EQ1 Is the engineering and technical support function controlled within a well structured organization where responsibilities and authorities are clear and where an accountability process or system is in place? 4

EQ2 Are the staffing support resources of the technical support organization sufficient to keep up with work requirements? 9

EQ3 Is work prioritized to meet the most urgent support engineering requirements of the customer, yet all work is addressed in a timely manner? 13

EQ4 Does the technical support organization have adequate facilities and equipment to perform their engineering work to keep up with work requirements? 16

EQ5 Are documentation files and reference libraries available and supportive of the engineering work being performed? 19

EQ6 Is the design basis well-defined such that the engineering and technical staff can: 1) have a clear understanding of safety systems, components, and operations needed to maintain the safety envelope, and 2) provide a technical rationale for the linkage of Technical Safety Requirements (TSRs) with the facility design bases. 23

EQ7 Are there effective configuration management and design control processes in place? 29

EQ8 Is there a process in place to identify, track and evaluate the scope and cause of engineering rework? 37

EQ9 Is there a lessons-learned program in place that evaluates design improvements based on operating experience from similar facilities within the plant complex and elsewhere? 40

EQ10 Is there a program in place which defines the responsibilities of the design organization with respect to startup and turnover acceptance testing? 43

EA1 Review examples of design change documentation and assess the level of configuration management control. 45

EA2 Review the status of as-built facility drawings and documentation.

EA3 Review backlog of engineering support or design requests.

EA4 Discuss system engineer qualifications, training, and methods of operation with a representative sample of these individuals.

EA5 Review qualifications of engineering support staff for adequacy.

EA6 Determine whether other departments have input to facility design changes, ensuring that their needs are met.

EA7 Attend a meeting of the facility review committee considering an engineering change.

EA8 Review adequacy of documentation files and reference libraries to support engineering.

FQ1 Is the staffing of the Fire Protection Organization sufficient to keep up with work requirements? 50

FQ2 Is the fire protection function controlled within a well-structured organization where responsibilities and authorities are clear and an accountability process or system is in place? 54

FQ3 Have the fire hazards relative to nuclear safety for appropriate facilities been documented in a Fire Hazards Analysis (FHA) or included in a facility Safety Analysis Report (SAR)? 59

FQ4 If fire protection requirements are not met, have equivalencies, exemption requests, or compliance schedule approval requests been documented and approved? 63

FQ5 Are Fire Protection Organization personnel adequately trained? 67

FQ6 Are fire protection systems and equipment adequate to ensure nuclear safety? 73

FQ7 Are the local fire alarm systems adequate to protect personnel and equipment from the fire as well as from automatic protection systems?

FQ8 Are automatic and redundant fire protection systems provided where required?

FQ9 What ensures adequate engineering and maintenance support for fire protection barriers, equipment, and systems?

FQ10 What fire hazards are most proximate to nuclear materials and nuclear safety systems?

FQ11 Are the plant water supplies and fire main systems reliable, operable, and maintainable?

FQ12 Do plant workers support the fire protection, ensuring that fire hazards are minimized and that the fire protection equipment and systems are maintained in proper condition?

FQ13 Are there any fire protection exemptions associated with the facilities?

FQ14 What arrangements are in place to obtain support from local area fire departments, especially with regard to nuclear facilities?

FQ15 What general fire protection training do employees receive?

FQ16 What role does the Fire Protection Organization play in the plant emergency response organization?

FQ17 For secure areas of the plant, what ensures prompt access by the fire protection brigade?

FA1 Conduct a facility fire hazards and protection survey. 78

FA2 Review selected policies and procedures for the fire protection program. 83

FA3 Review fire protection and prevention inspections and test results. 87

FA4 Observe a fire drill. 90

FA5 Review the facility fire hazards analysis relative to equipment and personnel capabilities.

FA6 Determine whether regular fire protection training is provided to facility staff; attend a training session.

FA7 Review plans and agreements in place for obtaining support from local fire departments; visit local fire departments to confirm the actual level of coordination and awareness of support plans.

MQ1 Does the Maintenance Organization have adequate numbers of personnel and equipment to provide full coverage of all maintenance requirements related to nuclear safety and preservation of the physical plant? 93

MQ2 Is maintenance controlled within a well structured organization where responsibilities and authorities are clear and where an accountability process or system is in place? 100

MQ3 Is the plant safety equipment and system configuration management documentation available and used to identify and maintain the design intent of equipment over the life of the plant? 104

MQ4 Are all maintenance activities (nuclear and non-nuclear) managed and controlled by the operating organization in a manner that ensures their control of equipment status and interfacing equipment or systems, regardless of what organization or contractor is performing maintenance? 110

MQ5 Is the preventive maintenance program comprehensive, based on vendor recommendations, fully supported, and implemented as scheduled? 115

MQ6 Are measuring and test equipment calibrations performed using accuracy guidelines that are consistent with the plant system operating envelope and design basis? 120

MQ7 Are physical plant inspections conducted on a routine basis?

MQ8 Do maintenance personnel have the right equipment and tools needed to maintain safety related equipment?

MQ9 Does the Maintenance Organization have well-developed and controlled maintenance procedures for performing work on safety systems and equipment?

MQ10 Are maintenance good-practices and standards established and implemented?

MQ11 Are deferrals of preventive maintenance actions on safety related equipment formally justified and approved within appropriate guidelines?

MQ12 Are the root causes of equipment problems identified and addressed?

MQ13 Are materials and replacement parts procured and controlled in a manner that ensures continued and verifiable safety component reliability?

MQ14 Does the Maintenance Organization have comprehensive and current vendor documentation for all equipment important to safety?

MQ15 Is timely corrective action taken for deficiencies, including housekeeping deficiencies?

MQ16 Is there an up to date master equipment list that identifies all safety related equipment and provides the information needed to ensure timely repairs?

MQ17 Is there a systematic process in place under which safety-related equipment is replaced or upgraded prior to becoming obsolete, unrepairable, or irreplaceable?

MQ18 Are work backlogs tracked and minimized under a formal process that ensures that all identified deficiencies are corrected in a timely manner?

MQ19 Is management actively involved in monitoring and assessing the performance of maintenance personnel, including the work performed by vendors and subcontractors?

MQ20 Is post-maintenance testing of safety related equipment specified and planned in advance of performing maintenance?

MQ21 Are maintenance activities well planned and documented, including a systematic development of a meaningful material history?

MA1 Assess the material condition of the physical plant for general housekeeping and corrosion control. 125

MA2 Review the procedures for procuring and storing safety-related materials and parts. 132

MA3 Review the calibration history, storage, handling, and procedures for issue and return of the measuring and test equipment. 137

MA4 Review the documentation for a maintenance work order, including whether the radiation protection/health physics group has regular input to maintenance work order packages. 142

MA5 Conduct interviews with maintenance supervisors and personnel and assess daily activities and problems. 150

MA6 Review the maintenance work order system for a new addition, preferably on a Safety Related System. During the period of the assessment, track the development of the associated work package, including short interviews with each person in the development and review process. 158

MA7 Observe work in progress for a period of not less than two hours. 168

MA8 If there is a central work control center or "war room," spend at least a two hour monitor period to observe the control system at work. 174

MA9 Interview the managers in the maintenance program, covering all the major functions of management to establish how those functions are performed. 180

MA10 For a major component of a safety related system, review the required maintenance actions and the actual maintenance actions for the past two years. Interview the engineer responsible for establishing the maintenance requirements, and determine the basis for those maintenance requirements. Include a review of the applicable vendor technical manual. 187

MA11 Review the occurrence reports from the facility, focusing on maintenance related events. 195

MA12 Review the requirements for and performance of physical plant inspections.

MA13 Review the maintenance backlog and trends.

OQ1 Are the numbers of trained operations personnel adequate to enable control of plant operations? 203

OQ2 Is the facility operational function controlled within a well structured organization where responsibilities and authorities are clear and where an accountability process or system is in place? 207

OQ3 Does the formality exercised in critical control areas support an operating atmosphere conducive to maintaining and maximizing continuous control of the plant? 211

OQ4 Are lockout and tagout programs bypassed in non-emergency situations? 215

OQ5 Do operators on shift observe independent verification requirements or do they try to expedite the verification process such that they compromise their independence? 218

OQ6 Do personnel on shift work have adequate shift turnovers, ensuring that oncoming operators have the information needed to ensure continued operational control and safety? 221

OQ7 Are the operating procedures controlled, consistent, and unambiguous, allowing procedural compliance without the need to interpret language in the procedures?

OQ8 Are all of the plant equipment, systems, and rooms labeled and identified consistently so that procedural compliance is facilitated?

OQ9 Do operators physically inspect their plant for problems as a matter of routine or do they rely on remote indications?

OQ10 Do plant operating logs and records contain complete and accurate information regarding the status of the plant and changes to plant status?

OQ11 Is there a systematic way of informing personnel of administrative and plant changes that have occurred when personnel come back from vacation or other absence?

OQ12 Are all of the operator aids formally posted and controlled in a manner similar to procedure controls?

OQ13 Are trainees closely supervised during in-plant training such that they do not reduce plant safety or positive control of equipment?

OQ14 Are incident investigations conducted in a manner that ensures systematic identification and correction of the root causes of problems?

OQ15 Are there current and complete records and user-friendly displays of equipment status at control stations to allow operators to react quickly to emergencies and to minimize human errors when changing plant conditions or system lineups?

OQ16 In there a comprehensive and effective chemistry control program in place and implemented?

OQ17 Are there approved standing orders and shift orders that provide formal guidance regarding how to deal with unique or temporary conditions?

OA1 Observe shift turnover for formality and adequacy of plant status information passed to incoming shift. 224

OA2 Observe formality of control room (control area) operations and assess the adequacy of communication among shift personnel in controlling plant operations. 228

OA3 Review a sample of operating procedures for clarity and support of procedural compliance requirements, including consistency of equipment nomenclature in the procedures with equipment labels. 232

OA4 Observe operation of the tag-out program, especially with regard to independent verifications for a system realignment or change. 236

OA5 Review procedure and process for informing personnel of administrative changes and changes in plant when they come back from an absence (required reading).

OA6 Attend a briefing for an upcoming evolution or operation.

OA7 Review operator qualifications relative to duties assigned, assessing the numbers of qualified personnel available.

OA8 Observe an emergency drill involving plant operators.

OA9 Accompany facility operators on a facility tour, and determine whether housekeeping problems are routinely identified and addressed.

OA10 Review shift assignments and coverage on backshifts.

OA11 Assess whether system status displays are current and used.

OA12 Attend a Plan of the Day meeting, particularly noting what new activities are planned, which facility organizations are in attendance, and whether unresolved issues are systematically addressed.

OA13 Observe the conduct and supervision of in-plant trainees.

OA14 Review documentation of a recent incident investigation and assess the current status of any corrective actions.

OA15 Review latest month’s entries in the operating log for the level of information provided and for follow-up entries on problems.

TQ1 Does the training program have enough personnel resources and training facilities to meet the training requirements of the plant? 240

TQ2 Is the training function controlled within a well structured organization where responsibilities and authorities are clear and where an accountability process or system is in place? 245

TQ3 Do personnel receive recurring training and testing to maintain and assess their level of knowledge regarding nuclear operations and hazards, and are complete training records maintained for each individual having responsibilities related to ensuring nuclear safety? 249

TQ4 Does the training program cover the details of the plant safety analysis report and probabilistic risk assessments for employees responsible for protecting special nuclear materials and radioactive materials? 254

TQ5 Does the operator training program provide for practical training that is simulated during the qualification process but that receives systematic follow-up following qualification? 258

TQ6 Are subcontractor personnel trained to the same standards under the same or a comparable training program? 262

TQ7 Are training organization personnel screened and selected in a manner that ensures instructors will convey to students the proper nuclear safety culture as well as the knowledge needed to perform their jobs?

TQ8 Do the key operating and emergency personnel receive written and oral exams that measure their actual (unprompted) knowledge and ability to respond effectively to the range of possible nuclear emergencies that they might encounter?

TQ9 Is there a general employee training program that explains nuclear safety issues and places them in perspective even for individuals who may have no direct responsibility in ensuring nuclear safety?

TQ10 Is the qualification process a systematic progression, building a firm foundation for undertaking increasing levels of responsibility?