ML22143B008

2019 Duane Arnold Initial License Exam Forms ES-401-1 and 401-3

ML22143B008
Person / Time
Site:	Duane Arnold
Issue date:	12/21/2018
From:	Randy Baker NRC/RGN-III/DRS/OLB
To:
Baker R
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ML17214A864	List: ML22143B004 ML22143B006 ML22143B007 ML22143B008 ML22143B009 ML22143B010
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Download: ML22143B008 (18)

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ES-401 1 Form ES-401-1 Facility: Duane Arnold Energy Center Date of Exam: April 8 - 19, 2019 Tier Group RO K/A Category Points SRO-Only Points K1 K2 K3 K4 K5 K6 A1 A2 A3 A4 G* Total A2 G* Total

1. 1 4 3 3 3 3 4 20 3 4 7 Emergency and N/A N/A 2 1 1 1 1 2 1 7 2 1 3 Abnormal Plant Evolutions Tier Totals 5 4 4 4 5 5 27 5 5 10 1 2 2 2 3 3 3 3 2 2 2 2 26 2 3 5 2.

Plant 2 1 1 2 1 1 1 1 1 1 1 1 12 1 1 1 3 Systems Tier Totals 3 3 4 4 4 4 4 3 3 3 3 38 4 4 8

3. Generic Knowledge and Abilities 1 2 3 4 10 1 2 3 4 7 Categories 3 3 2 2 2 2 1 2 Note: 1. Ensure that at least two topics from every applicable K/A category are sampled within each tier of the RO and SRO-only outline sections (i.e., except for one category in Tier 3 of the SRO-only section, the Tier Totals in each K/A category shall not be less than two). (One Tier 3 radiation control K/A is allowed if it is replaced by a K/A from another Tier 3 category.)

2. The point total for each group and tier in the proposed outline must match that specified in the table. The final point total for each group and tier may deviate by +/-1 from that specified in the table based on NRC revisions.

The final RO exam must total 75 points, and the SRO-only exam must total 25 points.

3. Systems/evolutions within each group are identified on the outline. Systems or evolutions that do not apply at the facility should be deleted with justification. Operationally important, site-specific systems/evolutions that are not included on the outline should be added. Refer to Section D.1.b of ES-401 for guidance regarding the elimination of inappropriate K/A statements.

4. Select topics from as many systems and evolutions as possible. Sample every system or evolution in the group before selecting a second topic for any system or evolution.

5. Absent a plant-specific priority, only those K/As having an importance rating (IR) of 2.5 or higher. Use the RO and SRO ratings for the RO and SRO-only portions, respectively.

6. Select SRO topics for Tiers 1 and 2 from the shaded systems and K/A categories.

7. The generic (G) K/As in Tiers 1 and 2 shall be selected from Section 2 of the K/A catalog, but the topics must be relevant to the applicable evolution or system. Refer to Section D.1.b of ES-401 for the applicable K/As.

8. On the following pages, enter the K/A numbers, a brief description of each topic, the topics IRs for the applicable license level, and the point totals (#) for each system and category. Enter the group and tier totals for each category in the table above. If fuel-handling equipment is sampled in a category other than Category A2 or G* on the SRO-only exam, enter it on the left side of Column A2 for Tier 2, Group 2. (Note 1 does not apply.) Use duplicate pages for RO and SRO-only exams.

9. For Tier 3, select topics from Section 2 of the K/A catalog, and enter the K/A numbers, descriptions, IRs, and point totals (#) on Form ES-401-3. Limit SRO selections to K/As that are linked to 10 CFR 55.43.

G* Generic K/As

• These systems/evolutions must be included as part of the sample (as applicable to the facility) when Revision 3 of the K/A catalog is used to develop the sample plan. They are not required to be included when using earlier revisions of the K/A catalog.

ES-401 2 Form ES-401-1 ES-401 BWR Examination Outline Form ES-401-1 Emergency and Abnormal Plant EvolutionsTier 1/Group 1 (RO)

E/APE # / Name / Safety Function K1 K2 K3 A1 A2 G* K/A Topic(s) IR #

AK1.02 - Knowledge of the operational 295001 (APE 1) Partial or Complete Loss of X implications of the following concepts as 3.3 1 Forced Core Flow Circulation / 1 & 4 they apply to PARTIAL OR COMPLETE LOSS OF FORCED CORE FLOW CIRCULATION: Power/flow distribution.

(CFR: 41.8 to 41.10)

Generic K/A 2.4.3 - Ability to identify post-295003 (APE 3) Partial or Complete Loss of X accident instrumentation. 3.7 2 AC Power / 6 (CFR: 41.6 / 45.4)

AA2.03 - Ability to determine and/or 295004 (APE 4) Partial or Total Loss of DC X interpret the following as they apply to 2.8 3 Power / 6 PARTIAL OR COMPLETE LOSS OF D.C.

POWER: Battery voltage.

(CFR: 41.10 / 43.5 / 45.13)

AA1.01 - Ability to operate and/or monitor 295005 (APE 5) Main Turbine Generator Trip / X the following as they apply to MAIN 3.1 4 3 TURBINE GENERATOR TRIP:

Recirculation system: Plant-Specific.

(CFR: 41.7 / 45.6)

AK3.01 - Knowledge of the reasons for the 295006 (APE 6) Scram / 1 X following responses as they apply to 3.8 5 SCRAM: Reactor water level response.

(CFR: 41.5 / 45.6)

AK2.02 - Knowledge of the interrelations 295016 (APE 16) Control Room Abandonment X between CONTROL ROOM 4.0 6

/7 ABANDONMENT and the following: Local control stations: Plant-Specific.

(CFR: 41.7 / 45.8)

AK1.01 - Knowledge of the operational 295018 (APE 18) Partial or Complete Loss of X implications of the following concepts as 3.5 7 CCW / 8 they apply to PARTIAL OR COMPLETE LOSS OF COMPONENT COOLING WATER: Effects on component/system operations.

(CFR: 41.8 to 41.10)

Generic K/A 2.1.7 - Ability to evaluate plant 295019 (APE 19) Partial or Complete Loss of X performance and make operational 4.4 8 Instrument Air / 8 judgments based on operating characteristics, reactor behavior, and instrument interpretation.

(CFR: 41.5 / 43.5 / 45.12 / 45.13)

AA2.01 - Ability to determine and/or 295021 (APE 21) Loss of Shutdown Cooling / X interpret the following as they apply to 3.5 9 4 LOSS OF SHUTDOWN COOLING: Reactor water heatup/cooldown rate.

(CFR: 41.10 / 43.5 / 45.13)

AA1.06 - Ability to operate and/or monitor 295023 (APE 23) Refueling Accidents / 8 X the following as they apply to REFUELING 3.3 10 ACCIDENTS: Neutron monitoring.

(CFR: 41.7 / 45.6)

EK3.07 - Knowledge of the reasons for the 295024 High Drywell Pressure / 5 X following responses as they apply to HIGH 3.5 11 DRYWELL PRESSURE: Drywell venting.

(CFR: 41.5 / 45.6)

EK2.08 - Knowledge of the interrelations 295025 (EPE 2) High Reactor Pressure / 3 X between HIGH REACTOR PRESSURE and 3.7 12 the following: Reactor/turbine pressure regulating system: Plant-Specific.

(CFR: 41.7 / 45.8)

ES-401 3 Form ES-401-1 EK1.02 - Knowledge of the operational 295026 (EPE 3) Suppression Pool High Water X implications of the following concepts as 3.5 13 Temperature / 5 they apply to SUPPRESSION POOL HIGH WATER TEMPERATURE: Steam condensation.

(CFR: 41.8 to 41.10) 295027 (EPE 4) High Containment Temperature (Mark III Containment Only) / 5 Generic K/A 2.4.46 - Ability to verify that the 295028 (EPE 5) High Drywell Temperature X alarms are consistent with the plant 4.2 14 (Mark I and Mark II only) / 5 conditions.

(CFR: 41.10 / 43.5 / 45.3 / 45.12)

EA2.01 - Ability to determine and/or 295030 (EPE 7) Low Suppression Pool Water X interpret the following as they apply to LOW 4.1 15 Level / 5 SUPPRESSION POOL WATER LEVEL:

Suppression pool level.

(CFR: 41.10 / 43.5 / 45.13)

EA1.05 - Ability to operate and/or monitor 295031 (EPE 8) Reactor Low Water Level / 2 X the following as they apply to REACTOR 4.3 16 LOW WATER LEVEL: Reactor core isolation system.

(CFR: 41.7 / 45.6)

EK3.02 - Knowledge of the reasons for the 295037 (EPE 14) Scram Condition Present X following responses as they apply to 4.3 17 and Reactor Power Above APRM Downscale SCRAM CONDITION PRESENT AND or Unknown / 1 REACTOR POWER ABOVE APRM DOWNSCALE OR UNKNOWN: SBLC injection.

(CFR: 41.5 / 45.6)

EK2.07 - Knowledge of the interrelations 295038 (EPE 15) High Offsite Radioactivity X between HIGH OFF-SITE RELEASE RATE 3.5 18 Release Rate / 9 and the following: Control room ventilation.

(CFR: 41.7 / 45.8)

AK1.02 - Knowledge of the operation 600000 (APE 24) Plant Fire On Site / 8 X applications of the following concepts as 2.9 19 they apply to Plant Fire On Site: Fire Fighting.

Generic K/A 2.4.31 - Knowledge of 700000 (APE 25) Generator Voltage and X annunciator alarms, indications, or response 4.2 20 Electric Grid Disturbances / 6 procedures.

(CFR: 41.10 / 45.3)

K/A Category Totals: 4 3 3 3 3 4 Group Point Total: 20

ES-401 4 Form ES-401-1 ES-401 BWR Examination Outline Form ES-401-1 Emergency and Abnormal Plant EvolutionsTier 1/Group 2 (RO)

E/APE # / Name / Safety Function K1 K2 K3 A1 A2 G* K/A Topic(s) IR #

295002 (APE 2) Loss of Main Condenser Vacuum / 3 295007 (APE 7) High Reactor Pressure / 3 AA2.05 - Ability to determine and/or 295008 (APE 8) High Reactor Water Level / 2 X interpret the following as they apply to 2.9 21 HIGH REACTOR WATER LEVEL: Swell.

(CFR: 41.10 / 43.5 / 45.13) 295009 (APE 9) Low Reactor Water Level / 2 295010 (APE 10) High Drywell Pressure / 5 295011 (APE 11) High Containment Temperature (Mark III Containment only) / 5 AA1.01 - Ability to operate and/or monitor 295012 (APE 12) High Drywell Temperature / X the following as they apply to HIGH 3.5 22 5 DRYWELL TEMPERATURE: Drywell ventilation system.

(CFR: 41.7 / 45.6) 295013 (APE 13) High Suppression Pool Temperature. / 5 AK3.02 - Knowledge of the reasons for the 295014 (APE 14) Inadvertent Reactivity X following responses as they apply to 3.7 23 Addition / 1 INADVERTENT REACTIVITY ADDITION:

Control rod blocks.

(CFR: 41.5 / 45.6) 295015 (APE 15) Incomplete Scram / 1 295017 (APE 17) Abnormal Offsite Release Rate / 9 AK2.11 - Knowledge of the interrelations 295020 (APE 20) Inadvertent Containment X between INADVERTENT CONTAINMENT 3.2 24 Isolation / 5 & 7 ISOLATION and the following: Standby gas treatment system/FRVS: Plant-Specific.

(CFR: 41.7 / 45.8) 295022 (APE 22) Loss of Control Rod Drive Pumps / 1 EK1.01 - Knowledge of the operational 295029 (EPE 6) High Suppression Pool Water X implications of the following concepts as 3.4 25 Level / 5 they apply to HIGH SUPPRESSION POOL WATER LEVEL: Containment integrity.

(CFR: 41.8 to 41.10) 295032 (EPE 9) High Secondary Containment Area Temperature / 5 295033 (EPE 10) High Secondary Containment Area Radiation Levels / 9 Generic K/A 2.4.47 - Ability to diagnose 295034 (EPE 11) Secondary Containment X and recognize trends in an accurate and 4.2 26 Ventilation High Radiation / 9 timely manner utilizing the appropriate control room reference material.

(CFR: 41.10 / 43.5 / 45.12) 295035 (EPE 12) Secondary Containment High Differential Pressure / 5

ES-401 5 Form ES-401-1 EA2.03 - Ability to determine and/or 295036 (EPE 13) Secondary Containment X interpret the following as they apply to 3.4 27 High Sump/Area Water Level / 5 SECONDARY CONTAINMENT HIGH SUMP/AREA WATER LEVEL: Cause of the high water level (CFR: 41.10 / 43.5 / 45.13) 500000 (EPE 16) High Containment Hydrogen Concentration / 5 K/A Category Point Totals: 1 1 1 1 2 1 Group Point Total: 7

ES-401 6 Form ES-401-1 ES-401 BWR Examination Outline Form ES-401-1 Plant SystemsTier 2/Group 1 (RO)

System # / Name K1 K2 K3 K4 K5 K6 A1 A2 A3 A4 G* K/A Topic(s) IR #

203000 (SF2, SF4 RHR/LPCI) X X A1.01 - Ability to predict and/or monitor 4.2 28 RHR/LPCI: Injection Mode changes in parameters associated with operating the RHR/LPCI: INJECTION MODE (PLANT SPECIFIC) controls including: Reactor water level.

(CFR: 41.5 / 45.5)

A2.06 - Ability to (a) predict the impacts of the 3.8 29 following on the RHR/LPCI: INJECTION MODE (PLANT SPECIFIC); and (b) based on those predictions, use procedures to correct, control, or mitigate the consequences of those abnormal conditions or operations: Emergency generator failure. (CFR: 41.5 / 45.6) 205000 (SF4 SCS) Shutdown Cooling X K6.04 - Knowledge of the effect that a loss or 3.6 30 malfunction of the following will have on the SHUTDOWN COOLING SYSTEM (RHR SHUTDOWN COOLING MODE): Reactor water level.

(CFR: 41.7 / 45.7) 206000 (SF2, SF4 HPCIS) X K4.02 - Knowledge of HIGH PRESSURE 3.9 31 High-Pressure Coolant Injection COOLANT INJECTION SYSTEM (HPCIS) design feature(s) and/or interlocks which provide for the following: System Isolation:

Plant-Specific.

(CFR: 41.7) 207000 (SF4 IC) Isolation (Emergency) Condenser 209001 (SF2, SF4 LPCS) X X K5.01 - Knowledge of the operational 2.6 32 Low-Pressure Core Spray implications of the following concepts as they apply to LOW PRESSURE CORE SPRAY SYSTEM: Indications of pump cavitation.

(CFR: 41.5 / 45.3)

A1.08 - Ability to predict and/or monitor 3.3 33 changes in parameters associated with operating the LOW PRESSURE CORE SPRAY SYSTEM controls including: System lineup.

(CFR: 41.5 / 45.5) 209002 (SF2, SF4 HPCS)

High-Pressure Core Spray 211000 (SF1 SLCS) Standby Liquid X K3.01 - Knowledge of the effect that a loss or 4.3 34 Control malfunction of the STANDBY LIQUID CONTROL SYSTEM will have on following:

Ability to shut down the reactor in certain conditions.

(CFR: 41.7 / 45.4) 212000 (SF7 RPS) Reactor Protection X X K2.01 - Knowledge of electrical power supplies 3.2 35 to the following: RPS motor-generator sets.

(CFR: 41.7)

K6.01 - Knowledge of the effect that a loss or 3.6 36 malfunction of the following will have on the REACTOR PROTECTION SYSTEM: A.C.

electrical distribution.

(CFR: 41.7 / 45.7)

ES-401 7 Form ES-401-1 215003 (SF7 IRM) X K1.01 - Knowledge of the physical connections 3.9 37 Intermediate-Range Monitor and/or cause effect relationships between INTERMEDIATE RANGE MONITOR (IRM)

SYSTEM and the following: RPS.

(CFR: 41.2 to 41.9 / 45.7 to 45.8) 215004 (SF7 SRMS) Source-Range X Generic K/A 2.4.45 - Ability to prioritize and 4.1 38 Monitor interpret the significance of each annunciator or alarm.

(CFR: 41.10 / 43.5 / 45.12) 215005 (SF7 PRMS) Average Power X X K5.06 - Knowledge of the operational 2.5 39 Range Monitor/Local Power Range implications of the following concepts as they Monitor apply to AVERAGE POWER RANGE MONITOR/LOCAL POWER RANGE MONITOR SYSTEM: Assignment of LPRM's to specific APRM channels.

(CFR: 41.5 / 45.3)

A4.05 - Ability to manually operate and/or 3.4 40 monitor in the control room: Trip bypasses.

(CFR: 41.7 / 45.5 to 45.8) 217000 (SF2, SF4 RCIC) Reactor X A3.02 - Ability to monitor automatic operations 3.6 41 Core Isolation Cooling of the REACTOR CORE ISOLATION COOLING SYSTEM (RCIC) including: Turbine startup.

(CFR: 41.7 / 45.7) 218000 (SF3 ADS) Automatic X A2.02 - Ability to (a) predict the impacts of the 3.5 42 Depressurization following on the AUTOMATIC DEPRESSURIZATION SYSTEM; and (b) based on those predictions, use procedures to correct, control, or mitigate the consequences of those abnormal conditions or operations:

Large break LOCA.

(CFR: 41.5 / 45.6) 223002 (SF5 PCIS) Primary X A1.02 - Ability to predict and/or monitor 3.7 43 Containment Isolation/Nuclear Steam changes in parameters associated with Supply Shutoff operating the PRIMARY CONTAINMENT ISOLATION SYSTEM/NUCLEAR STEAM SUPPLY SHUT-OFF controls including: Valve closures.

(CFR: 41.5 / 45.5) 239002 (SF3 SRV) Safety Relief X K6.04 - Knowledge of the effect that a loss or 3.0 44 Valves malfunction of the following will have on the RELIEF/SAFETY VALVES: D.C. power: Plant-Specific.

(CFR: 41.7 / 45.7) 259002 (SF2 RWLCS) Reactor Water X K5.03 - Knowledge of the operational 3.1 45 Level Control implications of the following concepts as they apply to REACTOR WATER LEVEL CONTROL SYSTEM: Water level measurement.

(CFR: 41.5 / 45.3) 261000 (SF9 SGTS) Standby Gas X K4.05 - Knowledge of STANDBY GAS 2.6 46 Treatment TREATMENT SYSTEM design feature(s) and/or interlocks which provide for the following: Fission product gas removal.

(CFR: 41.7)

ES-401 8 Form ES-401-1 262001 (SF6 AC) AC Electrical X K3.03 - Knowledge of the effect that a loss or 2.9 47 Distribution malfunction of the A.C. ELECTRICAL DISTRIBUTION will have on following: D.C.

electrical distribution.

(CFR: 41.7 / 45.4) 262002 (SF6 UPS) Uninterruptable X K1.19 - Knowledge of the physical connections 2.9 48 Power Supply (AC/DC) and/or cause-effect relationships between UNINTERRUPTABLE POWER SUPPLY (A.C./D.C.) and the following: Power range neutron monitoring system: Plant-Specific.

(CFR: 41.2 to 41.9 / 45.7 to 45.8) 263000 (SF6 DC) DC Electrical X K2.01 - Knowledge of electrical power supplies 3.1 49 Distribution to the following: Major D.C. loads.

(CFR: 41.7) 264000 (SF6 EGE) Emergency X A4.05 - Ability to manually operate and / or 3.6 50 Generators (Diesel/Jet) EDG monitor in the control room: Transfer of emergency generator (with load) to grid.

(CFR: 41.7 / 45.5 to 45.8) 300000 (SF8 IA) Instrument Air X X K4.03 - Knowledge of (INSTRUMENT AIR 2.8 51 SYSTEM) design feature(s) and or interlocks which provide for the following: Securing of IAS upon loss of cooling water.

(CFR: 41.7)

G2.1.28 - Knowledge of the purpose and 4.1 52 function of major system components and controls.

(CFR: 41.7) 400000 (SF8 CCS) Component X A3.01 - Ability to monitor automatic operations 3.0 53 Cooling Water of the CCWS including: Setpoints on instrument signal levels for normal operations, warnings, and trips that are applicable to the CCWS (CFR: 41.7 / 45.7) 510000 (SF4 SWS*) Service Water (Normal and Emergency)

K/A Category Point Totals: 2 2 2 3 3 3 3 2 2 2 2 Group Point Total: 26

ES-401 9 Form ES-401-1 ES-401 BWR Examination Outline Form ES-401-1 Plant SystemsTier 2/Group 2 (RO)

System # / Name K1 K2 K3 K4 K5 K6 A1 A2 A3 A4 G* K/A Topic(s) IR #

201001 (SF1 CRDH) CRD Hydraulic K3.03 - Knowledge of the effect that a X loss or malfunction of the CONTROL 3.1 54 ROD DRIVE HYDRAULIC SYSTEM will have on following: Control rod drive mechanisms.

(CFR: 41.7 / 45.4) 201002 (SF1 RMCS) Reactor Manual Control 201003 (SF1 CRDM) Control Rod and Drive Mechanism 201004 (SF7 RSCS) Rod Sequence Control 201005 (SF1, SF7 RCIS) Rod Control and Information 201006 (SF7 RWMS) Rod Worth Minimizer 202001 (SF1, SF4 RS) Recirculation 202002 (SF1 RSCTL) Recirculation Flow Control 204000 (SF2 RWCU) Reactor Water Cleanup K1.11 - Knowledge of the physical X connections and/or cause-effect 3.5 55 relationships between REACTOR WATER CLEANUP SYSTEM and the following: PCIS/NSSSS.

(CFR: 41.2 to 41.9 / 45.7 to 45.8) 214000 (SF7 RPIS) Rod Position Information 215001 (SF7 TIP) Traversing In-Core Probe 215002 (SF7 RBMS) Rod Block Monitor 216000 (SF7 NBI) Nuclear Boiler Instrumentation 219000 (SF5 RHR SPC) RHR/LPCI: K2.02 - Knowledge of electrical power X supplies to the following: Pumps. 3.1* 56 Torus/Suppression Pool Cooling Mode (CFR: 41.7) 223001 (SF5 PCS) Primary Containment and Auxiliaries 226001 (SF5 RHR CSS) RHR/LPCI:

Containment Spray Mode 230000 (SF5 RHR SPS) RHR/LPCI:

Torus/Suppression Pool Spray Mode 233000 (SF9 FPCCU) Fuel Pool Generic K/A 2.4.18 - Knowledge of X the specific bases for EOPs. 3.3 57 Cooling/Cleanup (CFR: 41.10 / 43.1 / 45.13) 234000 (SF8 FH) Fuel-Handling Equipment 239001 (SF3, SF4 MRSS) Main and Reheat A4.11 - Ability to manually operate X and/or monitor in the control room: 3.1 58 Steam Alternate methods of verifying valve positions.

(CFR: 41.7 / 45.5 to 45.8) 239003 (SF9 MSVLCS) Main Steam Isolation Valve Leakage Control 241000 (SF3 RTPRS) Reactor/Turbine K5.04 - Knowledge of the operational Pressure Regulating X implications of the following concepts 3.3 59 as they apply to REACTOR/TURBINE PRESSURE REGULATING SYSTEM:

Turbine inlet pressure vs. reactor pressure.

(CFR: 41.5 / 45.3)

ES-401 10 Form ES-401-1 245000 (SF4 MTGEN) Main Turbine A3.05 - Ability to monitor automatic X operations of the MAIN TURBINE 3.0 60 Generator/Auxiliary GENERATOR AND AUXILIARY SYSTEMS including: Control valve operation.

(CFR: 41.7 / 45.7) 256000 (SF2 CDS) Condensate A2.06 - Ability to (a) predict the X impacts of the following on the 3.2 61 REACTOR CONDENSATE SYSTEM; and (b) based on those predictions, use procedures to correct, control, or mitigate the consequences of those abnormal conditions or operations:

Low hotwell level (CFR: 41.5 / 45.6) 259001 (SF2 FWS) Feedwater A1.06 - Ability to predict and/or X monitor changes in parameters 2.7 62 associated with operating the REACTOR FEEDWATER SYSTEM controls including: Feedwater heater level.

(CFR: 41.5 / 45.5) 268000 (SF9 RW) Radwaste 271000 (SF9 OG) Offgas K6.11 - Knowledge of the effect that a X loss or malfunction of the following will 3.2 63 have on the OFFGAS SYSTEM:

Condenser vacuum.

(CFR: 41.7 / 45.7) 272000 (SF7, SF9 RMS) Radiation Monitoring 286000 (SF8 FPS) Fire Protection K4.06 - Knowledge of FIRE X PROTECTION SYSTEM design 3.4 64 feature(s) and/or interlocks which provide for the following: Fire suppression capability that does not rely on the displacement of oxygen (Halon): Plant-Specific.

(CFR: 41.7 / 45.7) 288000 (SF9 PVS) Plant Ventilation K3.04 - Knowledge of the effect that a X loss or malfunction of the PLANT 3.2 65 VENTILATION SYSTEMS will have on following: Secondary containment pressure: Plant-Specific.

(CFR: 41.5 / 45.3) 290001 (SF5 SC) Secondary Containment 290003 (SF9 CRV) Control Room Ventilation 290002 (SF4 RVI) Reactor Vessel Internals 51001 (SF8 CWS*) Circulating Water K/A Category Point Totals: 1 1 2 1 1 1 1 1 1 1 1 Group Point Total: 12

ES-401 11 Form ES-401-1 ES-401 BWR Examination Outline Form ES-401-1 Emergency and Abnormal Plant EvolutionsTier 1/Group 1 (SRO)

E/APE # / Name / Safety Function K1 K2 K3 A1 A2 G* K/A Topic(s) IR #

295001 (APE 1) Partial or Complete Loss of Forced Core Flow Circulation / 1 & 4 295003 (APE 3) Partial or Complete Loss of AC Power / 6 Generic K/A 2.4.41 - Knowledge of the 295004 (APE 4) Partial or Total Loss of DC X emergency action level thresholds and 4.6 76 Power / 6 classifications.

(CFR: 41.10 / 43.5 / 45.11)

AA2.03 - Ability to determine and/or 295005 (APE 5) Main Turbine Generator Trip / X interpret the following as they apply to MAIN 3.1 77 3 TURBINE GENERATOR TRIP: Turbine valve position.

(CFR: 41.10 / 43.5 / 45.13) 295006 (APE 6) Scram / 1 295016 (APE 16) Control Room Abandonment

/7 Generic K/A 2.2.44 - Ability to interpret 295018 (APE 18) Partial or Complete Loss of X control room indications to verify the status 4.4 78 CCW / 8 and operation of a system, and understand how operator actions and directives affect plant and system conditions.

(CFR: 41.5 / 43.5 / 45.12) 295019 (APE 19) Partial or Complete Loss of Instrument Air / 8 295021 (APE 21) Loss of Shutdown Cooling /

4 295023 (APE 23) Refueling Accidents / 8 EA2.02 - Ability to determine and/or 295024 High Drywell Pressure / 5 X interpret the following as they apply to HIGH 4.0 79 DRYWELL PRESSURE: Drywell temperature.

(CFR: 41.10 / 43.5 / 45.13)

Generic K/A 2.2.40 - Ability to apply 295025 (EPE 2) High Reactor Pressure / 3 X Technical Specifications for a system. 4.7 80 (CFR: 41.10 / 43.2 / 43.5 / 45.3)

EA2.01 - Ability to determine and/or 295026 (EPE 3) Suppression Pool High Water X interpret the following as they apply to 4.2 81 Temperature / 5 SUPPRESSION POOL HIGH WATER TEMPERATURE: Suppression pool water temperature.

(CFR: 41.10 / 43.5 / 45.13) 295027 (EPE 4) High Containment Temperature (Mark III Containment Only) / 5 295028 (EPE 5) High Drywell Temperature (Mark I and Mark II only) / 5 295030 (EPE 7) Low Suppression Pool Water Level / 5 295031 (EPE 8) Reactor Low Water Level / 2 295037 (EPE 14) Scram Condition Present and Reactor Power Above APRM Downscale or Unknown / 1 295038 (EPE 15) High Offsite Radioactivity Release Rate / 9

ES-401 12 Form ES-401-1 600000 (APE 24) Plant Fire On Site / 8 Generic K/A 2.1.20 - Ability to interpret and 700000 (APE 25) Generator Voltage and X execute procedure steps. 4.6 82 Electric Grid Disturbances / 6 (CFR: 41.10 / 43.5 / 45.12)

K/A Category Totals: 0 0 0 0 3 4 Group Point Total: 7

ES-401 13 Form ES-401-1 ES-401 BWR Examination Outline Form ES-401-1 Emergency and Abnormal Plant EvolutionsTier 1/Group 2 (SRO)

E/APE # / Name / Safety Function K1 K2 K3 A1 A2 G* K/A Topic(s) IR #

AA2.02 - Ability to determine and/or 295002 (APE 2) Loss of Main Condenser X interpret the following as they apply to 3.3 83 Vacuum / 3 LOSS OF MAIN CONDENSER VACUUM:

Reactor power: Plant-Specific.

(CFR: 41.10 / 43.5 / 45.13) 295007 (APE 7) High Reactor Pressure / 3 295008 (APE 8) High Reactor Water Level / 2 295009 (APE 9) Low Reactor Water Level / 2 295010 (APE 10) High Drywell Pressure / 5 295011 (APE 11) High Containment Temperature (Mark III Containment only) / 5 295012 (APE 12) High Drywell Temperature / 5 295013 (APE 13) High Suppression Pool Temperature. / 5 295014 (APE 14) Inadvertent Reactivity Addition / 1 295015 (APE 15) Incomplete Scram / 1 295017 (APE 17) Abnormal Offsite Release Rate / 9 295020 (APE 20) Inadvertent Containment Isolation / 5 & 7 Generic K/A 2.1.27 - Knowledge of system 295022 (APE 22) Loss of Control Rod Drive X purpose and/or function. 4.0 84 Pumps / 1 (CFR: 41.7) 295029 (EPE 6) High Suppression Pool Water Level / 5 EA2.02 - Ability to determine and/or 295032 (EPE 9) High Secondary Containment X interpret the following as they apply to 3.5 85 Area Temperature / 5 HIGH SECONDARY CONTAINMENT AREA TEMPERATURE: Equipment operability.

(CFR: 41.10 / 43.5 / 45.13) 295033 (EPE 10) High Secondary Containment Area Radiation Levels / 9 295034 (EPE 11) Secondary Containment Ventilation High Radiation / 9 295035 (EPE 12) Secondary Containment High Differential Pressure / 5 295036 (EPE 13) Secondary Containment High Sump/Area Water Level / 5 500000 (EPE 16) High Containment Hydrogen Concentration / 5 K/A Category Point Totals: 0 0 0 0 2 1 Group Point Total: 3

ES-401 14 Form ES-401-1 ES-401 BWR Examination Outline Form ES-401-1 Plant SystemsTier 2/Group 1 (SRO)

System # / Name K1 K2 K3 K4 K5 K6 A1 A2 A3 A4 G* K/A Topic(s) IR #

203000 (SF2, SF4 RHR/LPCI) X Generic K/A 2.4.20 - Knowledge of the 4.3 86 RHR/LPCI: Injection Mode operational implications of EOP warnings, cautions, and notes.

(CFR: 41.10 / 43.5 / 45.13) 205000 (SF4 SCS) Shutdown Cooling 206000 (SF2, SF4 HPCIS) X A2.05 - Ability to (a) predict the impacts of the 3.8* 87 High-Pressure Coolant Injection following on the HIGH PRESSURE COOLANT INJECTION SYSTEM (HPCIS); and (b) based on those predictions, use procedures to correct, control, or mitigate the consequences of those abnormal conditions or operations:

D.C. electrical failure (CFR: 41.5 / 45.6) 207000 (SF4 IC) Isolation (Emergency) Condenser 209001 (SF2, SF4 LPCS)

Low-Pressure Core Spray 209002 (SF2, SF4 HPCS)

High-Pressure Core Spray 211000 (SF1 SLCS) Standby Liquid X Generic K/A 2.4.6 - Knowledge of EOP 4.7 88 Control mitigation strategies.

(CFR: 41.10 / 43.5 / 45.13) 212000 (SF7 RPS) Reactor Protection 215003 (SF7 IRM)

Intermediate-Range Monitor 215004 (SF7 SRMS) Source-Range Monitor 215005 (SF7 PRMS) Average Power Range Monitor/Local Power Range Monitor 217000 (SF2, SF4 RCIC) Reactor X A2.12 - Ability to (a) predict the impacts of the 3.0 89 Core Isolation Cooling following on the REACTOR CORE ISOLATION COOLING SYSTEM (RCIC); and (b) based on those predictions, use procedures to correct, control, or mitigate the consequences of those abnormal conditions or operations: Valve openings.

(CFR: 41.5 / 45.6) 218000 (SF3 ADS) Automatic Depressurization 223002 (SF5 PCIS) Primary Containment Isolation/Nuclear Steam Supply Shutoff 239002 (SF3 SRV) Safety Relief Valves 259002 (SF2 RWLCS) Reactor Water Level Control 261000 (SF9 SGTS) Standby Gas Treatment 262001 (SF6 AC) AC Electrical X Generic K/A 2.2.42 - Ability to recognize 4.6 90 Distribution system parameters that are entry-level conditions for Technical Specifications.

(CFR: 41.7 / 41.10 / 43.2 / 43.3 / 45.3)

ES-401 15 Form ES-401-1 262002 (SF6 UPS) Uninterruptable Power Supply (AC/DC) 263000 (SF6 DC) DC Electrical Distribution 264000 (SF6 EGE) Emergency Generators (Diesel/Jet) EDG 300000 (SF8 IA) Instrument Air 400000 (SF8 CCS) Component Cooling Water 510000 (SF4 SWS*) Service Water (Normal and Emergency)

K/A Category Point Totals: 0 0 0 0 0 0 0 2 0 0 3 Group Point Total: 5

ES-401 16 Form ES-401-1 ES-401 BWR Examination Outline Form ES-401-1 Plant SystemsTier 2/Group 2 (SRO)

System # / Name K1 K2 K3 K4 K5 K6 A1 A2 A3 A4 G* K/A Topic(s) IR #

201001 (SF1 CRDH) CRD Hydraulic 201002 (SF1 RMCS) Reactor Manual Control 201003 (SF1 CRDM) Control Rod and Drive A2.06 - Ability to (a) predict the X impacts of the following on the 3.1 91 Mechanism CONTROL ROD AND DRIVE MECHANISM; and (b) based on those predictions, use procedures to correct, control, or mitigate the consequences of those abnormal conditions or operations: Loss of CRD cooling water flow.

(CFR: 41.5 / 45.6) 201004 (SF7 RSCS) Rod Sequence Control 201005 (SF1, SF7 RCIS) Rod Control and Information 201006 (SF7 RWMS) Rod Worth Minimizer 202001 (SF1, SF4 RS) Recirculation X Generic K/A 2.4.30 - Knowledge of events related to system 4.1 92 operation/status that must be reported to internal organizations or external agencies, such as the State, the NRC, or the transmission system operator.

(CFR: 41.10 / 43.5 / 45.11) 202002 (SF1 RSCTL) Recirculation Flow Control 204000 (SF2 RWCU) Reactor Water Cleanup 214000 (SF7 RPIS) Rod Position Information 215001 (SF7 TIP) Traversing In-Core Probe 215002 (SF7 RBMS) Rod Block Monitor 216000 (SF7 NBI) Nuclear Boiler Instrumentation 219000 (SF5 RHR SPC) RHR/LPCI:

Torus/Suppression Pool Cooling Mode 223001 (SF5 PCS) Primary Containment and Auxiliaries 226001 (SF5 RHR CSS) RHR/LPCI:

Containment Spray Mode 230000 (SF5 RHR SPS) RHR/LPCI:

Torus/Suppression Pool Spray Mode 233000 (SF9 FPCCU) Fuel Pool Cooling/Cleanup 234000 (SF8 FH) Fuel-Handling Equipment K1.04 - Knowledge of the physical X connections and/or cause-effect 3.6 93 relationships between FUEL HANDLING EQUIPMENT and the following: Reactor manual control system.

(CFR: 41.2 to 41.9 / 45.7 to 45.8) 239001 (SF3, SF4 MRSS) Main and Reheat Steam 239003 (SF9 MSVLCS) Main Steam Isolation Valve Leakage Control

ES-401 17 Form ES-401-1 241000 (SF3 RTPRS) Reactor/Turbine Pressure Regulating 245000 (SF4 MTGEN) Main Turbine Generator/Auxiliary 256000 (SF2 CDS) Condensate 259001 (SF2 FWS) Feedwater 268000 (SF9 RW) Radwaste 271000 (SF9 OG) Offgas 272000 (SF7, SF9 RMS) Radiation Monitoring 286000 (SF8 FPS) Fire Protection 288000 (SF9 PVS) Plant Ventilation 290001 (SF5 SC) Secondary Containment 290003 (SF9 CRV) Control Room Ventilation 290002 (SF4 RVI) Reactor Vessel Internals 51001 (SF8 CWS*) Circulating Water K/A Category Point Totals: 1 0 0 0 0 0 1 0 0 0 1 Group Point Total: 3

ES-401 18 Form ES-401-3 Facility: Duane Arnold Energy Center Date of Exam: April 8 - 19, 2019 Category K/A # Topic RO SRO-only IR # IR #

Knowledge of primary and secondary plant chemistry limits. 2.7 66 2.1.34 (CFR: 41.10 / 43.5 / 45.12)

Knowledge of shift or short-term relief turnover practices. 3.7 67 2.1.3 (CFR: 41.10 / 45.13)

Knowledge of conservative decision making practices. 3.6 68 2.1.39 (CFR: 41.10 / 43.5 / 45.12)

Ability to perform specific system and integrated plant 4.4 94

1. Conduct of 2.1.23 procedures during all modes of plant operation.

Operations (CFR: 41.10 / 43.5 / 45.2 / 45.6)

Ability to use procedures to determine the effects on 4.3 95 2.1.43 reactivity of plant changes, such as reactor coolant system temperature, secondary plant, fuel depletion, etc.

(CFR: 41.10 / 43.6 / 45.6)

Subtotal 3 2 Knowledge of the process for controlling equipment 3.9 69 2.2.14 configuration or status. (CFR: 41.10 / 43.3 / 45.13)

Ability to analyze the effect of maintenance activities, such as 3.1 70 2.2.36 degraded power sources, on the status of limiting conditions for operations. (CFR: 41.10 / 43.2 / 45.13)

Knowledge of conditions and limitations in the facility license. 3.6 71 2.2.38

2. Equipment (CFR: 41.7 / 41.10 / 43.1 / 45.13)

Control Knowledge of the bases in Technical Specifications for 4.2 96 2.2.25 limiting conditions for operations and safety limits.

(CFR: 41.5 / 41.7 / 43.2)

Knowledge of the process used to track inoperable alarms. 3.3 97 2.2.43 (CFR: 41.10 / 43.5 / 45.13)

Subtotal 3 2 Ability to comply with radiation work permit requirements 3.5 72 2.3.7 during normal or abnormal conditions. (CFR: 41.12 / 45.10)

Knowledge of radiation monitoring systems, such as fixed 2.9 73 2.3.15 radiation monitors and alarms, portable survey instruments,

3. Radiation personnel monitoring equipment, etc.

Control (CFR: 41.12 / 43.4 / 45.9)

Ability to control radiation releases. 4.3 98 2.3.11 (CFR: 41.11 / 43.4 / 45.10)

Subtotal 2 1 Knowledge of general operating crew responsibilities during 4.0 74 2.4.12 emergency operations. (CFR: 41.10 / 45.12)

Knowledge of facility protection requirements, including fire 3.1 75 2.4.26 brigade and portable fire fighting equipment usage.

(CFR: 41.10 / 43.5 / 45.12)

4. Emergency Knowledge of operator response to loss of all annunciators. 4.0 99 2.4.32 Procedures/Plan (CFR: 41.10 / 43.5 / 45.13)

Ability to verify system alarm setpoints and operate controls 4.0 100 2.4.50 identified in the alarm response manual.

(CFR: 41.10 / 43.5 / 45.3)

Subtotal 2 2 Tier 3 Point Total 10 7