ML022970074
| ML022970074 | |
| Person / Time | |
|---|---|
| Site: | Peach Bottom  |
| Issue date: | 09/23/2002 |
| From: | Alfonso M Exelon Nuclear |
| To: | Conte R NRC/RGN-I/DRS/OSB |
| Conte R | |
| References | |
| 50-277/02-302, 50-278/02-302 | |
| Download: ML022970074 (14) | |
Text
ES-201 Examination Preparation Checklist Form ES-201 -1 Facility: gay"2ý'
X*
- 2V Date of Examination:
Examinations Developed by:
Facili 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)
-120
- 2. NRC examiners and facility contact assigned (C.l.d; C.2.e)
-120
- 3. Facility contact briefed on security & other requirements (C.2.c)
-120
- 4. Corporate notification letter sent (C.2.d)
[-90]
[5. Reference material due (C.1.e; C.3.c)]
-75
- 6. Integrated examination outline(s) due (C.1.e & f; C.3.d)
-70
- 7. Examination outline(s) reviewed by NRC and feedback provided to facility licensee (C.2.h; C.3.e)
-45
- 8. Proposed examinations, supporting documentation, and reference materials due (C.l.e, f, g & h; C.3.d)
-30
- 9. Preliminary license applications due (C.1.1; C.2.g; ES-202)
-14
- 10. Final license applications due and assignment sheet prepared (C.1.1; C.2.g; ES-202)
-,4
- 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 & h; C.3.g)
-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;-waiwe ietter-9es (C.2.g, ES-204)
- 15. Proctoring/written exam administration guidelines reviewed with
-7 facility licensee and authorization granted to give written exams (if applicable) (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.
NUREG-1021, Revision 8, Supplement 1 22 of 24 7Z,
ES-201 Examination Outline Form ES-201-2 Quality Checklist Facility: /
C APO.
c, Date of Examination:
_/_-
Initials Item Task Description aI b*
o#f
- 1.
- a. Verify that the outline(s) fit(s) the appropriate model per ES-401.
W R
- b. Assess whether the outline was systematically and randomly prepared in accordance with
-}
I Section D.1 of ES-401 and whether all K/A categories are appropriately sampled.
T T
- c. Assess whether the outline over-emphasizes any systems, evolutions, or generic topics.
E N
- d. Assess whether the justifications for deselected or rejected K/A statements are appropriate.
e
- 2.
- 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.
S I
- b. Assess whether there are enough scenario sets (and spares) to test the projected number and M
mix of applicants in accordance with the expected crew composition and rotation schedule without compromising exam integrity; ensure each applicant can be tested using at least one new or significantly modified scenario, that no scenarios are duplicated from the applicants' audit test(s)*,
and scenarios will not be repeated over successive days.
- c. To the extent possible, assess whether the outline(s) conform(s) with the qualitative and quantitative criteria specified on Form ES-301-4 and described in Appendix D.
- 3.
- a. Verify that:
(1) the outline(s) contain(s) the required number of control room and in-plant tasks, W
(2) no more than 30% of the test material is repeated from the last NRC examination,
/7A I
(3)* no tasks are duplicated from the applicants' audit test(s), and T
(4) no more than 80% of any operating test is taken directly from the licensee's exam banks.
- 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) 40% 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.
- c. Verify that the required administrative topics are covered, with emphasis on performance-PA based activities.
W ~~
- d. Determine if there are enough different outlines to test the projected number and mix of applicants and ensure that no items are duplicated on successive days.
- 4.
- a. Assess whether plant-specific priorities (including PRA and IPE insights) are covered in the appropriate exam section.
01^
G E
- b. Assess whether the 10 CFR 55.41/43 and 55.45 sampling is appropriate.
t___
N E
- c. Ensure that K/A importance ratings (except for plant-specific priorities) are at least 2.5.
R A
- d. Check for duplication and overlap among exam sections.
L
- e. Check the entire exam for balance of coverage.
/'r -
7 nted*a
- Sgnat re Da)
- a. Author
//
-oi
- b. Facility Reviewer (*)
cA
/
- c. NRC Chief Examiner (#)
-?,14, k/-
- d. NRC Supervisor 3 "
f Note:
- Not applicable for NRC-developed examinations.
- Independent NRC reviewer initial items in Column "c;" chief examiner concurrence required.
23 of 24 NUREG-1021, Revision 8, Supplement 1 I
ES-301 Operating Test Quality Checklist Form ES-301-3 Facility:,,e*
c**<
Q Date of Examination: 9/,,,,/o&- Operating Test Number:
Initials
- 1. GENERAL CRITERIA a
b*
c#
- a.
The operating test conforms with the previously approved outline; changes are consistent with J
sampling requirements (e.g., 10 CFR 55.45, operational importance, safety function distribution).
(flj,
/
- b.
There is no day-to-day 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(s)(see Section D.1.a).
- d.
Overlap with the written examination and between operating test categories is within acceptable U
limits.
-c
- e.
It appears that the operating test will differentiate between competent and less-than-competent applicants at the designated license level.
- 2. WALK-THROUGH (CATEGORY A & B) 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 performance standards
- restrictions on the sequence of steps, if applicable
- b.
The prescripted questions in Category A are predominantly open reference and meet the Al,4 d
criteria in Attachment 1 of ES-301.
14 V P
- 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.
e;W4
- 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 -i A
Form ES-301-4 and a copy is attached. P N
S u
Printed Name / Signature Date
- a. Author r', s
,,,;tae,,s
/
7 /i
- b. Facility Reviewer(*)
7,-,,
- c. NRC Chief Examiner (#)
F"4 -t
-Cu( /9
/"ý
ý
- d. NRC Supervisor (K
NOTE:
- The facility signature is not applicable for NRC-developed tests.
- Independent NRC reviewer initial items in Column "c:" chief examiner concurrence required.
23 of 26 NUREG-1021, Revision 8, Supplement 1 I
I
ES-301 Simulator Scenario Quality Checklist Form ES-301-4 P.niihI'~.,*-.-, /*.,*,
))_e fte of Fam:
LL/t,--..
Scenario Nimbers: /
l
/,neratina Test NoA QUALITATIVE ATTRIBUTES Initials a
b*
c#
- 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 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.
- 17a,
- 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 clearly so indicates. Operators have sufficient time to carry out expected activities without undue time constraints. Cues are given.
- 8.
The simulator modeling is not altered.
- 9.
The scenarios have been validated. Any open simulator performance deficiencies have been evaluated to ensure that functional fidelity is maintained while running the planned scenarios.
A
- 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.4 of ES-301.
I
- 11.
All individual operator competencies can be evaluated, as verified using Form ES-301-6 (submit the form along with the simulator scenarios).
- 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.
The level of difficulty is appropriate to support licensing decisions for each crew position.
I-t TARGET QUANTITATIVE ATTRIBUTES (PER SCENARIO; SEE SECTION D.4.D)
Actual Attributes
- 1.
Total malfunctions (5-8)
/5/4,/
4
- 2.
Malfunctions after EOP entry (1-2)
/
///c,./3t/,
- 3.
Abnormal events (2-4)
-3
/-/.L/-"
- 4.
Major transients (1-2)
/
I//i a-.
- 5.
EOPs entered/requiring substantive actions (1-2)
/
_ /,--).
)
- 6.
EOP contingencies requiring substantive actions (0-2)
/
/ / / / / /
C2 7
- 7.
Critical tasks (2-3)
-/,Z
/3 6Z" V.
NUREG-1021, Revision 8, Supplement 1 24 of 26
ES-301 Transient and Event Checklist Form ES-301-5 OPERATING TEST NO.:
5'en- !V A p. licant Ev..lution Minimum Scenario Number
'Type I ype Number 1
2 3
4 Reactivity 1
Normal 1
RO Instrument!
4 Component Major 1
Reactivity 1
Normal 0
As RO Instrument!
2 Component Major I
SRO-I Reactivity 0
Normal 1
As SRO Instrument!
2 Component Major I
Reactivity 0
Normal 1
SRO-U Instrument/
2 3,7 [2,7 Component C -F, 7
__5-P_"
Major 1
-5"-
ý Instructions:
Author:
NRC Reviewer (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 requirement.
25 of 26 NUREG-1021, Revision 8, Supplement 1 r:
"oe.11 //,ý
ES-301 Transient and Event Checklist Form ES-301-5 OPERATING TEST NO.:
/O
- /
Applcnt Evplution Minimum Scenario Number I ype I ype Number O,,
PCO 1
2 3
4 Reactivity 1
Normal 1
/
RO Instrument/
4 X
7 Component C,
-7t 3, 2 Major 1
5_
Reactivity 1
Normal 0
As RO Instrument!
2 Component Major SRO-I Reactivity 0
Normal 1
As SRO Instrument!
2 Component Major 1
Reactivity 0
Normal 1
SRO-U Instrument /
2 Component I
Major "I
Instructions:
Author:
NRC Reviewe (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 requirement.
r:
25 of 26 NUREG-1021, Revision 8, Supplement 1 I
I
ES-301 Transient and Event Checklist Form ES-301-5 OPERATING TEST NO.:
Ap_.,licant Evoplution Minimum Scenario Number I ype Iype Number "A-o R,
1 2
3 4
Reactivity 1
/
Normal 1
RO Instrument/
4
-:1 -7 Component Major Reactivity 1
Normal 0
As RO Instrument /
2 Component Major 1_
SRO-I Reactivity 0
Normal 1
As SRO Instrument!
2 Component Major Reactivity 0
Normal 1
SRO-U Instrument I 2
Component Major 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 requirement.
Author:
NRC Reviewer:
/_
25 of 26 NUREG-1021, Revision 8, Supplement 1
ES-301 Transient and Event Checklist Form ES-301-5 OPERATING TEST NO.:
RD --3 Applicant Evplution Minimum Scenario Number T
ype ype Number ao P,*o 1
2 3
4 Reactivity 1
Normal 1
/
RO Instrument /
4
-7 7
Component 3_r
/
Major 1
1 Reactivity 1
Normal 0
As RO Instrument!
2 Component Major SRO-I Reactivity 0
Normal 1
As SRO Instrument /
2 Component Major 1"
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 compe ence count toward the minimum requirement.
Author:
NRC Reviewer:
25 of 26 NUREG-1021, Revision 8, Supplement 1
ES-301 Competencies Checklist Form ES-301-6 Applicant #
Applicant #2 Applicant #3 RO/SRO-I/ RO-U (,
RO-I/SRO-U "0
LRO-I/SRO-U Competencies SCENARIO SCENARIO SCENARIO elzo
",ec
¢l'ocP 1
2 3
4 1
2 3
4 1
2 3
4 Understand and Interpret 1,5-3 34 Annunciators and Alarms Diagnose Events 3
,,5; and Conditions 7
A Understand Plant and System Response
,7 V[I 7
Comply With and 2,'/r
/"
/ 3 Use Procedures (1)
-7 14 7
,-7
'1,4 Operate Control
,-/A
,,/A Boards (2)
V
-V Communicate and V"A,
/i
/
Interact With the Crew Demonstrate Supervisory
'/"
/
Ability (3)
_,,-,7 Comply With and
-2 Use Tech. 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.
A uth o r:
NRC Reviewer:
NUREG-1021, Revision 8, Supplement 1 26 of 26 I
ES-301 Competencies Checklist Form ES-301-6 Ro -_3 Applicant #1 Applicant #2 Applicant #3
(
SRO-I/SRO-U RO/SRO-I/SRO-U RO/SRO-I/SRO-U Competencies SCENARIO SCENARIO SCENARIO 1
2 3
4 1
2 3
4 1
2 3
4 Understand and Interpret 7
s
Annunciators and Alarms Diagnose Events 43,7 *3 and Conditions 7,
Understand Plant
/
and System Response 7
Comply With and
/5$
,§/
Use Procedures (1) 6 Operate Control
/
Boards (2)
Communicate and
'66 '65 Interact With the Crew
___o Demonstrate Supervisory Ability (3)
Comply With and Use Tech. 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 eve applicant.
A uthor:
NRC Reviewer:
NUREG-1021, Revision 8, Supplement 1 26 of 26 1)
I
ES-401 Written Examination Form ES-401-7 Quality Checklist Ii Facility: Ik~
i -2¢,* *,
2 *3 Date of Exam: Web,, A z31c-J Exam Level: ()SRO Initial Item Description aa b*
c#
- 1.
Questions and answers technically accurate and applicable to facility
- 2.
- a. NRC K/As referenced for all questions
- b. Facility learning objectives referenced as available VIr
- 3.
RO/SRO overlap is no more than 75 percent, and SRO questions are appropriate oer Section D.2.d of ES-401
- 4.
Question selection and duplication from the last two NRC licensing exams aoDears 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:
"*-Zthe 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)
- 6.
Bank use meets limits (no more than 75 percent from the bank at least 10 percent new, and the rest modified); enter the actual question
- 7.
Between 50 and 60 percent of the questions on Merm the exam (including 10 new questions) are written at the comprehension/analysis level; enter the actual question distribution at right L
j
- 8.
References/handouts provided do not give away answers
- 9.
Question content conforms with specific K/A 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 ES, Appendix B, guidelines
- 11.
The exam contains 100, one-point, multiple choice items; the total is correct and agrees with value on cover sheet V!B Printed Name!/ Si Author Facility Reviewer (*)
NRC Chief Examiner (#)
NRC Regional Supervisor 7
47
_ Z1 C__
TcIIeZ NUREG-1021, Revision 8, Supplement 1 42 of 46
- a.
- b.
- c.
d.
Note:
- The facility reviewer's initials/signature are not applicable for NRC-developed examinations.
- Independent NRC reviewer initial items in Column "c;" chief examiner concurrence required.
I
ES-401 Written Examination Form ES-401-7 Quality Checklist Facilito:
3nup+*ication fZro t
Date of Exam: Lweas con r z3olle Exam Level: R SdRO Initial Item Description a
be r
o 1
Questionsh d
ud answers technically accurate and applicable to facilrty th
- a.
uiC exAs referenced bo e
a foe t
iona
- b. Facility learning objectives referenced as available
- 3.
RO/SRO 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 examsn 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; or writhe audit exam was completed before the license exam was started; or et the examinations were developed independently; or
- 9.
Qthe licensee certifies that there is no duplication; or pother (explain)
- 6.
Bank use meetviations (no more than 75 Bank Modified New percent from the bank at least 10 percent new, A
B gil and the rest modified); enter the actual question
- 8S Ct4,]
distribution at right
- 7.
Between 50 and 60 percent of the questions on Memory C/A the exam (including 10 new questions) are i
t sc t
written at the comprehension/analysis level; enter the actual question distribution at right
- 8.
References/handouts provided do not give away answers
- 9.
Question content conforms with specific K/A 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 ES, Appendix B, guidelines
- )
- 11.
The exam contains 100, one-point, multiple choice items; the total is correct and agrees with value on cover sheet Printed Name / Signature Date
- a. Author e4'712* 07/~2
/"
- _1-..
- b. Facility Reviewer (*
- -7
_---o,-AAZ2.*:J-*--_
- c. NRC Chief Examiner (#)
e7'*./*
- d. NRC Regional Supervisor
_1/2_x_,.
j2-_--__-___--*-
Note:
- The facility reviewer's initials/signature are not applicable for NRC-developed examinations.
- Independent NRC reviewer initial items in Column "c;" chief examiner concurrence required.
NUREG-1021, Revision 8, Supplement 1 42 of 46
ES-403 Written Examination Grading Form ES-403-1 Quality Checklist Facility: P/4_.zc./A o-,,.
9--3 Date of Exam: 9/-7-.loo3-- Exam LeveR/SRO Initials Item Description a
b c
- 1.
Clean answer sheets copied before grading 2.Z1.
- 2.
Answer key changes and question deletions justified and A//A4 documented
- 3.
Applicants' scores checked for addition errors (reviewers spot check > 25% of examinations)
- 4.
Grading for all borderline cases (80% +/- 2%) reviewed in 14
/
detail
- 5.
All other failing examinations checked to ensure that grades VI/A 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 / Signature Date
- a. Grader
- 6. AIA-J-
/
- b. Facility Reviewer(*)
-%EN Z-rJc.*--
r _z
- c. NRC Chief Examiner (*)
1/01 2i_-
6_
Z
- d. NRC Supervisor (*)
P *
(*)
The facility reviewer's signature is not applicable for examinations graded by the NRC; two independent NRC reviews are required.
5 of 5 NUREG-1021, Revision 8, Supplement 1
ES-403 Written Examination Grading Form ES-403-1 Quality Checklist Facility: 04,m 2 f-3 Date of Exam: C',KT J',
Exam Level: RQfS)]
Initials Item Description a
b c
- 1.
Clean answer sheets copied before grading
'c
_(
/
- 2.
Answer key changes and question deletions justified and 4
,'/
,J 1,
documented C
/V)
- 3.
Applicants' scores checked for addition errors (reviewers spot check > 25% of examinations)
C
- 4.
Grading for all borderline cases (80% +/- 2%) reviewed in 4
1A detail
- 5.
All other failing examinations checked to ensure that grades
,A/a
,,I, 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 / Signature Date
- a. Grader
,J*,,-AC4 2
?A1/o
- b. Facility Reviewer(*)
1-,
- c. NRC Chief Examiner<*)
/-/
i /_/_.
- d. NRC Supervisor (*)
AJQ i L--
2}
(*)
The facility reviewer's signature is not applicable for examinations graded by the NRC; two independent NRC reviews are required.
7 5 of 5 NUREG-1021, Revision 8, Supplement 1