NRC Form 398- SS- ML22075A101

FINAL SUPPORTING STATEMENT
FOR
NRC FORM 398, “PERSONAL QUALIFICATION STATEMENT – LICENSE,”
10 CFR PART 55, SECTIONS 55.31, 55.35, 55.47 AND 55.57
(3150-0090)
--EXTENSION
Description of the Information Collection
The regulations in 10 CFR Part 55, requires facility licensees to certify the qualifications and
training. NRC Form 398 is the mechanism by which NRC is advised of the applicant/operator
qualifications.
NRC Form 398 “Personal Qualification Statement-License” is used to transmit detailed
information required to be submitted to the NRC by a facility licensee on each applicant applying
for new and upgraded licenses or license renewals to operate the controls at a nuclear reactor
facility.
The information requested includes the applicant/operator identifying information, type of
application and license applying for, license held, position at the facility, education, power
reactor operator training program, significant control manipulations, nuclear experience details,
applicant/operator signature and signature of certifying facility.
A.

JUSTIFICATION
1.

Need for the Collection of Information
The information is needed in order to determine facility licensee’s compliance
with the regulations in 10 CFR Part 55. Details of these regulations can be found
at the end of this supporting statement in “Description of Information Collection
Requirements.”

2.

Agency Use and Practical Utility of Information
The information assists the Commission in basing its finding upon the
certification by facility licensees as detailed on NRC Form 398. NRC Form 398 is
the mechanism by which NRC is advised of the information that the applicants or
operator licensees has met the qualification requirements to become or continue
to be licensed reactor operators or senior reactor operators. According to 10
CFR 55.31(a)(4), an applicant must provide evidence of successfully completing
the facility licensee’s requirements to be a licensed operator, as well as shown
evidence of fulfilling the facility licensee’s need to perform assigned duties. An
authorized representative of the facility shall certify that the objectives have been
met on this form. The information collected on the form includes details of the
applicant’s qualifications, courses administered by the facility, and the startup
and shutdown experience received. The Commission may accept the
certification that the applicant has completed a Commission-approved
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training program. This information is required under the Atomic Energy Act of
1954, as amended, in order for the NRC to ensure that uniform conditions for
licensing individuals, as well as determining the qualifications of those
individuals, is met.
3.

Reduction of Burden through Information Technology
The NRC has issued Guidance for Electronic Submissions to the NRC which
provides direction for the electronic transmission and submittal of documents to
the NRC. Electronic transmission and submittal of documents can be
accomplished via the following avenues: the Electronic Information Exchange
(EIE) process, which is available from the NRC's “Electronic Submittals” Web
page, by Optical Storage Media (OSM) (e.g. CD-ROM, DVD), by facsimile or by
e-mail. It is estimated that approximately 95% of the potential responses are filed
electronically.

4.

Effort to Identify Duplication and Use Similar Information
No sources of similar information are available. There is no duplication of
requirements.

5.

Effort to Reduce Small Business Burden
Not applicable.

6.

Consequences to Federal Program or Policy Activities if the Collection is not
Conducted or is Conducted Less Frequency
Frequency of reporting cannot be discontinued or reduced without violating the
NRC licensing requirements as described in 10 CFR 55.31, 10 CFR 55.35,
10 CFR 55.47 and 10 CFR 55.57 which would increase the potential for
endangering public health and safety. Collection of this form for initial operators
is not performed at a specified frequency, but instead is collected when an
individual desires to be licensed at a facility. The NRC cannot make the
determination that the individual possesses the necessary qualifications as
required by the Atomic Energy Act of 1954 without the information provided on
this form, therefore the NRC would be unable to license new individuals and the
number of licensed individuals would decrease as a result of attrition and
retirements of currently licensed individuals. This would result in fewer licensed
operators to operate the plant, increasing overtime and operator fatigue. At
some point, the facilities would no longer have enough operators to continue to
function at power and would have to shut down the facilities. For currently
licensed operators, their licenses expire, per 10 CFR Part 55.55, after six years.
This length of time was evaluated and determined to be appropriate to ensure
that licensed operators periodically be reevaluated by the NRC to ensure that
their qualifications are still valid. Prior to 1987, the operator licenses expired
every two years, and the frequency was extended to every six years to reduce
burden on the facility and NRC. The NRC determined that this was a sufficient
frequency to minimize burden while still ensuring that the NRC met its mandate
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to ensure qualifications of licensed operators. If the information is collected less
than every six years, a rule change, including a cost-benefit analysis to
determine the safety impact of an increased license term, would need to
be performed. Under the current regulations, if the form is not received on time,
then the operator’s license would expire and the individual would either have to
re-apply, which would also require submission of the form, or would no longer be
licensed. If the individual reapplies, there is no change in the burden as the form
would still need to be completed. If the individual is no longer licensed, then the
total number of operators at the site would lower adding burden on the remaining
operators. Additionally, all the operators at the site would have their licenses
expire after six years, at which time there would be no licensed operators if this
form is not collected.
7.

Circumstances Which Justify Variation from OMB Guidelines
Not applicable.

8.

Consultations Outside of the NRC
Opportunity for public comment on the information collection requirements for this
clearance package was published in the Federal Register on February 1, 2022,
(87 FR 5522). Additionally, NRC staff contacted seven stakeholders via email. The
stakeholders were new, operating and Licensed Non-Power Production and Utilization
Facilities owner licensee representatives and interested stakeholders from
Constellation Energy, Duke Energy Progress, LLC, Energy Harbor, PSEG Nuclear,
LLC, The Pennsylvania State University, Reed College and Southern Nuclear
Operating Co., Inc.
No responses or comments were received as a result of the FRN or the staff’s direct
solicitation of comments.

9.

Payment or Gift to Respondents
Not applicable.

10.

Confidentiality of the Information
Confidential and proprietary information is protected in accordance with NRC
regulations at 10 CFR 9.17(a) and 10 CFR 2.390(b).

11.

Justification for Sensitive Questions
The information is required to uniquely identify the individual for recordkeeping
purposes and to ensure that a license, if issued, is issued to the correct
individual. Because individuals can have the same name, the date of birth is also
requested in order to ensure that each person can be uniquely identified.
Additionally, an e-mail address can be voluntarily provided so that the NRC can
communicate with that individual electronically regarding the application. A home
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mailing address is also requested for two purposes. It can also help to uniquely
identify a person but is primarily used as a means of communication with the
person regarding the application, especially if an e-mail address is not voluntarily
provided. This is a mechanism to inform the individual of the outcome of their
application, either to issue the license or deny it. If denied, the home address, or
e-mail address if voluntarily provided, is used to communicate the process to
request an administrative hearing if the applicant so chooses. For licensed
operators, the home address, or e-mail address if voluntarily provided, is used to
send any updates to the license, such as a new license condition due to a new
medical condition.
12.

Estimated Burden and Burden Hour Cost
The NRC estimates that 1,018 NRC Form 398s are expected to be submitted
annually (283 applicants (initial & upgrade), 225 applicants with waivers, 495
license renewals, and 15 re-applications). At the hourly cost of $288, the total
industry reporting requirements burden cost is $1,512,576. (See Reporting
Burden Table).
Note, there are no recordkeeping requirements imposed with this clearance.
Total Burden and Cost
Total Annual Burden (1,839.50 + 2,137.50 + 1,237.50 + 37.5) = 5,252 hours
Total Burden Hour Cost = $1,512,576 (5,252 hours x $288/hour)
The $288 hourly rate used in the burden estimates is based on the Nuclear
Regulatory Commission’s fee for hourly rates as noted in 10 CFR 170.20
“Average cost per professional staff-hour.” For more information on the basis of
this rate, see the Revision of Fee Schedules; Fee Recovery for Fiscal Year 2019
(86 FR 32146, June 16, 2021).

13.

Estimate of Other Additional Costs
There are no additional costs.

14.

Estimated Annualized Cost to the Federal Government
The staff has developed estimates of annualized costs to the Federal
Government related to the conduct of this collection of information. These
estimates are based on staff experience, historical data and subject matter
expertise and include the estimated burden needed to review, analyze, and
process the collected information and any relevant operational expenses. It is
estimated that 1,018 NRC Forms 398 will be submitted annually during the
clearance period (283 applicants without waivers (initial & upgrade), 225
applicants with waivers, 495 license renewals, and 15 re-applications).

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Processing the NRC Form 398 takes approximately 1.0 hour per application
without a waiver (283x1hr=283hrs), 1.5 hours per application with a waiver
(225x1.5=337.5hrs), 0.5 hour per renewal (495x0.5=247.5hrs) and 0.5 hour per
re-application (15x0.5=7.5hrs), total 875.5 hours, a reduction of 73 hours from
the prior cycle due to attrition and retirements of currently licensed individuals
and fewer operating facilities. The NRC Form 398 processing includes data
input, file maintenance, and form review regarding eligibility criteria. Data input
takes longer for applications because all data must be entered to initially activate
an operator’s docket. Alternatively, re-applications and renewals only require
data updates to the existing docket file. At the hourly cost of $288, the total cost
to the NRC is $252,144.
15.

Reasons for Changes in Burden or Cost
There has been no change in the burden per specific submission application for
this renewal cycle.
Due to attrition and retirements of currently licensed individuals and a reduction
in operating facilities, we expect the following changes in this cycle:
Submission

2019 Cycle

Applicants (Initial 291
& Upgrade)
Applicants with
266
waiver or
excusal requests
Applicants 494
Renewals
Applicants - re23
applied
Submission Change Total

2022 Cycle

Change

Fed Hour
Change

283

-8

-8

Burden
Hour
Change
-52

225

-41

-61.5

-389.5

495

+1

+.5

+2.5

15

-8

-4

-20

-56

-73 hours

-459 hours

The expected number of submissions has been reduced by an expected 56
submissions from 1,074 to 1,018 as well as a reduction of 459 hours for this
cycle.
Improvements have been made to the NRC Form 398 to aid the applicant.
Instructions have been clarified, and improved formatting changes have been
applied to support regulatory changes made in NUREG 1021, Revision 12,
“Operator Licensing Examination Standards for Power Reactors.” These editorial
changes are not expected to affect the burden associated with completing and
submitting an NRC Form 398.
16.

Publications for Statistical Use
None.

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17.

Reason for Not Displaying the Expiration Date
The expiration date is displayed.

18.

Exceptions to the Certification Statement
Not applicable.

B. COLLECTION OF INFORMATION EMPLOYING STATISTICAL METHODS
Statistical methods are not used in this collection of information.

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DESCRIPTION OF INFORMATION COLLECTION REQUIREMENTS
CONTAINED IN
NRC FORM 398, “PERSONAL QUALIFICATION STATEMENT – LICENSE,”
10 CFR PART 55, SECTIONS 55.31, 55.35, 55.47 AND 55.57
(3150-0090)
10 CFR 55.31 requires that the facility licensee certify that an applicant for an NRC operator or
senior operator license has successfully completed the facility licensee’s requirements; the
facility has a need for an operator or senior operator to perform assigned licensed duties; and
the applicant, as a trainee, has successfully manipulated the either the controls of the facility for
which a license is sought or a plant-referenced simulator that meets the requirements of
55.46(c).
10 CFR 55.35 requires the facility licensee to resubmit an application for an applicant whose
application was denied because of failure to pass the written examination or operating test, or
both, certifying the applicant’s readiness for re-examination and or to request to be excused
from taking the portion previously passed.
10 CFR 55.47 requires that the facility licensee, on application, certify all applicable information
in support of a requested waiver of examination, operator experience or medical issue.
10 CFR 55.57 requires that the facility licensee, upon renewal of a license, certify the applicant’s
experience under the existing license; that the operator licensee is capable of continuing to
competently and safely assume licensed duties, has successfully completed a requalification
program, has passed the requalification examinations and annual operating tests, and there is a
continuing need for the operator licensee to operate, or senior operator to direct operators at the
facility.

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GUIDANCE DOCUMENTS FOR INFORMATION COLLECTION REQUIREMENTS
CONTAINED IN
NRC FORM 398, “PERSONAL QUALIFICATION STATEMENT – LICENSE,”
10 CFR PART 55, SECTIONS 55.31, 55.35, 55.47 AND 55.57
(3150-0090)

Title
NUREG-1021 “Operator Licensing
Examination Standards for Power Reactors”
NUREG-1478 “Operator Licensing Examiner
Standards for Research and Test Reactors”

Accession number
ML21256A276
ML072000059

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ANNUAL REPORTING REQUIREMENTS
(3150-0090)
Requirement

Description

Number of
Respondents

Responses per
Respondent

Total Number of
Responses

Burden hours
per Response

Total Annual
Burden Hours

Cost @ $288/Hour

Applicants (Initial & Upgrade)

NRC Form 398

283.0

1.0

283.0

6.5

1,839.5

$ 529,776

Applicants with waiver or
excusal requests

NRC Form 398

225.0

1.0

225.0

9.5

2,137.5

$ 615,600

Applicants - Renewals

NRC Form 398

495.0

1.0

495.0

2.5

1,237.5

Applicants - re-applied

NRC Form 398

15.0

1.0

15.0

2.5

37.5

TOTAL

1,018.0

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5,252.0

$ 356,400
$ 10,800
$ 1,512,576