ML070380263

Final Qa/Related Forms (Folder 1)

ML070380263
Person / Time
Site:	Indian Point
Issue date:	11/01/2006
From:	Entergy Nuclear Operations
To:	David Silk Operations Branch I
Sykes, Marvin D.
Shared Package
ML060800062	List: ML061810080 ML070380263 NL-06-123, Initial Licensed Operator Examination Post-Examination Submittal - Facility Comments
References
50-286/06-301, ES-201-1 50-286/06-301
Download: ML070380263 (23)

Text

ES-201 Examination Preparation Checklist Form ES-20 I-? *7 facility: ZJ;- Pd,Lit 3 Date of Examination: s, I I/ 17 106 Developed by: Written - F a c i l i t y a NRC 3 It Operating - Facility NRC I

Target Date* Task Description (Reference)

Examination administration date confirmed (C.l .a: C.2.a and b)

I I

Chief Examiner's Initials

-180 1.

-120 2. NRC examiners and facility contact assigned (C.1.d; C.2.e)

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

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

[-go] [5. Reference material due (C.1.e; C.3.c; Attachment 2)] ,&

(-75) 6. Integrated examination outline(s) due, including Forms ES-201-2, ES-201-3, ES-307-1, ES-301-2, ES-301-5, ES-D-l's, ES-401-112, ES-407-3, and ES-401-4. as aDalicable (C.1.e and f: C.3.d)

(-70) I (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-301-6, and ES-401-6, and any Form &

ES-20'8-3 UDdates). and reference materials due (C.l.e, f, g and h; C.3.d)

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

IO. Final license applications due and Form ES-201-4prepared (C.l.1; 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)

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

-7 14. Final applications reviewed; 1 or 2 (if ~ 1 0applications

) audited to confirm qualifications / eligibility; and examination approval and waiver letters sent (C.2.i; Attachment 4; ES-202, C.2.e; ES-204)

-7 I 15. Pmctoringlwrittenexam administration guidelines reviewed with facility licensee (C.3.k)

-7 1 16. Approved scenarios, job performance measures, and questions distributedto NRC examiners (C.3.i)

• Target dates are generally based on facility-prepared examinations and 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 Onfy] {Does not apply] to examinations prepared by the NRC.

.~ ~ ~ ~~

ES-201,Page 24 of 27

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

Item Task Description W

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

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b. Assess whether the outline was systematicallyand randomly prepared in accordance with Section D.l of ES-401 and whether all KIA categories are appropriately sampled. .@Zd * ~

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c. Assess whether the outline overemphasizes any systems, evolutions, or generic topics.

,.m 89 4i N d. Assess whether the justifications for deselected or rejected KIA statements are appropriate.

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2. a. Using Form ES-301-5,verlry 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 and mix of applicants in accordance with the expected crew composition and rotation schedule U

L A

without compromising exam integrity, and ensure that each applicant can be tested using at least one new or significantly modified scenario, that no scenarios are duplicated T from the applicants' audit test(s), 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

1 and quantitative criteria specified on Form ES-301-4and described in Appendix D.

3.

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a. Author

b. Facility Reviewer v)

c. NRC Chief Examiner (#)

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

ES-201 Examination Outline Quality Checklist Form ES-201-2 1'

Facility: Date of Examination:

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3.

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I T (3) no tasks are duplicated from the applicants' audit test(s)

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

b. Vecifjt that the administrative outline meets the m'teria specified on Form ES-301-1:

,&-Y (1) the tasks are distributed among the topics as specified on the form (2) at least one task is new or significantlymodified (3) no more than one task is repeated from the last two NRC licensing examinations &&

a. Assess whether plant-specific priorities (including PRA and IPE insights) are covered in the appropriate exam sections.

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

4

IP3 Exam Outline Comments (8/9/06)

1. The Conducts of Ops JPM which uses attachments from FR-1.3 does not seem to fit this exam category. Conduct of Ops items are, according to the ES, to be centered around daily plant operations. Although the task in this JPM would be a legitimate test item in the control room/plant sytems part of the op exam, it does not seem to belong in the Admin Section.

2. Two of the SRO admin JMPs appear to be the same as in the RO admin section. There should be a distinction between RO & SRO test items.

3. Scenario 3 contains nine events. Event 9 does not appear on the ES-301-5forms.

4. On the RO written exam outline, it specifies 28 questions for Tier 2 Group 1. However, the ES-401-2 form for Tier 2 Group 1 questions only contains 27 items (even though the total says 28).

Licensee Response (8/17/06)

1. New exam items was selected by licensee.

2. Issue addressed. Distinction now exists between RO/SRO items.

3. Outline was not changed because Event 9 would impact a surrogate.

4. One additional item added to Tier 2 Group 1 to make a total of 28 items.

\

1 P 1/7 f

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

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1. Pre-Examination I acknowledge that I have acquired specialized knowledgeabout the NRC licensing examinations scheduled of my signature. I agree that I will not knowingly divulge any information about these examinations to any pe NRC chief examiner. I understand that I am not to instruct, evaluate, or provide performance feedback to those applicants scheduled to these licensing examinations from this date until completion of examination administration, except as specifically noted below and I (e.g., acting as a simulator booth operator or communicator is acceptable if the individual does not select the training content or pr feedback). Furthermore, I am aware of the physical security measures and requirements (as documented in understand that violation of the conditions of this agreement may result in cancellation of the examinations andlor the facility licensee. I will immediately report to facility management or the NRC chief examiner any indications or may have been compromised.

2. Post-Examination To the best of my knowledge, I did not divulge to any unauthorizedpersons any information conce C licensing examinations administered during the week(s)- *of

, ! ,$ /l/dabFrom the date that I entered into this security agreeme on of examination administration, I did not instruct, evaluate, or provide performancefeedback to those applicants who were admini ng examinations, except as specifically noted below and authorized by the NRC.

PRINTED NAME JOB TITLE / RESPONSIBILITY SIG DATE SIGNATURE (2) DATE NOTE

ES-201 Examination Security Agreement Form ES-201-3 I. Pre-Examination I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for the week(s) of of my signature. Iagree that Iwill not knowingly divulge any information about these examinations to any persons who have n NRC chief examiner. I understand that I am not to instruct, evaluate, or provide performance feedback to those applicants schedu these licensing examinations from this date until completion of examination administration, except as specifically noted below and (e.g., acting as a simulator booth operator or communicator is acceptable if the individual does not select the trai feedback). Furthermore, I am aware of the physical security measures and requirements (as documented in the understand that violation of the conditions of this agreement may result in cancellation of the examinations andlo the facility licensee. I will immediately report to facility management or the NRC chief examiner any indications o may have been compromised.

2. Post-Examination To the best of my knowledge, I did not divulge to any unauthorized persons any information conce C licensing examinations administered during the week(s) Of/oh-/d./OL From the date that I entered into this security agreeme of examination administration, I did not instruct, evaluate, or provide performance feedback to those applicants who were admini examinations, except as specifically noted below and authorized by the NRC.

PRINTED NAME JOB TITLE / RESPONSIBILITY SIG DATE SIGNATURE (2) DATE NOTE I

ES-201, Page 26 of 27

1. Pre-Examination I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for of my signature. I agree that I will not knowingly divulge any information about these examinations to any person NRC chief examiner. I understand that I am not to instruct, evaluate, or provide performance feedback to those applicants scheduled to these licensing examinations from this date until completion of examination administration, except as specifically noted below and (e.g., acting as a simulator booth operator or communicator is acceptable if the individual does not select the training content or pr feedback). Furthermore, I am aware of the physical security measures and requirements (as documented in the understandthat violation of the conditions of this agreement may result in cancellation of the examinations and/or the facility licensee. I will immediately report to facility management or the NRC chief examiner any indications or may have been compromised.

2. Post-Examination To the best of my knowledge, I did no C licensing examinations administered duringthe week(s)of . .F ion of examination administration, I did not instruct, evaluate, or provide pe sing examinations, except as specifically noted below and authorized by the NRC.

PRINTED NAME JOB TITLE / RESPONSIBILITY 41 1. f!$&?&?-&-~&-L--- -l!!2&!!G%D _____________

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ES-201,Page 26 of 27

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E$-201 Examination Security Agreement F o ~ ES-201-3

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2. Pmt--WM&Ul below end authorized by the NRC.

PRINTED NAME JOB TITLE I RESPONSIBIUTY DATE SIGNATURE (2) OATE NOTE ES-201, Page 26 of 27

ES-201 ExaminationSecurity Agreement F o ES-201-3

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4. Pre-Examlnatlon Iacknowledga that I have acquired spedaliied knowiedge about the NRC l i m i n g examinations scheduM for the week@)

of my signature. Iagree that Iwill t m tknmvingly diwlge any in~ormation a m these examinations to any p e w who have NRC chief examiner. Iunderstand that Iam n d to inshud, evaluate. OT povide performance feedback to thmeapp1iCmb sch these licensingexambationsficin lhis date until COmpreUon of exeminationadministration, except I (e.g.. acting as a simulalcf booth operator or cunununicamis acceptable f the individual does not feedback). F~~rtJ~ermcre, 1 am awdre ofthe physical security measuw and requirements(as docu understand lhat violation of the conditions of thk agreement may resuR m Cancenstionof Ww exam the facility licensee. Iwill Immediatelyreport t o facility m g a m e n t ofthe NRC chief examiner any indications or examinatian securily may have been c o m ~ m i s e d .

2. Post-Examination To the besl of my kndedge, I did not diwlge to any unauvlMized persoos any inform C licensing examinations administered during the week($ 0f-m the date that Ienlered into this SeCLsity of examinationadministration. I did no1 rnsbud evaluate. or provide p e r l m c e feedback b thoseapplicants who we examinations. except as spedfmlly noted below and authwized by the NRC.

PRINTED NAME JOB TITLE I RESPONSlBlLrPl DATE SlGNATURE(2) DATE NOTE

ES-20ltPage 26 of 27 c

ES-201 Examination Security Agreement Form ES-201-3 I. Pre-Examination I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for the week(s) of my signature. I agree that I will not knowingly divulge any information about these examinations to any persons who have NRC chief examiner. I understand that I am not to instruct, evaluate, or provide performance feedback to those applicants scheduled to these licensing examinations from this date until completion of examination administration, except as specifically noted below and I (e.g., acting as a simulator booth operator or communicator is acceptable ifthe individual does not select the training content or pr feedback). Furthermore, Iam aware of the physical security measures and requirements (as documented in the understand that violation of the conditions of this agreement may result in cancellation of the examinations and/or the facility licensee. Iwill immediately report to facility management or the NRC chief examiner any indications or examination security may have been compromised.

2. Post-Examination To the best of my knowledge, I did not divulge to any unauthorized persons any C licensing examinations administered during the week@)Of/o//17/d-/d6 From the date that Ientered into this security of examination administration, I did not instruct, evaluate, or provide performance feedback to those applicants who we sing examinations, except as specifically noted below and authorized by the NRC.

PRINTED NAME JOB TITLE / RESPONSIBILITY DATE SIGNATURE (2) DATE NOTE ES-201, Page 26 of 27

Davis, Stephen V Sent: Tuesday, November 28,2006 9 5 4 AM To: Joubert, Stephen P

Subject:

FW: IPEC UNIT 3 POST NRC EXAM SECURITY AGREEMENT Importance: High IAttachments: Romeo.pdf Steve Davis Operations Training Superintendent Indian Point Energy Center 9141788-2904 sdavil4Aenternv.com From: Romeo, Mike Sent: Tuesday, November 28, 2006 8:39 AM To: Davis, Stephen V Cc: Emery, Dodi M

Subject:

RN: IPEC UNIT 3 POST NRC EXAM SECURITY AGREEMENT Importance: High Steve, you can sign it via Telephone or Email.

later From: Emery, Dodi M Sent: Tuesday, November 28, 2006 7:58 AM To: Romeo, Mike

Subject:

FW: IPEC UNIT 3 POST NRC EXAM SECURITY AGREEMENT Importance: High From: Joubert, Stephen P Sent: Tuesday, November 28, 2006 7:33 AM To: Emery, Dodi M

Subject:

FW: IPEC UNIT 3 POST NRC EXAM SECURITY AGREEMENT Importance: High Hi Dodi, Need to speak with Mike Romeo to get his OK to sign off on the above security agreement -

understand he is on vacation. Can do by telephone. Tried his cell and does not ring. Do you have his home number or can you ask him to call me.

Thanks,

Steve 914-788-2973

~~

From: Joubert, Stephen P Sent: Tuesday, November 28, 2006 7:26 AM To: Romeo, Mike

Subject:

IPEC UNIT 3 POST NRC MAM SECUWrY AGREEMENT Importance: High Please review, sign and return attached Security Agreement.

Thanks, Steve Romeo.pdf (97 KB)

ES-301 Operating Test Quality Checklist Form ES-301-3 Facility: Indian Point Unit 3 Date of Examination: 10/23/06 Operating Test Number: 1 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). h b.

There is no day-to-day repetition between this and other operating tests to be administered during this examination. 0 C. The operating test shall not duplicate items from the applicants' audit test(s). (see Section D . l .a,) l9

d. Overlap with the written examination and between different parts of the operating test is within acceptable limits. 4 irp

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 __

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 4

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-301-4 and a copy is attached. 4

a. Author

b. Facility Reviewerr) I6-I)- tab6

c. NRC Chief Examiner (#) io/ a/u6 I '

d. NRC Supervisor ,I 13 166

~~~

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, Page 24 of 27

ES-301 Simulator Scenario Quality Checklist Form ES-301-4 Facility: Indian Point 3 ( l 3 V 1) Date of Exam: 10/23/06Scenario Numbers: 1 I 2 I 3 Operating Test No.: 1 z

I QUALITATIVE ATTRIBUTES I- Initials

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

4

2. The scenarios consist mostly of related events. a

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 symptomslcues that will be visible to the crew

- the expected operator actions (by shift position) the event termination point (if applicable)

ES-301, Page 25 of 27

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.

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

- the rnalfunction(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)

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• the event termination point (if applicable)

6. Sequencing and timing

9. The scenarios have been validated. Pursuant to 10 CFR 55.46(d), any open simulator erformance deficiencies or deviations from the referenced plant have been evaluated ES-301, Page 25 of 27

ES-301 Transient and Event Checklist Form ES-301-5

-acility: I lian Point Unit 3 Date of Exam: 10/23/06 Operatinq Test No.:1 A E l Scenarios P V P E 1 2 3 4 T M L N 0 I I T T N CREW CREW CREW CREW C

POSITION POSITION POSITION POSITION A, I T

A M N U T MU Instructions:

1. Check 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-the-controls (ATC)"

and "balance-of-plant (BOP)" positions; Instant SROs must do one scenario, including at least two instrument or component (IC) malfunctions and one major transient, in the ATC position.

2. Reactivity manipulations may be conducted under normal or controlled abnormal 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 l-for-I basis.

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 specified for the applicant's license level in the right-hand columns.

ES-301,Page 26 of 27

ES-301 Transient and Event Checklist Form ES-301-5 ian Point Unit 3 Date of Exam: 10123i06 Operating Test No.: 1 E Scenarios v

E 1 2 3 4 T M N 0 I T

CREW CREW CREW CREW T N A I T POSITION POSITION POSITION POSITION , M U

M(*)

nstructions:

1. Check 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-the-controls (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 controlled abnormal 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-I basis.

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 specified for the applicants license level in the right-hand columns.

ES-301, Page 26 of 27

ES-301 Competencies Checklist Form ES-301-6

'acility: Indian Point 3 Date of Examination: 10123106 Operating Test No.: 1 I APPLICANTS qotes:

I) Includes Technical Specification compliance for an RO.

12) Optional for an SRO-U.

3) Only applicable to SROs.

Instructions:

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

ES-301, Page 27 of 27

ES-301 Competencies Checklist Form ES-301-6

~ ~~~ ~

Facility: Indian Point 3 Date of Examination: 10/23/06 Operating Test No.:1 Notes:

(1) Includes Technical Specification compliance for an RO.

(2) Optional for an SRO-U.

(3) Only applicable to SROs.

Instructions:

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

ES-301,Page 27 of 27

ES-401 Written Examination Quality Checklist Form ES-401-6 Facility: 3f2 DateofExam: [,/, /db ExamLevel: RO@SRO$

I-Item Description a

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

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. The sampling process was random and systematic (If more than 4 RO or 2 SRO questions were repeated from the last 2 NRC licensing exams, consult the NRR OL program office).

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; or

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

-the examinations were developed independently; or

'W d t h e licensee certifies that there is no duplication: or

- other (explain)

9. Question content conforms with specific WA statements in the previously approved

a. Author

b. Facility Reviewer r)

c. NRC Chief Examiner (#)

d. NRC Regional Supervisor Note:

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

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

ES-401, Page 29 of 33

ES-403 Written Examination Grading Form ES-403-1 Quality Checklist Facility: \ d i o ~ ~ * , f 3 i+ Date of Exam: ll-\1-20°b Exam Level: R O m S R O n Initials 1 I Item Description a b C

1. Clean answer sheets copied before grading

• e

2. Answer key changes and question deletions justified and documented a s &

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

4. Grading for all borderline cases (80 +2% overall and 70 or 80, as applicable, +4% on the SRO-only) reviewed in detail

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 4 of questions missed by half or more of the applicants Printed NameEignature Date

b. Facility Reviewer(*) rrfz8/0 C

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

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

.evel: ROO S R O ~

Initials Item Description a b I c

1. Clean answer sheets copied before grading

2. Answer key changes and question deletions justified and documented

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

4. Grading for all borderline cases (80 +2% overall and 70 or 80, as applicable, +4% on the SRO-only) reviewed in detail

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 I Printed NameEignature Date

a. Grader

b. Facility Reviewer(*)

c. NRC Chief Examiner (*)

d. NRC Supervisor (*)

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

ES-403,Page 5 of 5