ML040960186

Final - Qa/Related Forms

ML040960186
Person / Time
Site:	Calvert Cliffs
Issue date:	03/05/2004
From:	D'Antonio J NRC/RGN-I/DRS/OSB
To:	Conte R NRC/RGN-I/DRS/OSB
Conte R
References
50-317/04-301, 50-318/04-301
Download: ML040960186 (17)

Text

ES-201 Examination Preparation Checklist Form ES-201-1 Target Date*

-180

-120

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Chief Initials Task Description / Reference Examiner's 4

a

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

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

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

I /

-120 1-90]

4 4

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

[5. Reference material due (C.l.e; C.3.c)l

-75 I 6. Integrated examination outline@) due (C.1.e & f; C.3.d)

-70 4 5

-30

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7. Examination outline(s) reviewed by NRC and feedback provided to facility licensee (C.2.h; C.3.e) 1 1

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

9. Preliminary license applications due (C.l.I; C.2.g; ES-202)

-1 4

-14

-1 4

-7

-7

-7

16. Approved scenarios, job performance measures, and questions

-7 I

distributed to NRC examiners (C.3.i)

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

I.

4f

11. Examination approved by NRC supervisor for facility licensee review (C.2.h; C.3.9

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

13. Written examinations and operating tests approved by

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letters sent (C.2.g, ES-204) w NRC supervisor (C.2.i; C.3.h)

14. Final applications reviewed; assignment sheet updated; waiver

15. Proctoringlwritten exam administration guidelines reviewed with facility licensee and authorization granted to give written exams (if applicable) (C.3.k)

Target 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 licensee.

Applies only to examinations prepared by the NRC.

[ ]

ES-20 1 Examination Outline Quality Checklist Form ES-201-2 Item Task Description

1.

w

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

Initials a

b' c#

.Fells k 5 -

b. Assess whether the outline was systematically and randomly prepared in accordance with Section D.l of ES-401 and whether all WA categories are appropriately sampled.

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

d. Assess whether the justifications for deselected or rejected WA statements are appropriate.

I T

T E

2.

S I

M

3.

W I

T

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.

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

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) 98464 - 6 (2 - 3 for SRO-U) 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.

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a. Author

b. Facility Reviewer r)

c. NRC Chief Examiner (#)

d. NRC Supervisor Note:

Not applicable for NRC-developed examinations.

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

NUREG-1021, Draft Revision 9 24 of 25

d I

ES-201 Examination Security Agreement Form ES-20 1-3

1.

Pre-Examination by the NRC chief examiner. I understand that I am not to instruct, evaluate, or provi procedures) and understand that violation of the conditions of this agreement may

2.

Post-Examination To the best of my knowledge, I did not divulge to any unauthorized person during the week(s) of PRINTED NAME

3. >mefirc F, bkgATo __

4. znra c* Kf2Lh.J-

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15.

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25 of 25 NUREG-1021, Draft Revision 9

+

Form ES-201-3

..I ES-201 Examination Security Agreement c

I.

Pre-Examination I acknowledge that I have acquired specialized knowledge about date of my signature. I agree that I will not knowingly divulge any info by the NRC chief examiner. I understand that I am not to instruct, evaluate, or pro administered these licensing examinations from this date until completion of exam authorized by the NRC. Furthermore, I am aware of the physical sec procedures) and understand that violation of the conditions of this agreement may action against me or the facility licensee. 1 will immediately report to facility manag examination security may have been compromised.

2.

Post-Examination To the best of my knowledge, I did not divulge to any unauthorized p during the week@) of

. From the date that I entered into this instruct, evaluate, or provide performance feedback to those appli noted below and authorized by the NRC.

ications or suggestions that RC licensing examinations administered letion of examination administration, I did not nsing examinations, except as specificatty AiGNATvRE:,)?)

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PRINTED NAME JOB TITLE / RESPONSIBILITY. ';

' DATE SlGNAllJRE(2)

DATE NOTE

. ',....,.t:..,.;::

3.

.... f 25 of 25 NUREG-1021, Draft Revision 9

d

1.

Pre-Examination date of my signature. I agree that I will not knowingly divulge any information about procedures) and understand that violation of the conditions of this agreement may action against me or the facility licensee. I will immediately report to facility manag examination security may have been compromised.

ran enforcement

2.

Post-Examination To the best of my knowledge, I did not divulge to any unauthorized person during the week(s) of instruct, evaluate, or provide performance feedback to those applicang W noted below and authorized by the NRC.

NRC licensing examinations administered ion of examination administration, I did not ing examinations, except as specifically

. From the date that I entered into this PRINTED NAME JOB TITLE / RESPONSIBILITY.,;

" DATE SlGNATURE(2)

DATE NOTE e

_I__I I__-

NOTES:

NUREG-1021,

,. Draft Revision 9 25 of 25

ES-201 Examination Security Agreement Form ES-201-3

1.

Pre-Examination I acknowledge that I have acquired speclalized knowledge about the NRC licensing date of my signature. I agree that I will not knowingly divulge any information about by the NRC chief examiner. I understand that 1 am not to instruct, eval administered these licensing examinations from this date until completion of exami authorized by the NRC. Furthermore, I am aware of the physical security measure procedures) and understand that violation of the conditions of this agreement may action against me or the facility licensee. I will immediately report to facility manage examination security may have been compromised.

2.

Post-Exa mination To the best of my knowledge, 1 did not divulge to any unauthorized pe during the week(s) of

. From the date that I entered into thi instruct, evaluate, or provide performance feedback to those applica noted below and authorized by the NRC.

PRINTED NAME JOB TITLE I RESPONSIBILITY. :.

- DATE SlGNATURE(2)

DATE NOTE 25 of 25 NUREG-7027, Draft Revision 9

ES-201 Examination Security Agreement Form ES-201-3

1.

Pre-Examination I acknowledge that I have acquired specialized knowledge about the NRC licensing exa date of my signature. I agree that I will not knowingly divulge any information about these examinations to by the NRC chief examiner. I understand that I am not to instruct, evaluate, or provide performance feedback to those applicantsscheduled to be administered these licensing examinations from this date until completion of examination administration, ex authorized by the NRC. Furthermore, I am aware of the physical security measures and requirements (as do procedures) and understand that violation of the conditions of this agreement may result in cancellation of th 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 con during the week(s) of 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.

he week(s) of J d

33 16 I sof the Eons who have not been authorized IIy noted below and andor an enforcement he facility licensee's RC licensing examinations administered

. From the date that 1 entered into this security agreement until the completion of examination administration, I did not PRINTED NAME JOB TITLE I RESPONSIBILITY 10.-~~~.-1L~-~_--

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I 25 of 25 NUREG-1021, Draft Revision 9 3

F l-

ES-201 Examination Security Agreement Form ES-201-3 I.

Pre-Examination I acknowledge that I have acquired specialized knowledge about the NRC licensing date of my signature. I agree that I will not knowingly divulge any information about by the NRC chief examiner. I understand that I am not to instruct, evaluate, or pro administered these licensing examinations from this date until completion of exami authorized by the NRC. Furthermore, I am aware of the physical security measure procedures) and understand that violation of the conditions of this agreement may action against me or the facility licensee. I will immediately report to facility mana examination security may have been compromised.

2.

Post-Examination To the best of my knowledge, I did not divulge to any unauthorized persons*a during the week(s) of

. From the date that I entered into this secu instruct, evaluate, or provide performance feedback to those applican~

who noted below and authorized by the NRC.

RC licensing examinations administered n of examinatlon administration, I did not nsing examinations, except as specifically PRINTED NAME JOB TITLE / RESPONSIBILITY

,SIGNATKRE (I)

" DATE SIC;NATURE(2)

DATE NOTE 25 of 25 NUREG-1021, Draft Revision 9

NUREG-1021, Draft Revision 9 ES-301 Operating Test Quality Checklist Form ES-30 1 -3 Facility:

Date of Examination:

Operating Test Number:

1. GENERAL CRITERIA a) b)

c) d)

e)

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

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

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

Overlap with the written examination and between different parts of the operating test is within acceptable limits.

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

2. WALK-THROUGH 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 criiical 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)

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.

c)

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.

Printed Name / Signature Initials Date iY

~~

~

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

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

ES-301 Simulator Scenario Quality Checklist Form ES-30 1 -4 I

QUALITATIVE AlTRlBUTES Initials a

b' c#

Each event description consists of the point in the scenario when it is to be initiated 3

TARGET QUANTITATIVE ATRIBUTES (PER SCENARIO; SEE SECTION D.WS.d)

1.

Total malfunctions (5-8)

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I

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6.

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

have sufficient time to carry out expected activities without undue time constraints. Cues are given.

The simulator modeling is not altered.

7.

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

8.

/

J Actual Attributes

9.

The scenarios have been validated. Pursuant to 10 CFR 55.46(d), any open simulator performance deficiencies have been evaluated to ensure that functional fidelity is maintained while running the planned scena'rios.

Every operator will be evaluated using at least one new or significantly modified scenario. All other scenarios have been altered in accordance with Section 0.45 of ES-301.

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

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10.

/

/

11.

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/

2.

Malfunctions after EOP entry (1-2)

3.

Abnormal events (2-4)

4.

Major transients (1-2)

5.

6.

7.

Critical tasks (2-3)

EOPs enleredlrequiring substantive actions (1-2)

EOP contingencies requiring substantive actions (0-2) 2 1 3 1 3 2 1 2 1 ;I

2_

1 2 1 /

1 1 1 1 1 0

1 1 1 Q 2 IAIa

+

25 of 27 NUREG-1021, Draft Revision 9

ES-301 Simulator Scenario Quality Checklist Form ES-30 1-4

.)I

acility: z ~ / t t PF' Date of Exam: 2 /$7h#

Scenario Numbers:

I Operating Test No.: /

1 QUALITATIVE ATTRIBUTES I

,initial Each event description consists of the point in the scenario when it isto be initiated the malfunction(s) that are entered to initiate the event

5.

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

/

7.

If time compression techniques are used, the scenario summary clearly so indicaies. Operators.

have sufficient time to carry out expected activities without undue time constraints. Cues are given.

8.

The simulator modeling is not altered.

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9.

The scenarios have been validated. Pursuant to 10 CFR 55.46(d), any open simulator performance deficiencies have been evaluated to ensure that functional fidelity is maintained while running the planned scenarios.

J

10.

Every operator will be evaluated using at least one new or significantly modified scenario. All other scenarios have been altered in accordance with Section D.45 of ES-301.

/

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11.

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

/I 1

J

12.

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

13.

TARGET QUANTITATIVE ATTRIBUTES (PER SCENARIO; SEE SECTION Actual Attributes D.443S.d)

The level of difficulty is appropriate to support licensing decisions for each crew position.

W-a J

h

1.

Total malfunctions (5-8)

I / I I

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2.

Malfunctions after EOP entry (1-2)

3.

Abnormal events (2-4) 7 1

1

4.

Major transients (1-2)

A I

I

6.

EOP contingencies requiring substantive actions (0-2) 0 1

1

5.

EOPs enleredlrequiring substantive actions (1-2)

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7.

Critical tasks (2-3)

NUREG-1021, Draft Revision 9

ES-30 1 Transient and Event Checklist Form ES-301-5 OPERATING TEST NO.: 3, I

I Instructions:

(1)

(2)

Enter the operating test number and Form ES-D-I event numbers for each evolution type.

Reactivity manipulations may be conducted under normal or controlled abnormal conditions (refer to Section D.45.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 one-for-one basis.

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

Author:

NRC Reviewer:

NUREG-1021, Draft Revision 9 26 of 27

ES-301 Competencies Checklist Form ES-301-6 Competencies Notes:

SCENARIO q-qq-T 2-7

'f-7 y-7 c/-7 f-7 9-7 !F7 y-7 (1) Includes Technical Specification compliance for an RO.

(2) Optional for an SRO-U.

(3) Only appkable 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.

1'

2.

27 of 27 NUREG-1021, Draft Revision 9

ES-401 Written Examination Form ES-401-76 Quality Checklist i

Facility: (.c,d p

Date of Exam: 2/37 (J I

Item Description the RO exam are written at the comprehension/analysis level; the SRO exam may exceed 60 percent if the randomly selected WAS support the higher 31 / I C 471 is cognitive levels; enter the actual RO / SRO question distribution(s) at right I

NJJ

8.

Referenceslhandouts provided do not give away answers 4-L

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 Question psychometric quality and format meet ES, Appendix B, guidelines

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IO.

11.

The exam contains %@$the required number of one-point, multiple choice items; the total is correct and agrees with value on cover sheet Note:

• The facility reviewer's initialslsignature are not applicable for NRC-developed examinations.

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

NUREG-1021, Draft Revision 9 30 of 34

The Calvert Cliffs 2004 Audit Exam was based on the July 2002 Initial License Exam.

The license exam was reviewed, modified and edited by an independent exam team consisting of LOIT instructors. There was no collaboration between the audit exam team and the 2004 Initial Exam team, The Initial Exam author selected no questions used on the 2002 exam for the 2004 exam.

ES-401 Written Examination Form ES-401-76 Quality Checklist

3.

Bank use meets limits (no more than 75 percent Bank Modified from the bank at least I O percent new, and the rest modified); enter the actual RO I SRO-only question distribution(s) at right I O Y / I New 451P

-acility:

Date of Exam:

7.

Between 50 and 60 percent of the questions on the RO exam are written at the comprehensionlanalysis level; the SRO exam may exceed 60 percent if the cognitive levels; enter the actual RO I SRO question distribution(s) at right randomly selected WAS support the higher Memory CIA 4f /Id 3q I / /

3m Level: ROlSRO Initial Date Note:

• The facility reviewers initialslsignature are not applicable for NRC-developed examinations.

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

NUREG-1021, Draft Revision 9 30 of 34

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

=acility:

Date of Exam:

Exam Level: RO/SRO Item Description

1.

2.

3.

Clean answer sheets copied before grading Answer key changes and question deletions justified and documented Applicants' scores checked for addition errors (reviewers spot check > 25% of examinations)

4.

5.

Grading for all borderline cases (80 +/- 2% overall and 70 +/-

4% on the SRO-only) reviewed in detail All other failing examinations checked to ensure that grades are iustified

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

a. Grader

b. Facility Reviewer(*)

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c. NRC Chief Examiner (*) -J,fld

d. NRC Supervisor (*)

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N1>4 I r /n Date

(*)

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

NUREG-1021, Draft Revision 9