ML022390309

Final - Qa/ Related Forms

ML022390309
Person / Time
Site:	Calvert Cliffs
Issue date:	07/11/2002
From:	Hornick J Constellation Nuclear
To:	Conte R NRC/RGN-I/DRS/OSB
References
50-317/02301, 50-318/02301
Download: ML022390309 (13)

Text

ES-201 Examination Preparation Checklist Form ES-201-1 Facility: Cf '9 CV Date of Examination: 7 z Examinations Developed by: (Facili I NRC (circle one)

Target Chief Date* Task Description / Reference Examiner's Initials

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

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

-120 3. Facility contact briefed on security &

other requirements (C.2.c)

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

[-901 [5. Reference material due (C.1.e; C.3.c)]

-75 6. Integrated examination outline(s) due (C.1.e & f, C.3.d)

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

-45 8. reference Proposed materials examinations, due (C.l.e, supporting f, g &documentation, h; C.3.d) and

-30 9. Preliminary license applications due (C.1.1; C.2.g; ES-202)

-14 10. Final license applications due and assignment (C. 1. 1;C.2.g; ES-202) sheet prepared

-14 11. Examination approved by NRC supervisor for facility licensee review (C.2.h; C.3.0 e s

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

-7 13. NRC Writtensupervisor examinations (C.2.i;and C.3.h) operating tests approved by

-7 14. Final applications reviewed; assignment sheet updated; waiver letters sent (C.2.g, ES-204) p e h

15. Proctoring/written exam administration guidelines

-7 facility licensee and authorization granted reviewed with to give written exams (if applicable) (C.3.k)

-7 16. Approved scenarios, job performance measures, and questions distributed to NRC examiners (C.3.i)

STarget dates 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 Appiesonl toexainations prepared by the NRC.

'I

ES-201 Examination Outline Form ES-201-2 Quality Checklist Facility: Date of Examination:

Item Task Description Initials a b* c# I

1. a. Verify that the outline(s) fit(s) the appropriate model per ES-401. 4"'

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 KIA categories are appropriately sampled. - I 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.

I

2. a. Using Form ES-301-5, verify that the proposed scenario sets cover the required number of normal evolutions, instrument and component failures, and major transients. / "'

I b. Assess whether there are enough scenario sets (and spares) to test the projected number and M mix of applicants in accordance with the expected crew composition and rotation schedule without compromising exam integrity; ensure each applicant can be tested using at least one new or significantly modified scenario, that no scenarios are duplicated from the applicants' audit test(s)*,

and scenarios will not be repeated over successive days.

c. To the extent possible, assess whether the outline(s) conform(s) with the qualitative and quantitative criteria specified on Form ES-301-4 and described in Appendix D. I

3. a. Verify that:

(1) the outline(s) contain(s) the required number of control room and in-plant tasks, W (2) no more than 30% of the test material is repeated from the last NRC examination,

/ (3)* no tasks are duplicated from the applicants' audit test(s), and T (4) no more than 80% of any operating test is taken directly from the licensee's exam banks.

b. Verify that:

(1) the tasks are distributed among the safety function groupings as specified in ES-301, (2) one task is conducted in a low-power or shutdown condition, (3) 40% of the tasks require the applicant to implement an alternate path procedure, (4) one in-plant task tests the applicant's response to an emergency or abnormal condition, and (5) the in-plant'walk-through requires the applicant to enter the RCA.

c. Verify that the required administrative topics are covered, with emphasis on performance based activities. 24

d. Determine if there are enough different outlines to test the projected number and mix of 4 applicants and ensure that no items are duplicated on successive days. ____

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

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

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

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

a. Author Printed Nme / Signature D te

b. Facility Reviewer ()

c. NRC Chief Examiner (#) O VJ'.,\.

04 , W/f

d. NRC Supervisor . ('_,'/4/ I

//", # T / *L"./ L-

-,i) Note: Not applicable for NRC-developed examinations.

1. Independent NRC reviewer initial items in Column "c;" chief examiner concurrence required. I 23 of 24 NUREG-1021, Revision 8, Supplement 1

Form ES-201-3 Examination SecurtyAgreement ES-201

1. Pre-Examination of as of the specialized knowledge about the NRC licensing examinations scheduled for the week(s) authorized I acknowledge that I have acquired to any persons who have not bee divulge any information about these examinations date of my signature. I agree that I will not knowingly evaluate, or provide performance feedback to those applicants scheduled to be I understand that I am not to instruct, noted below and by the NRC chief examiner. completion of examination administration, except as specifically examinations from this date until in the facility licensee's administered these licensing security measures and requirements (as documented I am aware of the physical authorized by the NRC.Furthermore, the examinations and/or an enforcement of the conditions of this agreement may result in cancellation of procedures) and understand that violation examiner any indications or suggestions that me or the facility licensee. I will immediately report to facility management or the NRC chief action against examination security may have been compromised.

2. Post-Examination examinations administered divulge to any unauthorized persons any information concerning the NRC licensing To the best of my knowledge, 4 I didnot of examination administration, I did not

-rom the date that I entered into this security agreement until the completion during the week(s) of r--. examinations, except as specifically or provide performance feedback to those applicants who were administered these licensing instruct, evaluate, noted below and authorized by the NRC.

DATE SIGNATURE (2) DATE NOIE SIGNATURE (1)

PRINTED NAME JOB TITLE / RESPONSIBILITY

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24 of 2ý 0 NUREG-1021, Revision 8 l0U3AI

ES-201 Examination SecurityAgreement Form ES-201-3

1. Pre-Examination Fr S2-I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for the week(s) of date of my signature. I agree that I will not knowingly divulge any I" aYi 's of the information about these examinations to any persons who have by the NRC chief examiner. I understand that I am not to instruct, notthe evaluate, or provide performance feedback to those applicants administered these licensing examinations from this date until scheduled to be completion of examination administration, except as specifically authorized by the NRC.Furthermore, I am aware of the physical noted below and security measures and requirements (as documented in the facility procedures) and understand that violation of the conditions of this licensee's agreement may result in cancellation of the examinations and/or action against me or the facility licensee. I will immediately report an enforcement to facility management or the NRC chief examiner any indications examination security may have been compromised. or suggestions that

2. Post-Examination To the best of my knowledge, I did not divulge to any unauthorized persons any information concerning the NRC licensing examinations during the week(s) oflI*- , -& rrom the date that I entered into this security agreement until administered instruct, evaluate, or provide performance feedback to those applicants the completion of examination administration, I did not who were administered these licensing examinations, except as noted below and authorized by the NRC. specifically PRINTED NAME JOB TITLE R SPONSIBILITY SIGNATU AE (1) DATE SIGNATURE (2) DATE NOTE 2.-

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NUREG-1021, Revision 8 24 of 24

ES-301 Operating Test Quality Checklist Form ES-301-3 Facility:

Date of Examination: Operating) Test Number:

1. GENERAL CRITERIAJ Initials a b* c#

a. The operating test conforms with the previously approved outline; changes are consistent with samplina requirements (e.g., 10 CFR 55.45, operational importance, safety function distribution).

b. There is no day-to-day repetition between this and other operating tests to be administered durnn this examination. -.

c. The operating test shall not duplicate items from the applicants' d.

audit test(s)(see Section D.l.a). 77 Overlap with the written examination and between operating test categories is within acceptable limits.

e. It appears that the operating test will differentiate between competent and less-than-competent applicants at the designated license level.

2. WALK-THROUGH (CATEGORY A & B)

CRITERIA /

a. Each JPM includes the following, as applicable:

• initial conditions

• initiating cues

• references and tools, including associated procedures

• reasonable and validated time limits (average time allowed for completion) and specific designation ifdeemed to be time critical by the facility licensee

• specific performance criteria that include:

- detailed expected actions with exact criteria and nomenclature

- system response and other examiner

- statements describing important observations cues to be made by the applicant

- criteria for successful completion of the task

- identification of critical steps and their associated performance standards

- restrictions on the sequence of steps, if applicable

b. The prescripted questions in Category A are predominantly criteria in Attachment I of ES-301. open reference and meet the C. Repetition from operating tests used during the previous licensing examination is within acceptable limits (30% for the walk-through) and do not compromise test integdty

d. At least 20 Percent of the JPMs on each test are new or significantly modified.

3. SIMULATOR (CATEGORY C) CRITERIA_

a. The Formassociated ES-301-4+simulator operating andu a ccopy tests (scenario sets) have been reviewed in accordance is attached.

with Printed Name /Sig tur Dat

c. NRC Chief Examiner (#) F ~~'/;* i/ 'O -*i'* 7/+z NOTE:

• The facility signature is not applicable for NRC-developed tests.

1. Independent NRC reviewer initial items in Column "c:" chief examiner concurrence reguired.

23 of 26 NUREG-1021, Revision 8, Supplement 1

ES-301 Operating Test Quality Checklist Form ES-301-3 Facility: Date of Examination: Operatin- Test Number:

Initials

1. GENERAL CRITERIA a b* c#

a. The operating test conforms with the previously approved outline; changes are consistent with sampling requirements (e.g., 10 CFR 55.45, operational importance, safety function distribution). *',L4

b. There is no day-to-day repetition between this and other operating tests to be administered during this examinations C. The operating test shall not duplicate items from the applicants' audit test(s)(see Section D.1.a).

d. rOverlap with the written examination and between operating test categories iswithin acceptable limts

e. It appears that the operating test will differentiate between competent and less-than-competent adelicants at the desienmed tlcense level. faltics

2. WALK-THROUGH t ic (CATEGORY A & B) CRITERIA

a. Each JPM includes the following, as applicable:

• initial conditions Sinitiating cues references

- and tools, including associated procedures reasonable

- and validated time limits (average time allowed for completion) and specific designation if deemed to be time cctical by the facility licensee

• specific performance criteria that include:

- detailed expected actions with exact criteria and nomenclature

- system response and other examiner cues

- statements describing important observations to be made by the applicant

- criteria for successful completion of the task

- identification of critical steps and their associated performance standards --

- restrictions on the sequence of steps, if applicable

b. The prescripted questions in Category A are predominantly open reference and meet the criteria in Attachment 1 of ES-301.

c. Repetition from operating tests used during the previous licensing examination is within acceptable limits (30% for the walk-through) and do not compromise test integrity. _-

d. At least 20 percent of the JPMs on each test are new or significantly modified.

~a.Th assoiated 3. SIMULATOR (CATEGORY C) CRITERIA

a. Theorassciateds simulator operating tests (scenario sets) have been reviewed in accordance with Form ES-301 -4and a copyis attached.I/I P~nted Name/ Signatue Date

a. Author co \L\ yQ m

b. Facility Reviewer(*) .

• I -3

c. NRC Chief Examiner (#) . 0A-.,./'

I

d. NRC Supervisor I? A NOTE:

• The facility signature is not applicable for NRC-developed tests.

1. Independent NRC reviewer initial items in Column "c;" chief examiner concurrence required.

I 23 of 26 NUREG-1021, Revision 8, Supplement 1

ES-301 Simulator Scenario Quality Checklist Form ES-301-4 Date of Exam: ... Scenaro Numbers: /I-iJ'l/ Operating Test No.:

QUALITATIVE ATTRIBUTES a b* c# I

1. The initial conditions are realistic, in that some equipment and/or instrumentation may be out of service, but it does not cue the operators into expected events.

2. The scenarios consist mostl of related events. /

3. Each event description consists of

/

the point in the scenario when it is to be initiated the malfunction(s) that are entered to initiate the event the symptoms/cues that will be visible to the crew the expected operator actions (by shift position) the event termination point (if applicable)

4. No more than one non-mechanistic failure (e.g., pipe break) is incorporated into the without a credible preceding incident such scenario as a seismic event.

5. The events are valid with regard to physics and thermodynamics.

6. Sequencing and timing of events is reasonable, and allows the examination team to obtain complete evaluation results commensurate with the scenario obiectives.

7. If time compression techniques are used, the scenario summary clearly so indicates.

have sufficient time to carry out expected Operators activities without undue time constraints.

ven. Cues are

8. The simulator modeling is not altered.

9. The scenarios have been validated. Any open simulator performance deficiencies evaluated to ensure that functional have been fidelit is maintained while running the planned scenarios.

10. Every operator will be evaluated using at least one new or significantly modified scenario.

other scenarios have been altered in accordance All with Section D.4 of ES-301.

11. All individual operator competencies can be evaluated, as verified using Form ES-301-6 the form alonl with the simulator scenarios. (submit

12. Each applicant will be significantly involved in the minimum number of transients and specified on Form ES-301-5 (submit the form with events the simulator scenarios

13. Thelevel of d ificuiltis appropriate to su port licensing decisions for each crew position.

TARGET QUANTITATIVE ATTRIBUTES Az' (PER SCENARIO; SEE SECTION D.4.) I Actual Attributes

1. Total malfunctions (5-8)

2. Malfunctions after EOP entry (1-2) 25_ý

$ /.,

3. Abnormal events (2-4)

4. Major transients (1-2)

5. EOPs entered/requiring substantive actions (1-2 / st/ I

,4 4,'

Is

6. EOP contingencies requirin1 substantive actions (0-2) / /0,//

7. Critical tasks (2-3)

,2

/

NURE-1021/ Re- S,upem C42o-ee F

NUREG-1 021, Revision 8, Supplement 1 24 of 26

ES-30 Simulator Scenario Quality Checklist Form ES-3014 F i Date of Exam: Scenario s I Operatin Test No.:

QUALITATIVE ATTRIBUTES Initials a *b j may be out of in that some equipment and/or instrumentation C

1. The initial conditions are realistic, events.

the operators into expected service, but it does not cue 2The scenarios consist mostly p rao io of relatexpect

3. Each event description consistsms of the point in the scenario when it is to be initiated malfunction(s) that are entered to initiate the event hesfethe the event the expected operatorpoint termination actions (if applicable),.

(by shift to the crew position) be visible that will

4. No more than oneesymptoms/cues non-mechanistic failure (e.gl , pipe break) the is incorporated into the scenario 8.Th a crediblr e preceding incident such as oseismic event.

without m

5. The events are valid with regard in accranc thermocinaD.

of

6. Sequencing and timing of eventcis reasonable, ald allows the examination team to obtain complete evaluation results commensurate with the scenario scenario summary clearly so indicates. Operatoz objectives.

7. If time compression techniques are used, the have sufficient time to carry out expected activities without undue time constraints.

T liven. Cues arevent

8. The sim ulator odelinES is not altered.Sc E simulator performance deficiencies have been

9. The scenarios have been validated. Any open evaluated to ensure that functional fidelity is maintained one new or significantly while modified running the scenario. All

10. Every operator will be evaluated using at least planned scenarios. * *

• been altered in accordance with Section D.4 of ES-301.

other scenarios have

11. All individual operator competencies can be evaluated, as verfied using Form ES-301-6 (submi the form alona with the simulator scenarios).

saneet -*

form with the simulator scenarios).

12. specified on Form ES-301-5 (submit the Each applicant will be significantly involved in the g for each cr position to su ppor t minimdecisions licensin um

• T e evel of difficult is yappropriate number oftransienan Actual Attributes SECTION DA.4D)

SCENARIO; SEE QUUANTITATIVE ATTRIBUTES (PER

[TARGEETT ,

.* / /* _

(1-2)

2. Malfunctions after EOP entry f* 71 * *,

Abnormal events (2-4) '

3. / I/2 Major transients (1-2)

4. i / ,*

• i i

g]

substantive act~i ons (1 -2)

5. EOPs entered/requidn 0 ,* * /

actions (0-2) *

6. EOP contingencies requiring] substantive * / / //

7. Critical tasks (2-3)

NUREG-1021, Revision 8, Supplement 1 24 of 26

ES-301 Transient and Event Checklist Form ES-301-5 OPERATING TEST NO.:

Aplicant Evplution Minimum Scenario Number I ype ype Number 1 2 3 4 Reactivit 16 - X N~ormal 1.  ;-"- ;_41 RO Instrument/ 43 ý ,, /21"3, .

'Ro/6p P Component /',* ,

j" I Major 1 ,7 Reactivity 1 -q _ 9 /

Normal 0 . . . .

As RO Instrument2 Component 2 ./ 3 3,) 52 / 3, /

Major 1 '2 - * '

SRO-I Reactivity 0 .-. .

Normal 1 5- V I As SRO Nra Instrument 2

Com onent Major 1 5,1,.e Reactivity 0 .

Normal 1 5- . /

SRO-U Instrument / 2 i Component Major 1 s-.,

61 Z Instructions: (1) Enter the operating test number and Form ES-D-1 event numbers for each evolution type.

(2) Reactivity manipulations may be conducted under normal or controlled abnormal conditions (refer to Section D.4.d) but must be significant Section C.2.a of Appendix D. per (3) Whenever practical, both instrument and component malfunctions be included; only those that require verifiable actions that provide should to the plicant's insight etence count toward the minimum requirement.

Author:

NRC Reviewer:

25 of 26 NUREG-1021, Revision 8, Supplement 1

ES-301 Competencies Checklist Form ES-301-6 Applicant #1 Applicant #2 Applicant #3 RO O-I/SRO CO/SRO--ISRO-U ( SRO-I/SRO-U Competencies SCENARIO SCENARIO SCENARIO 1134 :2i31 4 1 2 3 4 Understand and Interpret .,.2.

Annunciators and Alarms 1-7 i--i 1,3-4 2-7 *7 3--7

.-- Ij -7 5--7 22-1 3-(

Diagnose Events and Conditions 1-7 i-7 1-4 2-7 J, 2 3-7 Understand Plant and System Response '-~7 '-7 '-4 -7 l2 1,2.

4 L!2-7 5--.7

-7 3 q-7 Comply With and 2.3

q - -7 3-6 , 7-Use Procedures (1) 1-? -7 '-4 (-7 ~5-7 I) -

Operate Control Sq-7 Y- 7 3-('

Boards (2) Al/A , / , s/, 4 , /* -7 2---7 I, 2 -

/-4 '/3 -7 Communicate and Interact With the Crew S-7 I-i7 J-7 /-7 -'7 1,2 -/-3 Demonstrate Supervisory +4 1,3-7 N/ A-/4 /-- A N-/-

Ability (3) -7 i- - , -4 -

1-7 , /a p/ A , //

N/A Comply With and Use Tech. Specs. (3)

Notes:

/' -v I - 11/1 1 -/1, (1) Includes Technical Specification compliance for an RO.

(2) Optional for an SRO-U.

(3) Only applicable to SROs.

Instructions:

Circle the applicant's license type and enter one or more event numbers that will allow the examiners to evaluate every applicable competency for every applicant.

Author: _____

NRC Reviewer: _.

I NUREG-1021, Revision 8, Supplement 1 26 of 26

!*-401 Written Examination Form ES-401-7 Quality Checklist I

NUREG-1021, Revision 8, Supplement 1 42 of 46

ES-401 Written Examination Form ES-401-7 Quality Checklist NUREG-1021, Revision 8, Supplement 1 42 of 46

ES-403 Written Examination Grading Form ES-403-1 Quality Checklist Facility: Date of Exam: Exam Level: RO/SRO Initials Item Description a b c

1. Clean answer sheets copied before grading \.- _,4 r I

2. Answer key changes and question deletions justified and documented ___ I__

3. Applicants' scores checked for addition errors A./ A (reviewers spot check > 25% of examinations) __

4. Grading for all borderline cases (80% +/- 2%) reviewed in detail _____

5. All other failing examinations checked to ensure that grades I /

are justified AvI _

6. Performance on missed questions checked for training deficiencies and wording problems; evaluate validity of questions missed by half or more of the applicants Printed Name / Signature Date

a. Grader A, -4

b. Facility Reviewer(*) 2161,

c. NRC Chief Examiner (*) // 5-'9 "i'K' 7/

-7 2.

d. NRC Supervisor (*) ' Cr.\/_ -J2

(*) The facility reviewer's signature is not applicable for examinations graded by the NRC; two independent NRC reviews are required.

) 5 of 5 NUREG-1021, Revision 8, Supplement 1