ML21218A095

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301 ADAMS 2B
ML21218A095
Person / Time
Site: Oconee  Duke Energy icon.png
Issue date: 08/06/2021
From:
Division of Reactor Safety II
To:
References
Download: ML21218A095 (16)
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ML21218A095 ES-201 Examination Preparation Checklist Form ES-201-1 Facility: Oconee Date of Examination: June 2021 Developed by: Written: Facility NRC // Operating: Facility NRC Chief Target Task Description (Reference) Examiners Date*

Initials

1. Examination administration date confirmed (C.1.a; C.2.a-b). For NRC-prepared exams,

-240 MB arrangements are made for the facility to submit reference materials (C.1.e; C.3.c; Attachment 3).

-210 2. NRC examiners and facility contact assigned (C.1.d; C.2.f). MB

3. Facility contact briefed on security and other requirements (C.2.c). As applicable, the facility

-210 contact submits to the NRC any prescreened K/As for elimination from the written examination MB outline, with a description of the facilitys prescreening process (ES-401, D.1.b).

-210 4. Reference material due for NRC-prepared exams (C.1.e; C.3.c; Attachment 3). MB

-210 5. Corporate notification letter sent (C.2.e). MB

6. NRC-developed written examination outline (ES-401-1/2 or ES-401N-1/2 and ES-401-3 or

-195 ES-401N-3) sent to facility contact (must be on the exam security agreement) (C.1.e-f; C.2.h; MB C.3.d-e).

7. Operating test outline(s) and other checklists due, including Forms ES-201-2, ES-201-3, ES-301-1,

-150 MB ES-301-2, ES-301-5, and ES-D-1, as applicable (C.1.e-f; C.3.d-e).

8. Operating test outline(s) reviewed by the NRC and feedback provided to facility licensee (C.2.h;

-136 MB C.3.d-e).

9. Proposed examinations (written, JPMs, and scenarios, as applicable) and outlines (Forms ES-301-1, ES-301-2, ES-D-1, ES-401-1/2 or ES-401N-1/2, and ES-401-3 or ES-401N-3); MB

-75 supporting documentation (including Forms ES-301-3, ES-301-4, ES-301-5, ES-301-6, ES-401-6, ES-401N-6, and any Form ES-201-2 and ES-201-3 updates); and reference materials due (C.1.e-h; C.3.d).

10. Examinations prepared by the NRC are approved by the NRC supervisor and forwarded for

-75 MB facility licensee review (C.1.i; C.2.h; C.3.f-g).

-60 11. Preliminary waiver/excusal requests due (C.1.m; C.2.c; ES-202). MB

-50 12. Written exam and operating test reviews completed (C.3.f). MB

13. Examination review results discussed between the NRC and facility licensee (C.1.i; C.1.k-l;

-35 MB C.2.h; C.3.g). The NRC and the facility licensee conduct exam preparatory week.

14. Preliminary license applications and waiver/excusal requests, as applicable (NRC Form 398) due

-30 MB (C.1.m; C.2.i; ES-202).

15. Final license applications and waiver/excusal requests, as applicable (NRC Form 398), due and

-14 MB Form ES-201-4 prepared (C.1.m; C.2.k; ES-202).

-7 16. Written examinations and operating tests approved by the NRC supervisor (C.2.j-k; C.3.h). MB

-7 17. Request facility licensee management feedback on the examination (C.2.l). MB

18. Final applications reviewed; one or two (if more than 10) applications audited to confirm

-7 qualifications/eligibility; and examination approval and waiver/excusal letters sent (C.2.k; MB Attachment 5; ES-202, C.3.j; ES-204).

-7 19. Proctoring/written exam administration guidelines reviewed with facility licensee (C.3.k). MB

-7 20. Approved scenarios and job performance measures distributed to NRC examiners (C.3.i). MB

  • Target dates are based on facility-prepared examinations and the examination date identified in the corporate notification letter. These dates are for planning purposes and may be adjusted on a case-by-case basis in coordination with the facility licensee.

ES-201 Examination Outline Quality Checklist Form ES-201-2 Facility: Oconee Date of Examination: June 2021 Initials Item Task Description a b* c**

1. a. Verify that the outline(s) fit(s) the appropriate model in accordance with ES-401 or ES-401N. AG NA MB W b. Assess whether the outline was systematically and randomly prepared in accordance with AG NA MB R Section D.1 of ES-401 or ES-401N and whether all K/A categories are appropriately sampled.

I T c. Assess whether the outline overemphasizes any systems, evolutions, or generic topics. AG NA MB T

E d. Assess whether the justifications for deselected or rejected K/A statements are appropriate. AG NA MB N

2. a. Using Form ES-301-5, verify that the proposed scenario sets cover the required number of AG NA MB normal evolutions, instrument and component failures, technical specifications, and major S transients.

I M b. Assess whether there are enough scenario sets (and spares) to test the projected number and AG NA MB U mix of applicants in accordance with the expected crew composition and rotation schedule 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 T applicants audit test(s), and that scenarios will not be repeated on subsequent days.

O

c. To the extent possible, assess whether the outline(s) conforms with the qualitative and AG NA MB R

quantitative criteria specified on Form ES-301-4 and described in Appendix D and in Section D.5, Specific Instructions for the Simulator Operating Test, of ES-301 (including overlap).

3. a. Verify that the systems walkthrough outline meets the criteria specified on Form ES-301-2: AG NA MB (1) The outline(s) contains the required number of control room and in-plant tasks distributed W among the safety functions as specified on the form.

A (2) Task repetition from the last two NRC examinations is within the limits specified on the form.

L (3) No tasks are duplicated from the applicants audit test(s).

K (4) The number of new or modified tasks meets or exceeds the minimums specified on the form.

T (5) The number of alternate-path, low-power, emergency, and radiologically controlled area H tasks meets the criteria on the form.

R O b. Verify that the administrative outline meets the criteria specified on Form ES-301-1: AG NA MB U (1) The tasks are distributed among the topics as specified on the form.

G (2) At least one task is new or significantly modified.

H (3) No more than one task is repeated from the last two NRC licensing examinations.

c. Determine whether there are enough different outlines to test the projected number and mix of AG NA MB applicants and ensure that no items are duplicated on subsequent days.
4. a. Assess whether plant-specific priorities (including probabilistic risk assessment and individual AG NA MB plant examination insights) are covered in the appropriate exam sections.

G E b. Assess whether the 10 CFR 55.41, 55.43, and 55.45 sampling is appropriate. AG NA MB N

c. Ensure that K/A importance ratings (except for plant-specific priorities) are at least 2.5. AG NA MB E

R d. Check for duplication and overlap among exam sections and the last two NRC exams. AG NA MB A

L e. Check the entire exam for balance of coverage. AG NA MB

f. Assess whether the exam fits the appropriate job level (RO or SRO). AG NA MB Printed Name/Signature Date
a. Author Andreas Goldau / Andreas Goldau 5/27/21
b. Facility Reviewer (*) NA
c. NRC Chief Examiner (#) Mark Bates / Mark Bates 5/27/21
d. NRC Supervisor Gerald McCoy / 5/28/21
  • Not applicable for NRC-prepared examination outlines.
  1. The independent NRC reviewer initials items in column c; the chief examiners concurrence is required.

ES-301 Operating Test Quality Checklist Form ES-301-3 Facility: Oconee Date of Examination: June 2021 Operating Test Number: 3021-301 Initials

1. General Criteria a b* c#
a. The operating test conforms to the previously approved outline; changes are consistent with AG NA MB 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 AG NA MB during this examination.
c. The operating test shall not duplicate items from the applicants audit test(s) (see Section D.1.a.). AG NA MB
d. Overlap with the written examination and between different parts of the operating test is within AG NA MB acceptable limits.
e. It appears that the operating test will differentiate between competent and less-than-competent AG NA MB applicants at the designated license level.
2. Walkthrough Criteria -- -- --
a. Each JPM includes the following, as applicable: AG NA MB
  • 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 walkthrough AG NA MB outlines (Forms ES-301-1 and ES-301-2) have not caused the test to deviate from any of the acceptance criteria (e.g., item distribution, bank use, repetition from the last two 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 AG NA MB Form ES-301-4, and a copy is attached.

Printed Name/Signature Date

a. Author Andreas Goldau / Andreas Goldau 5/27/21
b. Facility Reviewer (*) N/A
c. NRC Chief Examiner (#) Mark Bates / Mark Bates 5/27/21
d. NRC Supervisor Gerald McCoy / 5/28/21
  • The facility licensee signature is not applicable for NRC-developed tests.
  1. The independent NRC reviewer initials items in column c; the chief examiner concurrence is required.

ES-301 Simulator Scenario Quality Checklist Form ES-301-4 Facility:Oconee Date of Exam:June 2021 Scenario Numbers: 1 /2 /3/4 Operating Test No.: 301 QUALITATIVE ATTRIBUTES Initials a b* c#

1. The initial conditions are realistic in that some equipment and/or instrumentation may be out of service, AG NA MB but it does not cue the operators into expected events.
2. The scenarios consist mostly of related events. AG NA MB
3. Each event description consists of the following: AG NA MB
  • 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)
  • the event termination point (if applicable)
4. The events are valid with regard to physics and thermodynamics. AG NA MB
5. Sequencing and timing of events is reasonable and allows the examination team to obtain complete AG NA MB evaluation results commensurate with the scenario objectives.
6. If time compression techniques are used, the scenario summary clearly so indicates. AG NA MB Operators have sufficient time to carry out expected activities without undue time constraints.

Cues are given.

7. The simulator modeling is not altered. AG NA MB
8. The scenarios have been validated. Pursuant to 10 CFR 55.46(d), any open simulator performance AG NA MB deficiencies or deviations from the referenced plant have been evaluated to ensure that functional fidelity is maintained while running the planned scenarios.
9. Scenarios are new or significantly modified in accordance with Section D.5 of ES-301. AG NA MB
10. All individual operator competencies can be evaluated, as verified using Form ES-301-6 (submit the AG NA MB form along with the simulator scenarios).
11. The scenario set provides the opportunity for each applicant to be evaluated in each of the applicable AG NA MB rating factors. (Competency rating factors as described on Forms ES-303-1 and ES-303-3.)
12. Each applicant will be significantly involved in the minimum number of transients and events specified AG NA MB on Form ES-301-5 (submit the form with the simulator scenarios).
13. Applicants are evaluated on a similar number of preidentified critical tasks across scenarios, when AG NA MB possible.
14. The level of difficulty is appropriate to support licensing decisions for each crew position. AG NA MB Target Quantitative Attributes per Scenario (See Section D.5.d) Actual Attributes -- -- --
1. Malfunctions after EOP entry (1-2) 2/2/2/1 AG NA MB
2. Abnormal events (2-4) 4/4/4/4 AG NA MB
3. Major transients (1-2) 1/2/1/1 AG NA MB
4. EOPs entered/requiring substantive actions (1-2) 1/1/1/1 AG NA MB
5. Entry into a contingency EOP with substantive actions (> 1 per scenario 1/1/1/1 AG NA MB set)
6. Preidentified critical tasks (> 2) 3/4/3/2 AG NA MB
  • The facility licensee signature is not applicable for NRC-developed tests.
  1. An independent NRC reviewer initials items in column c; chief examiner concurrence is required.

ES-301 Transient and Event Checklist Form ES-301-5 Facility: Oconee Nuclear Station Date of Exam: 06/07/2021 Operating Test No.: 1 A E Scenarios P V 1 2 3 4 T M P E O I L N CREW CREW POSITION CREW POSITION CREW POSITION T N I T POSITION I

C A S A B S A B S A B S A B M A T L R T O R T O R T O R T O U N Y O C P O C P O C P O C P M(*)

T P E R I U RO RX 5 6 3 1 1 0 X

NOR 1 1 1 SRO-I I/C 2,4 2, 4, 2, 5 4, 7 4 4 2 SRO-U 5 MAJ 6 6 7 8 2 2 1 TS 0 2 2 RO RX 1 1 0 X NOR 1 1 1 1 1 1 1 SRO-I I/C 2, 3 3, 4 4, 6 5, 6 4 4 2 SRO-U MAJ 6 6 7 8 2 2 1 TS 0 2 2 RO RX 1 1 0 NOR 1 1 1 SRO-I X I/C 4 4 2 SRO-U MAJ 2 2 1 TS 0 2 2 RO RX 5 6 3 1 1 0 NOR 1 1 1 1 1 1 1 SRO-I I/C 2,3,4 2,3,4 2, 4, 4, 5, 4 4 2 5 5, 6 6, 7 SRO-U X MAJ 6 6 7 8 2 2 1 TS 3, 4 3, 4 3, 6 2, 4 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 serve 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 (I/C) malfunctions and one major transient, in the ATC position. If an SRO-I additionally serves in the BOP position, one I/C malfunction can be credited toward the two I/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 I/C malfunctions on a one-for-one basis.
3. Whenever practical, both instrument and component malfunctions should be included; only those that require verifiable actions that provide insight to the applicants competence count toward the minimum requirements specified for the applicants license level in the right-hand columns.
4. For new reactor facility 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 manipulating plant controls.

ES-301 Competencies Checklist Form ES-301-6 Facility: Oconee Date of Examination: 06/07/2021 Operating Test No.: 1 APPLICANTS RO - ATC X RO - BOP X RO RO SRO-I SRO-I SRO-I SRO-I X SRO-U SRO-U SRO-U X SRO-U Competencies SCENARIO SCENARIO SCENARIO SCENARIO 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 Interpret/Diagnose 2, 4 2, 4 2, 5 4, 7 2, 3 3,4 4, 6 5, 6 2, 3 2, 3 2, 3 2, 4 6 5, 6 7 8 6 6 7 8 4, 6 4, 5 4, 5 5, 6 Events and Conditions 6 6, 7 7, 8 Comply with and 2, 4 2, 4 2, 5 3, 4 1, 2 1,3 1, 4 1, 5 2, 3 2, 3 2, 3 2, 4 5, 6 5, 6 6, 7 7, 8 3, 6 4,6 6, 7 6, 8 4, 6 4, 5 5, 6 5, 6 Use Procedures (1) 6 7 7, 8 Operate Control 2, 4 2, 4 2, 5 3, 4 1, 2 1,3 1, 4 1, 5 5, 6 5, 6 6, 7 7, 8 3, 6 4,6 6, 7 6, 8 Boards (2)

Communicate 1, 2 1, 2 1, 2 1, 2 1, 2 1,2 1, 2 1, 2 1, 2 1, 2 1, 2 1, 2 3, 4 3, 4 3, 4 3, 4 3, 4 3,4 3, 4 3, 4 3, 4 3, 4 3, 4 3, 4 and Interact 5, 6 5, 6 5, 6 5, 6 5, 6 5,6 5, 6 5, 6 5, 6 5, 6 5, 6 5, 6 7 7, 8 7 7, 8 7 7, 8 Demonstrate Supervisory 1, 2 1, 2 1, 2 1, 2 3, 4 3, 4 3, 4 3, 4 Ability (3) 5, 6 5, 6 5, 6 5, 6 7 7, 8 Comply with and 3, 4 3, 4 3, 6 2, 4 Use TS (3)

Notes:

(1) Includes TS compliance for an 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.) (Forms ES 303 1 and ES 303 3 describe the competency rating factors.)

ES-403 Written Examination Grading Form ES-403-1 Quality Checklist Facility: Oconee Date of Exam: 6/16/21 Exam Level: RO x SRO x Item Description Initials a b c

1. Clean answer sheets copied before grading JB N/A MB
2. Proposed answer key changes and question deletions N/R N/A N/R justified and documented (facility reviewer initials not required (N/R) if NO post-examination comments are submitted)
3. Applicants scores checked for addition errors JB N/A MB (reviewers spot check > 25% of examinations)
4. Grading for all borderline cases (80% +/-2% overall and 70% or N/A N/A N/A 80%, as applicable, +/-4% on the SRO-only exam) reviewed in detail
5. All other failing examinations checked to ensure that grades N/A N/A N/A are justified
6. Performance on missed questions checked for training JB N/A MB deficiencies and wording problems; evaluate validity of questions missed by one-half or more of the applicants Printed Name/Signature Date
a. Grader __Jason Bundy_/_Jason Bundy_______ __6/24/21_
b. Facility Reviewer(*) _______N/A_______________________ _________
c. NRC Chief Examiner (*) __Mark Bates_/_Mark Bates__________ __6/24/21_
d. NRC Supervisor (*) __Gerald McCoy_/ Gerald McCoy______ __6/24/21_

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

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