ML032650759

Final Qa/Related Forms

ML032650759
Person / Time
Site:	Hope Creek
Issue date:	06/13/2003
From:	Todd Fish NRC/RGN-I/DRS/OSB
To:	Conte R NRC/RGN-I/DRS/OSB
Conte R
References
50-354/03-302
Download: ML032650759 (18)

Text

ES-201 Examination Preparation Checklist Form ES-201-1 Facility: (4 Date of Examination: b,//b-.;.?/o.

Examinations Developed by: / NRC (circle one)

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

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

-1 20 2. NRC examiners and facility contact assigned ((3.1 .d; C.2.e) r 7-F

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

TF

-120 4. Corporate notification letter sent (C.2.d) 7-r

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

-75 6. Integrated examination outline(s) due ((2.1 .e & f; C.3.d) 'TF

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

-45 8. Proposed examinations, supporting documentation, and reference materials due (C.l .e, f, g & h; C.3.d) 7-F

-30 9. Preliminary license applications due (C.1 .I; C.2.g; ES-202) 7-T-

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

1 -14 I 11. Examination approved by NRC supervisor for facility licensee review (C.2.h; C.3.f) I TF

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

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

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

15. Proctoring/writtenexam administration guidelines reviewed with

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

Tf

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

NUREG-1021, Revision 8, Supplement 1 22 of 24

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

I Item Task Description l a Initials b' c#

P

1. a. Verify that the outline(s) ffi(s)the appropriatemodel per ES-401. -

W 76 R b. Assess whether the outline was systematically and randomly prepared in accordancewith I Section D.l of ES-401 and whether all WA categories are appropriately sampled. &c T I, 1 T c. Assess whether the outline over-emphasizesany systems, evolutions. or generic topics.

E N d. Assess whether the justificationsfor deselected or rejectedWA statements are appropriate. Q a .&-

2.

S I

M 3.

W t NRC examination, I

T s as specified in ES-301, or abnormal condition, and

a. Author

b. Facility Reviewer c)

c. NRC Chief Examiner ( X )

d. NRCSupervisor Note: Not applicable for NRC-developedexaminations.

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

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

Dwayne Gartner Fritz Possessky RECEIVED NC.TQ-WB.ZZ-O027(Z)

Jim Noonan J.R. Trautvetter REGJON 1 Mike Engel Kurt Doten Paul Breidenbach Larry Sinclair Sean Franek Steve Nevelos Chris Watson Tom Fowler David Hall Tom Kiessling NRC Examination Security Agreement

1. Pre-Examination I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for the week(s) of 6116-30103 as of the date of my signature. I agree that I will not knowingly divulge any information about these examinations to any persons who have not been authorized by the NRC chief examiner. I understand that I am not to instruct, evaluate, or provide performance feedback to those applicants scheduled to be administered these licensing examinations from this date until completion of examination administration, except as specifically noted below and authorized by the NRC.

Furthermore, I am aware of the physical security measures and requirements (as documented in the facility licensee's procedures) and understand that violation of the conditions of this agreement may result in cancellation of the examinations and/or an enforcement action against me or the facility licensee.

I will immediately report to facility management or the NRC chief examiner any indications or suggestions that examination security may have been compromised.

2. Post-Examination To the best of my knowledge, I did not divulge to any unauthorized persons any information concerning the NRC licensing examinations administered during the week(s) of 6116-30103 , From the date that I entered into this security agreement until the completion of examination administration, I did not instruct, evaluate, or provide performance feedback to those applicants who were administered these licensing examinations, except as specifically noted below and authorized by the NRC.

JOB TITLE /

PRINTED NAME DATE NOTE RESPONSI BILlTY

~-cx&

b. Z i q 8-3-03 QbLgo3 Rev. 2

Dwayne Gartner Jim Noonan Mike Engel Fritz Possessky J.R. Trautvetter Kurt Doten I " .  : -

Paul Breidenbach Larry Sinclair ATTACHMENT 6 Sean Franek Steve Nevelos Chris Watson Tom Fowler 2 %

Page iyof ;I' David Hall Tom Kiessling NRC Examination Security Agreement

1. Pre-Examination I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for the week(s) of 6M6-30103as of the date of my signature. I agree that I will not knowingly divulge any information about these examinations to any persons who have not been authorized by the NRC chief examiner. I understand that I am not to instruct, evaluate, or provide performance feedback to those applicants scheduled to be administered these licensing examinations from this date until completion of examination administration, except as specifically noted below and authorized by the NRC.

Furthermore, I am aware of the physical security measures and requirements (as documented in the facility licensee's procedures) and understand that violation of the conditions of this agreement may result in cancellation of the examinations and/or an enforcement action against me or the facility licensee.

I will immediately report to facility management or the NRC chief examiner any indications or suggestions that examination security may have been compromised.

2. Post-Examination To the best of my knowledge, I did not divulge to any unauthorized persons any information concerning the NRC licensing examinations administered during the week(s) of 6/16-30/03. From the date that I entered into this security agreement until the completion of examination administration, I did not instruct, evaluate, or provide performance feedback to those applicants who were administered these licensing examinations, except as specifically noted below and authorized by the NRC.

JOB TITLE /

PRINTED NAME SIGNATURE (1) DATE SIGNATURE (2) DATE NOTE RESPONSIBILITY e - !

I  :  ! . - -

Page 85 of 104 Rev. 2

ES-301 Operatina Test Qualitv Checklist Form ES-301-3IR8, S I )

Facility: G O P f ' Cel=E /< Date of Examination: 6 / / 7 /O 3 Operating Test Number: [

I-

1. GENERAL CRITERIA a

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).

Qc

b. There is no day-to-day repetition between this and other operating tests to be administered c16 during this examination.

C. The operating test shall not duplicate items from the applicants' audit test(s)(see Section D.1.a). 9

d. Overlap with the written examination and between operating test categories is within acceptable limits. Qt It appears that the operating test will differentiate between competent and less-than-competent e.

applicants at the designated license level.

2. WALK-THROUGH (CATEGORY A 8 6)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 if deemed 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 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 performancestandards

- 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. QC

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

3. SIMULATOR (CATEGORY C) CRITERIA -

a. The associated simulator operating tests (scenario sets) have been reviewed in accordance with Form ES-301-4 and a copy is attached.

b. Facility Reviewer(')

c. NRC Chief Examiner (#)

d. NRC Supervisor I //

NOTE: The facility signature is not applicable for NRC-developed t e s u

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

ES-301 Simulator Scenario Quality Checklist Form ES-301-4 (R8, S I )

QUALITATIVE AlTRlBUTES Initials I 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 mostly of related events.

11-1 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 svmptomskues that will be visible to the crew the &pected operator actions (by shift position) the event termination point (if applicable)

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

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

ES-301 Transient and Event Checklist FORM ES-301-5 Operating Test Number: c I Reactivity I 1 I I l l I I Normal I 0 I I I I As RO Major 1 6 4 Reactivity 0 Normal 1 1 As SRO Instrument /

Component 2 234 Major 1 5 Reactivity 0 Normal 1 SRO-U Instrument /

2 Component Major 1 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 per Section C.2.a of Appendix D.

(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.

Author:

NRC Reviewer: Y L c

Page 31 of 104 Rev. 2

NC.TQ-WB.U-0027(2)

ES-301 Transient and Event Checklist FORM ES-301-5 Operating Test Number:

Reactivity 1 I I I 0 I l l As RO Instrument /

2 2,3,4, ComDonent 6 23 Major 1 5 4 Reactivity 0 Normal 1 13 As SRO Instrument / 2,4,5, 2

Component 7 Major 1 6 Reactivity 0 Normal 1 SRO-U Instrument /

2 Component Major 1 Enter the operating test number and Form ES-D-1 event numbers for each evolution type.

Reactivity manipulations may be conducted under normal or controlled abnormal conditions (refer to Section D.4.d) but must be significant per Section C.2.a of Appendix D.

(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.

Author:

f I Q '

NRC Reviewer:

Page 31 of 104 Rev. 2

NC.TQ-WB.ZZ-O027(2)

ES-30 1 Transient and Event Checklist FORM ES-301-5 Operating Test Number: I I Reactivity I 1 I I l l I I Normal 0 As RO Instrument /

2 2,5 5,6,7 Component Major 1 6 4 SRO-1(3) I Reactivity 0 Normal 1 1 A s SRO Instrument /

Component 2 234 I Major I 1 1 5 1 I

I I

1 Reactivity I I

0 I I

I I

I I

I 3

I I

Normal 1 SRO-U Instrument /

2 Component I Major I 1 I 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 per Section C.2.a of Appendix D.

(3) Whenever practical, both instrument and component malfunctions should be included; only those that require verifiable actions that provide insight to the applicants competence count toward the minimum requirements.

r\

Author:

NRC Reviewer:

Page 31 of 104 Rev. 2

NC.TQ-WS.ZZ-O027(Z)

ES-301 Transient and Event Checklist FORM ES-301-5 Operating l e s t Number: 1 R04 Reactivity 1 1 Normal 0 1 As RO Instrument / 2,3,4, 2 23 Component 6 Major 1 5 4 Reactivity 0 Normal 1 13 As SRO Instrument I 2,4,5, 2

Component 7

- V I Major 1 6 Reactivity 0 Normal 1 SRO-U Instrument /

2 Component Major 1 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 per Section C.2.a of Appendix D.

(3) Whenever practical, both instrument and component malfunctions should be included; only those that require verifiable actions that provide insight to the applicants competence count toward the minimum requirements.

7 Author:

r I NRC Reviewer: uj-Page 31 of 104 Rev. 2

NC .TQ-WB.ZZ-O027(Z)

ES-301 Transient and Event Checklist FORM ES-301-5 Operating Test Number: \

Reactivity 1 1 1 1 I Normal I 0 I I I I As RO Instrument /

2 2,5 5,6,7 Component I Major I 1 I 1 6 1 4 1 Reactivity 0 Normal 1 I As SRO Instrument /

Component 2 234 Major 1 5 Reactivity 0 Normal 1 SRO-U Instrument /

2 Component 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 per Section C.2.a of Appendix D.

(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.

Author:

NRC Reviewer:

Page 31 of 104 Rev. 2

NC.TQ-WB.ZZ-0027(2)

ES-301 Transient and Event Checklist FORM ES-301-5 Operating Test Number: I Reactivity 1 1 Normal 0 1 As RO Instrument /

2 234, Component 6 23 Major 1 5 4 SRO-I(6) I Reactivity 0 Normal 1 1,s As SRO Instrument /

2 2,4,5, Component 7 I Maior I 1 I 1 6 1 I I Reactivity 0 I I Normal I 1 I I I I I SRO-U Instrument /

Component 2 Major 1 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 per Section C.2.a of Appendix D.

(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.

Author:

NRC Reviewer:

Page 31 of 104 Rev. 2

ES-301 Competencies Checklist FORM ES-301-6 Competencies SCENARIO SCENARIO li- I 2 3 I

Understand and Interpret 34, 43, 3,4, Annunciators and Alarms 5 6,7 5 Diagnose Events and 43, 34, 45, 3,4, Conditions 6,7 5 6,7 5 Understand Plant and System 45, 3,5 6 3,5 3 3,5

Response

Comply With and Use 334, 3,4, 3,4, Procedures (1) 5 6,7 5 3,4, 34, 34, Operate Control Boards (2) 5 5 6,7 5 Communicate and Interact 34 34, 3,4, With the Crew 5 5,6, 5 5 7 Demonstrate Supervisory Ability (3)

Comply With and Use Tech.

Specs. (3)

Notes:

(I) Includes Technical Specification compliance for an RO.

(2) Optional for an SRO-U.

(3) Onlv amlicable to SROs.

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

NRC Reviewer:

Page 32 of 104 Rev. 2

NC.TQ-WB.ZZ-0027(2)

ES-301 Competencies Checklist FORM ES-301-6 Competencies SCENARIO SCENARIO SCENARIO 2 3 3 Understand and Interpret 2,4, 5.6, 43, Annunciators and Alarms 7 6

Diagnose Events and z4, 23, 56, 48-53 2,3, Conditions 7 6 4

Understand Plant and System 12, Response 3.4 Comply With and Use 2.4, 5,6, Procedures (1) 7 Operate Control Boards (2)

Communicate and Interact 1,2, With the Crew 3;"' 5,6 Demonstrate Supervisory Ability (3)

Comply With and Use Tech. 4 Specs. (3)

Notes:

(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.

_N;RCh tReviewer:

uA Page 32 of 104 Rev. 2

ES-301 ComDetencies Checklist FORM ES-301-6 Competencies SCENARIO SCENARIO SCENARI0 4 1 2 Understand and Interpret 4,5, Annunciators and Alarms 6 Diagnose Events and 23, 2,4, 4,5, 2.6 Conditions 6 5.6 Understand Plant and System 2,3, Response 5 Comply With and Use 23, Procedures (1) 4!5 1,2, 4,5, Operate Control Boards (2) 5.6 6.7 Communicate and Interact With the Crew DemonstrateSupervisory 2,4, 5,6, Ability (3) 7 Comply With and Use Tech. 4 Specs. (3)

Notes:

(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.

NRC Reviewer:

Page 32 of 104 Rev. 2

ES-401 Written Examination Form ES-401-7 (R8,S I )

Quality Checklist I Initial Item Description a b

1. Questions and answers technically accurate and applicable to facility 06;- g

2. a. NRC WAS referenced for all questions

b. Facility learning objectives referenced as available

3. ROISRO overlap is no more than 75 percent, and SRO questions are appropriate per Section D.2.d of ES-401

4. Question selection and duplication from the last two NRC licensing exams appears consistent with a systematic sampling process

5. Question duplication from the license screening/audit exam was controlled as indicated below (check the item that applies) and appears appropriate:

the audit exam was systematically and randomly developed; ~ C U J D

-the audit exam was completed before the license exam was started; or the examinationswere developed independently; or 3 the licensee certifies that there is no duplication; or other (explain)

6. Bank use meets limits (no more than 75 Bank Modified New percent from the bank at least 10 percent new, and the rest modified); enter the actual question distribution at right I I

7. Between 50 and 60 percent of the questions on Memory CIA the exam (including 10 new questions) are written at the comprehensionIanalysis level:

enter the actual question distribution at right Y3 57 @q

8. Referenceslhandoutsprovided do not give away answers 9.65 TF

9. Question content conforms with specific WA statements in the previously approved examination outline and is appropriate for the Tier to which they are assigned: deviations are justified TF

10. Question psychometricquality and format meet ES, Appendix B, guidelines PF

11. The exam contains 100, one-point, multiple choice items; the total is correct and agrees with value on cover sheet n=

a. Author

b. Facility Reviewer (*)

2. NRC Chief Examiner (#)

3. NRC Regional Supervisor Note: The facility reviewersinitialslsignature are not applicaf;(e for NRC-developed examinations.

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

ES-401 Written Examination Form ES-401-7 (R8, S I )

Quality Checklist Facility: -/ope CEECK Date of Exam: 6/17/0 7 I

I

, Initial,

5. Question duplication from the license screening/audit exam was controlled as indicated below (check the item that applies) and appears appropriate:

the audit exam was systematically and randomly developed;= PMD

-the audit exam was completed before the license exam was started; or

9. Question content conforms with specific KIA statements in the previously approved examination outline and is appropriate for the Tier to which they are I t I assigned; deviations are justified IO. Question psychometricquality and format meet ES, Appendix 6,guidelines Qf$ @- 7 T

11. The exam contains 100, one-point, multiple choice items; the total is correct and agrees with value on cover sheet of$ &2 7-F

ES-403 Written Examination Grading Form ES-403-1 Quality Checklist r '

Date of Exam: hky/o 7 Exam LevelGg/SRO I

Initials L 1 Item Description a b C

1. Clean answer sheets copied before grading at.</w 7-F

2. Answer key changes and question deletionsjustified and documented aq-- Tr

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

/ .

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

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5. All other failing examinations checked to ensure that grades are justified

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 / qgnature Date

a. Grader w "-

b. Facility Reviewer(*) 7/d&

&/6 3

c. NRC Chief Examiner (*) &/& /e3

d. NRC Supervisor r) (f ]

(*) The facility reviewer's signature is not applicable for examinations graded by the NRC: two indeDendent NRC reviews are reauired.

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