ML051240350

Various Checklists for the LaSalle Initial Examination - March 2005

ML051240350
Person / Time
Site:	LaSalle
Issue date:	03/07/2005
From:	Palagi B NRC/RGN-III/DRS/OLB
To:
Shared Package
ML050900103	List: ML051240350 ML051240371 ML051240372 ML051240377 ML051240396 ML051240410 ML051240468 ML051240473 ML051240488
References
50-373/05-301, 50-374/05-301 50-373/05-301, 50-374/05-301
Download: ML051240350 (11)

Text

__-

VARIOUS CHECKLISTS FOR THE LASALLE INITIAL EXAMINATION - MARCH 2005

ES-201 Examination Preparation Checklist F o ES-201-1

~

Facility: L 4 5 4//e Date of Examination: r c l b v ~ I\

Examinations Developed by: Facility / NRC (circleone) i Target Date' Task Description (Reference)

~~

i~~~

Chief Examiner's Initials

-180 1. Examination administration date confirmed (C.1.a; C.2.a and b) Jf

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

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

-120 4. Corporate notification letter sent (C.2.d) I p;%

I-901 (5. Reference material due (C.1.e; C.3.c; Attachment 211

-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, ES401-1/2. ES-401-3, and ES401-4, as applicable (C.1 .e and 1; C.3.d)

-70 7. EMminatiOnoutline(s) reviewed by NRC and feedback provided to facility licensee (C.2.h; C.3.e) 6f

-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  % O M ) , and reference materials due (C.1 .e, f. g and h; C.3.d)

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

-14 10. Final license applications due and Form ES-2014 prepared (C.1.l; C.2.i; ES-202)

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

-14 12. Examinations reviewedwith facility licensee (C.1.j; C.2.f and h; C.3.g) df

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

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

-7 15. Proctoringiwrittenexam administrationguidelines 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.

[ J Applies only to examinations prepared by the NRC.

ES-201, Page 24 of 27

ES-201 Examihation 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 $?$LU< 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 licensees 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 knowled e, 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.

ES-201, Page 26 of 27

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 -fi/o5 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 licensees procedures) and understandthat 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 knowled e, I did not divulge to any unauthorized persons any information concerning the NRC licensing examinations administered during the week(s) of 3/77f?S . 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.

ES-301 Operating Test Quality Checklist F o ES-301-3

~

Facility:- IIC Date of Examination: 31o?/G Operating Test Number: 4-3 -01

~

Initials

1. GENERAL CRITERIA

a. The operating test conforms with the previouslyapproved 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(s)(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 reasonableand validated time limits (average time allowed for completion) and specific designation if deemed to be time critical by the facility licensee operationally important specific performancecriteria that include:

- detailed expected actions with exact criteria and nomenclature

- system response and other examiner cues

- statements describing important observationsto be made by the applicant

- criteria for successfulcompletion of the task

- identification of critical steps and their associated performance standards

- restrictionson the sequence of steps, if applicable

=

a. Ensure that any changes from !he 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.

HN6e

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. +Wbp -

ES-301 Simulator Scenario Quality Checklist Form ES-301-4 4

~~ ~

Facility: LaSalle Date of Exam: 03/07/2005 Scenario Numbers: 1 1 3 I Operating Test Number: 2003-01 Initials QUALITATIVE ATTRIBUTES a I b

• I c #

1. The initial conditions are realistic, in that some equipment andlor instrumentation m a w out of service, but it does not cue the operators into epected events.

2. The scenarios consist mostlyof 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 synptomslcues that Hill be visible to the crew the expected operator actions (byshift position) the event termination Doint fifaDDlicablel

4. No more than one non-mechanisticfailure (e.g., pipe break) is incorporated into the scenario without a credible preceding incident such as a seismic event.

5. The events are valid Hith regard to physics and thermodwamics.

6. Sequencing and timing ofevents is reasonable, and allow the examination team to obtain comdete evaluation results commensurate vjth the scenario obiectives.

7. Iftime compression techniques are used, the scenario summatylearly so indicates.

Operators have sufficient time to carry out expected activities Hithout undue time constraints.

Cues are given.

8. The simulator modeling is not altered.

9. The scenarios have been validated. Pursuant to 10CFR55.46(d), any open simulator performance deficiencies or deviations tom the relerenced plant have been evalueted v to ensure that hnctional fidelity is maintained while running the planned scenarios.

10. Every operator will be evaluated using at least one newor significantly modified scenario.

All other scenarios have been altered in accordance vith Section D.5 of ES-301.

11. All individual operator competencies can be evaluated, as verikd using Form ES-301-6 fsubmit the form alona with the simulator scenarios).

12. Each applicant will be signiticantly involved in the minimum number oftransients and events specified on Form ES-301-5 (submit the brm with the simulator scenarios).

13. The level of difficulty is appropriate to support licensing decisions br each crew position.

~ ~

Target Quantitatiw Attributes (Per Scenario; See Section D.5.d) Actual Attributes 1 Total malfunctions (5-8) 6161

~~

2 Malfunctions after EOP entry (1-2) 2 / 3 1

~

3 Abnormal events (2-4) 4 / 3 1 4 Major transients (1-2) 1 / 2 1 5 EOPs enteredlreauinnq substantive actions 11-2) 2 / 2 1

6. EOP continaencies reauirina substantive actions (0-2) 1 / 2 1

7. Critical tasks (2-3) I 2 / 2 1 ES-301, Page 25 of 27

ES-301 Competencies Checklist Form ES-301-6 Facility: LaSalle Date of Examination: 03/07/2005 Operating Test No.:2003-01 APPLICANTS

~~

RO - ATC SRO-IISRO-U RO I SRO-I / SRO-U RO I SRO-I I SRO-U Competencies SCENARIO SCENARIO .

- ZENARIO 111I 1 2 3 4 1 2 3 4 Interpret/ Diagnose EventsandConditions Comply With and Use 3.5.

Procedures (1)

Operate Control 5.6 Boards (2) -

Communicate and Interact Demonstrate Supervisory Ability (3)

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 o to evaluate every applicable c Author:

NRC Reviewer:

ES-301,Page 27 of 27

ES-401 Record of Reiected WAS Form ES-401-4 Tier I Group 1 Randomly Selected WA I Reason for Rejection I I NOTE: Thefollowing 8 WASwere rejected during the process of creating the Exam Outline.

111 (SRO Exam) 1 295016 2.1.32 I 1. Balance of coverage based on ES-401 Section D. 1.d, replaced with randomly selected WA 295016 2.2.25.

112 29501 2 , .32 2. Balance of coverage based on ES-401 Section D. 1.d, replaced with (SRO Exam) randomly selected WA 295010 c 2.1.2.

211 3ooooo 2 . .32 3. Balance of coverage based on ES-401 Section D. 1 .d, replaced with (SRO Exam) randomly selected WA 300000 2.4.4.

212 (RO Exam) I 201003 K2 I 4. There are no K2s listed for 201003, replaced with randomly selected WA201003K3.01.

212 (RO Exam) I 288000 I 5. All listed K2s for 288000 are less than 2.5 IR, replaced with randomly selected WA 288000 K5.02.

3 2.1.30 6. No link to 10 CFR 55.43, replaced with randomly selected WA 2. I . 13.

(SRO Exam) 3 2.2. I3 7. No link to 10 CFR 55.43, replaced with randomly selected WA 2.2.23.

(SRO Exam) 3 2.4.40 8. No link to 10 CFR 55.43, replaced with randomly selected WA 2.4.49.

(SRO Exam)

NOTE: Uponfurther review of the submitted Exam Outline, the following 3 K/As were rejected.

112 (SROExam) 1' 295010 2.1.2 9. No link to 10 CFR 55.43, replaced with randomly selccted KIA 295010 2.1.7.

L.

112 (SRO Exam) I 295033 2.1.30 I 10. No link to 10 CFR 55.43, replaced with randomly selected WA 295033 2.4.6.

(SRO212 Exam) '1 202002 2.12 I 1 1. No link to 10 CFR 55.43, replaced with randomly selected K/A 202002 2.1.14.

NOTE: Thefollowing 7 WASwere rejected during the question writing process.

2/2 234000 A l .02 12. Balance of coverage, overlap with other K/As, based on ES-401 Section (SRO Exam) D. 1.d, replaced with randomly selected WA 234000 A4.0 1.

211 5004 2.2.22 13. Balance of coverage, overlap with other WAS,based on ES-40 1 Section (RO Exam) D. 1.d, replaced with randomly selected WA 2 15004 2.1.28.

212 (RO Exam) I 19000 A2.16 I 1

14. Inability to write a quality operationally valid question and relatively low RO IR rating, - replaced

. with randomly selected WA 2 19000 A2.03.

3 (RO Exam) 2.2.25 15. No link to 10 CFR 55.41 or 55.43, replaced with randomly selected WA 2.2.12.

(RO 112 Exam) 1 295033 I 16. Balance of coverage, overlap with other WAS, and inabilit to write a Y

quality question, replaced with randomly selected WA 29 002 EK2.06.

212 fRO Exam) 1 209001 K6.03 1 17. Balance of covera e, double jeopardy with question #I6 (295030 EK3.07),

redaced with 2 17800 K6.04.

211 (RO Exam) I 205000 K3.02 I 18. Inability to write a uality discriminating question with 3 lausible distracters. redacec?with randomly selected WA 205000 R3.03.

NOTE: Reasons numbered 2 and 3 above correct typosfiom the Exam Outline Submittal (&&exf).

ES-401, Page 27 of 33

ES-401 Record of Rejected WAS Form ES-401-4 I TierIGroup Randomly Selected WA Reason for Rejection I 111 (SRO Exam) 295016 2.1.32 Balance of coverage based on ES-40 1 Section D. 1 .d, replaced with randomly selected WA 295016 2.2.25.

29501 0 2.1.32 Balance of coverage based on ES-40 1 Section D. 1 .d, replaced with randomly (SRO Exam) selected WA 2950 16 2. I .2.

300000 2.1.32 Balance of coverage based on ES-401 Section D. 1 .d, replaced with randomly (SRO Exam) selected WA 295016 2.4.4.

There are no K2s listed for 201003, replaced with randomly selected WA I (ROExam)

LlL 20 1003 K2 201003 K3.01.

288000 K2 All listed K2s for 288000 are less than 2.5 IR, replaced with randomly selected (RO Exam) WA 288000 K5.02.

(SRO Exam) 2.1.30 N o link to IO CFR 55.43, replaced with randomly selected WA 2.1.13.

I (SROixam) 2.2.13 N o link to IO CFR 55.43, replaced with randomly selected WA 2.2.3.

i .

(SRO Exam) 2.4.40 No link to IO CFR 55.43, replaced with randomly selected WA 2.4.49.

\-

ES-401, Page 27 of 33

ES-401 Written Examination Quality Checklist Form ES-401-6 Date of Exam: 3/07/~5 Exam Level: RO/SRO Initial Item Description 1k-E 1 1. Questions and answers are technically accurate and applicable to the facility. ILIHWIBP I 2.

3.

a. NRC KIAs are referenced for all questions.

b. Facility learning objectives are referenced as available.

SRO questions are appropriate in accordancewith Section D.2.d of ES-401 I +Iw IPP

4. If more than four RO and two SRO questions are repeated from the last two NRC licensing exam, 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 systematicallyand randomly developed

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

- the examinationswere developed independently

- the licensee certifies that there is no duplication

- other (explain)

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

I I I I I

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

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 $ HTV 6f Date

a. Author

b. Facility Reviewer (*) ~laah5

c. NRC Chief Examiner (#)

d. NRC Regional Supervisor Note: The facility revieweh initials/signature are not apdcable for NRCdeveloped examinations.

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

ES-401, Page 29 of 33

ES-403 Written Examination Grading Form ES403-1 Quality Checklist Facility: Date of Exam: Exam Level: RO/SRO I

I Initials Item Description a b

1. Clean answer sheets copied before grading ;R

2. Answer key changes and question deletions justified and documented C L

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

I

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

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 Printed Name/Signature A Date

a. Grader

b. Facility Reviewer(*)

c. NRC Chief Examiner (*

d. NRC Supervisor (*)

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

+ Gy4-f fo have +4is sq,eJ 0 - 3/&2/0r ES-403, Page 5 of 5