ML17114A217

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Final Qa/Related Forms (Folder 1)
ML17114A217
Person / Time
Site: Ginna Constellation icon.png
Issue date: 04/21/2017
From: David Silk
Operations Branch I
To:
Rochester Gas & Electric Corp
Shared Package
ML16210A441 List:
References
U01943
Download: ML17114A217 (18)
v • d • e


Text

ES-201 Examination Preparation Checklist Form ES-201-1 Facility: GMl'\Pt Date of Examination: '1/ 12 -z117 Developed by: Written: Facility ~ NRC D II Operating Facility ff' NRC D Chief Target Task Description (Reference) Examiner's Date*

Initials

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

-150 2. NRC examiners and facility contact assigned (C.1.d; C.2.e) ~

-150 3. Facility contact briefed on security and other requirements (C.2.c)

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-150 4. Corporate notification letter sent (C.2.d)

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[-120] 5. Reference material due (C.1.e; C.3.c; Attachment 3) r1J:1--

{-90} 6. Integrated examination outline(s) due, including Forms ES-201-2, ES-201-3, ES-301-1, ES-301-2, ES-301-5, ES-D-1, ES-401-1/2, ES-401N-1/2, ES-401-3, ES-401N-3, ES-401-4, and ES-401N-4, as applicable (C.1.e and f; C.3.d) tJi--

{-85} 7. Examination outline(s) reviewed by NRC and feedback provided to facility licensee (C.2.h; C.3.e) lt!:2---

{-60} 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, ES-401 N-6, and any Form ES-201-2, ES-201-3, ES-301-1, or ES-301-2 updates), and reference materials due (C.1.e, f, g and h; IJ}J_

C.3.d)

-45 9. Written exam and operating test reviews completed. (C.3.f) t#.-

-30 10. Preliminary license applications (NRC Form 398's) due (C.1.1; C.2.g; ES-202) iff-

-21 11. Examination approved by NRC supervisor for facility licensee review (C.2.h; C.3.f)

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-21 12. Examinations reviewed with facility licensee (C.1.j; C.2.f and h; C.3.g) hP'

-14 13. Final license applications due and Form ES-201-4 prepared (C.1.1; C.2.i; ES-202) {Jd-

-14 14. Written examinations and operating tests approved by NRC supervisor (C.2.i; C.3.h) ipj-

-7 15. Facility licensee management queried regarding the licensee's views on the examination. (C.2 j) ~

-7 16. Final applications reviewed; 1 or 2 (if >10) applications audited to confirm qualifications I eligibility; and examination approval and waiver letters sent (C.2.i; Attachment 5; ES-202, C.2.e; ES-204)

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-7 17. Proctoring/written exam administration guidelines reviewed with facility licensee (C.3.k) ,-JSf--

-7 18. Approved scenarios, job performance measures, and questions distributed to NRC examiners (C.3.i) J--*

  • Target dates are generally based on facility-prepared examinations and 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] {Does not apply} to examinations prepared by the NRC.

ES-201, Page 25 of 28

ES-201 Examination Outline Quality Checklist Form ES-201-2 Facility: Robert E. Ginna Date of Examination: 03/13/2017 Initials Item Task Description a b* c#

1.

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a. Verify that the outline(s) fit(s) the appropriate model, in accordance with ES-401 or ES-401 N. Ut 1111 ~

R b. Assess whether the outline was systematically and randomly prepared in accordance with T

I Section D.1 of ES-401 or ES-401 N and whether all KIA categories are appropriately sampled. IJ/v ~

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E c. Assess whether the outline over-emphasizes any systems, evolutions, or generic topics. dJfA, N

d. Assess whether the justifications for deselected or rejected KIA statements are appropriate. iJ/i, 11.l ~
2. 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 tli- !JU ~

s transients.

I M b. Assess whether there are enough scenario sets (and spares) to test the projected number and u mix of applicants in accordance with the expected crew composition and rotation schedule 1UI '{)_

L without compromising exam integrity, and ensure that each applicant can be tested using at A least one new or significantly modified scenario, that no scenarios are duplicated from the ,{)il-T applicants' audit test(s), and that scenarios will not be repeated on subsequent days.

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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. ~ 11' \D1-
3. a. Verify that the 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 w among the safety functions as specified on the form A

L (2) task repetition from the last two NRC examinations is within the limits specified on the form (3) no tasks are duplicated from the applicants' audit test(s)

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K (4) the number of new or modified tasks meets or exceeds the minimums specified on the form (5) the number of alternate path, low-power, emergency, and RCA tasks meet the criteria on T the form.

H R b. Verify that the administrative outline meets the criteria specified on Form ES-301-1:

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(1) the tasks are distributed among the topics as specified on the form (2) at least one task is new or significantly modified tP1W 141 tL G (3) no more than one task is repeated from the last two NRC licensing examinations H

C. Determine if there are enough different outlines to test the projected number and mix of applicants and ensure that no items are duplicated on subsequent days. JJiv *'ld Jf-

4. a. Assess whether plant-specific priorities (including PRA and IPE insights) are covered in the appropriate exam sections.

j)/f/ 111 JL G

E b. Assess whether the 10 CFR 55.41 /43 and 55.45 sampling is appropriate. /)ll, '/Jf ~

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c. Ensure that KIA importance ratings (except for plant-specific priorities) are at least 2.5. ~ 1H JJ)

R d. Check for duplication and overlap among exam sections. ;i)I;,- "ij V'd-A L e. Check the entire exam for balance of coverage. £/!;,, 'VJ -JP.

f. Assess whether the exam fits the appropriate job level (RO or SRO). f}IV 111 'JJl y r c.Printed Name/~~na~;,z ef~Jk.T Date
a. Author Av t "O \'-ett=T * 'I; .i, -c ""' IZ(~/fl
b. Facility Reviewer(*) l<,,lt G. C-""'s"

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c. NRC Chief Examiner (#) ~v~ c.;. \l<.. ~ - ('\ ~~ -
d. NRC Supervisor ~ **-n \....11--u (\). u ~

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Note: # Independent NRC reviewer initial items in Column "c"; chief examiner concurrence required.

  • Not applicable for NRG-prepared examination outlines.

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

1. Pre-Examination I acknowledge that I have acquired specialized knowledge about the LC 15-1 NRC Examination scheduled for the week(s) of 3113/2017 - 3/24/2017 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 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

,J fl c.

To the best of my knowledge, I did not divulge to any unauthorized persons any information concerning the LC 15-1-eertifi'CatieA Examination administered during the week(s) of 3/13/2017 - 3/24/2017. 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 I RESPONSIBILITY ,.\ SIG.NATURE (1) DATE NOTE 1a,vfl-t'e.$D)\ '-1/,c:lr

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2. Dave Lazarony
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l" 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 ?b3 , ) ~/t 2 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 perfonnance 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 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 rn To the best of my J<nowledge, I did not divulge to any unauthorized persons any information concerning the NRC licensing examinations administered during

~ the week(s) of ~ f 1' - ¥,,4 ft 'J . 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.

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

1. Pre-Examination 3

I acknowledge that I have acquired specialized knowledge about the NRC licensing examinations scheduled for the week(s) of / ,3 '>/z"' (, 7 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 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 rn 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 "'1f, 3 -  %'"' /1 z . 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.

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NOTES:

Eckert, David L:(GenCo-Nuc)

From: David Lazarony <dalazarony@esstc.com>

Sent: Wednesday, April 05, 2017 7:21 PM To: Eckert, David L:{GenCo-Nuc)

Subject:

RE: ILT Exam Security Deposted Dave, I agree that "To the best of my knowledge, I did not divulge to any unauthorized persons any information concerning the LC 15-1 NRC Examination administered during the weeks of 3/13/2017 - 3/24/2017 at Ginna NPP. From the date that I entered into this security agreement until the completion of the 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."

Sincerely, Dave David Lazarony Essential Training & Consulting LLC 1305 Heather Lane East Stroudsburg, PA 18301 Cell: 570-664-3288 Home/Fax: 570-369-4689 From: Eckert, David L:(GenCo-Nuc) [rnailto:dav1d.eckert@exeloncorp.com]

Sent: Monday, April 03, 2017 10:40 AM To: Monahan, David M:(GenCo-Nuc) <david.monahan@lexeloncorp.com>; David Lazarony_ <dalazarony@esstc.com>;

Gillow, Roy:( Contractor - GenCo-Nuc) <Roy.Gillow@exeloncorp.com>

Subject:

ILT Exam Security Deposted Roy, Daves, Please use the VOTE button to acknowledge the following:

In accordance with NUREG-1021, Form ES-201-3: "To the best of my knowledge, I did not divulge to any unauthorized persons any information concerning the LC 15-1 NRC Examination administered during the weeks of 3/13/2017 -

3/24/2017 at Ginna NPP. From the date that I entered into this security agreement until the completion ofthe 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."

Sincerely,

'David 'Ee.Rf.rt 1

Eckert, David L:(GenCo-Nuc)

From: Eckert, David L:(GenCo-Nuc)

Sent: Monday, April 03, 2017 10:40 AM To: Monahan, David M:(GenCo-Nuc); David Lazarony (dalazarony@esstc.com); Gillow, Roy:(Contractor - GenCo-Nuc)

Subject:

ILT Exam Security Deposted Tracking: Recipient Response Monahan, David M:(GenCo-Nuc) I acknowledge in accordance with ES-201-3: 4/3/2017 10:54AM David Lazarony (dalazarony@esstc.com)

Gillow, Roy:(Contractor - GenCo-Nuc)

Roy, Daves, Please use the VOTE button to acknowledge the following:

In accordance with NUREG-1021, Form ES-201-3: "To the best of my ~nowledge, I did not divulge to any unauthorized persons any information concerning the LC 15-1 NRC Examination administered during the weeks of 3/13/2017 -

3/24/2017 at Ginna NPP. From the date that I entered into this security agreement until the completion of the examination administration, I did not instruct, evaluate, or provide perl'ormance feedback to those applicants who were administered these licensing examinations, except as specifically noted below and authorized by the NRC."

Sincerely,

'Davia ufyrt

  • ~

Exe lo Operations Training ,.

ILT lead/!LT NRC Exam Ginna Nuclear Station David.Eckert@exeioncorp.com 360.440.3053-Cell 315-791-5540 Desk /315-791-5523-Exam Room 1

Eckert, David L:(GenCo-Nuc)

From: agillow@tampabay.rr.com Sent: Tuesday, April 04, 2017 10:06 AM To: Eckert, David L:{GenCo-Nuc)

Subject:

RE: Work e-mail Dave, this E-mail is to acknowledge that I did not divulge exam information to any unauthorized persons, for LC 15-1 NRC Examination. I did not instruct, evaluate or provide performance feedback during the time I was on exam security.

Roy Gillow Sent from Mail for Windows 10 From: Eckert David L:(GenCo*Nuc)

Sent: Monday, April 3, 2017 1:15 PM To: Roy Gillow (agillow@tampabay.rr.com)

Subject:

Work e-mail Roy,

  • , Please check your Exelon e-mail account. I sent you an e-mail to sign off exam security.

Thanks, Dave This Email message and any attachment may contain information that is proprietary, legally privileged, confidential and/or subject to copyright belonging to Exelon Corporation or its affiliates ("Exelon"). This Email is intended solely for the use of the person(s) to which it is addressed. If you are not an intended recipient, or the

employee or agent responsible for delivery of this Email to the intended recipient(s), you are hereby notified that any dissemination, distribution or copying of this Email is strictly prohibited. If you have received this message in error, please immediately notify the sender and permanently delete this Email and any copies.

Exelon policies expressly prohibit employees from making defamatory or offensive statements and infringing any copyright or any other legal right by Email communication. Exelon will not accept any liability in respect of such communications. -EXCIP 1

ES-301 Operating Test Quality Checklist Form ES-301-3 (Rev_010417)

Facility: Ginna Date of 3/13/2017 Operating Test Number: N17-1 Examination:

Initials

1. GENERAL CRITERIA a b* c#
a. 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).
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 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
  • 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

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 The associated simulator operating tests (scenario sets) have been reviewed in accordance with Form ES-301-4 and a copy is attached.
a. Author y
b. Facility Reviewer (*)
c. NRC Chief Examiner (#)
d. NRC Supervisor NOTE: The facility signature is not applicable for NRG-developed tests.
  1. Independent NRC reviewer initial items in Column "c"; chief examiner concurrence required.

NUREG-1021, Revision 10

ES-301 Simulator Scenario Quality Checklist Form ES-301-4 (Rev_010417)

Facility: Ginna Date of Exam: 3/13/2017 Scenario Numbers: 1,3,4 Operating Test No.: N17-1 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. /Jll /ljJ ~
2. The scenarios consist mostly of related events. /)tl '11Jl i,l}r-
3. Each event description consists of
  • the point in the scenario when it is to be initiated
  • the malfunction(s) or conditions that are entered to initiate the event
  • the symptoms/cues that will be visible to the crew
  • the expected operator actions (by shift position) iJlfo 1tf Pl-
  • the event termination point (if applicable)
4. The events are valid with regard to physics and thermodynamics. J1t 11JJ JJ}-
5. Sequencing and timing of events is reasonable, and allows the examination team to obtain complete evaluation results commensurate with the scenario objectives. iJll *1~ 1t-*
6. 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.
  • fp. rl/A rJjA
7. The simulator modeling is not altered. /),#., 1tf l/JJ-
8. The scenarios have been validated. Pursuant to 10 CFR 55.46(d), any open simulator performance deficiencies or deviations from the referenced plant have been evaluated to ensure that functional fidelity is maintained while running the planned scenarios. /)tt, 1W ~
9. 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.5 of ES-301. 1/)/t, '11vV lP-

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10. All individual operator competencies can be evaluated, as verified using Form ES-301-6 (submit the form along with the simulator scenarios).
11. The scenario set provides the opportunity for each applicant to be evaluated in each of the applicable rating factors. (Competency Rating factors as described on forms ES-303-1 and ES-303-3.)

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Each applicant will be significantly involved in the minimum number of transients and events

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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. ()It,, *1~ i/j;l Target Quantitative Attributes {Per Scenario; See Section D.5.d) Actual Attributes - - -

1 3 4

1. Malfunctions after EOP entry (1-2) 1 3 2 /)1'r., 1" ~
2. Abnormal events (2-4) 4 4 4 ~ *1i/ iJ(f
3. Major transients ( 1-2) 1 1 1 /)#--- *'llf r/}J
  • ~
4. EOPs entered/requiring substantive actions (1-2) 1 2 1 ~ ~
5. EOP contingencies requiring substantive actions (0-2) 1 1 2 /}t'v *~ t)J3
6. Critical tasks (2-3) 2 2 3 j)tJv *'1W (jJ>

NOTE:

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

~ 1W NUREG-1021, Revision 10

ES-301 Simulator Scenario Quality Checklist Form ES-301-4 (Rev_010417)

Facility: Ginna Date of Exam: 3/13/2017 Scenario Numbers: 5,6 Operating Test No.: N17-1 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. tf)IJ<- '1i( VJ-
2. The scenarios consist mostly of related events. l)ltv <'WI yr-
3. Each event description consists of
  • the point in the scenario when it is to be initiated
  • the malfunction(s) or conditions that are entered to initiate the event
  • the symptoms/cues that will be visible to the crew ~. 1'( ~
  • the expected operator actions (by shift position)
  • the event termination point (if applicable)
4. The events are valid with regard to physics and thermodynamics. /)ti-- '1£A ljt,
5. Sequencing and timing of events is reasonable, and allows the examination team to obtain {'}'~

complete evaluation results commensurate with the scenario objectives. /Jllv ~

6. 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 ~/A rl/A 1A given.
7. The simulator modeling is not altered. /)fl-- f'f.J, it

~

8. The scenarios have been validated. Pursuant to 10 CFR 55.46(d), any open simulator performance deficiencies or deviations from the referenced plant have been evaluated to ensure that functional fidelity is maintained while running the planned scenarios.

/)/iv ~

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9. Every operator will be evaluated using at least one new or significantly modified scenario. All other scenarios have been altered in accordance with Section 0.5 of ES-301.
10. All individual operator competencies can be evaluated, as verified using Form ES-301-6 (submit the form along with the simulator scenarios).

/)/Jt.,,- 1~ 'J.;41-

11. The scenario set provides the opportunity for each applicant to be evaluated in each of the applicable rating factors. (Competency Rating factors as described on forms ES-303-1 and ES-303-3.)

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/)It- *'1\f~ ~

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. f)1l llJ\ ,y-Target Quantitative Attributes (Per Scenario; See Section D.5.d) Actual Attributes - - -

5 6

1. Malfunctions after EOP entry (1-2) 2 2 i)/lv !1if VYJ
2. Abnormal events (2-4) 3 4 f;tl- ~ \)},
3. Major transients ( 1-2) 1 1 p{'I/ ~1!1 "'1'
4. EOPs entered/requiring substantive actions (1-2) 4 1 ,1)1~ n~ ~
5. EOP contingencies requiring substantive actions (0-2) 2 0 j)f/i,'rl bl \
6. Critical tasks (2-3) 2 3 /)ttY ~ rJ6 NOTE: *The facility signature is not applicable for NRG-developed tests.
  1. Independent NRC reviewer initial items in Column "c"; chief examiner /}fl !}i{

concurrence required.

NUREG-1021, Revision 10

ES-301 Transient and Event Checklist Form ES-301-5 (Rev 022717)

Facility: Ginna Date of Exam: 3/2017 Operating Test No.: N17-1 A E Scenarios p v N17-1-5 N17-1-1 N17-1-3 N17-1-6 T M p E 0 I L N T N CREW CREW CREW CREW I T POSITION POSITION POSITION POSITION A I c L M A T u N y M(*

T p s A B s A B s A B s A B R I u E R T 0 R T 0 R T 0 R T 0 0 c p 0 c p 0 c p 0 c p RX 0 1 1 0 2 4 NOR 2 1 1 1 1,3, 1,2, 4,6, 3,5, 11 4 4 2 SROU-1 l/C 7 7,8 5 6 MAJ 2 2 2 1 1,3 1,3 TS 4 0 2 2 RX 0 1 1 0 2 4 NOR 2 1 1 1 1,3, 1,2, 4,6, 3,5, 11 4 4 2 SROU-2 1/C 7 7,8 5 6 MAJ ' 2 2 2 1 1,3 1,3 TS 4 0 2 2 1

RX 1 1 1 0 2 4 NOR 2 1 1 1 1,3, 1,3, 3,4, 4,6, 8 7,8 12 4 4 2 SROl-1 l/C 7

5 5 6 MAJ 3 2 2 1 1,3 TS 2 0 2 2 2

RX 1 1 1 0 4 1 NOR 2 1 1 1 1,3. 1,2, 2,3, 6 4,5, 4 4 2 SROl-2 l/C 3,6, 15 7,8 7,8 5 5 6 MAJ 3 2 2 1 1,2, 2,3, TS 3 5 6 0 2 2 Instructions:

1. Check the applicant level and enter the operating test number and Form ES-D-1 event numbers for each event type; TS are not applicable for RO applicants. ROs must service in both the "at-the-controls (ATC)" and "balance-of-plant (BOP)" positions; Instant SROs (SRO-I) must serve in both the SRO and the ATC positions, including at least two instrument or component (1/C) malfunctions and one major transient, in the ATC position. If an Instant SRO-I additionally serves in the BOP position, one l/C malfunction can be credited toward the two l/C malfunctions required for the ATC position.
2. Reactivity manipulations may be conducted under normal or controlled abnormal conditions (refer to Section D.5.d) but must be significant per Section C.2.a of Appendix D. (*)Reactivity and normal evolutions may be replaced with additional instrument or component malfunctions on a 1-for-1 basis.
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 requirements specified forthe applicant's license level in the right-hand columns.

For licensees that use the ATC operator primarily for monitoring plant parameters, the chief examiner may place SRO-I applicants in eitherthe ATC or

4. BOP position to best evaluate the SRO-I in manipulatinq plant controls.

NU REG 1021 Revision 10

ES-301 Transient and Event Checklist Form ES-301-5 (Rev 022717)

Facility: Ginna Date of Exam: 3/2017 Operating Test No.: N17-1 A E Scenarios p v N17-1-5 N17-1-1 N17-1-3 N17-1-6 T M p E 0 I L N T N CREW CREW CREW CREW I T POSITION POSITION POSITION POSITION A I c L M A T u N y M(*

T p s A B s A B s A B s A B R I u E R T 0 R T 0 R T 0 R T 0 0 c p 0 c p 0 c p 0 c p 1

RX 1 1 1 0 2 4 NOR 2 1 1 1 1,3, 1,3, 3,4, 4,6, 7,8 12 4 4 2 SROl-3 1/C 8 7

5 5 6 MAJ 3 2 2 1 1,3 TS 2 0 2 2 2

RX 1 1 1 0 4 1 NOR 2 1 1 1 1,3, 1,2, 2,3, 6 3,6, 4,5, 4 4 2 SROl-4 l/C 15 7,8 7,8 5 5 6 MAJ 3 2 2 1 1,2, 2,3, TS 3 5 6 0 2 2 1

RX 1 1 1 0 4 4 NOR 2 1 1 1 1,2, 2,5, 3,4, 3,6, 7 7,8 13 4 4 2 SROl-5 l/C 7,8 5 6 6 MAJ 3 2 2 1 1,2, TS 3 3 0 2 2 4

RX 1 1 1 0 4 1 NOR 2 1 1 1 2,3, 1,2, 2,5, 6,7 3,5, 8 4 4 2 SROl-6 l/C 13 7,8 5 6 6 MAJ 3 2 2 1 1,3 TS 2 0 2 2 Instructions:

1. Check the applicant level and enter the operating test number and Form ES-D-1 event numbers for each event type; TS are not applicable for RO applicants. ROs must service in both the "at-the-controls (ATC)" and "balance-of-plant (BOP)" positions; Instant SROs (SRO-I) must serve in both the SRO and the ATC positions, including at least two instrument or component (l/C) malfunctions and one major transient, in the ATC position. If an Instant SRO-I additionally serves in the BOP position, one l/C malfunction can be credited toward the two l/C malfunctions required for the ATC position.
2. Reactivity manipulations may be conducted under normal or controlled abnormal conditions (refer to Section D.5.d) but must be significant per Section C.2.a of Appendix D. (*)Reactivity and normal evolutions may be replaced with additional instrument or component malfunctions on a 1-for-1 basis.
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 requirements specified for the applicant's license level in the right-hand columns.

For licensees that use the ATC operator primarily for monitoring plant parameters, the chief examiner may place SRO-I applicants in either the ATC or 4.

BOP position to best evaluate the SRO-I in manipulatinQ plant controls.

NU REG 1021 Revision 10

ES-301 Transient and Event Checklist Form ES-301-5 (Rev 022717)

Facility: Ginna Date of Exam: 3/2017 Operating Test No.: N17-1 A E Scenarios p v N17-1-5 N17-1-1 N17-1-3 N17-1-6 T M p E 0 I L N T N CREW CREW CREW CREW I T POSITION POSITION POSITION A I POSITION c L M A T u N y M(*

T p s A B s A B s A B s A B R I u E R T 0 R T 0 R T 0 R T 0 0 c p 0 c p 0 c p 0 c p 4

RX 1 1 1 0 4 1 NOR 2 1 1 1 1,3, 1,3, 2,3, 8 8 4,5, 12 4 4 2 SROl-7 1/C 7,8 5 6 6 MAJ 3 2 2 1 2,3, TS 5 3 0 2 2 2

RX 1 1 1 0 4

NOR 1 1 1 1 1,3, 2,5, 6 7 6 4 4 2 R0-1 1/C 5 6 MAJ , 2 2 2 1 TS 0 0 2 2 4

RX 1 1 1 0 2

NOR 1 1 1 1 1,4, 1,3, 6,7 8 6 4 4 2 R0-2 l/C 5 6 MAJ 2 2 2 1 TS 0 0 2 2 2

RX 1 1 1 0 4

NOR 1 1 1 1 1,3, 2,5, 6 7 6 4 4 2 R0-3 l/C 5 6 MAJ 2 2 2 1 TS 0 0 2 2 Instructions:

1. Check the applicant level and enterthe operating test number and Form ES-D-1 event numbers for each event type; TS are not applicable for RO applicants. ROs must service in both the "at-the-controls (ATC)" and "balance-of-plant (BOP)" positions; Instant SROs (SRO-I) must serve in both the SRO and the ATC positions, including at least two instrument or component (1/C) malfunctions and one major transient, in the ATC position. If an Instant SRO-I additionally serves in the BOP position, one l/C malfunction can be credited toward the two l/C malfunctions required for the ATC position.
2. Reactivity manipulations may be conducted under normal or controlled abnormal conditions (refer to Section D.5.d) but must be significant per Section C.2.a of Appendix D. (*)Reactivity and normal evolutions may be replaced with additional instrument or component malfunctions on a 1-for-1 basis.
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 requirements specified for the applicant's license level in the right-hand columns.

For licensees that use the ATC operator primarily for monitoring plant parameters, the chief examiner may place SRO-I applicants in either the ATC or 4.

BOP oosition to best evaluate the SRO-I in manioulatina olant controls.

NUREG 1021 Revision 10

ES-301 Transient and Event Checklist Form ES-301-5 (Rev 022717)

Facility: Ginna Date of Exam: 3/2017 Operating Test No.: N17-1 A E Scenarios p v N17-1-5 N17-1-1 N17-1-3 N17-1-6 T M p E 0 I L N T N CREW CREW CREW CREW I T A I POSITION POSITION POSITION POSITION c L M A T u N y Ml*

T p s A B s A B s A B s A B R I u E R T 0 R T 0 R T 0 R T 0 0 c p 0 c p 0 c p 0 c p 4

RX 1 1 1 0 2

NOR 1 1 1 1 1,4, 1,3, 6,7 6 4 4 2 R0-4 1/C 8 5 6 MAJ 2 2 2 1 TS 0 0 2 2 4

RX 1 1 1 0 2 1 NOR 2 1 1 1 1,4, 2,3, 2,5, 6,7 6,7 8 11 4 4 2 R0-5 l/C 5 5 6 MAJ 3 2 2 1 TS 0 0 2 2 4

RX 1 1 1 0 2 1 NOR 2 1 1 1 1,4, 2,3, 2,5, 6,7 6,7 11 4 4 2 R0-6 l/C 8 5 5 6 MAJ 3 2 2 1 TS 0 0 2 2 1 1 0 1 1 1 4 4 2 2 2 1 0 2 2 Instructions:

1. Check the applicant level and enter the operating test number and Form ES-D-1 event numbers for each event type; TS are not applicable for RO applicants. ROs must service in both the "at-the-controls (ATC)" and "balance-of-plant (BOP)" positions; Instant SROs (SRO-I) must serve in both the SRO and the ATC positions, including at least two instrument or component (l/C) malfunctions and one major transient, in the ATC position. If an Instant SRO-I additionally serves in the BOP position, one l/C malfunction can be credited toward the two l/C malfunctions required for the ATC position.
2. Reactivity manipulations may be conducted under normal or controlled abnormal conditions (refer to Section D.5.d) but must be significant per Section C.2.a of Appendix D. (*) Reactivity and normal evolutions may be replaced with additional instrument or component malfunctions on a 1-for-1 basis.
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 requirements specified for the applicant's license level in the right-hand columns.
4. For licensees that use the ATC operator primarily for monitoring plant parameters, the chief examiner may place SRO-I applicants in either the ATC or BOP position to best evaluate the SRO-I in manipulatino plant controls.

NUREG 1021 Revision 10

ES-301 Competencies Checklist Form ES-301-6 (Rev 022717)

Facility: Ginna Date of Examination: 3/2017 Operating Test No.: N17-1 APPLICANTS SRO (U/I) RO/ATC BOP Competencies SCENARIO SCENARIO SCENARIO 1 3 4 5 1 3 4 5 1 3 4 5 Interpret/Diagnose Events and 1-7 1-9 1-8 1-7 1-7 1-9 1-8 1-7 1-7 1-9 1-8 1-7 Conditions Comply With and Use 1-8 1-9 1-8 1-7 1-8 1-9 1-8 1-7 1-8 1-9 1-8 1-7 Procedures (1)

Operate Control 2,3, 1,3, 1,2, 1,2, 1,3, 2,4, 1,3, 1,2, Boards (2) NA NA NA NA 4,5, 4,6, 4,5, 3,5, 4,5, 5,6, 5,6, 4,5, 6,7 8 6 6 8 7 7,8 6,7 Communicate and 1-8 1-9 1-8 1-7 1-8 1-9 1-8 1-7 1-8 1-9 1-8 1-7 Interact Demonstrate Supervisory Ability 1-8 1-9 1-8 1-7 NA NA NA NA NA NA NA NA (3) '

Comply With and Use 1-3 1,3 1, 5 1,3 NA NA NA NA NA NA NA NA Tech. Specs. (3)

Notes:

(1) Includes Technical Specification compliance for RO.

(2) Optional for an SRO-U.

(3) Only applicable to SROs.

Instructions:

Check the applicants' license type and enter one or more event numbers that will allow the examiners to evaluate every applicable competency for every applicant. (This includes all rating factors for each competency.) (Competency Rating factors as described on forms ES-303-1 and ES-303-3.)

NUREG-1021, Revision 10

ES-301 Competencies Checklist Form ES-301-6 (Rev 022717)

Facility: Ginna Date of Examination: 3/2017 Operating Test No.: N17-1 APPLICANTS SRO (U/I) RO/ATC BOP Competencies SCENARIO SCENARIO SCENARIO 6 6 6 lnterpreUDiagnose Events and 1-8 1-8 1-8 Conditions Comply With and Use 1-8 1-8 1-8 Procedures (1)

Operate Control 1,3, 1,2, Boards (2) NA 4,6, 5,6, 7,8 8 Communicate and 1-8 1-8 1-8 Interact Demonstrate Supervisory Ability 1-8 NA NA (3)

Comply With and Use 2, NA NA Tech. Specs. (3) 3,5 Notes:

(1) Includes Technical Specification compliance for RO.

(2) Optional for an SRO-U.

(3) Only applicable to SROs.

Instructions:

Check the applicants' license type and enter one or more event numbers that will allow the examiners to evaluate every applicable competency for every applicant. (This includes all rating factors for each competency.) (Competency Rating factors as described on forms ES-303-1 and ES-303-3.)

NUREG-1021, Revision 10

ES-403 Written Examination Grading Form ES-403-1 Quality Checklist 3

Facility: G, 1~ tJ A Date of Exam: ~ /r1 Exam Level: RO [g] SRO ~

Item Description Initials a b c

1. Clean answer sheets copied before grading

{:1£

2. Answer key changes and question deletions justified and

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documented /)Ii-

3. Applicants' scores checked for addition errors (reviewers spot check> 25% of examinations) {Jt
4. Grading for all borderline cases (80 +/-2% overall and 70 or 80, as applicable, +/-4% on the SRO-only) reviewed in detail ~
5. All other failing examinations checked to ensure that grades are justified f)Jv
6. Performance on missed questions checked for training deficiencies and wording problems; evaluate validity of questions missed by half or more of the applicants

//lb ~

Printed Name/Signature Date

a. Grader t> A I/ I 0 eCJ.l- E.{1;\ /)at-" ->/l,,q/Zd>I 7
b. Facility Reviewer(*)
c. NRG Chief Examiner (*)
d. NRG Supervisor (*)

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

ES-403, Page 6 of 6

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