ML050870505

Final Qa/Related Forms (Folder 1)

ML050870505
Person / Time
Site:	Ginna
Issue date:	11/01/2004
From:	Maciuska F Ginna
To:	Conte R NRC/RGN-I/DRS/OSB
Conte R
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ML042440238	List: ML042460314 ML043420083 ML050870505
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Download: ML050870505 (12)

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ES-201 Examination Preparation Checklist Form ES-201-1 Target Chief Date* Task Description (Reference) Examiner's Initials

-180 1 Examination administration date confirmed (C 1 a, C 2 a and b) -iF/SO c

-120 2 NRC examiners and facility contact assigned (C 1 d, C 2 e) I P/so

-120 3 Facility contact bnefed on secunty and other requirements (C 2 c) TF / S O

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

[-go] [5. Reference material due (C.l .e; C.3.c; Attachment 2)] +e

-75 6. Integrated examination outline(s) due, including Forms ES201-2. ES-201-3.

ES-301-1, ES-301-2, ES-301-5. ES-D-l's, ES-401-112. ES-401-3, and ES401-4, as applicable (C.1.e and f; C.3.d) TF /:9

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

-45 8. Proposed examinations (including written, walk-through JPMs. and scenarios, as applicable), supporting documentation (including Forms ES-301-3. ES-301-4, ES-301-5, ES-3014, and ES-401-6), and reference materials due (C.l .e, f, g and h; C.3.d) /s

-30 I 9. Preliminary license application (NRC Form 398s) due (C.1.l; C.2.g; ES-202)

-14 I P

10. Final license application due and Form ES-201-4 prepared (C.1.l; C.2.i; ES-202)

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

-14 12, Examinations reviewed with facility licensee (C.1.j; C.2.f and h; C.3.g) 1

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

-7 14. Final applicationireviewed; examination approval and waiver letters sent (C.2.i; Attachment 4; ES-204)

-7 15. Proctoringhritten exam administration guidelines reviewed with facility licensee (C.3.k)

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

. 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.

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ES-201, Page 24 of 27

ES-201 Examination Outline Quality Checklist Form ES-201-2 Facility: R. E. Ginna Date of Examination: 11/1/2004 Initials Task Description a I b

• I c #

a. Verify that the outline(s) fit(s) the appropriate model, in accordance with ES-401.

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R 1.I I b. Assess whether the outline was systematically and randomly prepared in accordance with Section D . l of ES-401 and whether all KIA categories are appropriately sampled. Tv I: wp

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

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

Ed %J TF

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

I M b. Assess whether there are enough scenario sets (and spares) to test the projected number U and mix of applicants in accordance with the expected crew composition and rotation schedule L without compromising exam integrity, and ensure that each applicant can be tested using A at least one new or significantly modified scenario, that no scenarios are duplicated T from the applicants' audit test@), and that scenarios will not be repeated on subsequent days.

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

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Verify that the systems walk-through outline meets the criteria specified on Form ES-301-2:

(1) the outline(s) contain(s) the required number of control room and in-plant tasks distributed among the safety functions as specified on the form (2) task repetition from the last two NRC examinations is within the limits specified on the form (3) no tasks are duplicated from the applicants' audit test@)

p ff (4) the number of new or modifiedtasks meets or exceeds the minimums specified on the form (5) the number of alternate path, low-power, emergency, and RCA tasks meet the criteria on the form.

Verify that the administrative outline meets the criteria specified on Form ES-301-1:

(1) the tasks are distributed among the topics as specified on the form (2) at least one task is new or sianificantlv modified

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

I Y

a. Author

b. Facility Reviewer (*)

c. NRC Chief Examiner (#)

d. NRC Supervisor U

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

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

1. Pre-Examination I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for the week(s) of 11/1/04 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 (e.g., acting as a simulator booth operator or communicator is acceptable if the individual does not select the training content or provide direct or indirect feedback). 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@) of 11/1/04 . 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.

PRINTED NAME JOB TITLE / RESPONSIBILITY SIGNATURE (1) DATE SJGNATURE (2) DATE NOTE 4.

5.

6.

7.

9.

10.

11.

12.

13.

14.

15.

NOTES:

ES-301 Operating Test Quality Checklist Form ES-301-3 Facility: R.E. Ginna Date of Examination:11/1/2004 Operating Tes 3umber: 04-2

1. General Criteria

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).

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

C. The operating test shall not duplicate items from the applicants' audit test@).(see Section D.l .a,)

d. Overlap with the written examination and between different parts of the operating test 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 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 operationally important 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. Ensure that any changes from the previously approved systems and administrative walk-through outlines (Forms ES-301-1 and 2) have not caused the test to deviate from any of the acceptance criteria (e.g., item distribution, bank use, repetition from the last 2 NRC examinations) specified on those forms and Form ES-201-2.

3. Simulator Criteria The associated simulator operating tests (scenario sets) have been reviewed in accordance with Form ES-3014 and a copy is attached.

Date

a. Author

b. Facility Reviewerr)

c. NRC Chief Examiner (#)

d. NRC Supervisor

\ I NOTE:

• The facility signature is not applicable for NRCdeveloped tests.

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

ES-301 Operating Test Quality Checklist Form ES-301-3 v

Facility: & -; Date of Examination: LC I-$ 0 y Operatin Test Number:

I.General Criteria

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).

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

C. The operating test shall not duplicate items from the applicants' audit test@).(seeSection D.l .a,)

d. Overlap with the written examination and between different parts of the operating test 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 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 operationally important 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. Ensure that any changes from the previously approved systems and administrative walk-through outlines (Forms ES-301-1 and 2) have not caused the test to deviate from any of the acceptance criteria (e.g., item distribution, bank use, repetition from the last 2 NRC examinations) specified on those forms and Form ES-201-2.

3. Simulator Criteria The associated simulator operating tests (scenario sets) have been reviewed in accordance with Form ES-3014 and a copy is attached.

Date Author Facility Reviewer(*)

NRC Chief Examiner (#)

NRC Supervisor U

NOTE: The facility signature is not applicable for NRCdeveloDed tests.

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

u

ES-301 Simulator Scenario Quality Checklist Form ES-301-4 QUALITATIVE ATTRIBUTES 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.

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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 scenario without a credible preceding incident such 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 objectives.

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

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

8. The simulator modeling is not altered.

9. The scenarios have been validated. Pursuant to 10 CFR 55.46(d). any open simulator

ES-301 Transient and Event Checklist Form ES-301-5 I Facility: R.E. Ginna Date of Exam:ll/1/2004 Operating Test No.94-2

1. Circle the applicant level and enter the operating test number and Form ES-D-1 event numbers for each event type; TS are not applicable for RO applicants. ROs must serve in both the 'at-thecontrols (ATC)" and "balance-of-plant (BOP)" positions; Instant SROs must do one scenario, including at least two instrument or component (VC) malfunctions and one major transient, in the ATC position.

2. Reactivity manipulations may be conducted under normal or controlledabnormal conditions (refer to Section D.5.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 1-for-1 basis.

3. Whenever practical, both instrument and component malfunctions should be included; only those that require verifiable actions that provide insiqht to the applicant's competence count toward the minimum requirement.

Author:

NRC Reviewer: w L h? H4SkW 4 O'iddG

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ES-301 Competencies Checklist F o ES-301-6

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Facilitv: R.E. Ginna Date of Examination: 11/1/2004 Operatina Test No.: 04-7 I

I APPLICANTS SRO-U I I1 RO/SRO-I/SRO-U Competencies SCENARIO 1 2 3 Interpret/Diagnose Events and Conditions 1 1,2,3,4,5,6 Comply With and 1,2,3,4,5 1,2,3,4,5,6 Use Procedures (1) 3perate Control NA NA Boards (2)

Communicate 1,2,3,4,5 1,2,3,4,5,6 and Interact Demonstrate 2,3,4,5 2,4,5,6 Supervisory Ability (3)

Comply With and 2,3 193 Use Tech. Specs. (3)

Instructions:

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

NRC Reviewer:

ES-401 Written Examination Quality Checklist Form ES-401-6 Facility: R.E. Ginna Date of Exam: 11/1/2004 Exam Level: SRO Initial I

Item Description a b'

1. Questions and answers are technically accurate and applicable to the facility. g-4 -&q

2. a. NRC WAS are referenced for all questions.

b. Facility learning objectives are referenced as available. k&poer/r

3. SRO questions are appropriate in accordance with Section D.2.d of ES-401 &M

4. If more than four RO and two SRO questions are repeated from the last two NRC licensing exams, the facility licensee's sampling process was random and systematic.

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

-the audit exam was systematically and randomly developed

-the audit exam was completed before the license exam was started X the examinations were developed independently X the licensee certifies that there is no duplication other (explain)

6. Bank use meets limits (no more than 75 percent Bank Modified New from the bank, at least 10 percent new, and the rest new or modified); enter the actual RO I SRO-only 10 3 12 question distribution(s) at right.

7. Between 50 and 60 percent of the questions on the RO Memory C/A exam are written at the comprehension/ analysis level; the SRO exam may exceed 60 percent if the randomly selected WAS support the higher cognitive levels; enter 8 17 the actual RO lSRO question distribution(s) at right.

8. Referenceslhandouts provided do not give away answers or aid in the elimination of distractors.

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. I .

10. Question psychometric quality and format meet the guidelines in ES Appendix B.

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

Date

a. Author 7-24 4y -

b. Facility Reviewer (*) C! aq-0:

c. NRC Chief Examiner (#) io/ado;

d. NRC Regional Supervisor u' 5 Note: The facility reviewer's initialslsignature are not applicable for NRCdeveloped examinations.

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

ES-401 Written Examination Quality Checklist Form ES-401-6 Facility: R.E. Ginna Date of Exam: 11/1/2004 Exam Level: SRO I Initial Item Description

1. Questions and answers are technically accurate and applicable to the facility.

2. a. NRC WAS are referenced for all questions.

b. Facility learning objectives are referenced as available.

3. SRO questions are appropriate in accordance with Section D.2.d of ES-401

4. If more than four RO and two SRO questions are repeated from the last two NRC licensing exams, the facility licensee's sampling process was random and systematic.

6. Bank use meets limits (no more than 75 percent Bank Modified New from the bank, at least 10 percent new, and the rest new or modified); enter the actual RO l SRO-only 11 3 11 question distribution(s) at right.

7. Between 50 and 60 percent of the questions on the RO Memory CIA exam are written at the comprehension/ analysis level; the SRO exam may exceed 60 percent if the randomly selected WAS support the higher cognitive levels; enter 8 17 the actual RO I SRO question distribution(s) at right.

8. Referenceslhandouts provided do not give away answers or aid in the elimination of distractors. Pi

9. Question content conforms with specific KIA statements in the previously approved examination outline and is appropriate for the tier to which they are assigned; deviations are justified.

10. Question psychometric quality and format meet the guidelines in ES Appendix B.

11. The exam contains the required number of one-point, multiple choice items; the total is correct and agrees with the value on the cover sheet. I4 w%

Date

a. Author

b. Facility Reviewer r)

c. NRC Chief Examiner (#) (SO)

d. NRC Regional Supervisor Note:

• The facility reviewer's initialslsignature are not applicable for NRCdeveloped examinations.

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

ES-403 Written Examination Grading Form ES403-1 Quality Checklist Facility: &I 7 .

& DateofExam: lrltlo? Exam Level: RO I

Item Description a 5, C

1. Clean answer sheets copied before grading L % h3M

2. Answer key changes and question deletions justified and documented

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3. Applicants' scores checked for addition errors (reviewers spot check > 25% of examinations) 1

4. Grading for all borderline cases (80 +2% overall and 70 or 80, as applicable, k4Y0 on the SRO-only) reviewed in detail N f i $/k UP

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 4

$+

94 Printed NamelSignature Date

a. Grader

b. Facility Reviewer(*)

c. NRC Chief Examiner (*

d. NRC Supervisor (*)

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

ES-403, Page 5 of 5