ML030580160

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Various Checklist for the Duane Arnold Examination - November 2002
ML030580160
Person / Time
Site: Duane Arnold 
Issue date: 11/18/2002
From: Lanksbury R
NRC/RGN-III/DRS/OLB
To:
References
50-331/02-301
Download: ML030580160 (13)
v • d • e


Text

VARIOUS CHECKLISTS FOR THE DUANE ARNOLD EXAMINATION - NOVEMBER 2002

ES-201 Examination Preparation Checklist Form ES-201 -1 Facility: P 4 a t-1 P-P1o/J Date of Examination:

/_

Examinations Developed by:

CFacil_ýi

/

NRC (circle one)

Target Chief Date*

Task Description / Reference Examiner's Initials

-180

1. Examination administration date confirmed (C..a; C.2.a & b) 6 to'

-120

2. NRC examiners and facility contact assigned (C.l.d; C.2.e) 6'

-120

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

(3 6'

-120

4. Corporate notification letter sent (C.2.d) 67'

[-90]

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

A/ A

-75

6. Integrated examination outline(s) due (C.1.e & f; C.3.d) 3 (

-70

7. Examination outline(s) reviewed by NRC and feedback provided to facility licensee (C.2.h; C.3.e) 4 r

-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)

-14

11. Examination approved by NRC supervisor for facility licensee A/,

review (C.2.h; C.3.f)

-14

12. Examinations reviewed with facility licensee (C.1.j; C.2.f & h; C.3.g) 13'P

-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; waiver letters sent (C.2.g, ES-204) 6 r
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 fY*2 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

==S-20

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..4y A, ur i uII F o rm E S -.. I

3.

'

DUANE ARNOLD I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for the week(s) of _________, _ -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.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.

Pýs-Examlndlon 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(s) of

/

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 SIGNATURE(2) DATENOTE

3.

See

-4.

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6. DZocUjG

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IVAI C-95 12o.,K-hlW,1!

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NOTES:

NUREG-1021, Revision 8, Supplement 1 24 of 24 i

0%F,.4V;fA' 7

1.

-..tU-ainto

,ES-20(

FArm F

DUANE ARNOLD I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for the week(s) of Il/i 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.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(s) of / tih'/oz... 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

1.

-C,

6.

PA-e

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10.

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, e I0,/L-v 5#

12.'

13, 9t?

W-JOB TITLE / RESPONSIBILITY 1I'sr AJS~ ~

J) S AA~S i.7 CPS f-tt4 4wEe

.~I.

SI TU (1

£ DATE DATENOTE //-l*-o z.*11-.27-P;z.

_ŽS

.NOTES:

NUREG-1021, Revision 8, Supplement 1 Pr-x1.ato 24 of 24 A

V" V

Pyn intntl Q

A-/1"OW1110" III:I Pnrm Pcý i.q m

>Es4 DUANE ARNOLD I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for the week(s) of &..

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.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(s) of tU' V'/o --. 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 SIGNATURE (2) DATENOTE

2.

7

3.
4. 5.
6.
7.
8.
9.
10.
11.
12.
13.
14.

15.

.NOTES:

NUREG-1021, Revision 8, Supplement 1

1.

r,-.,,n, at F-orm :b.-01-3

1.

Pro-Examination Pyn innfir% QA(

h, A

24 of 24

ATTACHMENT 1 ES-301 Operating Test Quality Checklist Form ES-301-3 DAEC 18 Nov 20g2 Failty 2

pieratmn TestNubr

¢ Lfcl/:Date of Examination:ran Tes Nume Initials

1. GENERAL CRITERIA a

b-c#

a.

The operating test conforms with the previously approved outline; changes are consistent with

- P sampling requirements (e.g., 10 CFR 55.45, operational importance, safety function distribution).

b.

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

9P

c.

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

Overlap with the written examination and between operating test categories 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.

9

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

,L3P

- 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 Aam 1

IVA criteria in Attachment 1 of ES-301.#

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.

rY - 6P r

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 Form ES-301-4 and a copy is attached.

__fj Printed Name I Signature Date

a. Author
b. Facility Reviewer(*)

'if J2.

c. NRC Chief Examiner (#)

1504405 4_,,_

d. NRC Supervisor I&UL NOTE:
  • The facility signature is not applicable for NRC-developed tests.
  1. Independent NRC reviewer initial items in Column 'c;" chief examiner concurrence required.

23 of 26 NUREG-1021, Revision 8, Supplement 1 I

ATTACHMENT 2 ES-301 Simulator Scenario Quality Checklist Form ES-301-4 S

DAEC 11/1120 Facility:

Date of Exam:

/18/02Scenario Numbers: 1 2 Operating Tes__

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.

__i_

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)

At

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.

,1 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.

MX 1

A 8-The simulator modeling is not altered.

>t

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-f-'

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.

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 I

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.

TARGET QUANTITATIVE ATTRIBUTES (PER SCENARIO; SEE SECTION D.4.0)

Actual Attributes

1.

Total malfunctions (5-8)

/ 171

/

1 7" 6f0

2.

Malfunctions after EOP entry (1-2) i /

2-Xd 0*

3.

Abnormal events (2-4)

-/L I2--_

P 4-Major transients (1-2) iiiif

/

L

5.

EOPs entered/requiring substantive actions (1-2)

/ I

/

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. d P

6.

EOP contingencies requiring substantive actions (0-2) 1

/

/

1 6'

7.

Critical tasks (2-3) 3 jj~

?6e NUREG-1021, Revision 8, Supplement 1 24 of 26 rtZ L I

ES-301 Transient and Event Checklist Form ES-301-5 Equivalent OPERATING TEST NO.: DAEC 2002 ILC EXAM

^T-Applicant Type Evolutlon Type Minimum Number 1

Event #

Scenario Number 2

Event #

Reactivity 1

3 6

Normal 1

1/2/7 2

RO Instrument/

4 4/5/6/8110/11 1/3/4/5/8/9/10 Component Major 1

9 8

As RO SRO-I As SRO Reactivity 1

Normal 0

Instrument/

2 Component Major 1

2 3/5/6/7 6

Reactivity 0

Normal 1

2/7 2

Instrument/

2 5/6/8/9 1/3/7/8/10 Component Major 1

9 8

Reactivity 0

Normal 1

2/7 2

SRO-U Instrument/

2 5/6/8/9 1/3/7/8/10 Component Major 1

9 8

Author:

NRC Reviewer:

LLCz C:tLC La,.sqg E.a-s-2002 ILC EWam FoldeS enarnos\\22 ES 301.5 Equilnt F-nl doe 1

ES-301 Competencies Checklist Form ES-301-6 Equivalent

,-.,pplicant #1 Applica

,ppkQ-.CS pt #3 ROSRO-I/SRO-U RO/S RO-CSRO-U RGQR O-jXRO-U SCENARIO SCENARIO-SCENARIO Competencies 1

2 3

B/U 1

2 3

B/U 1

2 3

-JU Event Event Event Event Event Event Event Understand and Interpret 6/8/9 5/8/9 6/8/9 1/4/5/

6/8/9 1/4/5/

3/6 Annunciators and Alarms 8

8 Diagnose Events 4/6/8/

3/5/9/

5/6/8/

1/3/4/

5/6/8/

1/3/4/

3/5/6/

and Conditions 9

10/

9 5/8/

9 5/8/

7 10

___10 Understand Plant and 1/4/6/

3/5/8/

6/8/9/

1/3/4/

6/8/9/

1/3/4/

3/5/6/

System Response 8/9 9/10 11 5/8/

11 5/8/

7 10

______10 Comply With and 1/2/3/

2/8 2/3/4/

2/5/8 2/3/4/

2/5/8 2/3/6 Use Procedures (1) 7 719 7/9 Operate Control 1/2/3/

2/8/9 2/3/5/

Boards (2) 4/6/8/

6/7 9

_N/A N/A N/A N/A N/A N/A Communicate and 6/9 5/8/9 9

1/2/4/

9 1/2/4/

3/6/7 Interact With the Crew 5/6/8 5/6/8 Demonstrate Supervisory N/A N/A N/A 2/8/9 2/4/6/

2/8/9 2/4/6/

N/A Ability (3) 1 7/8 7/8 Comply With and N/A N/A N/A 3

5/8 3

N/A Use Tech. Specs. (3)

Notes:

(1) Includes Technical Specification compliance for an RO.

(2) Optional for an SRO-U.

(3) Only applicable to SROs.

Author:

NRC Reviewer:

C VLC CF-.

I, C -

-F.

1FýFC

.111 1-F 1

ES-401 Written Examination Form ES-401-7 Quality Checklist Facirtf. D4F Z Date of Exam:

, ?*'"-

Exam Level:

4SRO Initial Item Description a

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
3.

RO/SRO overlap is no more than 75 percent, and SRO questions are appropriate per Section D.2.d of ES-401 t

V

4.

Question selection and duplication from the last two NRC licensing exams1 appears consistent with a systematic samplinq process

5.

Question duplication from the license screening/audit exam was controlled as indicated below (check the ntem that applies) and appears appropriate:

- the audit exam was systematically and randomly developed; or wr the audit exam was completed before the license exam was started; or et the examinations were developed independentl, or 9.the licensee certifies that there is no duplication; or pother (explain)

6.

Bank use meetions (no more than 75 Bank Modified New percent from the bank at least 10 percent new, and the rest modified); enter the actual question*

distribution at right catE p n-,e e 7

7.

Between 50 and 60 percent of the questions on Memory CIA the exam (including 10 new questions) are c i

t a

o n

written at the comprehension/analysis level; enter the actual question distDtbution at right e,

8.

References()andouts 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 Ne Tigned; deviations are justified am

10.

Question psychometric quality and format meet ES, Appendix B, auideli nes nc r

11.

a eeThe examwitcontainsvau o100,covrne-point,she multiple choice items; the total is correct and

,*z Printed Name / Signature Date

b. Facility Reviewer (*)

10ýIA/-*.

.O C. NRC Chief Examiner (#)

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d. NRC Regional Supervisor

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(J-*--*

.ilsi kL.

Note:

  • The facility reviewer's initials/signature are not applicable for NRC-developed examinations.
  1. Independent NRC reviewer initial items in Column "c;" chief examiner concurrence required.

NUREG-1021, revision 8, Supplement 1 42 of 46

ES-401 Written Examination Form ES-401-7 Quality Checklist SFacirrty. D.

Date of Exam: /

z-/t&J--

Exam Level: RO Initial Item Description a

b"

&c

1.

Questions and answers technically accurate and applicable to facility

2.
a. NRC K/As referenced for all questions
b. Facility learing objectives referenced as available
3.

RO/SRO overlap is no more than 75 percent, and SRO questions are appropriate perSecton D.2.d of ES-401

4.

Question selection and duplication from the last two NRC licensing exams,*o appears consistent with a systematic sampling process dsrQuestion duplication from the license screeningaudit exam was controlled as indicated below (check the item that applies) and appears appropriate:

Sthe audit exam was systematically and randomly developed; or wr the audit exam was completed before the license exam was started; or

4 et the examinations were developed independently;or
9. the licensee certifies that there is no duplication; or

__other (explain)

6.

Bank use meetions (no more than 75 Bank Modified New percent from the bank at least 10 percent newB, g

and the rest modified); enter the actual question distribution at ricoht sheet____

7.

Between 50 and 60 percent of the questions on Memory C/A the exam Cincluding 10 new questions) are written at the comprehension/analysis level;

/

7

(

enter the actual question distribution at right

8.

Reverencr douts provided do not give away answers6

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 asigned; deviations are justified

ý

'n-

10.

Question psychometric quality and formnat meet ES, Appendix B, guidelines--

11.

The exam contains 100, one-point, multiple choice items; the total is correct and r,) P

  • t agrees with value on cover sheet Printed Name / Signature Date
d. NRC Regional Supervisor Note:

The facility reviewer's initials/signature are not applicable for NRC-developed examinations.

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

NUREG-1021, Revise n 8, Supplement 1 42 of 46 7:,

ES-403 Written Examination Grading Form ES-403-1 Quality Checklist FFacili Date of Exam: "12 2 /oL Exam Level:>

J SRO Initials Item Description a

b c

1.

Clean answer sheets copied before grading

2.

dAnswer key changes and question deletions justified and

/

documented

,/tk A/4

3.

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

4.

Grading for all borderline cases (80% +/- 2%) reviewed in detail i____

/

/Vf-J

5.

All other failing examinations checked to ensure that grades are justified A/4-

/V/g

/f

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 jib/,! / a
b. Facility Reviewer(*)

Y Z$

c. NRC Chief Examiner(*)

/2 '

d. NRC Supervisor (*)

(0 1

(*)

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

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5 of 5 NUREG-1021, Revision 8, Supplement 1 3

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

Date of Exam: /-/I zo.

Exam Level: RO SR*

Initials Initials Item Description a

b c

1.

Clean answer sheets copied before grading

-_ Y

,E

2.

Answer key changes and question deletions justified and documented

ý/Y,4 X,,

3.

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

4.

Grading for all borderline cases (80% +/- 2%) reviewed in detail

/

//

5.

All other failing examinations checked to ensure that grades are justified 04!

,/,;

¢

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

_1,1-1.__

//

b. Facility Reviewer(*)
c. NRC Chief Examiner (*)--

//0 Ok

d. NRC Supervisor (*)

(*)

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

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NUREG-1021, Revision 8, Supplement 1 I

5 of 5

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