES-301-6, and ES-401-6, and any Form

ES-201-3 updates), and reference materials due (C.1.e, f, g and h; C.3.d)

-30 9. Preliminary license applications (NRC Form 398's) due (C.1.1; C.2.g; ES-202)

-14 10. Final license applications due and Form ES-201-4 prepared (C.1.1; C.2.i;

ES-202)

-14 11. Examination approved by NRC supervisor for facility licensee review

(C.2.h; C.3.f)

-14 12. Examinations reviewed with facility licensee (C.1.j; C.2.f and h; C.3.g)

-7 13. Written examinations and operating tests approved by NRC supervisor

(C.2.i; C.3.h)

-7 14. Final applications reviewed; 1 or 2 (if >10) applications audited to confirm

qualifications / eligibility; and examination approval and waiver letters sent

(C.2.i; Attachment 5; ES-202, C.2.e; ES-204)

-7 15. Proctoring/written exam administration guidelines reviewed

with facility licensee (C.3.k)

-7 16. Approved scenarios, job performance measures, and questions

distributed to NRC examiners (C.3.i)

* Target dates are generally based on facility-prepared examinations and are keyed to the examination date

identified in the corporate notification letter. They are for planning purposes and may be adjusted on a case-by- case basis in coordination with the facility licensee.

[Applies only] {Does not apply) to examinations prepared by the NRC.

ES-201, Page 25 of 28
ES-201 Examination Outline Quality Checklist Form ES-201-2

Facility: Date of Examination:

Initials

Item Task Description

a b* c#

1. a. Verify that the outline(s) fit(s) the appropriate model, in accordance with ES-401.

W

R b. Assess whether the outline was systematically and randomly prepared in accordance with

I Section D.1 of ES-401 and whether all K/A categories are appropriately sampled.

T T c. Assess whether the outline over-emphasizes any systems, evolutions, or generic topics.

E

N d. Assess whether the justifications for deselected or rejected K/A statements are appropriate.

2. a. Using Form ES-301-5, verify that the proposed scenario sets cover the required number

of normal evolutions, instrument and component failures, technical specifications,

S and major transients.

I

M b. Assess whether there are enough scenario sets (and spares) to test the projected number

U and mix of applicants in accordance with the expected crew composition and rotation schedule

L without compromising exam integrity, and ensure that each applicant can be tested using

A at least one new or significantly modified scenario, that no scenarios are duplicated

T from the applicants' audit test(s), and that scenarios will not be repeated on subsequent days.

0 c. To the extent possible, assess whether the outline(s) conform(s) with the qualitative

R and quantitative criteria specified on Form ES-301-4 and described in Appendix D.

3. a. Verify that the systems walk-through outline meets the criteria specified on Form ES-301-2:

(1) the outline(s) contain(s) the required number of control room and in-plant tasks

W distributed among the safety functions as specified on the form

/ (2) task repetition from the last two NRC examinations is within the limits specified on the form

T (3) no tasks are duplicated from the applicants' audit test(s)

(4) the number of new or modified tasks meets or exceeds the minimums specified on the form

(5) the number of alternate path, low-power, emergency, and RCA tasks meet the criteria

on the form.

b. Verify that the administrative outline meets the criteria specified on Form ES-301-1:

(1) the tasks are distributed among the topics as specified on the form

(2) at least one task is new or significantly modified

(3) no more than one task is repeated from the last two NRC licensing examinations

c. Determine if there are enough different outlines to test the projected number and mix

of applicants and ensure that no items are duplicated on subsequent days.

4. a. Assess whether plant-specific priorities (including PRA and IPE insights) are covered

in the appropriate exam sections.

G b. Assess whether the 10 CFR 55.41/43 and 55.45 sampling is appropriate.

E

N c. Ensure that K/A importance ratings (except for plant-specific priorities) are at least 2.5.

E

R 

R d. Check for duplication and overlap among exam sections.

A e. Check the entire exam for balance of coverage.

L

f. Assess whether the exam fits the appropriate job level (RO or SRO).

Printed Name/Signature Date a. Author

b. Facility Reviewer ()

c. NRC Chief Examiner (#)

d. NRC Supervisor

Note: # Independent NRC reviewer initial items in Column "c"; chief examiner concurrence required.

Notapplicable for NRC-preparedexamination;outlines.

ES-201, Page 26 of 28
2000 guidelines constitute the facility licensee's education and experience requirements

to be licensed as an RO or SRO.

In an effort to clarify the situation, the NRC staff revised NRC Form 398, "Personal Qualifications

Statement: Licensee," to clarify that when a facility licensee certifies, pursuant to 10 CFR

55.31 (a)(4), that an applicant has successfully completed a Commission-approved, SAT-based

training program, it means that the applicant meets or exceeds the minimum education and

experience guidelines currently outlined by the NANT (and, by extension, Revision 3 of RG 1.8).

Facility licensees can use the revised NRC Form 398 to document any exceptions or waivers

that the applicant has taken from the baseline education and experience guidelines outlined

by the NANT. In addition, recognizing that the only significant difference between Revision 3

of RG 1.8 and the current accreditation guidelines pertains to certified instructors seeking

an SRO license, those applicants can use the revised NRC Form 398 to document the details

of their experience. This will minimize the potential for misunderstanding and the need

to seek additional information.

C. Responsibilities

The regulatory requirements associated with the license application process are detailed in

Subpart D, "Applications," of 10 CFR Part 55, while the medical requirements for license

applicants and licensed operators appear in Subpart C, "Medical Requirements." NRC staff

and license applicant should refer to these requirements as necessary when preparing and

reviewing license applications.

1. Applicant/Facility Licensee

a. To apply for an RO or SRO license, an applicant must submit NRC Form 398,

and NRC Form 396, "Certification of Medical Examination by Facility Licensee."

(Computer-generated facsimiles are acceptable.) The application is not complete

until both forms are filled out, signed by the appropriate personnel, and received

by the NRC. Detailed instructions for completing NRC Form 398 are provided

with the form. Applicants and facility licensees should pay particular attention

to the instructions and note related to Item 12. Additional instructions regarding

waivers of training, experience, and examination requirements are provided

in ES-204. Instructions for completing NRC Form 396 are als'o provided withwthe

form. Both Form 396 and 398 are available on the NRC's operator li 'censing

W~eb page at http://www.nrc. pov/reactors/olperator-licensinci/

licensinhQ-Dtroceýsshtml,

If the applicant is reapplying following a license denial, 10 CFR 55.35 applies,

and the applicant must complete and submit a new Form 398; however,

as discussed below, a new Form 396 may not be required. The applicant

may file the second application 2 months after the date of the first final denial,

a third application 6 months after the date of the second final denial,

and successive applications 2 years after the date of each subsequent denial.

Each new Form 398 shall describe the extent of the applicant's additional training

since the denial and shall include a certification by the facility licensee

that the applicant is ready for reexamination.

ES-202, Page 3 of 13
If the applicant previously passed either the written examination or the operating test,

he or she may request a waiver of that portion of the licensing examination.

Such waivers are limited to the first re-application and must be requested

within 1 year of the date on which the applicant completed the original examination.

The NRC staff will also consider written examination waivers for ROs in good

standing who prefer to take only the 25-question, SRO portion of the written

examination when they apply to Upgrade their licenses. Refer to ES-204

for a more detailed discussion of these and other waiver criteria.

Prior to licensing, every applicant must have a complete medical examination

that meets the guidelines in the applicable version of ANSI/ANS 3.4, "Medical

Certification and Monitoring of Personnel Requiring Operator Licenses for

Nuclear Power Plants," as endorsed by RG 1.134, "Medical Evaluation of

Licensed Personnel at Nuclear Power Plants." Although licensed operators

can go up to 24 months between medical examinations, new license applicants

are generally expected to be examined and certified as fit (on NRC Form 396)

no more than 6 months before the anticipated date of licensing. However, if

more than 6 months have passed since the date of an applicant's last medical

examination or fitness certification on NRC Form 396, the applicant/facility

licensee may request a waiver of medical reexamination by checking Item 4.f.4

on NRC Form 398 and certifying in writing, in Item 17, "Comments,"

that the applicant has not developed any physical or mental condition

that would be reportable under 10 CFR 55.25. The NRC staff will consider

such a waiver if an applicant is reapplying for a license (because of aftfter withdrawing a

previous application, aeeeptimg-a final license denial on a previous applcat[ion, or

terminating a previous license at the same facility), or if an examination is

delayed from its originaIly scheduled date. (Refer to ES-204 for more

information on waivers.) However, if an applicant's physical or mental condition

has changed, or the time since the applicant's last complete medical examination

is expected to exceed 24 months before the licensing action is completed, the

applicant shall be reexamined by a physician and the facility licensee shall recertify

the applicant's medical fitness on NRC Form 396. Licensed ROs upgrading to an

SRO license 'need not have an additional miedical examination or waiver request,

as long as their medical status as a licensed RO is up to date at the time of

Application -including a 6complete medical examinainwti hhat2 ots

In accordance with Section 3.1 of ANSI/ANS 3.4-1996, which the NRC endorsed

in Revision 3 of RG 1.134, the examining physician may delegate portions

of the medical examination to a licensed nurse practitioner or licensed

physician's assistant who is familiar with the ANSI/ANS 3.4-1996 and

the activities required of a nuclear power plant operator or senior operator.

However, the physician has the ultimate responsibility for certifying that

the medical examination was conducted in accordance with the standard

and that the applicant meets the medical requirements. The names and license

numbers of all medical practitioners (but not laboratory technicians) who were

substantially involved in the examination should be entered on NRC Form 396.

b. Each new applicant (except those applying for an LSRO license or an SRO

upgrade license at the same facility) must satisfactorily complete the NRC's

generic fundamentals examination (GFE) section of the written operator

ES-202, Page 4 of 13
the examination date. The senior management representative must also sign

Item B, "Certification," on NRC Form 396.

Pursuant to 10 CFR 55.5, "Communications," facility licensees may submit

these forms to the NRC by mail, in person, or, where practicable, via electronic

information exchange (EIE) or on CD-ROM. Electronic submissions must be

made in a manner that enables the NRC to receive, read, authenticate, distribute,

and archive the submission, and process and retrieve it one page at a time.

Detailed guidance on making electronic submissions can be obtained by visiting

the NRC's public Web site at http://www.nrc..ov/site-help/e-submittals.html,

calling (301) 415-6030, sending an email message to EIE@nrc..qov, or writing to

the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission,

Washington, DC 20555-0001. Forms that only have a single signature, such as

NRC Form 396, may be submitted electronically using an electronic digital

signature. However, forms with multiple signatures, such asNR Form 398,

must rely on handwritten optically scanned signatures because of the limita'dd

digital signature capability of the BIE sy~stemn. For any textual documnents

submitted in an optically scanned format,, please note that Searchable Image

(Exact) PDF is required to preclude optical character recognition errors. When

sending these forms via EBE, facility licensees are encouraged to follow up with a

phone call or e-mail message to the operator licensing Assistant in the regional

office to ensure the forms are received.

The facility must also submit a written request to administer the written examination

and operating test to the applicant.

g. When the NRC's regional office denies a license application, the applicant

need not accept the proposed denial. In such instances, the applicant may

request that the Director, Division of Inspection and- Re6-gi•o6na Suppot • . ft a

Managemen. t (DI,,. , Office of Nuclear Reactor Regulation (NRR), review the

application denial or request a hearing in accordance with 10 CFR 2.103(b)(2).

Further action will be taken in accordance with ES-502.

h. The facility licensee is expected to inform the NRC's regional office in writing

if it wishes to withdraw an application before the licensing process is complete.

2. NRC Regional Office

a. The NRC's regional office shall review preliminary applications as soon as possible

after they are received. In that way, the regional office can process the medical

certifications, evaluate and resolve any waiver requests in accordance with

ES-204, and obtain from the facility licensee any additional information

that might be necessary in order to support the final eligibility determinations.

With regard to medical certifications, the regional office shall forward the

applicant's NRC Form 396 and supporting medical evidence to the NRC's

contract physician for evaluation any time the examining physician recommends

that the NRC should issue a restricted license to the applicant, that the NRC

should grant the applicant a waiver (exception) of any requirement set forth

in the applicable ANSI/ANS standard, or that the NRC should change

ES-202, Page 6 of 13
an existing restriction(by checking block A.4 or A.5 on Form 396).

If, on the date of the licensing examination, the NRC's physician is still reviewing

an applicant's medical certification but there is no reason to expect that

the physician will disqualify the applicant, the NRC's regional office should

allow the applicant to take the examination, with the understanding that

the NRC will withhold the license until the medical certification is approved.

The NRC will not process a retake application if the applicant's request for

reconsideration or a hearing on the previous license denial is still outstanding.

(Refer to ES-502.)

Before entering the applicants' data in the operator licensing tracking system

(OLTS), the NRC's regional office shall verify that none of the applicants' names

appear on the../!st:of "Escalated Enforcement Actions !ssued toI nd"!dua*s." The

regional office shall check with the appropriate contact in the Office of

Enforcement by telephone or email to verify that the information on the subject

individuals is current before using the information on the list to deny a licensing

action.

b. The regional office will verify that the applicant has successfully passed the GFE,

if required, and review the data on NRC Form 398 to ensure that it is complete.

Affirmative responses to Items 12.a and 12.b on NRC Form 398, indicate that

the applicant has successfully completed a Commission-approved, SAT-based

training program that (1) meets the education and experience requirements outlined

by the NNAB and (2) uses a simulation facility acceptable to the Commission

under 10 CFR 55.45(b). If the facility licensee checks "yes" in response to

these items, the licensee need not complete Item 13, 'Training," or Item 15,

"Experience Details," on NRC Form 398, except as noted below,

and the regional office may accept the application without further review.

The regional office will verify that new applications include at least five

significant control manipulations affecting reactivity or power level in Item 14

of NRC Form 398 (refer to Section C.l.c).

As noted in the instructions for Item 12 on NRC Form 398, certified instructors

(who may not have the requisite responsible nuclear power plant experience,

or RNPPE, defined in RG 1.8, Revision 3) seeking an SRO license must

complete Item 15. Moreover, any exceptions or waivers from the education

and experience requirements outlined in the NANT "Guidelines for Initial Training

and Qualification of Licensed Operators" must be explained in Item 17.

If an applicant checks "no" in response to Items 12.a and 12.b, provides information

that is not required, or indicates that exceptions or waivers have been taken

(in Item 17 on NRC Form 398), the regional office shall review the application

against the specific eligibility requirements and commitments applicable to

the facility licensee and shall refer any eligibility issues (e.g., any failure to meet

the minimum guidelines established by the NNAB or RG 1.8, Revision 3)

and questions to the NRR operator licensing program office for resolution.

ES-202, Page 7 of 13
c. Education

The applicant should have a high school diploma or equivalent.

4. Cold License Eligibility

Cold examinations are those administered before the unit completes pre-operational

testing and the initial startup test program as described in the FSAR.

Each applicant must satisfactorily complete the training programs described

in Section 13.2 of the FSAR and approved by the NRC. The NRC's review and approval

are based on information contained in Section 13.2.1 of the Standard Review Plan

(SRP) (NUREG-0800).

Note: These Nf'C approved trai-img programs typi".,lly require 10 startups

em a research reactor. This requiremient maty be waived if the applieant has comnplete

a plant referemeed simutlater trainig programi accredited by INIO.

E. Attachments/Forms

Attachment 1, "Sample Initial Application Denial from Region"

ES-202, Page 12 of 13
ES-202 Sample Initial Application Denial Attachment 1

from Region

NRC Letterhead (date)

(Applicant's name)

(Street address)

(City, State, Zip code)

Dear (Name):

This is to inform you that your application, dated (date), for a (reactor operator, senior reactor

operator) license, submitted in connection with (facility name), is hereby denied.

(Region to discuss deficiencies and which part of 10 CFR 55.31, ES-202, NRC-approved facility

training program, or Regulatory Guide 1.8 was involved.) When you have met the requirements

of Title 10, Section 55.31, 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:

You may request that the NRC reconsider the denial of your application by writing to

the Director, Division of Inspection and Regional Suiport Pro gram Maageet, Office

of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC

20555. If submitting via private courier (e.g., FedEx, UPS), send your request to 11555

Ro~ckville Pike, Rockville," Maryland, 2 10852, instead of using the Washingtor ;-DC,

address. 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 request a hearing pursuant to 10 CFR

2.103(b)(2), as described below.

You may request a hearing in accordance with 10 CFR 2.103(b)(2). Submit your

request, in writing, 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 submitting via private courier (e.q. .FedEx,

UPS), send your requiest to 11i555 R6ckville Pike, 'kockville;",, Maryland, 20852',instead of

using the Washington, DC, a~ddres~s..

If you have any questions, please contact (name) at (telephone number).

Sincerely,

(Regional branch chief or above)

Docket No. 55-(number)

cc: (Facility representative who signed the applicant's NRC Form 398)

CERTIFIED MAIL - RETURN RECEIPT REQUESTED

ES-202, Page 13 of 13
f. NRC examiners assigned to a particular examination will be notified

of approved waivers by the appropriate regional supervisor and by

an entry on the ýLi~st of.Applicants" (Form ES-201-4) exarn..ato.. assignment

sheet (ES 202, Attacmn )

g. If the applicant is determined to be ineligible to take the licensing examination,

the regional office shall issue a denial letter in accordance with ES-202.

D. Waiver Criteria

1. Routine Waivers

a. If an applicant failed only one portion of the site-specific initial licensing •

examination (i.e., either the written examination overall, the SRO-only section

of the written examination, the simulator operating test, the walk-through overall,

or the administrative portion of the walk-through), the region may waive

those examination areas that were passed. This is only applicable for

the first retake examination and only if it takes place within 1 year of the date

on which the original examination was completed.

Note that an SRO applicant who passed the operating test, achieved a score

of 80 percent on the RO portion of the written examination, 76 percent

on the SRO-only questions, and 79 percent overall would not be eligible

for a waiver of the RO portion because the overall 80-percent cut score

was not achieved. An SRO-instant applicant who passed everything except

the SRO-only portion of the written examination may reapply for an RO license,

and a full RO examination waiver, after accepting a final denial of the original

SRO application; however, this is not considered a routine waiver and must

be forwarded to NRR for approval as discussed in Section C.2.b. Such a waiver

would be contingent upon the applicant's eligibility for an RO license (refer to

the training and experience guidelines in ES-202) and the applicant's

demonstration of control board competence during the simulator operating test

(refer to ES-303).

b. The region may waive training requirements specified in the final safety analysis

report (FSAR) when the FSAR authorizes waiver of those specific requirements

and the applicant otherwise meets NRC requirements (e.g., waiver of some

training requirements for applicants previously licensed at a comparable facility).

c. The medical data in support of NRC Form 396 are normally good for 6 months

from the date of the medical examination for a person applying for an RO

or SRO instant license. For re-applications (e.g., following a license denial

or withdrawal of an application, or to request reinstatement of a terminated license) r for, an that is delayed t oexamination orginally nfrom scheduldate, the: NRC

regiona ,Ioffice may.grant waivers extending the 6-month period, provided that

the date of the original medical examination is within 24 months of the anticipated

licensing date and Item 17, "Comments," of NRC Form 398 certifies that

the applicant has not developed any physical or mental condition that would

ES-204, Page 3 of 7
be reportable under 10 CFR 55.25. For renewal and SRO upgrade applicants,

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

from the date of the medical examination.

Waivers/exceptions and license conditions/restrictions that might be requested

if an applicant does not meet the medical standards in the applicable version

of ANSI/ANS 3.4, "Medical Certification and Monitoring of Personnel Requiring

Operator Licenses for Nuclear Power Plants," will be coordinated with the NRC

contract physician as discussed in ES-202.

d. Substitutions allowed by Regulatory Guide (RG) 1.8, Revision 3, are not

considered to be waivers and, therefore, do not require approval. For example,

substitution of related technical training for up to 1 year of experience for an SRO

is not a waiver. However, training for the examination applied for may not

be counted as related technical training.

e. If the facility licensee certifies that the applicant has successfully completed

a training program accredited by the Institute of Nuclear Power Operations

using an acceptable simulation facility, the region may waive the requirement

for 10 startups on a research reactor, which is typically required by

NRC-approved cold license training programs.

f. For those applicants who are unable to meet the requirement for 6 weeks on shift

at greater than 20 percent power (because of extended plant shutdowns

or other extraordinary circumstances), the NRC regional office may waive this

requirement upon application if the following criteria are satisfied:

(1) Facility training objectives for the desired licensed position have been

developed using a properly validated job task analysis (JTA).

(2) The facility licensee's training program is based on a systems approach

to training (SAT) using the five elements defined in 10 CFR 55.4.

(3) The facility licensee can accomplish the required training objectives

for plant operation at greater than 20 percent power using

a plant-referenced or NRC-approved simulation facility.

g. If an operator was previously licensed at a facility and reapplies for a license

at the same facility and the same or lower license level, the regional office may,

pursuant to 10 CFR 55.47, waive the requirement for the applicant to pass

a written examination (including the generic fundamentals examination (GFE))

and an operating test if it finds that the applicant meets the following criteria:

(1) previously discharged his or her responsibilities competently and safely

and is capable of continuing to do so

(2) terminated participation in the facility licensee's requalification program

less than 2 years (24 months) before the date of the license application

ES-204, Page 4 of 7
ES-205 Sample Notification Letter Attachment 1

NRC Letterhead

(Date)

(Name, Title)

(Facility name)

(Street address)

(City. State Zip code)

Dear (Name):

The U.S. Nuclear Regulatory Commission (NRC) plans to administer the generic fundamentals

examination (GFE) section of the written operator licensing examination on the following dates

during this calendar year:

March ##, 200#

June ##, 200#

September ##, 200#

December ##, 200#

To register personnel to take the GFE, an authorized representative of your facility must submit

a letter to the appropriate regional administrator with a copy addressed as follows:

Chief, Operator Licenhsing and Human Performance leact•r Operations Branch, NRR

Mail Stop ,,, FN 6I 2 12••2

U.S. Nuclear Regulatory Commission

Washington, DC. 20555-0001

Your letter should identify the individuals who will take the examination, and it should certify

that they are enrolled in a facility licensee-sponsored program leading to NRC operator

or senior operator licensing and that they will have completed their fundamentals training by

the date of the examination. The letter should also identify the personnel who will have access

to the examinations before they are administered (e.g., proctors) and the address to which

the examinations are to be sent. To allow the NRC to assign docket numbers, your letter

should be received by both the NRC regional administrator and the Chief, Operator Licensing

and Human Performanlactr Opratns Branch, 30 days before each desired

examination date shown above. A sample registration letter is enclosed.

Copies of the administered GFEs and their answer keys will be available for review

in the NRC's Public Document Room approximately 45 days following each examination.

The NRC's GFE Web page (which is available at http://www.nrc.qov/reactors/operator

-licensincq/generic-fundamentals-examinations.html) will be updated semi-annually,

approximately 60 days following the June and December examinations.

Sincerely,

(Appropriate regional representative)

Docket No. 50-(Number)

Enclosure: As stated

ES-205, Page 6 of 13
ES-205 Sample Registration Letter Attachment 1

Enclosure

(Name)

Regional Administrator

U.S. Nuclear Regulatory Commission

Region (Number)

(Street address)

(City, State Zip code)

Dear (Name),

(Facility name) requests approval from the U.S. Nuclear Regulatory Commission (NRC) to have

the following (number) individuals take the (BWR or PWR) generic fundamentals examination

(GFE) section of the written operator licensing examination to be administered on (date):

Name Date of Birth Previous Docket No.

(Insert the name, date of birth, and previous 10 CFR Part 55 Docket Number (if applicable)

for each person.)

All of the listed personnel are enrolled in the (facility name) operator licensing training program

and will have completed the generic fundamentals portion of the program by the examination date.

The following personnel will have access to the examinations before they are administered:

Name Title

(Insert the name and title of each person who will have access to the examinations before they

are administered (e.g., proctors).

Please address the examinations to the overnight mail address, as follows (note that home

addresses are not acceptable):

Name, Title

Street address

City, State Zip code

If you have any questions, please contact (facility contact name) at (telephone number).

Sincerely,

(Name, title)

cc:

Chief, Operator Licensing and Human Performance ,ea•ter Operations Branch, NRR

ES-205, Page 7 of 13
ES-205 3 Attachment 2

Mail all of the above exam-related materials addressed as follows:

(Name)

(Name of contractor)

(Street address)

(City, State Zip code)

For further questions regarding the specifics of this exam, please contact (Name)

at (telephone number). For questions regarding the GFE in general, please contact (Name),

NRC, at (telephone number).

For matters regarding candidate withdrawals or cancellations, contact either (Name) or (Name)

at (telephone numbers) for specific guidance.

(Name), Chief

Oeaor~ Lic-ensing and Human Performance fieaetof

eperations-Branch

Division of Inspection and Regional Support Pregrarm

Mamagement

Office of Nuclear Reactor Regulation

Enclosures:

As stated

Distribution: w/o enclosures

Director, -DIS R IPM

Chief, Operator Licensing and. Human Pe~rformance. ,eacter Operations Branch

NRR GFE Coordinator

Project Manager

Public

ES-205, Page 10 of 13
1. "Administrative Topics"

This part of the walk-through operating test covers K/As that are generally associated

with administrative control of the plant. It implements items 9-12 of 10 CFR 55.45(a)

and is divided into four administrative topics, as described below. The scope and depth

of coverage required in each topic is based on the applicant's license level.

The applicant's competence in each topic is evaluated by administering job performance

measures (JPMs) and asking specific "for cause" followup questions, as necessary,

based on the applicant's performance (refer to ES-302).

The first topic, "Conduct of Operations," evaluates the applicant's knowledge

of the daily operation of the facility. The following subjects are examples of the types

of information that could be evaluated under this topic:

* shift turnover

* shift staffing requirements

* access controls for vital/controlled plant areas

* operator responsibilities and procedure zusage

* purpose, function, and controls for pl.ant .systems0 fuel handling and ref uegin

telln•prly mIdifietiUIs of procedures

-- ea...t..r 't startup requirements

mode00 chManges

plant parameter verification [estimated critical' position (EGr), heat balanee, ete.]

* short-term information (e.g., night and standing orders)

key control

seurity (awaremess amd familiarity)

familiarity with and use of piping and nmstrurnent drawings

The second topic, "Equipment Control," addresses the administrative requirements

associated with managing and controlling plant systems and equipment. The following

subjects are examples of the types of information that could be evaluated under

this topic:

* surveillance testing

* pre-startup activitiie"s'

* maintenance

* tagging and clearances

* temporary modification of systems

* changes to prdrs an latdsign

* technical specifications, i'ncludi'ng p.lant :mo,6,.de

* familiarity with..alnld use of-1piping ýa~nd insptrume.nt drawingls

The third topic, "Radiation Control," evaluates the applicant's knowledge and abilities with

respect to radiation hazards and protection (of plant personnel and the public).

The following subjects are examples of the types of information that could be evaluated

under this topic:

* use and function of portable radiation and contamination survey instruments

and personnel monitoring equipment

ES-301, Page 2 of 27
* significant radiation hazards

* radiological 'saiety principles and procedures

the abilittoeor proceduires to reduee excessive levels of radiattio

and to guard against personnel exposuire

0 radiation exposure limits under normal or emergencyqcnditioens and contamination

co-trol, including perri ssible"le"e' in exces- of those au.thr zed

* radiation work permits

* control of radiation releases

The fourth topic, "Emergency Plan," evaluates the applicant's knowledge of the facility's

emergency plan, including, as appropriate, the responsibility of the RO or SRO to decide

whether the plan should be executed and duties assigned under the plan. The following

subjects are examples of the types of information that could be evaluated under this topic:

* lines of authority during an emergency

* operator responsibiie duig an emergency

* emergency operating procedures

* emergency action levels and classifications

* emergency facilities

* emergency communications

* emergency protective action recommendations

-1 security event procedures

The "Administrative Topics" are administered in a one-on-one, walk-through format

in accordance with ES-302 and graded in accordance with-ES-303-

2. "Control Room/In-Plant Systems"

This part of the walk-through operating test is used to determine whether

the applicant has an adequate knowledge of plant system design and is able

to safely operate those systems. This part implements the requirements of items 3, 4, 7,

8, and 9 identified in 10 CFR 55.45(a) and encompasses several types of systems,

including primary coolant, emergency coolant, decay heat removal, auxiliary,

radiation monitoring, and instrumentation and control.

This part of the walk-through focuses primarily on those systems with which licensed

operators are most involved (i.e., those having controls and indications in the main

control room). To a lesser extent, it also ensures that the applicant is familiar with

the design and operation of systems located outside the main control room.

The applicant's knowledge and abilities relative to each system are evaluated

by administering JPMs and, when necessary, specific followup questions based

on the applicant's performance of each JPM.

This part of the operating test is administered in a one-on-one, walk-through format

in accordance with ES-302 and graded in accordance with ES-303.

ES-301, Page 3 of 27
3. "Simulator Operating Test"

This part of the operating test implements items 1-8 and 11-13 of 10 CFR 55.45(a).

This is the most performance-based aspect of the operating test and is used to evaluate

the applicant's ability to safely operate the plant's systems under dynamic, integrated

conditions.

The simulator test is administered in a team format with up to three applicants

(or surrogates) filling the RO and SRO license positions (as appropriate) on an operating crew.

(Refer to ES-201, "Initial Operator Licensing Examination Process," for additional

guidance on crew composition and ES-302 for test administration instructions.)

This format enables the examiner to evaluate each applicant's ability to function

within the control room team as appropriate to the assigned position, in such a way

that the facility licensee's procedures are adhered to and that the limitations in its

license and amendments are not violated. [Refer to 10 CFR 55.45(a)(13).]

Each team or crew of applicants is administered a set of scenarios designed

so that the examiners can individually evaluate each applicant on a range of competencies

applicable to the applicant's license level. Appendix D describes those competencies,

and Forms ES-303-3 and ES-303-4, the "Simulator Competency Grading Worksheets"

for ROs and SROs, break down each competency into a number of specific rating factors

to be considered during the grading process (refer to ES-303).

Each applicant must demonstrate proficiency on every competency applicable to

his or her license level. The only exception is that SRO Competency Number 3,

"Control Board Operations," is optional for SRO-upgrade applicants (i.e., SRO-upgrade

applicants do not have to fill a position that requires control board operations; however,

if they do rotate into such a position, they will be graded on this competency even though

they may not be individually observed by an NRC examiner, as discussed in ES-302).

C. Responsibilities

1. Facility Licensee

The facility licensee is responsible for the following activities, as applicable,

depending upon the examination arrangements confirmed with the NRC's regional office

in accordance with ES-201 approximately 4 months before the scheduled examination date:

a. Prepare proposed examination outlines in accordance with Section D

and submit them to the NRC's regional office for review and approval

in accordance with ES-201.

b. Submit the reference materials necessary for the NRC regional office to prepare

and/or review the requested examination(s). (Refer to ES-201, Attachment 3.)

ES-301, Page 4 of 27
of the walk-through test is repeated from the last two NRC licensing examinations

at the facility. A significant modification means that at least one condition

has been substantively changed in a manner that alters the course of action

of the JPM. " If JPMs are repeated from the past ,two NRC: examinations:, they

mustIbe randomly selected from all l,theJPMs used ýonIthe past two examinations. .. Refer to Forms ES-301 -1 and ES-301-2 for specific limits

on JPM bank use and repetition.

b. JPMs should include the elements identified in Appendix C (e.g., initiating

and terminating cues, critical steps, and performance criteria). The guidelines

and forms (or equivalents) in that appendix should be used when developing

new JPMs. Facility procedures may be adapted for use as JPMs by identifying

critical steps and entering comments on how to execute particular steps.

c. The JPMs should, individually and as a group, have meaningful performance

requirements that will provide a legitimate basis for evaluating the applicant's

understanding of and ability to safely operate the plant (as required by

10 CFR 55.45).

4. Specific Instructions for the "Administrative Topics" Walk-Through

Although the administrative topics may be examined separately, it is preferable,

whenever possible, to link, associate, or integrate them with tasks and events

conducted during the systems and simulator portions of the operating test. However,

it is important to keep in mind that the applicant's proficiency in the administrative topics

should be deliberately evaluated and not inferred solely from observations made

during the other portions of the operating test.

a. For each of the administrative topics listed below, select the required number

of subjects to be evaluated during the operating test based on the applicant's

license level.

Number of Subjects

RO SRO and RO

Topic Retakes

"Conduct of Operations" 1 (or 2) 2

"Equipment Control" 1 (or 0) 1

"Radiation Control" 1 (or 0) 1

"Emergency Plan" 1 (or 0) 1

Total 4 5

RO applicants need not be evaluated on every topic (as indicated above,

"Equipment Control," "Radiation Control," or "Emergency Plan" can be omitted

by doubling-up on "Conduct of Operations"), unless the applicant is retaking

only the "Administrative Topics" (with a waiver of the systems walk-through

and simulator test pursuant to ES-204).

ES-301, Page 10 of 27
K/As associated with each administrative topic shall be selected from Section 2

of the applicable NRC K/A catalog for pressurized- or boiling-water reactors

(i.e., NUREG-1 122 and 1123, respectively). For the "Emergency Plan" topic,

only those K/As related to the emergency plan and implementing procedures

[not those associated with the emergency operating procedures (EOPs)]

are applicable to this category of the operating test.

b. For each administrative subject, select a performance-based activity

for which an administrative JPM can be developed. The administrative JPMs

may require the applicant to identify and respond to one or more postulated

administrative errors in a manner similar to the alternate path methodology

discussed in Appendix C.

c. In general, SROs have more administrative responsibilities than ROs,

so SRO applicants should be evaluated in greater depth on the administrative topics.

RO applicants need only understand the mechanics and intent of the related

subjects, as they pertain to tasks at the facility.

d. The following specific guidelines should be applied when selecting or developing JPMs

to confirm the applicant's competence with regard to each topic:

"Conduct of Operations"

Many of these subjects can be covered within the framework of a shift turnover or by

integrating them into other discussions, as they apply, throughout

the examination.

The applicant's seetmity awareness of access controls for vital/controlled plant areas

should be evaluated by observing his or her behavior during the operating test.

However, passive observations, in and of themselves, are insufficient to justify

an evaluation in that subject area.

The subject of fuel handling can be covered in the control room, but attempt

to cover this subject in the fuel handling areas of the plant whenever possible.

The RO applicant should be aware of his or her duties in. the control room

during fuel handling. These duties include monitoring instrumentation

and responding to alarms from the fuel handling area, communicating with

the fuel handling and storage facility, and operating systems from the control room

in support of (re)fueling operations. For the SRO applicant, evaluate topics

such as core alterations, new and spent fuel storage and movement,

the design of the fuel handling area, use of the fuel handling tools,

and fuel handling casualties.

"Equipment Control"

These subjects can be evaluated within the framework of a normal maintenance

evolution. For example, have the applicant demonstrate how he or she

would take a failed system or component out of service, initiate maintenance

on the system, and test the system before placing it back in service. During the

ES-301, Page 11 of 27
maintenance evolution, have the applicant demonstrate the useofpiPing and

in strument drawings and ltechnical specificati0ons'.

"Radiation Control"

This topic is best covered in conjunction with the JPMs prepared for

the in-plant systems walk-through. It is most appropriate to evaluate these subjects

during the required entry into the radiologically controlled area (RCA).

The levels of knowledge expected of RO and SRO applicants in some

radiation control subjects are significantly different. The RO's duties

generally require knowledge of radiation worker responsibilities and operation

of plant systems associated with liquid and gaseous waste releases.

Therefore, the depth to which RO applicants are evaluated should be limited

to their responsibilities and the monitoring requirements before, during, and after

the release. The SRO, however, may be involved in reviewing and approving

release permits and should be cognizant of the requirements associated with

those releases, as well as their potential effect on the health and safety

of the public. The SRO applicants may be asked to simulate a planned release

(e.g., liquid, gaseous, or containment purge) when examining these topics.

"Emergency Plan"

There are significant differences between the knowledge required of RO

and SRO applicants in this area. RO applicants should be familiar with

the emergency plan and with their plant-specific responsibilities under

the emergency plan implementing procedures (EPIPs). By contrast,

SRO applicants must demonstrate additional knowledge based upon

their responsibility to direct and manage the implementation of the EPIPs

during the initial phases of an emergency. As a result, SRO applicants

should have a more detailed understanding of the EPIPs, in general,

and should be familiar with event classification procedures, protective action

recommendations, and communication requirements and methods.

As discussed in Section D.1, ensure that the test does not become predictable

by always performing a different variation of the same activity (e.g., repetitive

emergency classifications with different events).

This topic is best evaluated by linking a JPM to a simulator transient

that requires implementation of the emergency plan. Such a JPM

can be conducted immediately following a simulator scenario or during

the walk-through examination.

e. The planned administrative subjects should normally take no more than 1 hour

and 1.5 hours to administer to RO and SRO applicants, respectively.

f. On Form ES-301 -1, "Administrative Topics Outline," briefly describe

the specific administrative activities selected for evaluation.

g. Forward the completed outline to the NRC's chief examiner so that it is

received by the date agreed upon with the NRC regional office at the time

ES-301, Page 12 of 27
ES-301 Control Room/In-Plant Systems Outline Form ES-301-2

Facility: Date of Examination:

Exam Level: RO [] SRO-I Fj SRO-U j Operating Test No.:

Control Room Systemso (8 for RO); (7 for SRO-I); (2 or 3 for SRO-U, including 1 ESF)

System / JPM Title Type Code* Safety

Function

a.

b.

C.

d.

e.

f.

g.

h.

In-Plant Systems@ (3 for RO); (3 for SRO-I); (3 or 2 for SRO-U)

i.

j.

k.

@ All RO and SRO-l control room (and in-plant) systems must be different and serve different safety

functions; all 5 SRO-U systems must serve different safety functions; in-plant systems and functions

may overlap those tested in the control room.

* Type Codes Criteria for RO / SRO-I / SRO-U

(A)lternate path 4-6 /4-6 / 2-3

(C)ontrol room

(D)irect from bank _9 /8/ _4

(E)mergency or abnormal in-plant Ž 1 / 1 / 1 (EN)gineered safety feature 1 room system)

(L)ow-Power / Shutdown Ž 1 / 1 / 1

(N)ew or (M)odified from bank including 1(A) 2 2 / 2 2 / Ž 1

(P)revious 2 exams • 3 / • 3 / < 2 (randomly selected)

(R)CA Ž1/Ž11/ 1

(S)imulator

ES-301, Page 23 of 27
ES-301 Transient and Event Checklist Form ES-301-5

Facility: Date of Exam: Operatingi Test No.:

A E Scenarios

P V

P E 1 2 3 4 T M

L N 0 I

T N I T CREW CREW CREW CREW A I

C POSITION POSITION POSITION POSITION L M

A T S A B S A B S A B S A B U

N Y R T 0 R T 0 R T 0 R T 0 M(M) T P O C P 0 C P 0 C P 0 C P I

E R IM

RO RX 1 1 0

R- NOR SRO-I 1 1 1

F- I/C 4 4 2

SRO-U MAJ 2 2 1

TS 

0 2 2

RO RX 1 1 0 D NOR 1 1 1

SRO- N

El I/C 4 4 2

SRO-U MAJ 2 2 1

El- --- -- - - -

TS 0 2 2

RO RX 1 1 0

SRO-l NOR 1 1 1

El I/C 4 4. 2

SRO-U MAJ 2 2 1

TS 0 2 2

RO RX 1 1 0

E- NOR SRO-I 1 1 1

E: I/C 4 4 2

SRO-U MAJ 2 2 1

El-0 2 2

TS 02 2

Instructions:

1. Check the applicant level and enter the operating test number and Form ES-D-1 event numbers for each

event type; TS are not applicable for RO applicants. ROs must serve in both the "at-the-controls (ATC)"

and "balance-of-plant (BOP)" positions. Instant SROs must serve in-both the:SRO and the ATC positions,

including at least two instrument or component (I/C) malfunctions and one major transient in the ATC

position. If an I-nstant SR8Oadditionally serves in the BOP position, one I/C malfunction -can'be credited

toward :the two i,/C. malfunctions required for the. ATC position.

2. Reactivity manipulations may be conducted under normal or controlled abnormal conditions (refer to

Section D.5.d) but must be significant per Section C.2.a of Appendix D. (*) Reactivity and normal evolutions

may be replaced with additional instrument or component malfunctions on a 1-for-1 basis.

3. Whenever practical, both instrument and component malfunctions should be included; only those

that require verifiable actions that provide insight to the applicant's competence count toward the minimum

requirements specified for the applicant's license level in the riqht-hand columns.

ES-301, Page 26 of 27
j. The number of persons present during an operating test should be limited to

ensure the integrity of the test and to minimize distractions to the applicants:

Except for the simulation facility operators, no other member of the

facility's staff shall be allowed to observe an operating test without the

chief examiner's permission. Facility management and other personnel

deemed necessary by the facility licensee should generally be allowed

access to the examination (under security agreements, as appropriate),

provided that the simulation facility can accommodate them and there is

no impact on the applicants.

Although the simulation facility operator will normally assume the role

of the other personnel that the applicants direct or notify regarding plant

operations, the chief examiner may permit other members of the facility

training or operations staff (e.g., a shift technical advisor (STA)) to

augment the operating shift team if necessary. In such instances,

the chief examiner shall fully brief those individuals regarding their

responsibilities, reporting requirements, duties, and level of participation

before the operating test begins. All participants in the testing process

must also be mindful of their responsibilities with regard to examination

integrity pursuant to 10 CFR 55.49.

Although the applicants will generally be expected to perform "peer checks"

in accordance with the facility licensee's operations and training procedures

and practices, additional personnel may not be stationed or called upon

for this purpose.

Surrogate operators should be used only when they are necessary to

.complete an operating crew. A facility licensee may not replace license

aplcnswt surrogates solely because the applicants have performed,

the minimum required, number of events or scenarios. If an applicant

would be exposed to only one additional scenario above the minimum

required, a surrogate operator should not be used in place of a license

applicant. However, no applicant will be required to participate in more

than one scenario above the minimum required, in which case, a

surrogate operator should be used. If, at the discretion of the chief

examiner, it is desired to use surrogate opierators contrary to the above

guidance, the opert or licensing program office should be consulted prior

to implementation'.,.

When surrogate operators are required to complete the operating crew

(e.g., during retake tests or for a class consisting entirely of ROs),

the chief examiner shall ensure that the surrogate operator(s) are briefed

regarding the content of the scenario(s) and their expected actions

in response to every event. The examiners must not restrict the surrogate

operators' activities to such an extent that the applicants being evaluated

are required to assume responsibilities beyond the scope of their

respective positions. The surrogate operators do not need to be licensed

at the facility, but they must have the knowledge and abilities required to

assume the full responsibilities of the roles they take in the operating test.

ES-302, Page 4 of 12
C. Responsibilities

1. Facility Licensee

The facility licensee will perform the following activities, as applicable, depending upon

the examination arrangements confirmed with the NRC's regional office (in accordance

with ES-201, "Initial Operator Licensing Examination Process") approximately 4 months

before the scheduled examination date:

a. Prepare the proposed examination outline(s) in accordance with Section D.1,

and submit the outline(s) to the NRC's regional office for review and approval

in accordance with ES-201.

b. Submit the reference materials necessary for the NRC's regional office to prepare

and/or validate the requested examination(s). (Refer to ES-201, Attachment 3.)

c. Prepare the proposed examination(s) in accordance with Sections D.2 through D.4,

review the examination(s) in accordance with Section E, and submit the examination(s)

to the NRC's regional office in accordance with ES-201.

d. Meet with the NRC staff in the regional office or at the facility, when and as necessary,

to review the proposed examination(s) and discuss potential changes.

(Refer to ES-201.)

e. Revise the proposed examination outline(s) and examination(s) as agreed upon

with the NRC's regional office; however, the NRC retains final authority

to approve the examination.

f. Facility licensees that prepare the examination shall ensure that appropriate controls

are implemented to keep the comprehensive audit or screening examination

that is given at or near the end of the license training class (as well as any

practice exams and quizzes that are developed after beginning work

on the licensing examination) from compromising the integrity of the licensing

examination. Examples of acceptable control measures are as follows

(other methods may also be acceptable, but will have to be reviewed

and approved on a case-by-case basis):

Thefacility licensee could prepare the audit examination using

a systematic and random sampling process that is similar to that used

to prepare the NRC's licensing examination as discussed in Section D.

The facility licensee could prepare and finalize the audit examination

(and any practice exams and quizzes) before it begins developing

the NRC's licensing examination outline as discussed in Section D.

The facility licensee could develop the audit (as well as any practice

exams and quizzes) and the licensing examinations using independent

examination teams.

The facility licensee could certify as part of the examination submittal

that there is no question duplication between the facility licensee's audit

and the NRC's licensing examinations.

ES-401, Page 2 of 34
When submitting its examination outline to the NRC, the facility licensee

shall describe the process that was used to develop the examination outline

(in sufficient detail for the NRC to confirm that it meets the systematic

and random selection criteria). Examples of adequate documentation include

(1) a statement that the facility licensee used the sampling process described

in Attachment 1; (2) identification of the industry standard or widely-available

commercial product that was used; or (3) a description or copy of the facility

licensee's process document.

Because the NRC's K/A catalogs are based on generic job and task analyses

and not all facilities are the same, examination authors can eliminate inapplicable

or inappropriate K/A statements by (1) discarding randomly selected K/As during

the outline development process and/or (2) pre-screening the entire K/A catalog

to eliminate inappropriate K/As before beginning the random selection process.

The topics for the generic K/A category in Tiers 1 and 2 (i.e., Column "G"

on Forms ES-401-1 and ES-401-2) shall be selected from Section 2,

"Generic Knowledge and Abilities," of the applicable K/A catalog.. However,

only those topics that are relevant to the selected evolution or system shall be

included; therefore, generic K/As for Tiers 1 and 2 should be randomly selected

from the followin~g: 2.1 .7, 2.1.19 2.1.20, 2~.1.23, 2.1.25, 2.1.27, 2.1:28,210 2.1 .31, 2.1.32, 2.2.3, 2..4 2.2.122.2, 2.2.25, 2.2.36, 2.2.37, 223,2,01

2.2.40, 2.2.42, ?2.2.44, 2.4.1, 2.4.2, 2.4.3,,2.4.4, 2.4.6, 2.4.8, 2.4.9, 2.4.,11,

2.4.18,2.4.20,2.4.21., 2.4.30, 2.4.31, 2.4.3'4, 2.4.35, 2.4.41, 2.4.45, 2.4.46,'

2.4.47, 2.4.49, and 2.4.50. All othergeneric /As, for a Tiers 1 atnd 2imaybe

eliminated before or after the random seIrctiont prscesss, atndsingeleunit fadit1is

may also eliminate K/As 2.2.3 and 2.2.4.

For the four K/A categories in Tier 3, all of the generic K/As in Section 2 of the

applicable NRC K/A.catalog shall reiiain eligible for random selection, and all

K/As that are linked to 10 CFR 55.43 ~are eligible for~ the SRO-only portion ofi an

examination. Generic K/As used in Tier 3with importance ratings of less than

2.5 may be eliminated beforemornafter the random selection process,pand single-pr

unit facilities may al6so ~eliminate. K/As 2.2.3 and 2.2.4.

ExamrinIation1 aufht'os` and reviewers should ask themIs e J.ves -t hefllo .W in..g questions'tohelp'dtriewehro~fn / staenti app~ropriate

for testing:-

Is lthesubjectý K/A relevant (e.g., is the sysitem', com'poinent,,proce~ss

procedure, .or event installed, in use, or possible), atthe, subject facility?

* IThe ,importance rating of the K/As equal toi or g-reater ,.th'a'n" 2.'5 for'th~e'license

level of the proposed ýexamination,.or is there a site-specif ic 'priority

that Ijustifies-keeping the;K/A if its' iimpoartace rating is below 2.5?

is it p10ossible to prepare a:psychomeTr.icaly sound question arelted

tqothe subject ,K/A?

ES-401, Page 4 of 34
Is it possible to prepare a question at" the correct license level related to

the subject K/A? A question at the RO level should testone (or more) of

the 14 items listed under 10 CFR 55.41 (b) that the K/A~is, linked to, or test

at aRO level as determined from the facility's learning objectives. A

question at the SRO-,only le~vel should test one (or 'more), of the 7 items

listed under 10 CFR F55.43(b) that the K/A is linked, toot:test at a level

that is unique to the SRO job positiou nas detaermined fromtohe faciliy's

learning objectives..

if these questions can all betanswered in the affirmative, then: the subject K/A

is probably appropriate for testing. The fact that a K/A does not have

a corresponding facility learning objective, was not covered in training, or is subject

to selection in multiple tiers, are not sufficient bases for eliminating the K/A

from any tier. of the outline.

Facility licensees that elect to pre-screen and eliminate any K/A statements

from the random selectionyprocess should make arrangements for their NRC

regional office to review their screening process and results bef ore they submit

their next examination outline. Any subsequent changes to the list of K/As

from which the examination outline is generated would also have to be

documented, justified, and reviewed by the NRC. All K/A statements that are

eliminatedtafter they have been randomly selected to fill an examination outline

shall be documented on Form ES-401 -4, "Record of Rejected K/As,"

or equivalent, and submitted to the NRC's regional office for review in conjunction

with the proposed examination ioutine.

Enter the K/A statement numbers, a brief description of each topic, the topics'

importance ratings for the license level of the exam (use the RO and SRO

ratings for the RO and SRO-only portions, respectively), and the point totals

(system, category, group, and tier) on the examination outline. The proposed

point totals for each group and tier must match the number specified

on Forms ES-401 -1 and ES-401-2, as applicable.

If a facility licensee proposes to use an outline that was previously used

at the subject or another facility, the licensee shall identify the source of the outline

and explain what effect its reuse is expected to have on examination integrity.

c. Special attention is required to ensure that the SRO examination tests

at the appropriate license level. The SRO outline (refer to the right-hand portion

of Forms ES-401-1 or -2, as applicable) shall include 25 K/A statements

that relate to the topics in 10 CFR 55.43(b).

A number of the generic K/As in Section 2 of the catalogs are specifically linked

to one or more topics specified in 10 CFR 55.43(b), and all of the Category A2,

AA2, and EA2 K/A statements are (or, in the case of NUREG-1 123, should be)

similarly linked. Consequently, the K/As for the SRO examination will be drawn

from those K/A categories (denoted by Columns "AZ' and "G" in the SRO-only section

of the applicable examination outline), and from all K/A categories related to

the fuel handling facilities, which are specifically identified for sampling

ES-401, Page 5 of 34
in 10 CFR 55.43(b)(7). The fact that a K/A is linked to both 10 CFR 55.41

and 10 CFR 55.43 does not mean that the K/A cannot be used to develop

an SRO-only question, nor does it exclude the K/A from sampling

on the RO examination. Howeverto" be used on the SRo-onlyvsection of an

examination, a questiong developed frorm a K/A linked. to; both 10 ýCFR, 55.41

and 1,0.CFR 55.43 should lest. at the level of the 10 CFR 55.43(b) item

number(s) that the K/A is linked to, or test at a level that is unique to the SRO job

position as determined from the facility's learning objectives. K/A topics linked to

10 CER 55.41 (b) may also be appropriate for developing SRO-level questions, if the

questions developed evaluate knowledge and abilities at a 10 CFR 55.43(b) level, or

at a level that is unique to the SIRO job position a~s determi~ne~d from the facillity's

learning objectives.

d. After completing the outline, check the selected K/As for balance of coverage

within and across the three tiers. Ensure that every applicable K/A category

is sampled at least twice within each of the three tiers so that a valid sample

will likely be maintained in the event that some questions are deleted as a result

of post-examination comments. Similarly, ensure that no emergency/abnormal

plant evolution (E/APE), system, or K/A category is over-sampled (e.g., avoid

selecting more than two K/A topics from a given system unless they relate

to plant-specific priorities. Make any adjustments that might be necessary

by systematically and randomly selecting replacement K/A statements.

Also check the overall balance of the entire licensing examination,

including the walk-through and the dynamic simulator test, and make any

necessary adjustments. Document and justify all changes on Form ES-401-4

and submit the documentation with the completed outline.

e. Review and submit the completed outline to the NRC's chief examiner for review

and approval in accordance with ES-201. Facility-developed outlines shall be

independently reviewed by a facility supervisor or manager before being submitted

to the NRC's regional office in accordance with ES-201. Facility licensees

are responsible for ensuring that contractor-prepared outlines meet the guidelines herein.

The NRC must receive the outlines by the date agreed upon

when the examination arrangements were confirmed (normally approximately

75 days before the scheduled examination date).

f. The NRC's chief examiner will ensure that the outline is independently reviewed

within 5 working days (or as otherwise agreed with the facility licensee)

and provide comments and recommended changes, as appropriate.

The NRC's examiner shall review the sampling methodology, including all

K/A rejections and changes, to ensure it is unbiased. The examiner shall also

review and approve the site-specific item or topic substitutions.

Refer to Section C.3 of ES-201 for additional guidance regarding outline reviews.

ES-401, Page 6 of 34
in the stem and at least one distractor. Changing the conditions in the stem

such that one of the three distractors in the original question becomes

the correct answer would also be considered a significant modification.

The intent or objective of the question does not necessarily have to be changed.

Adding or deleting irrelevant information and making minor changes

(e.g., the unit number, component train, or power level when it makes

no difference) would not be considered a significant modification

to the question.

g. A technical referencei'ncluding the reference's !revision orfveersion number (if,

applicab!e), and a cross-reference to the facility licensee's examination question

bank, if applicable, shall be noted for every question. If the facility licensee has

a learning objective applicable to the question, it should also be referenced.

However, the absence of a learning objective does not invalidate the question,

provided that it has an appropriate K/A and technical reference. Refer to ES-201

for additional instructions regarding documenting the source of questions

on facility-written examinations.

To facilitate the review process, examination authors should consider providing

a brief explanation of why the answer is correct, and each of the distractors

is plausible but incorrect. This optional practice increases the efficiency

of the examination review process and promotes the detection and correction

of problem questions before the examinations are administered.

Reference materials (such as diagrams, sketches, and portions of facility procedures)

may be used on a selective basis as attachments to the written examination.

Ensure that any reference material used in the examination is easy to read

and clearly marked, provides an effective and objective way for the applicant

to demonstrate knowledge of the topic or concept, and does not give away

the answers to other questions on the examination or improve the applicant's

chances of guessing the correct answer by eliminating incorrect distractors.

Form ES-401-5 is a sample worksheet for use in preparing the written examination

questions. Facility licensees may use that or a similar form to document

the information related to each proposed question that is submitted to the NRC

for review and approval.

3. Review and Submit the Examination

a. Review the entire examination to ensure that it satisfies the criteria

on Form ES-401-6, "Written Examination Quality Checklist."

b. Forward the examination package, including all proposed attachments

and the completed quality checklist, to the first reviewer. Section E provides

instructions for conducting the quality reviews.

Facility-developed examinations must be reviewed by a supervisor or manager

before they are sent to the NRC's regional office in accordance with ES-201.

ES-401, Page 9 of 34
and corrected in time for the scheduled examination date, the regional office

should continue the review using Form ES-401-9 and provide comments

to the facility licensee for correction.

c. The responsible supervisor should ensure that any significant deficiencies

in the original examinations submitted by a facility licensee are evaluated

in accordance with ES-201 to determine the appropriate course of action.

At a minimum, the supervisor should ensure that they are addressed

in the final examination report in accordance with ES-501.

d. Following the facility review, the responsible supervisor should again review

the examination to ensure that the concerns expressed by the facility licensee

and the NRC have been appropriately addressed. The supervisor shall not sign

Form ES-401-6 until he or she is satisfied that the examination is acceptable

to be administered.

4. Facility Peer Review

As a final check of the examination's technical accuracy, facility management

should consider administering the examination (under security agreements)

to one or more licensed personnel who were previously uninvolved in developing

the examination. In light of examination security concerns, the NRC discourages

the use of certain individuals (e.g., the applicants' supervisors or coworkers)

to validate the examination. Any comments made and problems identified

during the trial administration shall be discussed with the NRC's chief examiner

and resolved before the examination is administered to the license applicants.

The intent of the review is to identify and correct deficiencies that may affect

the validity of the examination.

F. Attachments/Forms

Attachment 1,

FAorm ESa4.t 2,

Form ES-401-1,

Form ES-401-2,

Form ES-401-3,

Form ES-401-4,

Form ES-401-5,

Form ES-401-6,

Form ES-401-7,

Form ES-401-8, Form ES-401 -9,

"Example Systematic Sampling Methodology"

,"iA E'im•ation G:ida"t6nc,7

"BWR Examination Outline"

"PWR Examination Outline"

"Generic Knowledge and Abilities Outline (Tier 3)"

"Record of Rejected K/As"

"Sample Written Examination Question Worksheet"

"Written Examination Quality Checklist"

"Site-Specific RO Written Examination Cover Sheet"

"Site-Specific SRO Written Examination Cover Sheet"

"Written Examination Review Worksheet"

ES-401, Page 14 of 34
ES 401 "I'A Eimlnatlin Cuidance Allolhment 2

1 When - preparing the outline for Tier 1 (E/ArEs) and Tier 2 (Plant Systems),

the examination au.thor shal not exclude from the random selection process for Category"C..

any of the followving K'As fromi Section 2 of the applicable K'A Cataleog 2.1.2, 2.1.14,

2.1.23, 2.1.27, 2.1.23, 2.1.30, 2.1.32, 2.1.33, 2.2.22, 2.2.25, 2.4.4,2.4. ,2.4.90,2.4.31,

2.4.49, and 2.4.50. I lowvever, these K'As may be rejected and justified on a case-by case

bas*s vvwhle developing the examination ouitne. , The NflC will review the author's

..ustif cation for each rejected K/A. The remaining Section 2 K'As may be excluded

f rom- the randor selection process and/or rejected without explanation or justification.

[Noto: With the oxooptoen of K'A #2.4.6, the listed K'VAa equate to the "Old Systemn Coneric KIVA" delrt'fiod

an page iv of NUfEC 1122 (Revision. 2) tepaged xii e NUflEC 1123 (flvisior, 2). IWA #2.4.6 replaeJJ &APE gonarie IVUA #12, "abIhty to uitilzo symptom based peoootrfea," whioh was omnittad fromn flavs-Q-or.. 20

2. All of thc KWAs in So+ti•n 2 of thc applioablc NRC "A Catalog shall r.main eligibls

for random selection , for Tier 3 (generic knowledge and abilities) of the aoutine

for RE) examinations; all t wAs that ac linked to 10 CFR 55.43 arc eligiblc for SRO only

examinations. They may not be pre screened ot;t however, they may be rejected

and justified on a case by case basis while developing the examinmation outinie. The NflC

will review the auithor's justification for each rejected 1-A.

[rat.. As stt;ated, in...c;. , D.2. of ES 401, the intent.... d T 3 9quetions is t e 0 .. t .pp...ts'

knowledge am arappLeable te ged p l.a.t oprto andnot a speii syt.no pueeeduie. If oneof the Old

to a patla.r systemi , dure but test.a plamt wide a..ept.]

3.Examination auithors and reviewers should atsk themnselves the following questions to help

determine whether or not any K/A statement is appropriate for testing:

is the subject IVA relevant (e.g., is the system, component, process, procedure,

or event installed, in use, or possible) at the subject facilfityi

a is the subject K'A's impoatance rating equal to or greater than 2.5 for the lienmse lee

of the proposed examnination, or is there a site specific priority that justifies

keepilng the K/A if its importance rating is below 2.5?

is it possible to prepare a psych-ometrically souInd question I related IA?to the subject 

if these questions can all be answered in the affirmative, then the subject WA is probably

appropriate for testing. The fact that a WQA does not have a corresponding fac~ity learnin

objective, was not covered in training, or is subject to selection in multiple tiers, are not

suifficfient bases for eliminating the WA from any tier of the outline.

4. Facility lienmsees that elect to pre screen and eliminatte any WA statements

from the randomn selection process should make arrangemnents for their NflC regional

officee to review their screng pocss and resut~s before they suibmit their nex

exami~nation outifne. An suseuet changes to the list of WAs fromn which

the examination outlfine isgenerated would also have to be docuimented, justified,

and reviewed by the NflC.

5. Except as noted in Iterm 1 above, all WA statemenmts that are elimninated after hey

have beLn randotmly selected to fill an examination outline shall be docuimented

on Form ES 401 4, "flecord of flejected K'As," or equivalent, and submitted to the NflC's

regional office for review in cojntion with the proposed exaImination ouitline.

Single-unit facilities may pre-screen out multi-unit generic K/As 2.2.3 and 2.2.4.

ES-401, Page 16 of 34
ES-401 BWR Examination Outline Form ES-401-1

Facility: Date of Exam:

RO K/A Category Points SRO-Only Points I Group K K K KK K A A A AG A2 G* Total

1 9 3 4 1 5 6 1 2 31 4* Total

1.120 7_

Emergency &

Abnormal 2 N/A N/A 7 3

Plant

Evolutions Tier Totals 27 10

1 26 5

221 Plant 2 12 3

Systems Tier Totals 38 8

3. Generic Knowledge and Abilities 3 4 10 1 2 3 4 7

Categories

Note: 1. Ensure that at least two topics from every applicable K/A category are sampled within each tier of the RO

and SRO-only outlines (i.e., except for one category in Tier 3 of the SRO-only outline, the "Tier Totals"

in each K/A category shall not be less than two).

2. The point total for each group and tier in the proposed outline must match that specified in the table.

The final point total for each group and tier may deviate by ±1 from that specified in the table

based on NRC revisions. The final RO exam must total 75 points and the SRO-only exam must total 25 points.

3. Systems/evolutions within each group are identified on the associated outline; systems or evolutions that do not apply

at the facility should be deleted and justified; operationally important, site-specific systems that are not included on the outline should be added. Refer Sec irD.1.b of ES-401 ,ateehm et-2, for guidance regarding

the elimination of inappropriate K/A statements.

4. Select topics from as many systems and evolutions as possible; sample every system or evolution in the group

before selecting a second topic for any system or evolution.

5. Absent a plant-specific priority, only those K/As having an importance rating (IR) of 2.5 or higher shall be selected.

Use the RO and SRO ratings for the RO and SRO-only portions, respectively.

6. Select SRO topics for Tiers 1 and 2 from the shaded systems and K/A categories.

7.* The generic (G) K/As in Tiers 1 and 2 shall be selected from Section 2 of the K/A Catalog, but the topics

must be relevant to the applicable evolution or system. Refer to.S tion •.1 b of ES-461for thie apliicable K/As.

8. On the following pages, enter the K/A numbers, a brief description of each topic, the topics' importance ratings (IRs)

for the applicable license level, and the point totals (#) for each system and category. Enter the group and tier totals

for each category in the table above; if fuel handling equipment is sampled in other than Category A2 or G* on the

SRO-only exam, enter it on the left side of Column A2 for Tier 2, Group 2 (Note #1 does not apply). Use duplicate

pages for RO and SRO-only exams.

9. For Tier 3, select topics from Section 2 of the K/A catalog, and enter the K/A numbers, descriptions, IRs,

and point totals (#) on Form ES-401-3. Limit SRO selections to K/As that are linked to 10 CFR 55.43.

ES-401, Page 17 of 34
ES-401 2 Form ES-401-1

. ES-401 BWR Examination Outline Form ES-401-1

Emergency and Abnormal Plant Evolutions - Tier 1/Group 1 (RO / SRO)

E/APE # /Name / Safety Function K K K A -A G K/A Topic(s) IR #

1 2 3 1 21.

295001 Partial or Complete Loss of Forced

Core Flow Circulation / 1 & 4

295003 Partial or Complete Loss of AC / 6

295004 Partial or Total Loss of DC Pwr /6 6 _

295005 Main Turbine Generator Trip /3 __

295006 SCRAM / 1

295016 Control Room Abandonment / 7 _'

295018 Partial or Total Loss of CCW /8 _,

295019 Partial or Total Loss of Inst. Air / 8

295021 Loss of Shutdown Cooling / 4

295023 Refueling Acc /8 8__:__ __ _____,__

295024 High Drywell Pressure/ 5

295025 High Reactor Pressure / 3 __ _ ___- . ._._

295026 Suppression Pool High Water

Temp. / 5

295027 High Containment Temperature/ 5___ _________.__ ._

295028 High Drywell Temperature / 5 __ _ ___ _ _ __ _ _

295030 Low Suppression Pool Wtr Lvl/5 5_ ________ ____

295031 Reactor Low Water Level /2 2_ _ _ _ _ _ _

295037 SCRAM Condition Present

and React•r•Power!Above APRM

Downscale or Unknown / 1 _ _ _ _ __. _ _-

295038 High Off-site Release Rate ! 9 .....

600000 Plant Fire On Site /_8____

70.00000•Generator ,Voltage and'E,1Etric6

K/ACategory Totals: [j I I I I Group PointTotal: 12017

ES-401, Page 18 of 34
ES-401 PWR Examination Outline Form ES-401-2

Facility: Date of Exam:

RO K/A Category Points SRO-Only Points Tier GroupT 1 1--II T 1K K K K K K A A A A G A2 G* Total

1 2 3 4 5 6 1 2 13 1 * Total

1. 1 18 6

Emergency &

Abnormal 2 N/A N/A 9 4

Plant

Evolutions Tier Totals 27 10

1 28 5

2. 1 Plant 2 10 3

Systems Tier Totals 38 8

3. Generic Knowledge and Abilities 3 4 10 1 2 3 4 7

Categories

Note: 1. Ensure that at least two topics from every applicable K/A category are sampled within each tier of the RO

and SRO-only outlines (i.e., except for one category in Tier 3 of the SRO-only outline, the "Tier Totals"

in each K/A category shall not be less than two).

2. The point total for each group and tier in the proposed outline must match that specified in the table.

The final point total for each group and tier may deviate by ±1 from that specified in the table

based on NRC revisions. The final RO exam must total 75 points and the SRO-only examrmust total 25 points.

3. Systems/evolutions within each group are identified on the associated outline; systems or evolutions that do not apply

at the facility should be deleted and justified; operationally important, site-specific systems that are not included 3 on the outline should be added. Refer toSection D.1.bof•fES-401 -A#&e ei'it-,-for guidance regarding

the elimination of inappropriate K/A statements.

4. Select topics from as many systems and evolutions as possible; sample every system or evolution in the group

before selecting a second topic for any system or evolution.

5. Absent a plant-specific priority, only those K/As having an importance rating (IR) of 2.5 or higher shall be selected.

Use the RO and SRO ratings for the RO and SRO-only portions, respectively.

6. Select SRO topics for Tiers 1 and 2 from the shaded systems and K/A categories.

7.* The generic (G) K/As in Tiers 1 and 2 shall be selected from Section 2 of the K/A Catalog, but the topics

must be relevant to the applicable evolution or system. Referto Section D. 1.b of EEs401 for the ýpplicableK/As.:

8. On the following pages, enter the K/A numbers, a brief description of each topic, the topics' importance ratings (IRs)

for the applicable license level, and the point totals (#) for each system and category. Enter the group and tier totals

for each category in the table above; if fuel handling equipment is sampled in other than Category A2 or G* on the

SRO-only exam, enter it on the left side of Column A2 for Tier 2, Group 2 (Note #1 does not apply). Use duplicate

pages for RO and SRO-only exams.

9. For Tier 3, select topics from Section 2 of the K/A catalog, and enter the K/A numbers, descriptions, IRs,

and point totals (#) on Form ES-401-3. Limit SRO selections to K/As that are linked to 10 CFR 55.43.

ES-401, Page 22 of 34
ES-401 2 Form ES-401-2

ES-401 PWR Examination Outline Form ES-401-2

Emergency and Abnormal Plant Evolutions - Tier I/Group 1 (RO / SRO)

E/APE # / Name / Safety Function K K K A A G K/A Topic(s) IR # 1 2 3 1 12 ii'•.;

000007 (BW/E02&E10; CE/E02) Reactor

Trip - Stabilization - Recovery /_1 _ __,_,_

000008 Pressurizer Vapor Space

Accident / 3

000009 Small Break LOCA / 3

000011 Large Break LOCA /3

000015/17 RCP Malfunctions/ 4

000022 Loss of Rx Coolant Makeup /2

000025 Loss of RHR System / 4

000026 Loss of Component Cooling

Water/ /

000027 Pressurizer Pressure Control

System Malfunction / 3

000029 ATWS / 1

000038 Steam Gen. Tube Rupture / 3 _-__

000040. (BW/E05; CE/E05; W/E12)

Steam Line Rupture - Excessive Heat

Transfer / 4

000054 (CE/E06) Loss of Main

Feedwater / 4

000055 Station Blackout /6 6_ _ _ _ _ _ _ _ _

000056 Loss of Off-site Power / 6 :____ ......_:_:__:___ 

000057 Loss of Vital AC Inst. Bus / 6 ___________ _________.

000058 Loss of DC Power /_ 6 _ __ _ _ ______

000062 Loss of Nuclear Svc Water /4 _,_ _ _ _

000065 Loss of Instrument Air / 8

W/E04 LOCA Outside Containment /3 ____ _:

W/E1 1 Loss of Emergency Coolant

Recirc. / 4

BW/E04; W/E05 Inadequate Heat

Transfer - Loss of Secondary Heat Sink / 4- _ _ _ _ _ _ __

000077 Generator .ViOtage 'and Electric

Grid Disturbances ........... ..... .. __ ___.____ ____ ____

K/A Category Totals: Group Point Total: 118/61

ES-401, Page 23 of 34
ES-401 Sample Written Examination Form ES-401-5

Question Worksheet

Examination Outline Cross-Reference: Level

Tier #

Group #

K/A #

Importance Rating

RO SRO

Proposed Question:

Proposed Answer:

Explanation (Optional):

Technical Reference(s):

'(in Icluding, esion/revisionf nlu

(Attach if not previously provided)

Proposed references to be provided to applicants during examination:

Learning Objective:

Question Source:

(As available)

Bank #

Modified Bank #

New

(Note changes or attach parent)

Question History: Last NRC Exam

(Optional: Questions validated at the facility since 10/95 will generally undergo less rigorous review by the NRC;

failure to provide the information will necessitate a detailed review of every question.)

Question Cognitive Level:

10 CFR Part 55 Content:

Memory or Fundamental Knowledge

Comprehension or Analysis

55.41

55.43

Comments:

ES-401, Page 29 of 34
o-401 Written Examination Review Worksheet Form ES-401-9

1. 2. 3. Psychometric Flaws 4. Job Content Flaws 5. Other 6 7. 8;

Q# LOK LOD

(F/H) (1-5) Stem Cues lTF Cred. IPartial Job- Minutia #1 Back- Q= SROn BMiN U/E/S Explanation [ - ~Focus j jDist. Link junit ward ~K/Aý l __________________

Instructions

[Refer to Section D of ES-401 and Appendix B for additional information regarding each of the following concepts.]

1. Enter the level of knowledge (LOK) of each question as either (F)undamental or (H)igher cognitive level.

2. Enter the level of difficulty (LOD) of each question using a 1 - 5 (easy - difficult) rating scale (questions in the 2 - 4 range are acceptable).

3. Check the appropriate box if a psychometric flaw is identified:

* The stem lacks sufficient focus to elicit the correct answer (e.g., unclear intent, more information is needed, or too much needless information).

* The stem or distractors contain cues (i.e., clues, specific determiners, phrasing, length, etc).

* The answer choices are a collection of unrelated true/false statements.

• The distractors are not credible; single implausible distractors should be repaired, more than one is unacceptable.

* One or more distractors is (are) partially correct (e.g., if the applicant can make unstated assumptions that are not contradicted by stem).

4. Check the appropriate box if a job content error is identified:

* The question is not linked to the job requirements (i.e., the question has a valid K/A but, as written, is not operational in content).

* The question requires the recall of knowledge that is too specific for the closed reference test mode (i.e., it is not required to be known from memory).

* The question contains data with an unrealistic level of accuracy or inconsistent units (e.g., panel meter in percent with question in gallons).

* The question requires reverse logic or application compared to the job requirements.

5. Check questions that are sampled for conformance with the approved K/A and those that are designated SRO-only (K/A and license level mismatches are

unacceptable).

6, Enter questionrsou6ce:6 (B)ank, (M)odifiedý or,(N)dW..;- CHck thalýi(M)6dified-dquestions meetcriteria of ES-'l40iSectionbD2.f.

7. Based on the reviewer's judgment, is the question as written (U)nsatisfactory (requiring repair or replacement), in need of (E)ditorial enhancement, or (S)atisfactory?

8. At a minimum, explain any "U" ratings (e.g., how the Appendix B psychometric attributes are not being met).

ES-401, Page 33 of 34
Form

1. 2. 3. Psychometric Flaws 4. Job Content Flaws 5. Other 6. 7. 8. 0# LOK LOD

(F/H) (1-5) Stem Cues T/F Cred. IPartial Job- Minutia #/ Back- Q= SRO W/M/N U/E/S Explanation

Focus Ds1st. Link ___units wad /Aonty__________________________

ES-401, Page 34 of 34
E. Post-Examination Reviews

1. If the NRC administered the examination, the chief examiner shall ensure that

the master copy of the examination reflects all changes made to questions

during the administration of the examination. The chief examiner will then provide a copy

of the master examination and answer key to the facility staff and answer any questions

they may have regarding the NRC's examination review and comment process.

2. If the NRC developed the examination, the chief examiner will also provide the facility

licensee with a copy of the examination as edited during the facility prereview.

If the facility reviewers believe that the NRC did not adequately resolve the prereview

comments, they should address those concerns in a formal comment letter.

3. The NRC's chief examiner will ask the facility prereviewers to confirm that they

did not divulge any information about the examination(s) by having them sign the postexamination security statement (Form ES-201-3) after the examinations are completed.

4. The facility licensee should submit formal comments within 5 working days

after the examination is administered. However, the facility licensee may expedite

the grading process by giving draft comments to the NRC chief examiner

before he or she leaves the site. The NRC will consider comments not submitted

within the requested time on a case-by-case basis; however, late comments

may delay the examination grading process.

The facility licensee should collect allh comrentsirom the license applicants and sub mit

thiem- to the NRC. When submitting applicant commnents to the NRC, the facility licensee should identify by dock~et rnuber which applicant. made the cornment, and

include a faci.ilty position for each app~licant comment'.

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

* List the question, answer, and reference.

State the comment and make a recommendation as to whether the answer

should be changed or the question should be deleted. If the facility licensee

does not support an applicant's comment, it should briefly explain the reason

for its rejection.

Support the comment with a reference, and provide a copy if it was not included

in the original reference material submittal. (Note: The NRC will not change

the examination without a reference to support the facility's comment.)

6. Formal comments should be signed by an authorized facility representative

and addressed to the responsible NRC regional office, with a copy to the

NRC's chief examiner.

7. Alithougqh the'NRC will review all post-examinatio'ncomments, su bmitted: b'V facility

iicenseethe• aqencV is iess lik6l•y tOapprove certain4kinds of comments.; n rthe interest

of efficiency, facility licensees should Consider the guidance contained in Es403..

Section D,.1,;, before submitting piost-exa'min'ation ýcomments to th'eMNC.

ES-402, Page 6 of 6
was not accepted; this information will be included in the examination report,

as discussed in ES-501.

b. Despite theeXtensivereviews pefpormed by both the NRC and'the facility

licehsee prior oto examinationmadministration (refer to ES-201;, Attachment 5), it is

possible tha6ta few isolated errors may be discovered onliy' a fter anexamination

has been tadministered. The following types of errors, if id ,entified and

adequately justified by the facility licensee, are most likelyto:result in-postexami.nation changes agreeable to the NRC:

a question with an 'unclear stem that con fused Athe, applicants or did lno~t

provide all the necessary information

0. unintended typographical errors in a question or on the answer key

n ewly discovered technical information that supports a change in the

answer key

* a question that is at the wrong license level (RO vers~us SRO) or not

linked to job requirements

Given that both the NRC and the facility licensee agreed that the examinatfion

met NUREG-1 021 prior to examination administration, the following types of

question errors, identified aftet examination administration, are less likely to

result in examination changes:

! a question that does not exactly match its referenced K/A statement

T a question for which references would be needed to provide the correct

answer, even though the facility licensee and NRIC pre iously agrded that

the question should be closed-areference

* a qestion that contains psychometric errors that do not increse its

difficulty or make the question confusing. For example, a question with

two implausible distractors or a collection of true/false answers would be

ac unsatisfactory during examination pre-review, butineither prfblelw•oudi•f Wt6nd

Justify deleting a question after examination. admoiniswration.

AlthoupIgh thteaNRC will review all post-examinatimon .;comments psubmrit •ted

facI ility licen Isee, in the interest of efficiency, facility licensees should consider the

abo6veexampl~esj prior to submitting post-exa mi nation comments to the NR.C.1

Failtyliesees with post-examination comnments" arnorgd to discuss

them' 'with. theýýC cief. exaie pir to formally__submittin' n comments in

writi, .

c. If it is determined that there are two correct answers, both answers will be

accepted as correct., If, however, both answers contain, conflicting informatio6n,'

the; question, w Iill 1 lirkely be deleted. For example, if part of one: ans'werst Iates" tha .t

operators are required ton Insert a. manual reactor ýscra m',,and part, of ,another

ES-403, Page 3 of 6
answer states that a manual: scram is not required, then it is unlikelythat both

answers will be acceptedas correct,:and the question wil pr'obabl bedeleted.

If three or more answers could be considered correct or there is no correct

answer, the question shall be deleted.

Annotate the recommended changes on the master examination and answer key, and

document the reason for every change or deletion.

d. Those applicant questions, facility comments, and recommendations

that do not result in answer key changes or question deletions, should be

evaluated to determine whether the associated test questions might benefit

from editorial changes before they are used on another examination.

e. Before depositing the questions in any examination bank, revise the questions

to incorporate all changes, comments, and enhancements, as appropriate.

2. Grade the Examinations

a. Copy each applicant's answer sheet, and set the copies aside for later use

during the grading review process.

b. On each applicant's original answer sheet, indicate in red pen or pencil

which questions were answered incorrectly, note their correct answers,

and indicate which questions (if any) were deleted. If the answer sheet

is more than one page long, it is helpful to note the total number of incorrect

answers on each page to aid in tabulating the final grade.

If the examinations are graded by machine, attach a copy of each applicant's

profile report to his or her answer sheet, or manually annotate the answer sheet

as noted above.

c. If it is necessary to change a grade during the grading process, do so by lining out

the original grade in such a way that it remains legible. Briefly explain

the reason for the change on the applicant's answer sheet, and initial the change.

Under no circumstances will a grader use "white-out" or other methods

that obscure the change.

d. After grading all the questions, enter the applicable "Examination Value(s)"

(i.e., the original test point total minus the point value of any deleted questions)

for the RO, SRO-only, and overall exams in the "Results" section of the

applicant's written examination cover sheet (Form ES-401-7 for ROs, ES-401-8

for SROs, or ES-701-8 for SROs limited to fuel handling). Also enter

the "Applicant's Score" and"Applicant's Grade" (i.e., the Applicant's Score

divided by the Examination Value) on each part of the examination (RO, SRO, and

overall) in the spaces provided on the form.

If a facility chooses to share its preliminary grades with the applicants, it should

caution them that the outcome may change if the NRC does not accept all of

the facility licensee's recommended changes to the examination answer key.

ES-403, Page 4 of 6
a. If the facility licensee graded the written examinations, the chief examiner

shall immediately inventory the examination package to ensure that all required

materials have been submitted. The chief examiner shall inform the responsible

supervisor of any obvious deficiencies, and shall contact the facility licensee

to determine the status of any missing documentation.

b. The chief examiner shall independently analyze each examination and answer key

change that was made or recommended by the facility licensee or a license applicant

to determine whether it is justified. During *the analysis, the chi ef exam.iner wilI

keep in mind that both the facility licensee and the NRC had previously agreed

that the examination met the requirement 's of N U REG- 1021 (ref er to ES-20 1,

Attachment 5). Therefore, as discussed in Section IDA of ES-40 ,3, certain kind -s

of post-exami nation comments and recom~mend~atio9ns are le~ssli~kely to justify

grading or answer key changes.

The chief examiner shall ensure that the reason for accepting or rejecting each

change or recommendation is documented in the examination report. The report

shall briefly state the region's basis for accepting or rejecting each facility

comment; simply stating concurrence with no explanation is not sufficient.

The chief examiner will not accept a change to the examination unless

the facility licensee submits a valid reference to support its recommendation.

c. The chief examiner shall review the remaining items on Form ES-403-1.

In so doing, the chief examiner should apply his or her judgment when reviewing

the examination results and should adjust the level of the review based on

the performance of the applicants and the facility licensee (e.g., the number

of questions changed or deleted, the average grade, the number of borderline

or failing grades, etc.). If the examination was graded by machine or using

a template, the chief examiner shall ensure that the template accurately parallels

the approved answer key.

The chief examiner shall independently grade every borderline examination

[i.e., those between 78 and 82 percent overall and between 66 and 74 percent

on the SRO-only portion (or 76 and 84 percent if the RO portion was waived),

as applicable] using the final, approved answer key and the clean applicant

answer sheets provided by the facility licensee.

d. The chief examiner should review the written examination results and the facility

licensee's performance analysis (if applicable) for indications of the following:

deficiencies in the applicants' training program, so that they may be addressed

in the examination report

poor question construction, so that the applicants are not graded unfairly,

any significant problems can be addressed in the examination report,

and the questions are corrected before reuse

any indications that the examination was compromised

ES-501, Page 4 of 25
E. Examination Followup

1. Notify Facility Licensee of Results

The NRC's regional office will notify the facility licensee and applicants

of the examination results (as described below) only after they are reviewed

and approved by the licensing official.

a. The regional office should normally notify the facility licensee's designated

representative of the examination results by telephone, and may confirm

the results by mailing a copy of Form ES-501-2 under a separate cover letter.

For each applicant who failed or had significant deficiencies that warrant

further evaluation and retraining by the facility licensee, the regional office

will also send the facility licensee a copy of the applicant's Form ES-303-1

and written examination answer sheet. These form(s) shall not be placed

in the NRC's Public Document Room or distributed with the final examination report.

If the written examinations were administered much before the operating tests

and management has approved the results of those examinations, the regional

office may notify the facility licensee of those results rather than waiting

until the operating tests are completed.

b. After the licensing official has signed the license, denial, and notification letters,

the regional office shall send each applicant's letter along with the following materials:

a copy of Forms ES-303-1, ES-303-2, and ES-D-1 (and Form ES-D-2

if the applicant failed the simulator operating test) reflecting the "as run"

scenario conditions but without any rough examiner notes regarding

the applicant's performance (pen-and-ink markups of the original,

approved scenarios are acceptable)

a copy of the applicant's written examination cover and answer sheets

(as well as a copy of the master written examination and answer key

if the applicant failed the written examination)

c. The regional office shall send a copy of Form ES-501-2 to the NRR operator licensing

program office. If any of the examinations are later regraded in response to

an applicant's request for review (refer to ES-502, "Processing Requests

for Administrative Reviews and Hearings After Initial License Denial"),

the original Form ES-501-2 on file in the regional office shall be corrected

by lining out the old grade, entering the new grade, and initialing the change.

Whenever a change is made, the regional office shall mail a copy

of the revised form to the program office.

d. f. The responsible supervisor should consider phoning the facility licensee

management counterpart to discuss the examination outcome and lessons learned.

Any pertinent feedback on the examination process should be forwarded

to the operator licensing program office for consideration.

ES-501, Page 8 of 25
b. Once the licensing decisions are complete, the NRC examiners should discard

any marked-up documentation or rough notes for those applicants who receive

licenses (except as noted below). In accordance with ES-502, NRC examiners

should retain all applicable notes and documentation associated with proposed

denials until the denials become final; this may include simulator operating test notes

regarding crew members who passed the test if the notes contain information

relevant to the failing applicant's performance. Examiners are advised

that such notes would be subject to disclosure if requested under

the Freedom of Information Act.

c. Agency policy requires that all documents that are not classified, proprietary, sensitive or

otherwise protected (e.g., under the Privacy Act or Freedom of Information Act) must

be made available to the public. Therefore, the NRC's regional office shall ensure

that all documents associated with the licensing examination (i.e., those listed in

Section F.1, below), excluding those containing the applicants' names or grades,

are placed in the NRC's Public Document Room as soon as possible after the

examinations have been completed. NRC Manual Chapter 0620, "Inspection

Documents and Records," and SECY-04-0191, 'Withholding Sensitive

Unclassified Information Concerning Nuclear Power Reactors from Public

Disclosure," provide additional policies and guidance in this area.

F. NRC Record Retention

1 . The NRC's regional office shall ensure, for the most recent initial examination at each facility,

that originals (whenever possible) or copies of the following items either are retained

in the facility's master examination file or are electronically available via the NRC's

Agencywide Documents Access and Management System (ADAMS). The italicized

items should be retained or available for the last two examinations at each facility

so that examiners can verify compliance with the guidelines for test item repetition.

a. ES-201, Attachment 4, "Corporate Notification Letter'

b. ES-201, Attachment 5, "Examination Approval Letter," with pen-and-ink changes

on Form ES-201-4, "List of Applicants," to identify the applicants who

were actually examined

c. Form ES-201-1, "Examination Preparation Checklist"

d. the written examination and operating test outline(s), along with Form ES-201-2,

"Examination Outline Quality Checklist," and Form ES-401-4, "Record

of Rejected K/As" (or the equivalent LSRO forms from ES-701)

e. the proposed NRC- or facility-developed operating tests and written examination

(including comments made by the facility licensee or the NRC, as applicable)

f. the final written examination and answer key with all changes incorporated

(the pen-and-ink corrections made for the applicants while the examination

was administered may be changed to typewritten corrections; however,

all changes shall be annotated in such a way that they are evident),

ES-501, Page 13 of 25
ES-501 Sample License Letters Attachment 3

NRC Letterhead

(Date)

LICENSE

(Applicant's name)

(Street address)

(City, State Zip code)

Pursuant to the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act

of 1974 (Public Law 93-438), as amended; 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), and 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, of the Code of Federal Regulations

(10 CFR 55.53), 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 authorizing operation of the facility.

The issuance of this license is based upon 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 U.S. Nuclear Regulatory Commission,

(Name and title of licensing official)

Docket No. 55-(number)

cc: (Facility representative who signed the applicant's NRC Form 398)

ES-501, Page 18 of 25
ES-501 2 Attachment 3

NRC Letterhead

(Date)

LICENSE

(Applicant's name)

(Street address)

(City, State Zip code)

Pursuant to the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act

of 1974 (Public Law 93-438), as amended; and subject to the conditions and limitations

incorporated herein, the U.S. Nuclear Regulatory Commission hereby licenses you

to direct the [licensed] [[fuel handling]] activities of [licensed] operators at, and to manipulate

[all] [[fuel handling]] controls of the (Name of facility, facility license number).

Your License No. is SOP-(number), and 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, of the Code of Federal Regulations

(10 CFR 55.53), 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 authorizing operation of the facility. You shall also comply with

the following condition(s):

You shall wear corrective lenses while performing the activities for which you are licensed.

The issuance of this license is based upon 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 U.S. Nuclear Regulatory Commission,

(Name and title of licensing official)

Docket No. 55-(number)

cc: (Facility representative who signed the applicant's NRC Form 398)

[ ] Include only for unrestricted senior operators.

[[]] Include only for senior operators limited to fuel handling.

ES-501, Page 19 of 25
ES-501 Sample Proposed Denial Letter Attachment 4

NRC Letterhead

(Date)

(Applicant's name)

(Street address)

(City, State, Zip code)

Dear (Name):

This 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 in accordance with Title 10, Section 55.35, of the Code of Federal

Regulations (10 CFR 55.35), subject to the following conditions:

a. Because you passed (a written examination and/or the administrative/systems/

simulator operating test) on (date(s)), you may request a waiver of (that or those)

portion.().

b. Because you did not passthe (SRO portion of or written examination overall

or administrative/systems/simulator operating test) administered to you on (date),

you will be required to retake that portion.

c. You may reapply for a license 2 months from the date of this letter.

a. Because this is your (second, subsequent) examination failure, you will be required to

retake both the written examination and the operating test.

** b. You may reapply for a license (6. 24) months from the date of this letter.

a. Because you did not pass either the operating test or the written examination

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 either of the following actions:

You may request an informal NRC staff review of the grading of your examination.

Send your written request to Director, Division of Inspection andiRegional Supprt, Office

of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC

20555-0001. If submittin•gvia privatecourier (•eg dEx, UPS);, send

your requestto 1o1555.Rockvie ei ille, aland,20852, instead of usingth

Washingtn, ýDC, address. Your request must identify the portions

ES-501, Page 20 of 25
ES-501 2 Attachment 4

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 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.) Ift submdihi gia-private courier (e.g., FedEx,

'UPS8), send your req-ues'tto 11555 Rockville Pike, Rockville, Maryland, 20852, instedof

using the Washington, DC, address.,

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 either of the above options within 20 days constitutes

a waiver of your opportunity for informal review and your right to demand a hearing.

For the purpose of re-application under 10 CFR 55.35, such a waiver 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 RO or SRO license applicants who passed either the operating test

or the written examination but failed the other.

** Use for second and subsequent retake applicants.

Use for applicants who failed both the operating test and the written examination.

ES-501, Page 21 of 25
ES-502

PROCESSING REQUESTS FOR ADMINISTRATIVE REVIEWS AND HEARINGS

AFTER INITIAL LICENSE DENIAL

A. Purpose

This standard describes the options and associated responsibilities regarding administrative

reviews and hearings related to license application denials and license denials resulting from

examination failures. This standard also addresses license re-applications after a denial

becomes final.

B. Background

Operator license applicants who are denied the opportunity to take an NRC licensing examination

because they do not meet the eligibility requirements for a license pursuant to Title 10, Part 55,

of the Code of Federal Regulations (10 CFR Part 55) and those applicants who are denied a license

because they failed a written examination or operating test administered pursuant to 10 CFR Part 55

are notified of their denials in writing. The proposed denial letters describe the nature of

the deficiencies noted and inform the applicants of their available response options. Applicants

may reapply pursuant to the provisions of 10 CFR 55.35. However, the NRC will not accept a reapplication as long as a request is pending for either an administrative NRC review or a hearing.

C. Responsibilities

1. Applicant

a. An applicant who does not appear to meet the experience and training requirements

for a license may be asked to provide additional information to the NRC's regional

office in accordance with ES-202, "Preparing and Reviewing Operator License

Applications." 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 on the proposed denial

letter from the regional office:

(1) Do nothing. The proposed denial letter then becomes the final denial. The

applicant may reapply after obtaining the requisite training or experience.

(2) Request reconsideration of the application denial. Applicants must submit

such requests to the Director, Division of Inspection and Re gionaI Support,

Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory

Commission, Washington, DC 20555-0001. If submitting viaprivate

courie" (e.g.i ýFedEx, UPS), ssend y6ourrequest to 11555 Reckvile Pike,

Rockvle Maryland, 2 ,0852, inseaof usin the Washington,' D ,,a adess.,

The applicant's submittal must clearly state the basis for the request.

(3) 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

ES-502, Page 1 of 5
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 submitting via private

courier ,(e.g.,;FedEx,iUPS), send your request to11 555 Rockville Pike,

Rockville, Maha•land', .,20852, insteadof usingcthe Washington, DC,

address.:

b. If an applicant fails the operator licensing written examination or operating test

(or both) and receives a proposed license denial letter issued by an NRC

regional office in accordance with ES-501, "Initial Post-Examination Activities,"

the applicant has 20 days from the date on the letter to exercise one of the

following three options:

(1) 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 on the first denial letter, 6 months after the second denial,

and 24 months after each successive denial.

(2) 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 Inspection and Regional Support, Office of Nuclear Reactor

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

20555-0001. If submitting via private courier (e.g., Fed Ex, UPS), send

your request to 11555 Rockville Pike, Rockville, Maryland, 20852, inste-a 'd

Of using the Washington, DC, address. If the applicant submits such a

request, the NRC will not consider a re-application 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 the NRR operator licensing program office within 20 days after

the date on the proposed denial letter.

If the NRC 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 NRR operator

licensing program office sustaining the proposed denial. In addition,

the applicant must submit the hearing request in accordance with

Section C.1 .b(3), below.

If the applicant does not request a hearing when the NRR operator

licensing program office sustains the proposed denial, the proposed

ES-502, Page 2 of 5
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.

(3) 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. if

submitting via private courier (e.g., FedEx', UPS), send your request to.

1,1555 Rockville Pike, Rockville., Marya,205,itaouig h

Washingto.n, DCaddresss. (Refer to 10 CFR 2.302 for additional filing

options and instructions.) If the applicant requests a hearing, the NRC

will not consider a re-application pursuant to 10 CFR 55.35 until the

denial is final.

2. Facility Licensee

a. The NRC may ask the facility licensee to provide reference materials, technical

support, and (if the facility licensee prepared the examination) 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 asked the NRC

to reconsider a proposed denial of an application or license.

b. If the facility licensee prepared the examination, it should ensure that any written

examination questions that are determined to be invalid (e.g., those that have no

or multiple correct answers) are retrieved from any examination bank into which

they have been deposited and corrected or discarded.

3. NRC

a. The NRC will conduct administrative reviews of Part 55 license application

denials based on eligibility as described in Section D.1, below.

b. The NRC will conduct administrative reviews of Part 55 license denials based on

examination failures as described in Section D.2, below.

c. The NRC will conduct Part 55 operator licensing hearings in accordance with

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

Issuance of Orders."

ES-502, Page 3 of 5
3. Reference Material

a. The NRC expects the facility licensee to supply the reference materials

requested in the corporate notification letter (see Enclosure 1 to Attachment 2).

The NRC will evaluate the facility's reference materials for adequacy

before the scheduled preparation week, using the "Evaluation Checklist

for Facility Reference Material," Form ES-601-2.

b. The NRC reserves the right to prepare the requalification examinations

using the facility's background reference materials if the facility licensee's test

items are inadequate for examination preparation. If the NRC prepares

the examination, the staff may require reference materials comparable to those

listed in ES-201, Attachment 3, "Reference Material Guidelines for Initial

Operator Licensing Examinations."

c. The NRC expects the facility licensee to provide a sample plan that meets

the guidelines of Attachment 3, "Examination Sample Plan," for the NRC's use

in developing the examination.

4. Examination Team Selection

a. The NRC will contribute no fewer than two examiners to the examination team.

The regional office should consider assigning additional examiners if the operating crews

for the dynamic simulator examinations contain five or more operators.

To promote consistency in requalification program administration,

regional office management should try to assign an examiner who participated

in a prior requalification inspection or examination at the facility to be part of

the NRC's examination team.

In most cases, the NRR operator licensing program office will send

a representative to observe the examination process or an examiner

to participate as an additional member of the examination team. The program

office will work with the responsible regional supervisor to make the necessary

arrangements.

b. The facility licensee is expected to provide an employee to work with the NRC

as part of the requalification examination team. The employee must be drawn

from the operations staff, and must be an active senior reactor operator (SRO)

as defined in 10 CFR 55.53(e) or (f). The NRC encourages the facility licensee

to designate another employee from the training staff to be a member

of the examination team. This employee should also be a licensed SRO,

but may be a certified instructor. If the facility licensee desires, and the chief examiner

agrees, the facility licensee may also include additional employees from the operations

or training staffs who have qualifications comparable to the facility's other

examination team members.

ES-601, Page 5 of 36
ES-601 Sample Corporate Notification Letter Attachment 2

NRC Letterhead

(Date)

(Name, Title)

(Name of facility)

(Street address)

(City, State Zip code)

SUBJECT: REQUALIFICATION PROGRAM EVALUATION

Dear (Name):

In a telephone conversation on (date), (Name, title) and (Name, title) arranged to evaluate

the requalification program and licensed personnel at the (facility name). The evaluation

is scheduled for the week of (date). NRC examiners and evaluators from your facility

will conduct requalification examinations, and the NRC will evaluate your requalification program

in accordance with Sections ES-601 through ES-604 of NUREG-1021, "Operator Licensing

Examination Standards for Power Reactors," Revision 9, Supplement 1. You are encouraged

to ensure that your training staff and proposed examinees are familiar with these standards.

For the NRC to adequately prepare for this evaluation, the facility licensee will need to furnish

the NRC with the approved items listed in Enclosure 1, "Reference Material Guidelines."

You are also requested to submit, at your option,, a proposed examination for use

during the examination week. However, if you do submit a proposed examination, -

the personnel participating in its development will become subject to the security restrictions

described in this letter.

Please review the guidance promulgated in Revision 9 of NUREG-1 021 concerning the content

and scope of simulator examination scenarios. The scenario examination bank should cover

the entire spectrum of emergency operating procedures (EOPs), including alternative decision paths

within the EOPs, and it should incorporate a range of failures with various degrees of severity

for the same type of event. Each scenario should contain simultaneous events that require

the senior reactor operators (SROs) to prioritize their actions and to assign particular tasks

to other crew members. Each scenario should also require the SROs to decide when

to make the transition between EOPs and which actions to take within EOPs.

You are requested to designate at least one employee to be a member of a joint NRC-facility

examination team. That employee is expected to be an active SRO [as defined by Title 10,

Section 55.53(e) or (f) of the Code of Federal Regulations (10 CFR 55.53(e) or (f))]

from the (facility name) operations department. You are encouraged to designate a second employee

from the training staff to be a member of the examination team. This employee should also be

a licensed SRO, but may be a certified instructor. If desired and agreed to by the chief examiner,

you may designate one additional employee from the training staff who has appropriate qualifications

to be a member of the examination team. In addition to these individuals, you will need to designate

a simulator operator for scenario preview and validation during the onsite examination preparation

week. In some cases, you may also need to designate a simulator operator during the test item

review period. All of these individuals will be subject to the examination security agreement.

ES-601, Page 19 of 36
ES-601 2 Attachment 2

The NRC restricts any facility licensee representatives under the security agreement

from knowingly communicating (by any means) the content or scope of the examination

to unauthorized persons, and/or participating in any facility licensee programs (such as

instruction, examination, or tutoring) in which an identified requalification examinee will be

present. These restrictions apply from the day that the facility licensee representative signs

the examination security agreement indicating that the representative understands

that he or she has specialized knowledge of the examination. The chief examiner will determine

when a facility licensee representative has received specialized knowledge concerning the examination

and will execute an examination security agreement. In most cases, the examination team members

will not be required to enter into an examination security agreement more than 60 days

before the examination week. The simulator operator will normally become subject

to the security restrictions during the examination preparation and validation week;

however, this may occur as much as 45 days before the examination week.

Sixty days before the examination administration date, please provide the NRC's regional office

with a proposed list of operators, including crew composition, for the examination. The list

should include at least 12 operators, comprising three or more crews, and the current mailing address

for each proposed operator, if different from that listed on the most recent Form 398 submitted

to the NRC. Your training staff should send this information directly to the NRC's chief examiner,

ensuring that each operator's address is sent in a manner to ensure privacy.

The facility licensee may request that the NRC chief examiner or another NRC representative

meet with the licensee managers and the operators to be examined during the examination

preparation week, normally 2 weeks before the examination. However, if the schedule does not

allow them to meet during the preparation week, they may meet at any mutually agreeable time.

The NRC examiner will explain the examination and grading processes and will respond

to any questions that the operators may have about the NRC's examination procedures.

If such a meeting is desired, your training staff should schedule it with the NRC's chief examiner.

The facility licensee staff is responsible for providing adequate space and accommodations

to properly develop and conduct the examinations. Enclosure 2, "Administration of Requalification

Examinations," describes our requirements for developing and conducting the examinations.

Also, a facility operations management representative above a shift supervisor level

should observe the simulator examination process at the site.

This letter contains information collections 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, under approval number 3150-0018, which expires on June,30, 2009.

The public reporting burden for this collection of information is estimated to average 25 hours

per response, including the time for reviewing instructions, gathering and maintaining

the necessary data, and completing and reviewing the collection of information.

Send comments on any aspect of this collection of information, including suggestions

for reducing the burden, to the Information and Records Management Branch (T-6 F33),

U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, or by electronic mail

to bisl @nrc.cov; and to the Desk Officer, Office of Information and Regulatory Affairs,

NEOB-10202, (3150-0018), Office of Management and Budget, Washington, DC 20503.

ES-601, Page 20 of 36
and/or at the proper time, will prevent the system from functioning properly

or preclude successful completion of the task. Form ES-C-1, "Job Performance

Measure Worksheet," or an equivalent facility form should be used to construct

and format the JPMs.

in accordance with 10 .CFR3. 55.-59(a)(2)(ii), requalification 'oper-ating tests ,require

operators and senior operators to demonstrate an understandingof and ability to

perform 1necessary actions. Therefore,; JPMs selected for the walk-through

examination shall not test solely for simple recall or memorization. Altho u gh it

was written in a style to address written examinations, refer to ES-602,

Attachment 1, "Guidelines for Developing and Reviewing Open-Reference

Examinations," when preparing JPMs as well. Although an operating test does

not require every JPM to be alternate path or demonstrate detailed system

understanding, simple one-step JPMs or JPMs that only require directly looking

up the correct answer are not appropriate. JPMs that incorporate the testing of

immediate action steps from memory are acceptable. However, JPMs shoulId

not solely test immediate action steps, and should includletesting ad-ditionralI

,steps o~r items that are not from memory.

The majority of the JPMs selected for the walk-through examination will cover

topics from the most recent requalification training cycle. In addition, the facility

is expected to create at least 10 new JPMs each year until they have a JPM bank

that is representative of Sections C.1.a and C.1 .b of this examination standard.

The NRC anticipates that a facility's bank will comprise approximately

125-150 JPMs; however, the exact number will depend on the facility's JTA.

New JPMs should generally be based on recent requalification training,

industry events, facility changes, and tasks for safety-significant systems.

e. The NRC staff expects each facility to develop "time-critical" JPMs to evaluate

time-critical tasks identified in the facility's JTA for each licensed position.

To facilitate the selection of time-critical JPMs for the requalification examination, the

facility licensee is expected to uniquely identify these JPMs. To successfully

complete a time-critical JPM, the operator must perform the "time-critical" steps

within a pre-specified time period, in addition to successfully performing

all of the critical steps that are not time-critical. The time period identified

in the time-critical JPM should be based on a regulatory requirement

or a facility commitment to the NRC.

f. The NRC staff also expects each facility to develop "alternate-path JPMs"

and include them in the JPM bank. To facilitate the selection of alternate-path JPMs

for the requalification examination, the NRC staff expects the facility licensee

to uniquely identify these JPMs. Appendix C provides guidance for use in

developing these JPMs.

2. NRC Examination Team Members' Responsibilities

a. The NRC's examination team will review and approve the JPMs selected

by the facility. The majority of the selected JPMs should be based on

the systems covered during the most recent requalification cycle. However,

the facility should also select JPMs in systems that are important to safety,

regardless of when they were reviewed in requalification training.

ES-603, Page 3 of 7
ES-605

LICENSE MAINTENANCE, LICENSE RENEWAL APPLICATIONS,

AND REQUESTS FOR ADMINISTRATIVE REVIEWS AND HEARINGS

A. Purpose

This standard describes the requirements for maintaining an NRC operator's license

and the procedures for processing license renewal applications, licensed operators' requests

for administrative reviews and hearings in connection with 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 application.

The staff developed this standard to establish the procedures for processing operators' renewal

applications and requests for administrative reviews and hearings regarding the denial

of renewal applications resulting from failures of NRC-conducted requalification examinations.

C. License Maintenance

1. Regualification Training and Testing

a. Title 10, Section 55.53(h), of the Code of Federal Regulations [10 CFR 55.53(h)]

imposes a condition that requires licensed operators to complete a requalification

program as described by 10 CFR 55.59; the requirement applies to all operators,

even if they do not maintain watch-standing proficiency pursuant to 10 CFR 55.53(e).

10 CFR 55.59(a)(1) requires licensed operators to successfully complete a

requalification program not to exceed 24 months in duration, and 10 CFR

55_.59(c)(1) requires the reequalification program to'be conducted for a continuous

period not to exceed 2-years. To keep from exceeding the.24 month/ 2, year

duration requirement` a`•requalification program mus`t becompleted within the anniversary monhth `of-the ,second year. For example,,.if 'a ,licensed operator

requalification program was started on June 1, 20041, the facility licensee would

have until June 30, 2006, to complete the program to-:ensure compliance with

10 CFR 55.59(a)(1) and: (c)(1).

Unde•r`160FR 55:59(a)(2), jicensed .operators must pass a comprehensive

requalification written examination as part of a 24-month requalification program;

therefoie', the exam must occur during the requalification program, rather than

after its completion. Although the comprehensive written examinations are

generally conducted on the same 24-month frequency, their timing can be adjusted

somewhat near the end of the 24-month program to account for outages and

other events, thereby resulting in some longer testing intervals if an examination is

advanced during one 24-month program cycle and returned to its normal timing

during the following cycle. Thus, the interval between the administration of

successive comprehensive written requalification examinations may exceed 24

months for individual licensed operators. As long as a licensed operator successfully

ES-605, Page 1 of 15
If the regional office approves the temporary suspension, it will amend

the operator's license to prohibit the performance of licensed duties

during the reassignment. The regional office will also confirm its expectations

regarding the operator's return to licensed duties and the need for the facility

licensee to certify when the actions have been completed. These expectations

will be documented in a letter to the facility licensee with a copy to the operator.

The regional office shall refer situations outside the specified parameters

to the NRR operator licensing program office for evaluation.

2. Proficiency Watches

a. In accordance with 10 CFR 55.53(e), licensed operators are required to maintain

their proficiency by !!actively performing the functions of an operator or senior

operator' on at least seven 8-hour or five 12-hour shifts per calendar quarter.

This requirement may be completed with a combination of complete 8- and 12-hour

shifts (in a position appropriately credited for watch-staanding proficiency as

discussed below.,equred by the plant's tehnal speife,.tons) at sites having a

mixed shift schedule, and watches shall not be truncated when the operator

satisfies the minimum quarterly requirement (56 hours). Overtime may be

credited if the overtime work is in a position appropriately credited for watchstanding proficiency. re qured by the plant's.techn'ical specif"cations. Overtime

as an extra "helper" after the official watch has been turned over to another

.watchstander does not count toward proficiency time.

b. In accordance with 10 CFrR 55. '4, "'actively performing the functions of an

operator [RO] or senior operator [SRO]" means that an individual has a posifion

on a shift crew that requires the individual to be licensed as defined in t~he

facility's technical specifications. Watch-standing proficiency credit may also be

appropriate for-certain licensed RO or SRO shift crew positions that are in

excess of those required by a facility's technical specifications. However, in"

order to credit watch-standing proficiency for such excess positions, the facility licensee shall have in place the follown poeural administrative controls:

(1) Adlist of all the licensed shiftwcrehw positions, including title, descripion of duties, and indication ofwhi-h ýposiion are ,r'equired~by techica

specifications.

(2) For eachshift crew position :inexcess of those required by technhical

specifications, a description of how the position is meaningfully and fully

engaged :in thefunctions and duties of the' analogous ýminimum licensed

position(s) required by technicalispecifications. For, examiPle, dual unit

facility with. a common control room 'where technical specifications require

two'SROs pber shift, could credit watch-standing prof icien~cy for three

S ROs per, shift, with one SRO responsible for overall plantodp.eration and

the other .two SROseah~ responsible:for the61ýcommand and cOntrol of a

single unit. In this case, the thi-d SRO wou•d be entitled to watchstanding. proficiency credit, ;because. he ýor she is performin'g duties

analogous to the second-,SRO ý(who is required by technicaI

ES-605, Page 3 of 15
specifications). could "SimiIarly, Ia &,dual unit facility witht a, common controi room credit watch-7"tandingd"proficiency for fo'ur- ROs I.(two per unit) per

Shift, at a ffacility where technical-specifications require only thrbee ROs, if

the fo urth RO is performing duties analogous to theJ third ROU kwho is

required by. technical specifications)....

ifa facility cannot UStifyas~ex~p~laied .abo-ve, crediting watch-standing

proficiency for shift crew positions in excess of t6chnical specifications, or does

not implement administrative controls as desc ribed above, then an individual who

stands watch in an excess position shall not •receive proficiency credit.'. In order

to maintainan active license under such circumstances, each licensed individual

would . have to rotate into a licensed shift crew position required by technical

specifications for the minimum of seven 8-hour or five 12-hour shifts per

calendar quarter, with sufficient administrative controls to document those

activities..

Facility licensees that are uncertain if their shift crew positions in excess of those

required by technical specifications qualify for watch-standing proficiency credit

should contact their NRC regional office.

c. It is permissible for an individual with an SRO license to maintain only

the RO portion of his or her license in an active state by performing the functions

of an RO for a minimum of seven 8-hour or five 12-hour shifts per calendar quarter

pursuant to 10 CER 55.53(e). Moreover, an inactive SRO may reactivate

only the RO portion of his or her license, pursuant to 10 CER 55.53(f)(2),

by completing a minimum of 40 hours of shift functions, including a plant tour,

under the direction of an operator and in the position to which the individual

will be assigned. However, the fact that an SRO license holder is routinely

standing watches only as an RO does not maintain his or her proficiency as an

SRO. Therefore, before such an SRO can resume duties that require an SRO

license, he or she must reactivate that portion of the license, pursuant to 10 CFR

55.53(f)(2), by completing a minimum of 40 hours of shift functions, including a

plant tour, under the direction of a senior operator and in the SRO position to

which the individual will be assigned.

d. To R maintain 'the supervisory portion f a SR iceInse active, a SIR0 must s tand

atcleast one complete watch (8- or 1.2-houreshift) iper calendar quarter in a shift

crew. positionicredited e for SRO-only sutpeorvisory. licensed duties. The.'remainder

ofl comrherplEtenw.atches,(t meet the requiretdma rinimumr ofseven 8-hour 6r:five 12-

hour shitspe calendar quarter) mT:aysbefd performetio n either a credited SRQ .o.r

RO position. A SRO may stand all-of his or her required watches in credited

SRO-only, supervisory positions, and the RO ..portion of the license will, still be

considere6dactive. Similarly, for a ýSRO,:to reactivate the supervisory, portion -of

his or'her SRO license, pursuant to 10 CFR 55.53(f)(2), a SRO must complete a

mninim um of 40 hours of shift functions, ,inclulding ,a ,plant tour, under the'.direction

Of ýa SRQ in a credited SRO-only supervisory position. A SRO who reactivates

his or her license in this manner automa ticially. reactivates the RO portion of& the

license; ýan -additional -40-hours of u~nder-direcotion" wat'chýe~s ýin a credited :RO

positi~on is not required.

ES-605, Page 4 of 15
e. Individuals who ,are iicensed on two (or..more) :similar units, at a.facility"are nhot required !to-establish pro'ficiency on each of thesimilar units unless they.hold a

separate litcese on each unit.":* Performing the required seven' 8-h ur orfive 12-

hour shifts of watch-standing percalendar quarter on a single unit maintains the

license active for all similar units identified on the:license. Similarly, .individuals

who arbeliiensed on two (or more)'similar units at a facility are not required to

reactivate their license on each of the sim~ilar units identified on the license.

Performing the required 40 hoursof tunder-direction watches on a single unit

reactivates the license for all similar ,units at-a.4 facility,.

f'. In addition tothe under-direction watch,ýbequirementsiscussed iabovethe

followinmgalso ap.plyto license reactivation :pursuant to 10 CIFIR 55.53(f)"

T he 40 ho urs of under-direction wateches required by 0 CFR 55.58(f)(2)

shall only be credited for standaingwatches inea RO or SRO position

appropriately credited for maintaining license proficiency. It is not

appropriate to credit reactivation watch hours while under the direction of

an active license holder who is standing watch in an "extra" or nolncredited position.

When performing under-direction watches, only one under-direction

watch 'stander shall be assigned to an active license holder. Given that

the inactive operator is required to complete (not just observe) 40 hou rs

of shift functions, it would not be appropriate to divide under-direction

watch functions among multiple individuals.

-the 40 hours of under-direction watches for license reactivation do not

need to occur in complete shifts or be completed on consecutive days.

All 40 hours must occur within the same calendar quarter, and at least

one complete on-coming shift turnover and one complete off-going shift

turnover must be performed while under the direction of the active license

holder.

cAl V401hcurs of under-directhlou6in watches do not need to occur rlthe in 

control room; they may be performed e wherever the duties oflthe credited

licensed position are perforrmed.;,fe

*The' 40 hours of under-diriection 6'watc hes must include at le ast one

Complete plant tour. Sinceit is- a"partof the 40 hours of undler-dlirection

watches, the plant tour must be peerformhed under the direction of an

active license holder. Although the regulations do not define the scope of

a complete plant tour, the NRC 'expec6ts -that this tour will 'include, all

readily accessible major areas otthe plnt inldn ra ht:., (1)are

routinely toured by in- plant operators, (2) contain safety-related

equipment, and (3) contain structures, ýsystem-s and components

governed by the N RC's. maintenance -rule ý(110 CFR 50.65)'. If a ,fac~ility

has developed a checklist of areas to-tour, it is generally inappropriate to

skipplant areas and mark the items as ",non-applicable; 1unless there is

sufficient iustification (e.g., a, personnel or radiation hazard).

ES-605, Page 5 of 15
g. The regulations does not include provisions for SROs who are limited to fuel handling

(i.e., LSROs) to maintain proficiency between refueling outages. Consequently,

unless such LSROs are licensed on multiple units that have refueling outages

during successive calendar quarters, they would generally have to reestablish

proficiency by standing an "under-direction" watch pursuant to 10 CFR 55.53(f)(2).

Ideally, such a watch should be performed primarily in the fuel handling area

during refueling operations [i'e., at a time when the presence of a senior operator

is required pursuant to 10 CFR 50.54(m)(2)(iv)]. This would clearly meet

the requirements of 10 CFR 55.53(f)(2), which mandates that the licensee

must complete one shift of shift functions under the direction of a senior operator

in the position to which the licensee will be assigned, as well as the definition

of actively perform the functions of a senior operator (in 10 CFR 55.4),

which requires that the licensee must fill a position on the shift crew that requires

the individual to be licensed and to carry out and be responsible for the duties

covered by that position. This also ensures that the trainee's activities

are adequately supervised.

However, given the infrequency and short duration of shift functions

that require the presence of an LSRO on the refueling floor, it may not

always be practical for a facility licensee to delay its LSRO reactivations

until those shift functions are actually underway. In such instances,

the facility licensee can satisfy the intent of the regulation by implementing

a reactivation program that specifies, in detail, the refueling tasks, activities,

and procedures that an LSRO must satisfactorily complete or simulate

in order to demonstrate watch-standing proficiency. Moreover, such a program

shall exercise positive control to ensure that the LSRO completes the

required tasks, activities, and procedures within a reasonable period of time

(ideally, no more than 1 week) before he or she is assigned to supervise

refueling shift functions.

To properly reactivate an LSRO license in accordance with 10 CFR 55.53(f),

the individual should stand a watch under the direction and in the presence of

an active SRO or LSRO, who will directly oversee the trainee's activities,

provide feedback as appropriate, and enable an authorized representative

of the facility licensee to certify that the operator's qualifications are current

and valid, as required by 10 CFR 55.53(f)(1). Permitting trainees to perform

self-directed activities on the refueling floor eliminates the opportunity

for meaningful feedback, thereby casting doubt on the validity of the resulting

certification. The NRC's requirements regarding the conduct of under-instruction

or training watches are reflected in 10 CFR 55.13, which allows trainees

to manipulate the controls of a facility "under the direction and in the presence

of a licensed operator or senior operator..." This position is also evident

in the responses to Questions 252 and 276 in NUREG-1 262, "Answers to Questions

at Public Meetings Regarding Implementation of Title 10, Code of Federal

Regulations, Part 55 on Operators' Licenses," which indicate that a trainee's

activities are to be closely monitored by the responsible person.

If a facility licensee needs to reactivate a regular SRO license for the purpose

of supervising refueling activities, the operator must complete one shift

under direction on the refueling floor, as discussed above, and the facility licensee

ES-605, Page 6 of 15
a. If, during the term of the license, an operator is temporarily unable to meet

medical standards but is expected to meet those standards again in the future,

the facility licensee may administratively classify that operator's license

as "inactive" or require compensatory measures,: such astaking any medicatio0ns

as prescribed ,during the:temporary period, tiomaintain medical qualifications, or

impose other operating restrictions to accommodate the operator's medical

condition until the operator is once again certified to meet all medical standards by

the facility licensee. Similarly, if the operator's medical condition precludes the

operator from completing the requalification training program pursuant to 10 CFR

55.59(a), the facility licensee shall administratively control the operator's activities

until he or she completes the requirements of 10 CFR 55.59(b),

"Additional Training," including notification of the NRC.

The facility licensee need not notify the NRC nor request a conditional license

concerning an operator's temporary disability, i.ncpluding the temporary use of

prescribed medications, provided that the facility licensee administratively prevents

the operator from performing licensed duties or otherwise compensates or

restricts the operator, as appropriate, throughout the period of his or her

temporary. disability. If the disability extends beyond the date of license expiration,

the operator may apply for timely license renewal in accordance with 10 CFR

55.55(b) and 10 CFR 55.57(a). In that event, the facility licensee should

document the nature of the operator's temporary disability on the medical

certificate and submit a revised certificate to the NRC after the physician

determines that the operator meets the requirements of 10 CFR 55.33(a)(1).

The NRC will not renew the operator's license until the staff finds that all of the

conditions specified in 10 CFR 55.57(b) are satisfied.

b. If the facility licensee determines that an operator's medical condition

is permanently disqualifying in accordance with ANSI/ANS-3.4, the facility licensee

shall notify the NRC within 30 days of learning of the diagnosis (see 10 CFR

50.74 and 55.25). if an operator develops a permanent medical condition that is

nh ot identified in ANSI/ANS-3.4, but the examining physician believes that it could

affect the operator's performance or cause operator. errors, then it would be

prudent to report it to the NRC or at least contact the NRC to inquire whether it

.Should be reported.

While most of the medical c'ondition's/disabilities' identified in ANSI/ANS-3.4,

including those that result in.failure to meet the minim~um requirements for

medical qualification, are likelyto be permanent, th~e~examining physician is

responsible for evaluating, each op erator's medical condition ion acdaise-by-case6

baisndassess in g whether the operator Wil IFbbeipable of mreeting medical

standards in the foreseeable future". For ,ex'am'ple, ý,thefa'icility licebns'ee should

repor~t to the NRC a con~dition for an ýoperaýtor ýwho ,-t'akes -medication to meet the

minimum standard ~for blood poress~ure,(i.e., les"s ,,than ,or -equal to ,1 60/1,00

mm"Hg), unless the physician has, reasonableemndta the codton ow-ill

be controllable without medication in the foreseea-blefuture. IJn-addition,; many physicia~ns prescribe blood pres'suibemedication pr~iot toa~n inhdividual reaching'

the" 1160/100O mmHg limit, ýand',fa~cility licen- se es , should ,consider ,repo~rting this to

the ýNRC-as well.,

ES-605, Page 8 of 15
When reporting a permanent disqualifying medical !condition, if a conditional

license is requested, the facility licensee shall provide medical certification and

evidence on NRC Form 396 and recommend the exact wording of any license

restriction that might be necessary. A permanent disqualifying condition is always

reportable, even if it is being controlled and regardless whether the compensatory

measures are recognized in the applicable version of ANSl/ANS-3.4.

c. In accordance with 10 CFR 55.33(b), if an operator's medical condition

does not meet the minimum standards under 10 CFR 55.33(a)(1), the NRC

may condition the license to accommodate the medical defect. The NRC

will consider the recommendations and supporting evidence provided on or with

NRC Form 396 in determining the appropriate license condition. The following

medical restrictions/conditions are illustrative but not all-inclusive:

An operator may be required to wear corrective lenses while performing

licensed duties if his or her vision does not meet medical standards.

An operator may be required to wear a hearing aid while performing

licensed duties if his or her hearing does not meet medical standards.

An RO who is at risk of sudden incapacitation may have a no-solo

restriction that requires another licensed operator to be in view

when the restricted operator is performing control manipulations,

and someone capable of summoning assistance to be present

at all other times while the restricted operator is performing licensed duties.

The analogous SRO restriction would require another licensed operator

to be in view when the restricted operator is performing control

manipulations, and another senior operator to be present on site

at all other times while the restricted operator is performing SRO licensed duties or

someone capable of summoning assistance to be present at all other times while

the restricted operator is performing RO licensed duties. For LSROs, the nio-ol

restriction wouljd require someone capable of summoning assistance to be in view

when the restricte~d LSRO is performing licensed LSRO duties.ý

* An operator may be required to take medication as pr ibea, ifanoprtorS

media qualific'athion iscntingent ,on taking p prsription medicaibon.

An operator whose medical condition is acceptable but unstable

may be required to submit followup medical status reports

(i.e., prognosis, treatment, and ability to perform licensed duties)

at 3-, 6-, or 12-month intervals.

* An operator with respiratory problems may be restricted from

performing licensed activities that require the use of a respirator.

d. WYith regard to prescription medications, it is important thatthe examining

physician un derstand 'what medical conditions are contained in the applicab Ie

version of ANSI/ANS-3.4. For example, the fact that a licensed operator is

diagnosed with gastroesophageal (acid) ref lux disease and placed on th 'e

appropiate epreschiption medication would, in all likelihood, not be reportable to

the NRC, isince this condition is not addressed in ANSI/ANS-314. Howeverý;,when

assessing any prescrption medication, the examining physician needs to

consider (1) the possible side effects of the medication, to ensure6thatthey- will

ES-605, Page 9 of 15
not cause operational errors or affect the operator's capacity to safely perform

li~ensed duties; and (2),any delay.in taking a ;medication that might be expected

to0re-sult ijn .the :incapacity.of the operator:.

inadditionh',the actual wording of the ilicense condition regarding medication" will

not s•pecify a particular medicallc.ondition'or medication., .but it.will•simply state

that the operator must "take imedicati0n as prescribed."' Therefore,' physicianprescribed changes in medication or, dosing•,f6or an existing medical co0ndition are

not required to be reported to the NRC, unless the examining physician believes

the operator's medical'condlition has become unstable '(theref ore requiring

fo'llowup medical status reports to the NRC) or` that the operator requires a nio-'

s6lo license restriction. However, any new permanently disqualifying medical

condition (s), requirinrg pew medication(s), must be reported to the NRC.

Facility licensee's do not need to submit a revised NRC Form 398 for operators

with existing medical conditions simply because NRC Form 398 has recently

been changed to include medications. If an operator is currently prescribed

medication for an existing medical condition, the revised NRC Form 398 should

be submitted the next time that operator's license is due for renewal, and marked

to indicate that the license will be conditioned to require taking medication as

prescribed. A new NRC Form 398 would also- be -required if the operator

develops a new permanent physical or mental condition reportable under r10

CFR 55.25.

4. Downgrading an SRO License

If a facility licensee desires to permanently downgrade the license of a senior operator at the

facility, it may do so by submitting a written request to the NRC regional office.

In such instances, the NRC regional office will (1) amend the license to restrict

the operator's activities to those authorized for a reactor operator under 10 CFR Part 55;

(2) condition the license to prohibit the operator from directing the licensed activities

of licensed operators; and (3) inform the operator and facility in writing that the license

will not be subject to renewal under 10 CFR 55.57 and that a new application

(NRC Form 398) will be required pursuant to 10 CFR 55.31 if the operator desires

to maintain an RO license upon expiration of the amended SRO license.

The expiration date of the original license will not change, and the operator

may transition to the RO requalification program upon receipt of the amended license.

ES-605, Page 10 of 15
D. License Renewal

1. An operator who wishes to renew a license must comply with the requirements

of 10 CFR 55.57(a), as follows:

a. The operator will complete NRC Form 398, including the operator's experience

under the current license, the approximate number of hours that the operator

spent on operating shifts, and the date and results of the applicant's most recent

requalification written examination and annual operating test. The senior

management representative on site shall provide evidence that the operator

has safely and competently discharged his or her license responsibilities

and satisfactorily completed the facility's approved requalification program

by checking Item 19.c and signing in the designated space on Form 398.

b. The facility licensee must certify on NRC Form 396 that a physician

has performed a medical examination within the previous 2 years, as required

by 10 CFR 55.21 and submit that form along with NRC Form 398.

c. The operator must submit NRC Forms 396 and 398 not less than 30 days

before the expiration date of the license. In accordance with 10 CFR 55.55(b),

if the operator files a proper application for renewal at least 30 days before

the date of expiration, the license shall not expire until the NRC has denied

the application for renewal or issued a new license. If the application is received

more than 60 days in advance, the regional office should contact the facility

licensee to determine whether it would prefer to have the license renewed

immediately with a new effective date (the license will not be predated,

nor will it exceed a 6-year license term) or to resubmit the application

within the 60- to 30-day window preceding the expiration date.

If an operator is waiting to be given a reexamination after failing a requalification

examination, the operator should still make timely application for license renewal

under the provisions of 10 CFR 55.55(b).

The NRC's regional office may allow for transit time and accept a license renewal

application that is received 25 days before the license expiration date,

provided-that all signatures on NRC Forms 398 and 396 are dated before

the 30-day timely renewal cutoff date. The submittal will not be considered timely

if it is received less than 25 days before the date of license expiration

unless positive evidence of receipt (e.g., postmark or docketing stamp)

from the U.S. Postal Service or the NRC is available. If the application

is received less than 25 days before the date of license expiration and too late

for processing in the regional office, the license shall expire on the expiration date.

The regional office may then issue a new license when it has finished

processing the application.

d. If t~e license for a RO expireso hile he or sheiS participating in the facility

licensee's SRO upgrade training program, NRC Forms 396 and 398 should still

be submitted for timely renewal of the RO license'. However, if the RO is not

current in the facility's requalification training and testing program, because heor

she is attending SRO upgrade -training, NRC Form 398r must note the exception

ES-605, Page 11 of 15
in block 17, "Comments,;"•and the operator must be administratively restricted

from performing licensed duties until.the individual is uP4o-date in.the

requalification program..

e. Pursuant to 10 CFR 55.5, "Communications," facility licenseesmay.submit

these forms:to the: NRC by mail, in person, ,or, -where practicable,. via electronic

information exchange (EIE) oro n ,CD-DROM. Electronic submissionsmust be made in a manner-that enables ,the- NRC to receive, read, authenticate, distribute,

and archive the submission,.and'prcss and :retrieve •it one ?page at'a .time.

Detailedguidance on making electiroric submissions can be obtained' !by visiting

the NRC'spublici Web site at httip//www.nrc.tiov/site-he p/e-submittals.htm,;

calling g(301).;415-,6030, sending an email message to EIE@rnrc.@nQ, or wrirtingýto

the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission,

Washington, DC 20555-000l. Forms that have only a single signature, such as

NRC Form 396, may be submitted electronically using an electronic digital

signature. However, forms with multiple signatures, such as NRC Form 398,;

must rely on handwritten optically scanned signatures, because'of the, limited

digital signature capability of 'the BIE system. 'For any textual documents

submitted in an optically scanned format, please note that Searchable Image

(Exact) PDF is required to preclude :optical character recognition errors. When

sending forms via EIE, facility licensees are encouraged to follow up with a

phone call or e-mail message to the operator licensing assistant in the regional

office to ensure the forms are received.

f. After reviewing the renewal application, the NRC's regional office may ask

the operator or facility to provide supplemental information. The operator

or facility must forward the requested supplemental information

to the regional office within 20 days.

If an applicant for renewal declines to provide the supplemental information

requested by the NRC's regional office, or if the regional office concludes,

after reviewing any additional information supplied by the operator,

that the application is still inadequate for license renewal, the regional office

will notify the operator in writing that the renewal application is denied.

The operator may then exercise one of the following options within 20 days

after the date of the proposed denial letter from the regional office:

(1) Do nothing. The denial will become final 20 days after the date of

issuance, and the regional office will inform the facility licensee and the

operator in writing that the license has been terminated.

(2) Request reconsideration of the application denial. Applicants must

submit such requests in writing to the Director, Division of Inspection and

Regional Support, U.S. Nuclear Regulatory Commission, Washington, DC

20555-0001. If submitting via private courier (e.g., FedEx, UPS). send

your request to 11555 Rockville ,Pike, Rockville., Maryland, 20852, instead

oftusing the .Washington, DC,ý address. Requests for informal reviews by

the NRC shall list the items for which the applicant is requesting additional

review and include documentation supporting the contentions made by the

operator. The package containing the review request and supporting

ES-605, Page 12 of 15
documentation must be mailed or delivered within 20 days of the date of

denial.

(3) 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 for

additional filing options and instructions.) If submitting via priva , te courier

(gFedEx, UPS) sendyour request to 151555 okville Pike, R'9ckville,

Maryland,`20852, instead of utsing t~heWashingtoni,.DQ', address.

2. Upon receipt of a renewal application, the NRC regional office may take the following

actions, as appropriate:

a. Review the application and issue the license renewal if the staff finds that

the applicant satisfies the conditions in 10 CFR 55.57(b). There is no minimum

number of hours that the operator has to operate the facility in order to qualify

for license renewal (i.e., inactive licenses are also renewable). However,

the regional office should take the applicant's operating history into consideration

as an additional piece of information if any of the requirements of 10 CFR 55.57(b)

are not met.

A RO license renewal application received from a RO who has not completed the

facility licensee's requalification program, as required by 10 CFR 55.57(b)(2)(ii)

and (iii), because he or she is participating in the facility's SRO upgrade training

program, will be renewed if all other requirements are met. No waiver is required.

,Although attending SRO upgrade, training will largely f ulf ill the requalif ication

training requirements, the facility licensee would, nevertheless, be expected'to

administratively restrict the operator's duties until his or her qualifications and

status are certified to be current. .The NRC regionaloffice will follow up on the

facility licensee's administrative conptrols during perioddic requalif ication program

in~spelct~ions..

b. If the renewal applicant does not meet the requirements of 10 CFR 55.57,

the regional office shall inform the facility licensee of the deficiencies

and request any supplemental information that the staff might require

to make a relicensing decision. If, after evaluating the supplemental information,

the regional office still concludes that the applicant does not meet

the requirements for license renewal, the staff will issue a proposed denial letter

to the operator (with a copy to the facility licensee).

c. If the operator requests informal reconsideration of the application denial

or a hearing, the regional office will review the operator's request

as directed by the NRR operator licensing program office. The NRR operator

licensing program office will inform the operator, in writing, of the outcome of the

review.

E. NRC-Conducted Requalification Examination Results

1. Passing an NRC-Conducted Regualification Examination

ES-605, Page 13 of 15
a plant-referenced simulator, in administering the operating test under

10 CFR 55.45(b)(1) or (3).

2. NRC Regional Office

The NRC's regional office is responsible for the same activities specified

in the unrestricted ESs, with the following exceptions and modifications:

a. The regional office should generally conduct the LSRO examinations during

a time when the fuel handling equipment will be available for the operating tests.

b. With the concurrence of the NRR operator licensing program office, the regional office may issue LSRO licenses that are valid for units

at more than one site, provided that the units are manufactured by the same vendor

and are of similar design. The applicant must pass an examination that addresses

the differences in the design, procedures, technical data, and administrative

controls of the separate facilities for which the license is being sought.

c. The scope, content, administration, and grading of the written examination

and operating test shall be as described in Sections D and E, below.

d. The regional office shall coordinate with the NRR operator licensing program office

regarding approval to use the plant or a simulation facility, other than a plantreferenced simulator, in administering the operating test under 10 CFR 55.45(b)(1) or (3).

D. Written Examination Instructions

1. Preparation

The NRC's written LSRO examination should meet all of the guidelines and requirements

for question construction, quality, and facility reviews specified in ES-401, "Preparing

Initial Site-Specific Written Examinations," and Appendix B, "Written Examination

Guidelines," except as noted below:

a. Develop the examination outline as described in Section D.1 of ES-401,

with the following exceptions and clarifications:

Instead of using the RO and SRO models in ES-401, use Form ES-701-1 or

Form ES-701-2, as applicable to the facility, and Form ES-701-3 to develop

the examination outline. As with the unrestricted examinations, topics that are

not applicable to LSROs at the subject facility should be eliminated in

accordance with Attahmemt 2- Section DA •offES-401. Given the large

number of knowledge and ability (K/A) statements that will not apply

to LSROs, it may be advantageous to pre-screen the K/As as discussed in

Item 4 of that Attachment. When reviewing K/As for elimination,

ES-701, Page 2 of 18
do not focus only on the fuel handling equipment; rather, focus more broadly on

the knowledge and abilities that an LSRO would need to support

safe operation during fuel handling. If the facility licensee's JTA identified

other LSRO-relevant components, systems, and evolutions that are not

included on Form ES-701-1 or ES-701-2, those items must be added to the

appropriate tier of the outline before beginning the random selection

process. Additional instructions are noted on the forms.

Section D.1 .c of ES-401 is not applicable to the LSRO examination.

Use Form ES-701-5, "LSRO Examination Outline Quality Checklist,"

instead of Form ES-201-2 when reviewing the examination outline.

b. Select and develop questions as described in Section D.2 of ES-401,

with the following exceptions:

Construct the LSRO written examination so that a competent applicant

can complete the examination in 2.5 hours. (The applicants will be

allowed 4 hours to complete and review the examination.)

Between 50 and 60 percent (20 to 24) of the LSRO examination questions

shall be written at the comprehension/analysis level.

Reactor theory, component, and thermodynamic questions that directly

relate to the LSRO JTA may be selected from prior GFE examinations.

Section D.2.d of ES-401 is not applicable to the LSRO examination.

Limit the use of bank questions to no more than 30 and include at least

4 new questions on every examination; the remaining 6 examination

questions may be new or significantly modified from the facility licensee's

or any other bank. All questions developed must be relevant to the

LSRO function. To be considered a significantly modified question"

at least one pertinent condition in the stem and at least one distractor must

be changed from the original bank question. Changing the conditions

in the stem such that one of the three distractors in the original questio-n,

Ibe comes the' correct answer would also be considered a significant

modification.

If the examination will be used to license the applicants at more than one

facility, ensure that it adequately covers all of the applicable units.

An examination developed for the purpose of cross-qualifying a licensed

LSRO at another similar facility may focus exclusively on the differences

between the facilities.

c. Review and assemble the examination as described in Sections D.3, D.4, and E

of ES-401, using Forms ES-701-6 and ES-701-8 instead of the equivalent forms

in ES-401.

ES-701, Page 3 of 18
ES-701 LSRO BWR Written Examination Outline Form ES-701-1

Facility: Date of Exam:

K/A Category Points

Tier K1 K2 K3 K4 K5 K6 Al1 A2 A3 A4 G Total

Emergency 1. & II ::: 110•I,:, 

Abnormal Plant : I

Evolutions _.._ ______

2.

Plant 20

Systems

3. Generic Knowledge and 1 2 3 4 GFE

Abilities Categories 10

Note: 1. Ensure that at least one topic from every K/A category is sampled within each tier.

2. The point total for each tier in the proposed outline must match that specified

in the table. The final point total for each tier may deviate by ±1 from that specified

in the table based on NRC revisions. The final exam must total 40 points.

3. Select topics from many systems and evolutions; avoid selecting more than

two K/A topics from a given system (except fuel handling equipment)

or evolution (except refueling accident).

4. The shaded areas are not applicable to the category/tier.

5* The generic (G) K/As in Tiers 1 and 2 shall be selected from Section 2 of the

K/A Catalog, but the topics must be relevant to the applicable evolution or system.

6. If the applicants have not previously taken the GFE, Tier 3 shall include basic reactor

theory, component, and thermodynamic topics that apply to fuel handling operations.

7. Systems/evolutions within each tier are identified on the associated outline.

Enter the K/A numbers, a brief description of each topic, the topics' importance

ratings (IR) for the SRO license level, and the point totals (#) for each system

and category. Enter the tier totals for each category in the table above.

8. For Tier 3, select topics from Section 2 of the K/A catalog, and enter the K/A

numbers, descriptions, importance ratings, and point totals (#) on Form ES-701-3.

9. Refer to ES-401, A~taeh tet'itS~ctionh•,tD.1, for guidance regarding the elimination

of inappropriate K/A statements. The facility licensee's JTA for fuel handlers

should be used as the basis for eliminating or adding testable topics.

ES-701, Page 7 of 18
ES-701 LSRO PWR Written Examination Outline Form ES-701-2

Facility: Date of Exam:

K/A Category Points

Tier K2 K3 K4 K5 K6 Al A2 A3 A4 G Total

1.~

Emergency & I II 10

Abnormal Plant

Evolutions

2.

Plant 20

Systems

3. Generic Knowledge and 1 2 3 4 GFE

Abilities Categories 10

Note: 1. Ensure that at least one topic from every K/A category is sampled within each tier.

2. The point total for each tier in the proposed outline must match that specified

in the table. The final point total for each tier may deviate by ±1 from that specified

in the table based on NRC revisions. The final exam must total 40 points.

3. Select topics from many systems and evolutions; avoid selecting more than

two K/A topics from a given system (except fuel handling equipment)

or evolution (except refueling accident).

4. The shaded areas are not applicable to the category/tier.

5.* The generic (G) K/As in Tiers 1 and 2 shall be selected from Section 2 of the

K/A Catalog, but the topics must be relevant to the applicable evolution or system.

6. If the applicants have not previously taken the GFE, Tier 3 shall include basic reactor

theory, component, and thermodynamic topics that apply to fuel handling operations.

7. Systems/evolutions within each tier are identified on the associated outline.

Enter the K/A numbers, a brief description of each topic, the topics' importance

ratings (IR) for the SRO license level, and the point totals (#) for each system

and category. Enter the tier totals for each category in the table above.

8. For Tier 3, select topics from Section 2 of the K/A catalog, and enter the K/A

numbers, descriptions, importance ratings, and point totals (#) on Form ES-701-3.

9. Refer to ES-401, Ateehm•imt 286" Section D.1, for guidance regarding the elimination

of inappropriate K/A statements. The facility licensee's JTA for fuel handlers

should be used as the basis for eliminating or adding testable topics.

ES-701, Page 10 of 18
ES-701 LSRO Operating Test Outline Form ES-701-4

Applicant Docket Number: 55- Page 2 of

Facility: Date of Examination:

Title / Description of Tasks (JPMs) Type Evaluation Comment Page

Codes* (S or U) Number

Administrative

1.

2.

3.

Systems

1.

2.

3.

4.

Emergency/Abnormal Plant Evolutions

1.

2.

3.

Type Codes & Criteria: (A)lternative path (2 systems; 1 E/APE))

(C)ontrol room

(D)irect from bank (_ 7)

(I)n-plant

(N)ew or (M)odified from bank including 1(A) (Ž 1 / section) (,L)ast NRC exam (_ 1 / section) (R)efueling accident (1)

(T)echnical specification (Ž_ 2)

ES-701, Page 14 of 18
ES-701 LSRO Examination Outline Quality Checklist Form ES-701-5

Facility: Date of Examination:

Initials

Item Task Description a b* c

1. a. Verity that the outline fits the model in accordance with ES-701.

W

R b. Assess whether the outline was systematically and randomly prepared in accordance with

I Section D.1 of ES-401 and whether all K/A categories are sampled at least once.

T

T c. Assess whether the outline over-emphasizes any systems, evolutions, or generic topics.

E

N d. Assess whether the justifications for deselected or rejected K/A statements are appropriate.

2. a. Verify that the overall operating test:

(1) includes at least two tasks that require the use of technical specifications

0 (2) does not duplicate any tasks from the applicants' audit test(s)

P

E b. Verify that the administrative tasks:

R (1) are distributed among the four administrative topics described in ES-301

A (2) include no more than one repeat from the last M6 NRC licensing examinations

T (3) include at least one task that is new or significantly modified

N c. Verify that the systems walk-through includes: G (1) two tasks requiring the manipulation of fuel handling equipment (2) two additional tasks related to Tier 2 systems other than fuel handling equipment

(3) two tasks requiring implementation of altemative path procedures

(4) no more than one repeat from the last iý NRC licensing examinationý

(5) at least one task that is new or significantly modified

d. Verify that the E/APE walk-through includes:

(1) three JPMs based on the Tier 1evolutions, including a refueling accident

(2) one task requiring implementation of an altemative path procedure

(3) no more than one repeat from the last IWe.NRC licensing examinations

(4) at least one task that is new or significantly modified

e. Determine whether there are enough different outlines to test the projected number

of applicants and ensure that no items are duplicated on subsequent days.

3. a. Assess whether plant-specific priorities (including PRA and IPE insights) are covered in

the appropriate exam section.

G

E b. Assess whether the 10 CFR 55.41/43 and 55.45 sampling is appropriate.

N

E c. Assess whether the sampling process adequately considered plant-specific refueling

R components, systems, and procedures that are not included in the generic models.

A

L d. Ensure that K/A importance ratings (except for plant-specific priorities) are at least 2.5.

e. Check for duplication and overlap among exam sections.

f. Check the entire exam for balance of coverage.

g. Assess whether the proposed sample is consistent with the LSRO's job responsibilities.

Printed Name / Signature Date

a. Author

b. Facility Reviewer (*) c. NRC Chief Examiner (#)

d. NRC Supervisor

Note: * The facility reviewer's initials/signature are not applicable for NRC-decveloped examinations.

# Independent NRC reviewer initial items in Column Ic"c chief examiner concurren ce required.

ES-701, Page 15 of 18
execution. Breaking down the initial conditions in such a manner will simplify

the simultaneous administration of different tasks by two or more examinees.

All of the required operator actions preceding the starting point of the JPM should be

completed unless a given action is purposely omitted as part of an alternate path JPM.

If the JPM is intended to evaluate the examinee's ability to implement an alternate path

(refer to Section C) within the facility licensee's procedural guidance, the initiating

equipment or instrument failure should be reflected in the simulator initial condition

specifications.

The JPM shall also include an initiating cue that provides the stimulus for the examinee

to begin performing the task. When appropriate, the cue should clearly specify

the desired endpoint for the task. For example, if it is desired for the examinee to start

and load the emergency diesel generator, the cue should state the load at which

the task will be considered complete. Alternate path tasks, as described in Section C,

may have an actual endpoint different from that stated in the initiating cue.

The initial conditions and initiating cue may be duplicated on a separate sheet of paper

so that they can be handed to the examinee. This is particularly helpful for tasks

with detailed initial conditions or those that will be performed in high-noise areas.

Take care to ensure that the initial conditions and initiating cue do not reveal the nature

of any alternate path JPMs that are planned.

2. Identify References and Tools

The JPM shall identify those plant procedures that require task performance, as well as

the procedures that provide guidance, directions, or standards for performing the task.

When reviewing JPMs selected from the facility licensee's bank, it is important to ensure

that theprocedures identified in the JPM are still current.

The JPM shall also identify any special tools or equipment (e.g., a stop watch, wrench,

fuse puller, or spool piece) that the examinee will need to perform the task. It is helpful

to the examiner who will be administering the test if the JPM states the location(s) in which

these items may be found. It is expected that any required tools will be readily available

to the plant operators; they should not be staged specifically for the examination.

3. Develop Performance Criteria

The JPM should have meaningful performance requirements that will provide

a legitimate basis for evaluating the examinee's ability to safely operate the system

or the plant. Artificially subdividing existing tasks to generate new ones may dilute

the value of the JPM to a point where it becomes meaningless.

ln acordanicewith 10 CFR55.45(a) and 1 oCFR55.59(a)(2')ii), operating tests rCRequire

operators and senior o-p:eirator's to. demonstrate- an understandiing of and ablility to

perform necessary actions. Therefore, JPMs selected for the walk-through examination

shall not test solely for simple recall or memorization. Although it was written in a:style

to address written examinations, refer to ES-602, Attachment 1, "Guidelines fo6r

Developing and Reviewing Open-Reference Examinations,"ý when preparing, JPM~s a1s,

well., Although an operating test does not require every JPM to be alternate pathbor

demonstrate detailed system understanding, simple one-si•ep JPMs or JPMs that only

require diretly looking .upthe correct: answer, are not appropriate. JPMs that incorporate

the'testing of immediate action steps from memory are acceptable.,- However, JPMs

Appendix C, Page 2 of 10
shoud'idnot solely test immediate'action steps, and shoul!d include- testing additional

steps or items that are not from memory.

The JPM shall identify specific performance standards, or check points, that will permit

the examiner to evaluate successful progress toward completing the task in accordance

with the procedural references. Detailed control and indication nomenclature and criteria

(e.g., switch positions and meter readings) should be identified whenever possible,

even if these criteria are not specified in the procedural step. The JPM should also note

any important observations that the examinee should make while performing the task.

The JPM must clearly identify the task standard (i.e., the predetermined qualitative

and/or quantitative outcome) against which task performance will be measured.

Every procedural step that the examinee must perform correctly (i.e., accurately,

in the proper sequence, and at the proper time) in order to accomplish the task standard

shall be identified as a critical step and shall have an associated performance standard.

If there are any specific procedural restrictions on the sequence in which the steps

are performed, they shall be clearly noted in the JPM.

4. Develop Examiner Cues

The JPM shall identify appropriate system response cues so that the examiner

can provide the examinee with specific feedback regarding the component and system

reactions to the examinee's manipulations, especially those procedural steps that are

identified as critical to task completion. The response cues are particularly important

in the following situations:

* in-plant tasks that will be simulated because the examinee will not have available

the normal indications (e.g., alarms, flow rates, temperatures, and pressures)

that would be observed during actual task performance

alternate path JPMs that require the examinee to perform auxiliary procedures

when equipment or instrumentation fails during use

System response cues may not be necessary for those tasks that will be performed

on the simulator.

To the extent that it is possible to anticipate incorrect actions that the examinees

might take, it is beneficial to note the expected system response cues in the JPM

as an aid to the examiner who will be administering and evaluating the task.

The JPM shall also identify any additional cues or instructions that the examiner

might need to provide to the examinee in response to procedural steps for which

the examinee will not be held accountable (i.e., those steps that have either

already been performed or will be performed by other personnel in remote locations).

Appendix C, Page 3 of 10
Appendix C Job Performance Measure Form ES-C-2

Quality Checklist

Every JPM should:

1.

2.

3.

4.

be supported by the facility licensee's job task analysis.

be operationally important (meet the NRC's K/A Catalog threshold criterion of 2.5

(3 for requalification exams) or as determined by the facility and agreed to

by the NRC). JPMs shall not test only for simple recall or memoriZation (refer to

ES-602 Attachment .1).

___ be designed as either SRO only, RO/SRO or AO/RO/SRO.

include the following, as applicable:

a. initial conditions

b. initiating cues

c. references and tools, including associated procedures

d. validated time limits (average time allowed for completion) and specific

designation of those JPMs that are deemed to be time-critical

by the facility operations department

e. operationally important specific performance criteria that include:

(1) expected actions with exact control and indication nomenclature

and criteria (switch position, meter reading), even if these criteria

are not specified in the procedural step

(2) system response and other cues that are complete and correct

so that the examiner can properly cue the examinee, if asked

(3) statements describing important observations that the examinee

should make

(4) criteria for successful completion of the task

(5) identification of those steps that are considered critical

(6) __ restrictions on the sequence of steps

Appendix C, Page 10 of 10
U

INRC FORM 335

(9-2004)

NRCMD 3.7

U.S. NUCLEAR REGULATORY COMMISSION

BIBLIOGRAPHIC DATA SHEET

(See instructions on the reverse)

1. REPORT NUMBER

(Assigned by NRC, Add Vol., Supp., Rev.,

and Addendum Numbers, If any.)

NUREG-1021, Revision 9, Draft

Supplement 1

____________________________________ m ______________________________________

* TITLE AND SUBTITLE

Operator Licensing Examination Standards for Power Reactors

Draft Report for Comment

3. DATE REPORT PUBLISHED

MONTH YEAR

May 2007

4. FIN OR GRANT NUMBER

5. AUTHOR(S) 6. TYPE OF REPORT

D. Muller

Technical

7. PERIOD COVERED (Inclusive Dates)

8. PERFORMING ORGANIZATION - NAME AND ADDRESS (IfNRC, provide Division, Office or Region, U.S. Nuclear Regulatory Commission, and mailing address; if contractor,

provide name and mailing address.)

Division of Inpsection and Regional Support

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

mu a

S. sUPPLEMENTARY NOTES

11. ABSTRACT (200 words or less)

NUREG-1021, "Operator Licensing Examination Standards for Power Reactors," provides policy and guidance for the

development, administration, and grading of examinations used for licensing operators at nuclear power plants pursuant to the

Commission's regulations in 10 CFR 55, "Operators' Licenses." NUREG-1021 also provides guidance for maintaining operators'

licenses, and for the NRC to conduct requalification examinations when necessary.

Draft Supplement 1 to Revision 9 of NUREG-1021 includes a number of minor changes that are intended to: (1) clarify licensed

operator medical requirements, including the use of prescription medications; (2) clarify the use of surrogate operators during

dynamic simulator scenarios; (3) clarify the selection process for generic knowledge and ability (K/A) statements; (4) qualify the

NRC review of post-examination comments; (5) provide additional guidance for maintaining an active license (watchstander

proficiency) and license reactivation; and (6) conform with proposed updates to NUREGs-1 122 and -1123.

The NRC seeks comments on Draft Supplement 1 to Revision 9 of NUREG-1021. Comments must be provided within 60 days

from the date of publication. Comments received after 60 days will be considered if practicable to do so, but only those

comments received on or before the due date can be assured consideration.

12. KEY WORDS/DESCRIPTORS (List words or phrases that will assist researchers in locating the report.) 13. AVAILABILITY STATEMENT

Operator Licensing unlimited

Examinations 14. SECURITY CLASSIFICATION

(This Page)

unclassified

(This Report)

unclassified

15. NUMBER OF PAGES

16. PRICE

NRC FORM 335 (9-2004) PRINTED ON RECYCLED PAPER