ML23052A118

OLMC-520: Operator Licensing Examination Records and Documentation February 2023

ML23052A118
Person / Time
Issue date:	02/17/2023
From:	Brian Tindell NRC/NRR/DRO/IOLB
To:
References
OLMC-520
Download: ML23052A118 (11)

Text

OLMC-520 February 2023

OPERATOR LICENSING EXAMINATION RECORDS AND DOCUMENTATION

A. PURPOSE

The purpose of this Operator Licensing Manual Chapter (OLMC) is to establish an efficient and effective process for record retention and docume ntation pertaining to examination packages in ADAMS and operator dockets in order to support initial license examinations across all four regions. The intended audience is NRC chief examiners, examiners, and operator licensing assistants (OLAs). This OLMC establishes the process for record retention and documentation and replaces ins tructions previously in NUREG-1021, Operator Licensing Examination Standards for Power Reactors, Revision 11.

B. BACKGROUND

Management Directive 3.53, NRC Records and Document Management Program, Section 3.53-01, Policy, states, It is the policy of the U.S. Nuclear Regulatory Commission that all official rec ords made or received by NRC in the course of its official business comply with the regulations governing Federal records management issued by the National Archives and Records Administration (NARA) and the General Services Administration (GSA). All internally and externally generated r ecords and documents are processed, maintained, distributed, made available to the publi c, and preserved or destroyed, as appropriate. The Agencywide Documents Access and Management System (ADAMS) maintains appropriate NRC unclassified, non-Safe guards, official program-related records in a centralized electronic records rep ository. NRC's publicly available documents are made available to the public via NRC's external Web site and the ADAMS public libraries. In addition to ADAMS, NRC maintains hard copy and electronic record and document-handling systems necessary to me et the needs of the agency. All NRC systems, including ADAMS, are designed to meet NARA regulations.

C. IMPLEMENTATION

Records associated with the licensing examination (see below) n eed to be placed in ADAMS as soon as possible (not to exceed 90 days) after the dat e of issuance of the examination report. Some of the items containing exam material are marked for delayed public release in ADAMS (see item C.5 below) 2 years after exam administration (and up to 2.5 years delay upon request) to allow facility licensees the a bility to re-use both written exams and operating tests for audit examination purposes. Addit ional guidance can be found in the following: NRC Inspection Manual Chapter 0620, In spection Documents and Records, NUREG-0910, NRC Comprehensive Records Disposition Sc hedule, and SECY-04-0191, Withholding Sensitive Unclassified Information C oncerning Nuclear Power Reactors from Public Disclosure.

1 OLMC-520 February 2023

In accordance with YA-17-0101, Guidance for Disposition of Pap er Source Documents Processed into ADAMS, paper documents should not be retained b eyond 30 days after they have been added to ADAMS and declared as official agency r ecords. If an applicant has requested an informal NRC review or a hearing, then the ret ention time limit of 30 days becomes applicable in reference to the date of the resolution d ocument (e.g., finalized Administrative Review Response, completed hearing documentation ).

1. Applicant Docket Numbers

The operating licensing assistant (OLA) is responsible for the following activities:

a. Utilizing RPS-OL and ODD to create a docket folder and a doc ket number for applicants when the preliminary NRC Form 398 is received by the regional office.

Note: Applications submitted via part 55 EIE result in an ODD s can to determine the applicants docket number.

If an operators docket number is on the application, ODD will verify that the applicant exists by docket number in RPS-OL. If the applica nt exists in RPS-OL, it will return the docket number to ODD. If the appl icant does not exist in RPS-OL by docket number, it will verify if the app licant exists by name and date of birth. If the applicant does not exist, the n RPS-OL will create a docket number and send to ODD. RPS-OL automatical ly creates a docket folder in ADAMS for the applicant.

b. Providing the facility licensee the docket numbers for new a pplicants on Form 2.2-1, List of Applicants, after the final certified app lication is received from the facility licensee (See NUREG-1021, Operator Licensing Examination Standards for Power Reactors, ES-2.2).

Note: Use the existing docket numbers for applicants that have previously applied or have been licensed.

2 OLMC-520 February 2023

2. Examination Files

The items listed below are records and retained to satisfy the retention requirements of MD 3.53. In addition, examiners review previous operating tests and written examinations records to verify compliance with the NUREG-1021 instructions and limitations for test item repetition. For LSRO examinations, retain the equivalent LSRO forms from ES-7.1.

a. ES-2.1, Letter 2.1-1, Corporate Notification Letter

b. ES-2.3, Letter 2.3-1, Examination Approval Letter, with pe n-and-ink changes on Form 2.2-1, List of Applicants, as necessary t o identify the applicants who were actually examined

c. Form 1.3-1, Examination Security Agreement

d. Form 2.1-1, Examination Preparation Checklist

e. The written examination outlines: Form 4.1-BWR, BWR Examination Outline, Form 4.1-ABWR, ABWR Examination Outline, Form 4.1-PWR, PWR Examination Outline, or Form AP, AP-1000 Examination Outline and Form 4.1-COMMON, Common Examination Outline

f. Form 4.1-1, Record of Rejected Knowledge and Abilities

g. The operating test outlines: Form 3.2-1, Administrative To pics Outline, Form 3.2-2, Control Room/In-Plant Systems Outline, and Form 3.3-1, Scenario Outline

h. Form 2.3-1, Examination Outline Quality Checklist

i. the proposed NRC-or facility-developed operating tests (inc luding the proposed spare scenario submitted by the facility 1) and written examination (including comments made by the facility licensee o r the NRC, as applicable)

j. Form 2.3-4, Written Examination Quality Checklist

1 Note: if the NRC prepares the operating test, then the spare scenario only needs to be entered in ADAMS if it is administered because in this case, the NRC has not made a determination of the quality of the facilitys submittal.

3 OLMC-520 February 2023

k. Form 2.3-5, Written Examination Review Worksheet, and any reference handouts

l. Form 2.3-2, Operating Test Quality Checklist

m. Form 2.3-3, Operating Test Review Worksheets (including th e worksheet for the spare scenario submitted by the facility beca use it is used in the determination of the quality of the submitted examination)

n. the final written examination and answer key with all change s incorporated (the pen-and-ink corrections made for the applican ts while the examination was administered may be changed to typewritten corrections; however, all changes need to be annotated in such a way that they are evident).

o. the as-administered operating test (all record copies should reflect the as-run test conditions; pen-and-ink markups of the origin al, approved forms are acceptable), including:

• Form 3.2-1, Administrative Topics Outline,

• Form 3.2-2, Control Room/In-Plant Systems Outline, and the JPMs for each walkthrough test

• Form 3.3-1, Scenario Outline for each scenario administered

• Form 3.3-2, Required Operator Actions for each scenario administered

• Form 3.4-1, Events and Evolutions Checklist

p. Form 5.1-3, Power Plant Examination Results Summary

q. the final examination report with all enclosures

r. The facility licensees (and applicants) specific comments and recommended changes regarding the operating test and written examination that was administered. Redact applicants names and any other personally identifiable information from the document. Th e NRC regional office must retain a nonredacted version, indicating a pplicant docket numbers, until any adjudicatory hearings are complete

4 OLMC-520 February 2023

3. Applicant Docket Files

The NRCs regional office shall plac e the following items in each applicants docket file in ADAMS:

a. For applicants who successfully passed all portions of the e xam:

i. Form 5.1-2, Individual Examination Report

ii. Form 4.2-3, Reactor Operator Written Examination Cover Sheet, or Form 4.2-4, Senior Reactor Operator Written Examination Cover Sheet

iii. The applicants original answer sheet with grading and annotations to demonstrate the applicants incorrectly selected answers

iv. Form 3.6-1, Job Performance Measure Grade Report

v. Form 3.6-2, Reactor Operator Simulator Scenario Grade Report, or Form 3.6-3, Senior Reactor Operator Simulator Scenario Grade Report (original copies and all pages, including strip charts and other attachments that support the licensing decision)

vi. Form 3.3-1, Scenario Outline

vii. Form 3.6-4, Operating Test Comments or equivalent form that captures any required comments

b. For all applicants who failed a portion of the examination:

i. Form 5.1-2, Individual Examination Report

ii. Form 4.2-3, Reactor Operator Written Examination Cover Sheet or Form 4.2-4, Senior Reactor Operator Written Examination Cover Sheet

iii. The applicants original answer sheet with grading and annotations to demonstrate the applicants incorrectly selected answer options

5 OLMC-520 February 2023

iv. Form 3.6-1, Job Performance Measure Grade Report.

Include all required documentation, including the as-administered JPM material, for JPM failures leading to overall Operating Test failures.

v. Form 3.6-2, Reactor Operator Simulator Scenario Grade Report, or Form 3.6-3, Senior Reactor Operator Simulator Scenario Grade Report (original copies and all pages, including strip charts and other attachments that support the licensing decision)

vi. Form 3.3-1, Scenario Outline

vii. Form 3.3-2, Required Operator Actions (all record copies should have the required signatures and reflect the as-run test conditions; pen-and-ink markups of the original, approved forms are acceptable). Include all required documentation, including the as-administered scenario material, for scenario failures leading to overall Operating Test failures.

viii. Form 3.6-4, Operating Test Comments or equivalent form that captures comments

ix. Entire written examination to include answer and distractor analysis for written examinations with an overall failing grade.

x. All correspondence with the applicant to include, but not limited to:

• Preliminary Results Letter (Letter 5.1-3, Preliminary Results Letter)

• From OLMC-500, Processing Requests for Administrative Reviews and Demands for Hearings correspondence, as applicable:

i. Attachment 2, Notification of Passing the License Examination-Cover Letter

ii. Attachment 3, Notification of Failing the License Examination and Application Denial -

Cover Letter

6 OLMC-520 February 2023

iii. Attachment 4, Administrative Review Report for a Written Examination

iv. Attachment 5, Administrative Review for an Operating Test

• Formal communication related to hearing results

4. Reference Materials

The following information is provided for the handling and stor age of facility licensee provided reference material used for examination devel opment by examiners:

a. Reference materials should be kept long enough to ensure tha t references are available if needed for potential appeals or hea rings. After the appeal and/or hearing request time frames have expired, ref erence materials may be handled per the instructions in this step.

b. If the facility licensee requests that the NRC return refere nce material, then the NRC chief examiner shall ensure that the material is r eturned to the facility licensee as soon as possible after the examination.

c. If the facility licensee does not want the physical referenc e material to be returned, then the NRC chief examiner shall ensure that the mat erials provided for NRC examiners to use in preparing for the examination are no longer required in the grading process and that they are pro perly dispositioned through approved destruction methods provided in MD 3.53.

d. When the NRC chief examiner has determined that the referenc e material is no longer required in the grading process, the NRC chief exa miner shall ensure that the electronic media is dispositioned appropr iately through approved methods provided in MD 3.53.

7 OLMC-520 February 2023

5. Delayed Release of Examination Material

IOLB and regional offices will delay public release of the foll owing examination related documents for two years from the date of the examinatio n, with an allowable extension of up to 2.5 years upon request from the fa cility licensee:

Note 1: The delayed release policy does not affect Freedom of I nformation Act (FOIA) requirements. If any of the documents listed below are r equested through a FOIA request prior to public release, the request must be ful filled in accordance with NRC FOIA procedures and timeliness requirements.

Note 2: The delayed release provisions do not apply in situatio ns where one or more applicants have submitted an appeal (refer to OLMC-500).

Note 3: NUREG-1021, ES 3.4, Developing Scenarios, section A, General Instructions, states in part, Events found in spare scenarios will count as previously used events if they were made publicly available in the NRCs Agencywide Documents Access and Management System. While a sp are scenario and its associated Form 2.3-2 are in a delayed public release status, it is not considered to be made publicly available.

Note 4: ES 3.4 also states, If the scenario is extracted from the facility licensees bank, it must be altered to the degree necessary to prevent the applicants from immediately recognizing the scenarios based on the ICs, the seq uence and repetition of events used, or other cues. Thus, if the spare scenario is part of the facilitys bank, it must be significantly modified (as defi ned in ES 3.4) prior to using it on a future NRC initia l licensing examination. For example, if an individual validates a spare scenario, and that individual is a lso in the next license class, then the spare that they validated must be signi ficantly modified before using it on the next license examination to prevent them from being administered the same scenario they previously validated.

a. Written examination and operating test outline(s) and worksh eet(s):

• Form 4.1-BWR, Boiling-Water Reactor Examination Outline

• Form 4.1-PWR, Pressurized-Water Reactor Examination Outline

• Form 4.1-AP, AP1000 Examination Outline

• Form 4.1-ABWR, Advanced Boiling-Water Reactor Examination Outline

• Form 4.1-COMMON, Common Examination Outline

• (Or the equivalent LSRO forms from ES 7.1)

8 OLMC-520 February 2023

b. Form 4.1-1, Record of Rejected Knowledge and Abilities (or the equivalent LSRO forms from ES 7.1)

c. The proposed NRC-or facility-developed operating tests, inc luding the proposed spare scenario submitted by the facility, and written examination

d. Final written examination and answer key with all changes in corporated and any reference handouts (or a list thereof) provided to the applicants

e. In the case of an examination without any failures, a copy o f the facility licensees (and applicants) specific comments and recommended changes regarding the operating and written examinations that w ere administered. Redact applicants names and any other personally identifiable information from the document.

f. Form 2.3-5, Written Examination Review Worksheet

g. The as-administered scenarios to include:

• Form 3.3-1, Scenario Outline

• Form 3.3-2, Required Operator Actions

h. The as-administered walkthrough examination items to include :

• Form 3.2-1, Administrative Topics Outline

• Form 3.2-2, Control Room/In-Plant Systems Outline

i. Form 2.3-3, Operating Test Review Worksheets (including th e worksheet for the spare scenario because it is used in the dete rmination of the quality of the submitted examination)

6. Normal Release of Examination Material

The following documents are required to be retained by the regi onal offices and should be released normally using Form 665 for public disclosur e:

a. Letter 2.1-1, Corporate Notification Letter, or similar.

b. Form 2.1-1, Examination Preparation Checklist

c. Letter 2.3.-1, Examination Approval Letter or similar.

9 OLMC-520 February 2023

d. Form 2.3-1, Examination Outline Quality Checklist

e. Form 2.3-2, Operating Test Quality Checklist

f. Form 2.3-4, Written Examination Quality Checklist

g. Form 1.3-1, Examination Security Agreement

h. The final examination report with all enclosures. The examin ation report should continue to cite the accession number(s) for the final examination(s) but indicate the documents that will be delayed and include the delayed release date.

i. In the case of an examination failure, a copy of the facilit y licensees (and applicants) specific comments and recommended changes regardin g the operating test and written examination that was administered. A lthough post-examination comments contain examination material, these comments, with applicants names redacted, must be immediately released so that an applicant may review the NRCs response to the comments for the purposes of requesting a staff review or deman d a hearing.

7. Examination Material Withheld from Public

The following documents are required to be retained by the regi onal offices and shall be withheld from public disclosure:

a. Form 2.2-1, List of Applicants

b. Form 5.1-3, Power Plant Examination Results Summary

10 OLMC-520 February 2023

8. Handling Proprietary Examination Material

The following instructions are for regional offices that are r equired to handle proprietary information related to examination records for faci lity licensees. (e.g.,

AP-1000 examinations):

a. Create a publicly available ADAMS package and include all re quired documents per steps 2, 5, and 6 into the package. Redact any pr oprietary information from every document in this package including any P ersonally Identifiable Information (PII). Redact information before placi ng the document in the ADAMS package.

b. Create an additional, non-public, ADAMS package that include s all required documents per steps 2, 5, 6, and 7 into the package. D o not redact proprietary information from the documents in this packa ge.

Note: If there is PII, redact the PII information regardless of which package is being developed.

11