ML072681173

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Final Qa/Related Forms (Folder 1)
ML072681173
Person / Time
Site: Ginna Constellation icon.png
Issue date: 06/06/2007
From: Arsenault J
- No Known Affiliation
To:
Office of Nuclear Reactor Regulation
Sykes, Marvin D.
Shared Package
ML063560007 List:
References
50-244/07-301 50-244/07-301
Download: ML072681173 (9)
v • d • e


Text

ES-201 Examination Preparation Checklist Form ES-201-1 acility: /'-r//YNA Date of leveloped by: Written - Facility NRC u // Operating - Facilityfl' NRC n Target Date*

-180

-120

-120

-120

-30

-14

-14

-14

-7

-7

-7

-7 Task Description (Reference)

1.

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

2.

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

3.
4.

Facility contact briefed on security and other requirements (C.2.c)

Corporate notification letter sent (C.2.d)

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

6 Integrated examinatton oJtline(s) a & Including Forms ES-201-2 ES-201-3 ES-301-1. ES-301-2. ES-301-5. ES-D-1's. ES-401-1/2, ES401-3. ana ES-401-4, as applicable (C.1.e and f; C.3.d)

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

(7.

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-201-3 updates), and reference materials due (C.l.e, f, g and h; C.3.d)

Preliminary license applications (NRC Form 398's) due (C.1.l; C.2.g; ES-202)

10. Final license applications due and Form ES-201-4 prepared (C.1.I; C.2.i; ES-202)
9.

~~

~~~

~

~~~~

11. Examination approved by NRC supervisor for facility licensee review (C.2.h; C.3.f)
12. Examinations reviewed with facility licensee (C.1.j; C.2.f and h; C.3.g)
13. Written examinations and operating tests approved by NRC supervisor (C.2.i; C.3.h)
14. Final applications reviewed; 1 or 2 (if >lo) applications audited to confirm qualifications / eligibility; and examination approval and waiver IetterS sent (C.2.i; Attachment 4; ES-202, C.2.e; ES-204)
15. Proctoringhritten exam administration guidelines reviewed with facility licensee (C.3.k)
16. Approved scenarios, job performance measures, and questions distributed to NRC examiners (C.3.i)

Chief Examiner's Initials

' Target dates are generally based on facility-prepared examinations and are keyed to tne examnat on dale dentiCed in the corporate notification letter They are for plann ng purposes and may oe adiusted on a case-oy-

ase oass,n coordination with the facility licensee Applies only] {Does no1 apply) to examinations prepared by the NRC 7

ES-201, Page 24 of 27

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

acility:

Item

1.

W R

I T

T E

N

2.

S i

M U

L A

T 0

R

3.

W

/

T RE. Ginna Date of Examination:

Task Description

a. Verity that the outline(s) fit@) the appropriate model per ES-401
b. Assess whether the outline was systematically and randomly prepared in accordance with Section D.l of ES-401 and whether all WA cateaories are aDDroDriatelv sampled.

c Assess whether the omne over-empnas zes any systems. evoILIions. or generic IOPICS a

Assess whetner tne +std cat ons lor deseleneo or re.ected KA statements are appropr ate

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. and major transients.
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 withoul 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 from the applicants' audit test@). and scenarios will not be repeated on subsequent days.
c. To the extent possible, assess whether the outline@) conform(s) with the qualitative and quantitative criieria specified on Form ES-301-4 and described in Appendix D.
a. Verify that 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 lasks are duplicated from the applicants' audit test(s)

(4) the number of alternate path, low-power. emergency and RCA tasks meet the criteria on the form.

b. Verify that the administrative outline meets the criteria specified on Form ES-301.1:

(1)

(2)

(3)

c. Determine if there are enough different outlines to test the projected number and mix of
a. Assess whether plant-specific priorities (including PRA and iPE insights) are covered in the appropriate exam section.
b. Assess whether the 10CFR 55.41/43 and 55.45 sampling is appropriate.
c. Ensure that WA immrlance ratinos lexceDt for Dlant-sDecific Driorities) are at least 2.5.

the tasks are distributed among the topics as specified on the form at least one task is new or significantly modified no more than one task is repeated from the last two NRC licensing examinations applicants and ensure that no items are duplicated on subsequent days.

0 Chec6 lor dLp cation an0 overlap among exam secl~ons e Checn me en1 re exam lor oa ance 01 coverage

f.

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

io7 itials

3.

Author 6/6/2007 J.

Facility Reviewer r)

(..%. 2607 NRC Chief Examiner (#)

3.

NRC Supervisor UOTE

  1. IndeDendent NRC reviewer initial items in Column IC".

chief examiner concurrence required.

NUREG-1021, Revision 9

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

1.

' Pre-Examination

~ )1 I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for the.weeks(s) of as of the date of my signature. I agree that I will not knowingly divulge any information about these examinations to any been 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 andlor an enforcement action against me or the facility licensee. I will immediately report to facility nianagement 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 no divul e to any unauthorized persons any information concerning the NRC licensing examinations administered during the week(s) of 8 I&. 9 2 01 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.

SIGNATURE (2)

DATE 1

2 3

4 5

6 7

9 10 11 12 13 14 15 a

NOTE a

NOTES: @

,%.~L'z,-J NUREG-1021, 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 licerlsing examinations scheduled for the week(s) of aJt!/07 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, excepl 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 know1 dge, I did not divulge to any unauthorized persons any information concerning the NRC licensing examinations administered during the week($ of&$

'?From the date that \\ entered into this security agreement until the completion of examination administration, I did not instruct, evaluate, or provlde 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 I RESPONSIBILITY SIGNATURE (1)

DATE SIGNATURE 12)

DATE NOTE

-~

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

~

I.

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).

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@) (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 ripplicants at the designated license level.

2. WALK-THROUGH CRITERIA

).

j,

?.

1.

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 8/27/07 Operating Test Number: 07-1

'acility:

R.E. Ginna Date of Examination-I

.nh 3-l v

w-a7r-

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

e = i g n a t u r e Date

/

I Services 8/10/07 Author Facility Reviewer r)

NRC Chief Examiner (#)

NRC SuDervisor NOTE:

The facility signature is not applicable for NRC-developed tests Independent NRC reviewer initial items in Column "c"; chief examiner concurrence required.

NUREG-1021, Revision 9

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

T C

A T

N Y

T P

E SROU-2 SROI-1 I

F I Instructions:

Ginna Date of Exam:

8/27/2007 Operating Test No.:

07-1 Scenarios 1

2 3

4 (Spare)

CREW CREW CREW CREW POSITION POSITION POSITION POSITION T

I 2

10 4

2 1

3 1

4 9

0 1 $

4 2

4 2

2 1 r 2

2 iT 2

2 2

C rc e the applicant level and enter tne operating lest n-moer ana Form ES-D-1 event nLmbers lor eacn event type: TS ale not app cab e lor RO applicants ROs must Sew ce n 00th tne "at-the-controls (ATCJ' and 'balance.01-plant (EOPJ' pos 1,ons: nstant SROs must 00 one scenar6O InclJding at east two nstrJrnent or Component (IC) rnad,nctlons and one ma.or trans ent. in tne ATC posit on React dy manlpJ6alions may be conodctea Lnder normal or conrrolledaonormal cona lions (reter to Sect'on D 5 dl OM mJSt oe s gn I cant per Sect on C.2 a of Appendix D. 1.1 Reactiv ty ana normal evolulions may be replacea w In aao tional instrLment 01 component ma ILnctions on a 1 -tor-1 oasis Wnenever practical. both inStrJment and component malfunct ons ShoJld be mC Jded 0n.y those that reqJire Yer llab e act ons that prov de ins gnt lo tne applicant's competence count toward tne m nim m reqJ rements specil ed for the app cant's I cense eve n me 1 ynt-nand co drnns 2

3 NUREG 1021 Revis'on 9

ES-301 Competencies Checklist Form ES-301-6 SRO Facility:

R.E. Ginna Date of Examination:

8/27/2007 Operating Test No.:

07-1 I

APPLICANTS ROATC InterpreVDiagnose Events and Conditions Competencies 1,,SFPjAYO, I 1,

2-5 ALL ALL ALL 247 7-1 I

,8,9.

1 1 Demonstrate (3)

Supervisory Ability Procedures (1)

Operate Control Boards (2)

I ALL ALL ALL ALL NA 1,2,4 Communicateand I ALL I ALL I ALL 1 ALL I -9, Interact 11 Comply With and Use Tech. Specs. (3) 2,3,5 i,z, 2,3,5 1,

NA 5

CEI 2 -

1-7, 10 -

1-7, 10 1-7, 10 1 -

7.10 -

NA -

NA -

4RIO I 1-43 1,2, tf BOP 1 -

3. 5.

8-1 1 -

5, 8-1 1 -

5. 6, 6-11 5-1 1 -

NA -

NA -

CENARIO 283.

5.9 2-5, 6-10 7-9 lnstructionsi 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.

NUREG-1021, Revision 9

Facilitv:

R.E. Ginna Date of Exam:

9/5/07 Exam RO/SRO 11 Level:

I I

~

Item Description a

1.

Questions and answers technically accurate and applicable~ofar5liiy.

%4 QT=4

2.
a.

NRC WAS referenced for all questions.

3,

4.
b.

SRO questions are appropriate in accordance with Section D.2.d of ES-401 The sampling process was random and systematic. (If more than 4 RO and 2 SRO questions were repeated from the last 2 NRC licensing exams, consult the NRR OL Program Office)

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 the licensee certifies that there is no duplication, or other (explain)

Facility learning objectives referenced as available.

m

5.

~

w 6

Bann Lse meets iim 1s (no more tnan 75 percent Modl6eo New from rne ban6 ai least 10 percenr new, an0 the res1 new or moaifiedr. enter tne actual RO / SRO.onlv i / n 08/18 question distribution(s) at right.

I I

Between 50 and 60 percent of the question on 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 cognitive levels; enter the actual RO / SRO question distribution(s) at right References/handouts provided do not give away answers or aid in the elimination of distractors.

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.

Question psychometric quality and format meet the guidelines in ES Appendix 6.

C/A Memo 3 0 / 5 45/20

7.

w

8.
9.

~w

10.
11.

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

Printed Name I Sionatu6l Author Facility Reviewer (*)

NRC Chief Examiner (#)

NRC Regional Supervisor Note:

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

NUREG-1021, Revision 9

ES-403 Written Examination Grading Form ES-403-1 Quality Checklist Facility: p d. 6IA/d&

Date of Exam: 9/</07 Exam Item Description

1.
2.

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)

Grading for all borderline cases (80 ?2% overall and 70 or 80, as applicable, +4% on the SRO-only) reviewed in detail All other failing examinations checked to ensure that grades are justified Performance on missed questions checked for training deficiencies and wording problems: evaluate validity of questions missed by half or more of the applicants

3.
4.
5.
6.

Printed NamelSignature evel: R O O S R O B Initials Date

a. Grader
b. Facility Reviewerr) 4 / 0 7
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

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