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Information Request to Support Upcoming Problem Identification and Resolution Inspection at the Duane Arnold Energy Center
	ML15057A347
Person / Time
Site:	Duane Arnold
Issue date:	02/26/2015
From:	Roach G M; NRC/RGN-III/DRP/B1
To:	Vehec T; NextEra Energy Duane Arnold
References
	Download: ML15057A347 (8)
	v • d • e

UNITED STATES NUCLEAR REGULATORY COMMISSION REGION III 2443 WARRENVILLE RD. SUITE 210 LISLE, IL 60532-4352 February 26, 2015

Mr. Thomas Vehec Site Vice President NextEra Energy Duane Arnold, LLC 3277 DAEC Road Palo, IA 52324-9785

SUBJECT:

INFORMATION REQUEST TO SUPPORT UPCOMING PROBLEM IDENTIFICATION AND RESOLUTION INSPECTION AT THE DUANE ARNOLD ENERGY CENTER

Dear Mr. Vehec:

This letter is to request information to support our scheduled Problem Identification and Resolution (PI&R) inspection beginning April 13, 2015, at your Duane Arnold Energy Center. This inspection will be performed in accordance with the NRC baseline Inspection Procedure

71152.

Experience has shown that these inspections are extremely resource intensive both for the NRC inspectors and the utility staff. In order to minimize the impact that the inspection has on the site and to ensure a productive inspection, we have enclosed a list of documents required for the inspection.

The documents requested are copies of condition reports and lists of information necessary to ensure the inspection team is adequately prepared for the inspection. The information requested prior to the inspection may be provided in either CD-ROM/DVD/Thumb Drive (preferred) or hard copy format and should be ready for NRC review by April 1, 2015.

Mr. Raymond Ng, the Lead Inspector, will contact your staff to determine the best method of providing the requested information.

If there are any questions about the material requested, or the inspection in general, please contact Mr. Ng at 630-829-9574 or Raymond.Ng@nrc.gov.

This letter does not contain new or amended information collection requirements subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.). Existing information collection requirements were approved by the Office of Management and Budget, Control Number 3150-0011.

The NRC may not conduct or sponsor, and a person is not required to respond to, a request for information or an information collection requirement unless the requesting document displays a currently valid Office of Management and Budget control number. In accordance with Title 10 of the Code of Federal Regulations (10 CFR) 2.390, "Public Inspections, Exemptions, Requests for Withholding," of the NRC's "Rules of Practice," a copy of this letter, its enclosure, and your response (if any) will be available electronically for public inspection in the NRC's Public Document Room or from the Publicly Available Records (PARS) component of the NRC's Agencywide Documents Access and Management System (ADAMS). ADAMS is accessible from the NRC Web site at http://www.nrc.gov/reading-rm/adams.html (the Public Electronic Reading Room).

Sincerely, /RA/

Gregory Roach, Acting Chief

Branch 1 Division of Reactor Projects

Docket No. 50-331 License No. DPR-49

Enclosure:

Requested Info. to Support PI&R Inspection

cc w/encl: Distribution via LISTSERV

1 Enclosure Requested Information to Support Problem Identification a nd Resolution Inspection Please provide the information on a compact disc or thumb drive (one for each of four team members), if possible. Unless otherwise specified, the time frame for requested information is for the period of January 1, 2013, through the time the data request is answered. Please label any electronic files with file content information. In the case of list of condition reports requested, the list should be sortable electronically.

In addition, inspectors will require computer access to the corrective action program (CAP) database while on site.

PROGRAM DOCUMENTS

1. Copies of current administrative procedures associated with the corrective action program. This should include procedures related to: (1) corrective action process; (2) operating experience program; (3) self-assessment program; (4) maintenance rule program; (5) operability determination process; (6) degraded/non-conforming condition process (e.g., RIS 2005-20); (7) system health process or equivalent equipment reliability improvement programs; and (8) operational decision making (ODMI) process.

2. A current copy of the Employee Concerns Program/Ombudsman administrative procedure.

3. Description of any substantive changes made to the CAP since the last Problem Identification and Resolution (PI&R) Inspection (April 2013). Please include the effective date with each listed change.

ASSESSMENTS

4. A copy of Quality Assurance (QA) audits of the corrective action program.

5. A copy of self-assessments and associated condition reports generated in preparation for this PI&R inspection.

6. A list of all other QA audits completed with a brief description of areas where findings were identified.

7. The schedule of future QA audits.

8. A copy of completed CAP self-assessments and the plan/schedule for future CAP self-assessments.

9. A chronological list of department and site self-assessments completed (include date completed).

10. A list of condition reports (CRs) written for findings or concerns identified in self-assessments and audits. Include a short description/title of the finding, its status, and include a cross-reference to the audit or self-assessment number.

2 CORRECTIVE ACTION DOCUMENTS

11. A list of completed root cause evaluations with a brief description of the issue. Provide status of any actions developed as part of the evaluations. Include a reference, if not part of the root cause package, to the documents and/or CRs directing and tracking the actions.

12. A list of completed apparent cause evaluations with a brief description of the issue. Provide status of any actions developed as part of the evaluations. Include a reference, if not part of the apparent cause package, to the documents and/or CRs directing and tracking the actions.

13. A list of all open condition reports sorted by significance level. Include CR number, the date initiated, a brief description/title, system affected if any, significance level, and anticipated completion date, if available. This list should be grouped by responsible department and listed in order of initiation date (oldest listed first).

14. A list of closed CRs sorted by significance level and then initiation date. Include CR number, a brief description/title, the significance level, the date initiated and closed, assigned organization, system affected and whether there was an associated operability

evaluation.

15. A list of open corrective actions, sorted by significance/priority level, with a brief description/title, initiating date and due date. The list should include the number of due date extension and be grouped by the responsible department.

16. A list of CRs generated by the corporate office that involve or affect plant operation, sorted by significance level. Include the date initiated, a brief description/title, site(s) affected, system affected, significance/priority level, assigned organization, and status (if closed include date closed; if open, include scheduled date to be closed).

17. A list of completed effectiveness reviews with a brief description of the results. Include a cross-reference to the CRs for which the effectiveness review was conducted and, if applicable, CR numbers documenting any additional follow-up actions.

18. A list of CRs initiated for inadequate or ineffective corrective actions. Include the date initiated, a brief description/title, significance/priority level, system affected, assigned organization, and status (if closed include date closed; if open, include scheduled date to be closed). Include a cross-reference to the CR or evaluation that generated the original corrective action.

19. A copy of any performance reports or indicators used to track CAP effectiveness for the past 24 months. The most recent data and end-of-quarter data will suffice; monthly reports are not required.

20. A data table (or similar format) showing the total number of CRs generated per year since 2010 sorted by department (i.e. operations, engineering, security etc.).

21. A data table showing the number of issues identified externally (NRC, INPO, other etc.) per year as compared to internally since 2010.

3 TRENDS 22. A list of CRs initiated for trends of conditions adverse to quality. Include the date initiated, a brief description/title, significance/priority level, and status (if closed include date closed; if open, include scheduled date to be closed).

23. Copies of any completed trend reports for CRs. Quarterly trend reports are acceptable; copies of all monthly reports are not required.

24. Copies of all apparent, common and/or root cause evaluations regarding adverse human performance trends.

OPERATING EXPERIENCE

25. A copy of the most recent operating experience program effectiveness review.

26. A list of CRs initiated to evaluate industry and NRC operating experience, and NRC generic communications (e.g. bulletins, information notices, generic letters, etc.). Include date the CR was initiated, a brief description/title, and the status (if closed include date closed; if open, include scheduled date to be closed).

SYSTEMS AND COMPONENTS

27. A list of the top ten risk significant systems and top ten risk significant components.

28. A list of operability determinations/evaluations. Include a brief description/title, date initiated, date closed or date scheduled to be closed. Also include any open operability evaluations that were initiated prior to January 1, 2013.

29. Cause analysis, corrective actions documents, health reports, and trend analysis for systems and components considered Maintenance Rule (a)(1). Provide this information starting one year earlier from when the syst em or component entered (a)(1) status. Include dates when system/components entered (a)(1) status and, if applicable, returned to (a)(2) status. For recurring reports, quarterly reports are sufficient; monthly reports

are not required.

30. A list of temporary modifications that were installed since January 1, 2013, with a brief description/title, installation date, and current status. Include any in-place temporary modifications that were installed prior to January 1, 2013.

SCWE

31. Results of completed safety culture/safety conscious work environment surveys or self-assessments. Include reference to associated CRs and status of the CRs actions.

Also include schedule/plans for future surveys.

4 REGULATORY ISSUES

32. A list of CRs for issues (findings, violations, etc.) documented in NRC inspection reports. Include the CR number, brief description/title, date initiated and the status (if closed include date closed; if open, include scheduled date to be closed).

33. A list of CRs for licensee identified violations that have been documented in NRC inspection reports. Include the CR number, brief description/title, date initiated and the status (if closed include date closed; if open, include scheduled date to be closed).

34. A list of CRs associated with NRC identified issues. Include the CR number, brief description/title, date initiated and the status (if closed include date closed; if open, include scheduled date to be closed).

35. A list of degraded/non-conforming conditions. Include the CR number, brief description/title, date initiated and date closed or projected closeout date. Include open issues that were identified prior to January 1, 2012.

36. A list of current control room deficiencies and operator work-arounds, sorted by priority, with a brief description/title and corresponding CR and/or work order number.

5-YEAR REVIEW

37. A list of CRs regarding Secondary Containment/Standby Gas Treatment System that have been generated since January 1, 2010. Include the CR number, brief description/title, level of evaluation (i.e. root cause, apparent cause, common cause etc.), date initiated, and the status (if closed include date closed; if open, include scheduled date to be closed).

38. A list of CRs regarding Reactor Protection System that have been generated since January 1, 2010. Include the CR number, brief description/title, level of evaluation (i.e. root cause, apparent cause, common cause, etc.), date initiated, and the status (if closed include date closed; if open, include scheduled date to be closed).

ADMIN 39. A copy of the latest plant organizational chart and phone listing

40. Scheduled dates, times, and location for all meetings associated with implementing the CAP (e.g. CR screening meetings, corrective action review board meetings). Include work order screening/assessment meetings.

Documents requested to be available on-site during the inspection

a. Updated Final Safety Analysis Report.

b. Technical Specifications.

c. Procedures and procedure index.

d. A copy of the QA manual.

5 e. A list of issues brought to the ECP/ombudsman and the actions taken for resolution.

f. A list of the codes used in the CAP.

g. A copy of the latest independent/offsite organization review of safety culture/safety conscious work environment and internal equivalent assessments if not provided as part of the requested data package.

Other:

On the first day of the inspection, or early on the second day, please provide the inspection team a briefing of your corrective action program. Include your expectations for personnel using the program and how the work order system fits into the overall scheme for addressing identified issues. Also please demonstrate how to use a computer to access CAP data.

The NRC may not conduct or sponsor, and a person is not required to respond to, a request for information or an information collection requirement unless the requesting document displays a currently valid Office of Management and Budget control number. In accordance with Title 10 of the Code of Federal Regulations (10 CFR) 2.390, "Public Inspections, Exemptions, Requests for Withholding," of the NRC's "Rules of Practice," a copy of this letter, its enclosure, and your response (if any) will be available electronically for public inspection in the NRC's Public Document Room or from the Publicly Available Records (PARS) component of the NRC's Agencywide Documents Access and Management System (ADAMS). ADAMS is accessible from the NRC Web site at http://www.nrc.gov/reading-rm/adams.html (the Public Electronic Reading Room).

Sincerely, /RA/

Gregory Roach, Acting Chief

Branch 1 Division of Reactor Projects

Docket No. 50-331 License No. DPR-49

Enclosure:

Requested Info. to Support PI&R Inspection

cc w/encl: Distribution via LISTSERV DISTRIBUTION w/encl

Kimyata MorganButler

RidsNrrDorlLpl3-1 Resource RidsNrrPMDuaneArnold Resource RidsNrrDirsIrib Resource Cynthia Pederson

Darrell Roberts

Richard Skokowski

Allan Barker Carole Ariano Linda Linn DRPIII DRSIII Jim Clay Carmen Olteanu ROPassessment.Resource@nrc.gov

ADAMS Accession Number: ML15057A347 Publicly Available Non-Publicly Available Sensitive Non-Sensitive To receive a copy of this document, indicate in the concurrence box "C" = Copy without attach/encl "E" = Copy with attach/encl "N" = No copy OFFICE RIII RIII RIII RIII NAME RNg:rj GRoach DATE 02/26/15 02/26/15 OFFICIAL RECORD COPY

@@ Line 55: / Line 55: @@
 In addition, inspectors will require computer access to the corrective action program (CAP) database while on site.
 PROGRAM DOCUMENTS
 : 1. Copies of current administrative procedures associated with the corrective action program. This should include procedures related to:  (1) corrective action process;  (2) operating experience program; (3) self-assessment program; (4) maintenance rule program; (5) operability determination process; (6) degraded/non-conforming condition process (e.g., RIS 2005-20); (7) system health process or equivalent equipment reliability improvement programs; and (8) operational decision making (ODMI) process.
 : 2. A current copy of the Employee Concerns Program/Ombudsman administrative procedure.
 : 3. Description of any substantive changes made to the CAP since the last Problem Identification and Resolution (PI&R) Inspection (April 2013). Please include the effective date with each listed change.
 ASSESSMENTS
 : 4. A copy of Quality Assurance (QA) audits of the corrective action program.
 : 5. A copy of self-assessments and associated condition reports generated in preparation for this PI&R inspection.
 : 6. A list of all other QA audits completed with a brief description of areas where findings were identified.
 : 7. The schedule of future QA audits.
 : 8. A copy of completed CAP self-assessments and the plan/schedule for future CAP  self-assessments.
 : 9. A chronological list of department and site self-assessments completed (include date completed).
 : 10. A list of condition reports (CRs) written for findings or concerns identified in self-assessments and audits. Include a short description/title of the finding, its status, and include a cross-reference to the audit or self-assessment number.
    CORRECTIVE ACTION DOCUMENTS
 : 11. A list of completed root cause evaluations with a brief description of the issue. Provide status of any actions developed as part of the evaluations. Include a reference, if not part of the root cause package, to the documents and/or CRs directing and tracking the actions.
 : 12. A list of completed apparent cause evaluations with a brief description of the issue. Provide status of any actions developed as part of the evaluations. Include a reference, if not part of the apparent cause package, to the documents and/or CRs directing and tracking the actions.
 : 13. A list of all open condition reports sorted by significance level. Include CR number, the date initiated, a brief description/title, system affected if any, significance level, and anticipated completion date, if available. This list should be grouped by responsible department and listed in order of initiation date (oldest listed first).
 : 14. A list of closed CRs sorted by significance level and then initiation date. Include CR number, a brief description/title, the significance level, the date initiated and closed, assigned organization, system affected and whether there was an associated operability
 evaluation.
 : 15. A list of open corrective actions, sorted by significance/priority level, with a brief description/title, initiating date and due date. The list should include the number of due date extension and be grouped by the responsible department.
 : 16. A list of CRs generated by the corporate office that involve or affect plant operation, sorted by significance level. Include the date initiated, a brief description/title, site(s) affected, system affected, significance/priority level, assigned organization, and status (if closed include date closed; if open, include scheduled date to be closed).
 : 17. A list of completed effectiveness reviews with a brief description of the results. Include a cross-reference to the CRs for which the effectiveness review was conducted and, if applicable, CR numbers documenting any additional follow-up actions.
 : 18. A list of CRs initiated for inadequate or ineffective corrective actions. Include the date initiated, a brief description/title, significance/priority level, system affected, assigned organization, and status (if closed include date closed; if open, include scheduled date to be closed). Include a cross-reference to the CR or evaluation that generated the original corrective action.
 : 19. A copy of any performance reports or indicators used to track CAP effectiveness for the past 24 months. The most recent data and end-of-quarter data will suffice; monthly reports are not required.
 : 20. A data table (or similar format) showing the total number of CRs generated per year since 2010 sorted by department (i.e. operations, engineering, security etc.).
 : 21. A data table showing the number of issues identified externally (NRC, INPO, other etc.) per year as compared to internally since 2010.
   TRENDS  22. A list of CRs initiated for trends of conditions adverse to quality. Include the date initiated, a brief description/title, significance/priority level, and status (if closed include date closed; if open, include scheduled date to be closed).
 : 23. Copies of any completed trend reports for CRs. Quarterly trend reports are acceptable; copies of all monthly reports are not required.
 : 24. Copies of all apparent, common and/or root cause evaluations regarding adverse human performance trends.
 OPERATING EXPERIENCE
 : 25. A copy of the most recent operating experience program effectiveness review.
 : 26. A list of CRs initiated to evaluate industry and NRC operating experience, and NRC generic communications (e.g. bulletins, information notices, generic letters, etc.). Include date the CR was initiated, a brief description/title, and the status (if closed include date closed; if open, include scheduled date to be closed).
 SYSTEMS AND COMPONENTS
 : 27. A list of the top ten risk significant systems and top ten risk significant components.
 : 28. A list of operability determinations/evaluations. Include a brief description/title, date initiated, date closed or date scheduled to be closed. Also include any open operability evaluations that were initiated prior to January 1, 2013.
 : 29. Cause analysis, corrective actions documents, health reports, and trend analysis for systems and components considered Maintenance Rule (a)(1). Provide this information starting one year earlier from when the syst em or component entered (a)(1) status. Include dates when system/components entered (a)(1) status and, if applicable, returned to (a)(2) status. For recurring reports, quarterly reports are sufficient; monthly reports
 are not required.
 : 30. A list of temporary modifications that were installed since January 1, 2013, with a brief description/title, installation date, and current status. Include any in-place temporary modifications that were installed prior to January 1, 2013.
 SCWE
 : 31. Results of completed safety culture/safety conscious work environment surveys or self-assessments. Include reference to associated CRs and status of the CRs actions.
 Also include schedule/plans for future surveys.
   REGULATORY ISSUES
 : 32. A list of CRs for issues (findings, violations, etc.) documented in NRC inspection reports. Include the CR number, brief description/title, date initiated and the status (if closed include date closed; if open, include scheduled date to be closed).
 : 33. A list of CRs for licensee identified violations that have been documented in NRC inspection reports. Include the CR number, brief description/title, date initiated and the status (if closed include date closed; if open, include scheduled date to be closed).
 : 34. A list of CRs associated with NRC identified issues. Include the CR number, brief description/title, date initiated and the status (if closed include date closed; if open, include scheduled date to be closed).
 : 35. A list of degraded/non-conforming conditions. Include the CR number, brief description/title, date initiated and date closed or projected closeout date. Include open issues that were identified prior to January 1, 2012.
 : 36. A list of current control room deficiencies and operator work-arounds, sorted by priority, with a brief description/title and corresponding CR and/or work order number.
 -YEAR REVIEW
 : 37. A list of CRs regarding Secondary Containment/Standby Gas Treatment System that have been generated since January 1, 2010. Include the CR number, brief description/title, level of evaluation (i.e. root cause, apparent cause, common cause etc.), date initiated, and the status (if closed include date closed; if open, include scheduled date to be closed).
 : 38. A list of CRs regarding Reactor Protection System that have been generated since January 1, 2010. Include the CR number, brief description/title, level of evaluation (i.e. root cause, apparent cause, common cause, etc.), date initiated, and the status (if closed include date closed; if open, include scheduled date to be closed).
 ADMIN  39. A copy of the latest plant organizational chart and phone listing
 : 40. Scheduled dates, times, and location for all meetings associated with implementing the CAP (e.g. CR screening meetings, corrective action review board meetings). Include work order screening/assessment meetings.
 Documents requested to be available on-site during the inspection
 :
 : a. Updated Final Safety Analysis Report.
 : b. Technical Specifications.
 : c. Procedures and procedure index.
 : d. A copy of the QA manual.
   e. A list of issues brought to the ECP/ombudsman and the actions taken for resolution.
 : f. A list of the codes used in the CAP.
 : g. A copy of the latest independent/offsite organization review of safety culture/safety conscious work environment and internal equivalent assessments if not provided as part of the requested data package.

ML15057A347: Difference between revisions

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SUBJECT:

Dear Mr. Vehec:

Enclosure:

Enclosure:

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ML15057A347: Difference between revisions

Revision as of 00:03, 28 April 2019

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SUBJECT:

Dear Mr. Vehec:

Enclosure:

Enclosure:

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