EXAM ASSIGNMENT TICKLER

Chief: Clyde Osterholtz Facility: W3 Date of Written Exam: 8/26/2020

U/I: Nicholas Hernandez Start of Op Test: 8/17/2020 End of Op Test: 8/21/2020

Written Exam Developed By: NRC / Facility Operating Test Developed By: NRC / Facility
Due Date Description Date Complete Initials Notes
For NRC prepared exams, arrangements made
12/16/2019 Examination administration date confirmed 11/21/2019 NH for the facility to submit reference materials
1/20/2020 NRC examiners and facility contact assigned 11/23/2019 NH
1/20/2020 Facility contact briefed on security and other requirements 11/25/2019 NH
1/20/2020 Reference material due for NRC prepared exams N/A ES-201 Att-3

1/20/2020 Corporate Notification Letter sent 12/30/2019 NH ES-201 Att-4 produced by CE

2/3/2020 NRC developed written examination outline sent to facility contact 11/21/2019 NH ES-401-1/2 and ES-401-3

3/16/2020 Operating test outline(s) and other checklists due 3/17/2020 NH ES-201-2, 201-3, 301-1, 301-2, 301-5, D-1
Operating test outline(s) reviewed by NRC and feedback provided
3/30/2020
to facility licensee
4/7/2020 NH ES-201-2 signed by CE & BC

Proposed exams, outlines, supporting documentation, and Exams prepared by the NRC are approved by BC
6/1/2020
reference materials due.
6/11/2020 NH and forwarded for facility licensee review
6/8/2020 Peer review of written exam complete 6/18/2020 NH Document review on ES-401-9

6/29/2020 Written exam and operating test reviews completed 6/25/2020 NH Document review on ES-401-9

7/13/2020 Feedback approved by Branch Chief 8/12/2020 NH

Examination review results discussed between NRC and facility
7/13/2020
licensee
8/4/2020 NH

7/20/2020 Preliminary license applications & waiver/excusal requests due 7/24/2020 NH NRC Forms 398/396

7/20/2020 On-site validation & 10% audit of license applications 7/30/2020 NH

7/27/2020 Preliminary license applications and waivers reviewed 7/30/2020 NH
8/3/2020 Final license applications & waiver/excusal requests due 7/24/2020 NH ES-201-4 prepared by LA

8/10/2020 Written exams and operating tests approved by Branch Chief 8/12/2020 NH
8/10/2020 Request facility licensee management feedback on the exam 8/12/2020 NH
Final applications reviewed and audited; exam approval and LA produces / BC signs Exam Approval Letter
8/10/2020
waiver/excusal letters sent
8/10/2020 NH (ES-201 Att-5)
Proctoring/written exam administration guidelines reviewed with
8/10/2020
facility licensee
7/22/2020 NH

8/10/2020 Approved scenarios and JPMs distributed to examiners 8/10/2020 NH

8/17/2020 Administer Operating Test 8/17/2020 NH
8/28/2020 Examiner's document op test results on ES 303's 9/3/2020 NH
9/15/2020 Post exam comments and graded exams received 9/9/2020 NH ES-403-1 to BC
Post exam written comments reviewed and incorporated and NRC
9/23/2020
grading completed
9/9/2020 NH
Post exam operating test comments reviewed and ES-303-1
9/23/2020
updated
9/9/2020 NH
Chief examiner review of operating test and/or written exam
9/30/2020
grading completed
9/15/2020 NH Signed ES 303's to BC

10/7/2020 Branch Chief review of exam results completed 9/15/2020 NH

10/14/2020 Waivers/deferrals reviewed for impact on licensing decision 9/15/2020 NH
10/14/2020 License/Proposed Denial letters mailed; Facility notified of results 9/24/2020 NH
10/14/2020 RPS/IP number of examinees updated 10/5/2020 NH print Report-21

11/4/2020 Final Denial Letters mailed (if no request for informal review) 9/24/2020 NH 21 days after proposed denial letters mailed.

11/11/2020 Examination Report Issued 10/19/2020 NH produced by CE

11/18/2020 Ref Mat'l Returned after Final Resolution of Appeals N/A

12/16/2020 SUNSI checklist complete and exam docs to ADAMS 10/20/2020 SUNSI checklist to LA

Replaces NUREG-1021, Revision 11, Forms ES-201-1 and ES-501-1

Rev. 9
Gregory E. Werner/ 08/04/2020
ES-301 Operating Test Quality Checklist Form ES-301-3

Facility: Waterford 3 Date of Examination: 8/17/2020 Ooeratina Test Number: 1

- 1. General Criteria
a
Initials

b' c•

a. The operating test conforms to the previously approved outline; changes are consistent with
samplinq requirements (e.q., 10 CFR 55.45, operational importance, safetv function distribution). {� /t-
There is no day-to-day repetition between this and other operating tests to be administered

"'
b.
durinq this examination. ( �
ff,<-
c. The operatinq test shall not duolicate items from the applicants' audit test(s) (see Section D.1.a.). ( /4.-
d. Overlap with the written examination and between different parts of the operating test is within
acceptable limits. <rl\ /ft_
e. It appears that the operating test will differentiate between competent and less-than-competent
annlicants at the desiqnated license level. ( I\ rJ
--
"'-

-- --
2. Walkthrough 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 __,,(_�
fe- f-.-

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 steos. if aoolicable ,,.

b. Ensure that any changes from the previously approved systems and administrative walkthrough
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) soecified on those forms and Form ES-201-2. <-..
l5 µ_
3. Simulator Criteria I I I I
-- -- --

The associated simulator operating tests (scenario sets) have been reviewed in accordance with
Form ES-301-4, and a copv is attached. C ��
,....____ �
led Nam gn
r � --� �
a. Author c:._Y,rn �
--t-1,
b. Facility Reviewer (*) D.t1!l.l D c'c? L-C...7A µU r· -
if,J,.-ru_,,_ ,,<_,--,,
���
·r ' Jo
(,_LL� L
c. NRC Chief Examiner (#) Nicholas Hernandez /Clyde Osterholtz 8/06/2020
d. NRC Supervisor Gregory E. Werner/ 08/07/2020

• The facility licensee signature is not applicable for NRG-developed tests.

# The independent NRC reviewer initials items in column "c"; the chief examiner concurrence is required.
Nicholas Hernandez / /Clyde Osterholtz 8/06/2020
Gregory E. Werner / 08/07/2020
 Form ES-403'1
ES-403 Written gxamination Grading
Checklist

(;)"+"rgrcJ 3 ffimlevet: Ro >(sno X

Facility:

Cl"rn an"*er sheets copied before grading

d question deletions
i*tiiil
'6i/ii)
nt"o (f ici itv revi gyel
and docu m I

-rlil.1fj:1tq
u i re d

,t N.-G-examinarion comments are submitted)

"

for addition errors

@ked
of examinations)
{reviewers spot check > 25"/o
*2o/o oYara;ll and 70"/".or
g0%, ,I applicable, *4a/o ofithe SBO-only exam) reviewed in

ensure that grades

N/A

performance on mrsffiquesiions checked for training

validity of
Oeticiencies and wording probtems; evaluate
qr".ti"r* missed by one-half ot'ot" of thu.?Ppli"'ffi

Grader
*. f-".e}

Facility Reviewer(.)

C. Osterholtz
9-4-2020
NFiC Chiet Examiner (.) Nicholas Hernandez/

Gregory E. Werner / 09/16/2020

d. NRC SuPervisor (.)

examinations graded by the

(.)
, The {acility reviewer's signature is not applicable for
NRC; iwo independent NHC reviews are required'
ES-301 Transient and Event Checklist Form ES-301-5

Facility: Waterford 3 Date of Exam: 8/17/2020 Operating Test No.: 1

A E Scenarios
P V
1 2 3 4 T M
P E
O I
L N CREW POSITION CREW POSITION CREW POSITION CREW POSITION
T N
I T
S A B S A B S A B S A B I
C A
R T O R T O R T O R T O M
A T L
O C P O C P O C P O C P U
N Y
M(*)
T P
E R I U
RX 0 1 1 0
NOR 1 1 1 1 1
I/C 2,3,4 1,2,3 13 4 4 2
U1
5,7,8 4,5,7
8
MAJ 6 6 2 2 2 1
TS 1,2 1,4 4 0 2 2
RX 0 1 1 0
NOR 1 1 1 1 1
I/C 2,3,4 6 4 4 2
U2
5,7,8
MAJ 6 1 2 2 1
TS 1,2 2 0 2 2
RX 0 1 1 0
NOR 1 1 1 1 1
I/C 2,3,4 6 4 4 2
U3
5,7,8
MAJ 6 1 2 2 1
TS 1,2 2 0 2 2
RX 4 1 1 1 0
NOR 1 1 1 1 1
I/C 2,3,4,5 3,7 8 4 4 2
I1
6,8
MAJ 7 6 2 2 2 1
TS 2,4 2 0 2 2
RX 4 1 1 1 0
NOR 1 1 1 1 1
I/C 2,3,4,5 3,7 8 4 4 2
I2
6,8
MAJ 7 6 2 2 2 1
TS 2,4 2 0 2 2
RX 1 1 1 1 0
NOR 1 1 1 1 1
ES-301 Transient and Event Checklist Form ES-301-5

I3 I/C 3,4,6 2,3,4 1,2,3 16 4 4 2

5,7,8 4,5,7
8
MAJ 7 6 6 3 2 2 1
TS 1,2 1,4 4 0 2 2
RX 4 1 1 1 0
NOR 1 1 1 1 1
I/C 2,3,4,5 3,7 8 4 4 2
I4
6,8
MAJ 7 6 2 2 2 1
TS 2,4 2 0 2 2
RX 4 1 1 1 0
NOR 1 1 2 1 1 1
I5
I/C 2,3,4,5 2,4,5, 2,3 13 4 4 2
6,8 7,8
MAJ 7 6 6 3 2 2 1
TS 2,4 2 0 2 2
RX 1 1 1 1 0
NOR 0 1 1 1
R1
I/C 3,4,6 1,4,5 8 4 4 2
7,8
MAJ 7 6 2 2 2 1
TS 0 0 2 2
RX 4 1 1 1 0
NOR 0 1 1 1
R2
I/C 2,3, 3,7 1,4,5 11 4 4 2
5,8 7,8
MAJ 7 6 6 3 2 2 1
TS 0 0 2 2
RX 4 1 1 1 0
NOR 1 1 1 1 1
R3
I/C 2,3, 1,5,7, 2,3 10 4 4 2
5,8 8
MAJ 7 6 6 3 2 2 1
TS 0 0 2 2
RX 1 1 1 1 0
NOR 1 1 1 1 1
R4
I/C 3,4,6 2,4,5, 8 4 4 2
7,8
MAJ 7 6 2 2 2 1
TS 0 0 2 2
RX 1 1 1 1 0
NOR 1 1 1 1 1
ES-301 Transient and Event Checklist Form ES-301-5

R5 I/C 3,4,6 2,4,5, 8 4 4 2

7,8
MAJ 7 6 2 2 2 1
TS 2,4 0 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 applicant’s competence count toward the minimum requirements specified for the
applicant’s 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: Waterford 3 Date of Examination: Aug 17,2020 Operating Test No.:1

APPLICANTS

ATC BOP SRO-I SRO-U

Competencies SCENARIO SCENARIO SCENARIO SCENARIO

1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4
I3 I1 I2 I5 U2 I5 R1 I1 I3 I3 U3 U1
R1 I4 R3 U3 R3 R2 I2 U2
R4 R2 R2 R4 I4
R5 R3 R5 I5
Interpret/Diagnose Events 2,3, 2,3 1,2 2,3 2,3 1,2 2,3 1,2 2,3 1,2 1,2 1,2 2,3 1,2 1,2 1,2
and Conditions 4,5, 4,6 5,6 4,6 5,7 4,5 4,6 4,5 4,5 3,4 3,4 3,4 4,5 3,4 3,4 3,4
7 7 7 8 8 6,7 7 6,7 7,8 5,6 5,6 5,6 7,8 5,6 5,6 5,6
8 7,8 7 7,8 7,8 7 7,8
Comply with and 1,2, 2,3 1,2 2,3 2,3 1,2 2,3 1,2 1,2 1,2 1,2 1,2 1,2 1,2 1,2 1,2
Use Procedures (1) 3,4, 4,6, 4,5 4,6 5,6 4,5 4,6 4,5 3,4 3,4 3,4 3,4 3,4 3,4 3,4 3,4
5,6, 7 6,7 7,8 6,7 7 6,7 5,6 5,6 5,6 5,6 5,6 5,6 5,6 5,6
7 8 8 7,8 7,8 7 7,8 7,8 7,8 7 7,8
Operate Control 1,3, 2,3 1,2 2,3 2,3 1,2 2,3 1,2 N/A N/A N/A N/A N/A N/A N/A N/A
Boards (2) 4,6 4,6, 4,5 4,6 5,6 4,5 4,6 4,5
7 7 6,7 7,8 6,7 7 6,7
8 8
Communicate All All All All All All All All All All All All All All All All
and Interact
Demonstrate Supervisory N/A N/A N/A N/A N/A N/A N/A N/A All All All All All All All All
Ability (3)
Comply with and N/A N/A N/A N/A N/A N/A N/A N/A 2,4 1,2 1,2 1,4 2,4 1,2 1,2 1,4
Use TS (3) 3 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.)
 IP 21 Operator Licensing Exam Schedule
From 06/01/2020 to 09/30/2021

Phase Code: 2 - Construction, 5 - Operational

Region: 4

# Candidates
Exam Site / Docket # / Insp Rpt # RO LSRO SROI SROU Type Exam Author Chief Examiner Examiners Assigned
Week
07/19/2020 Waterford / 05000382 / 2020301 FB-OR- Osterholtz, Clyde Hernandez,Nick
CAC #: 000956 ONSITE Osterholtz,Clyde
VALIDATI
ON OF
INITIAL
LICENSE
EXAMIN
ATION
(OV)
08/16/2020 Waterford / 05000382 / 2020301 5 0 5 3 FB-OR- NFF Osterholtz, Clyde Bergeon,Bryan
CAC #: 000500 INITIAL Doyle,Matthew
LICENSE Hernandez,Nick
EXAM Kennard,Michael
ADMINIS Osterholtz,Clyde
TRATION
(EXAD)

Sites: WAT
Orgs: ALL
Exam Author: ALL
Activity Codes: EXAD, NEXAD, NOV, OV

10/5/2020 10:45:46 AM Page 1 of 4

 IP 21 Operator Licensing Exam Schedule
From 06/01/2020 to 09/30/2021

Phase Code: 2 - Construction, 5 - Operational

Region: 4

Summary by Date RO SROI SROU LSRO Total

08/2020 5 5 3 0 13

Sites: WAT
Orgs: ALL
Exam Author: ALL
Activity Codes: EXAD, NEXAD, NOV, OV

10/5/2020 10:45:46 AM Page 2 of 4

 IP 21 Operator Licensing Exam Schedule
From 06/01/2020 to 09/30/2021

Phase Code: 2 - Construction, 5 - Operational

Region: 4

Summary by Site RO SROI SROU LSRO Total

Waterford 5 5 3 0 13

Sites: WAT
Orgs: ALL
Exam Author: ALL
Activity Codes: EXAD, NEXAD, NOV, OV

10/5/2020 10:45:46 AM Page 3 of 4

 IP 21 Operator Licensing Exam Schedule
From 06/01/2020 to 09/30/2021

Phase Code: 2 - Construction, 5 - Operational

Region: 4

Summary by Region RO SROI SROU LSRO Total

Region 4 5 5 3 0 13

Sites: WAT
Orgs: ALL
Exam Author: ALL
Activity Codes: EXAD, NEXAD, NOV, OV

10/5/2020 10:45:46 AM Page 4 of 4