ML18191B024

Backfit Training Module I: Licensing and Design Bases

ML18191B024
Person / Time
Issue date:	07/10/2018
From:	Les Cupidon Office of Nuclear Regulatory Research
To:
Cupidon L
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Download: ML18191B024 (36)

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LICENSING BASIS AND BACKFITTING WORKSHOP MODULE 1: LICENSING AND DESIGN BASES

WHY REVIEW THIS MATERIAL?

In our daily work you may not be entering the backfit process, but should consider whether your decision can constitute a new or amended provision in the Commissions regulations or the imposition of a regulatory staff position interpreting the Commissions regulations that is either new or different from a previously applicable staff position Understanding the process you are in and the scope of that process is important Understanding the relationship of the issue to the licensing/design basis is essential to determining whether a position is new, amended, or different from what is required Understanding that the current licensing basis is always changing LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 2

CONSIDERATIONS FOR BACKFIT APPLICABILITY LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 3 Licensee

OBJECTIVES Discussion of the documents associated with the licensing/design bases Awareness of different licensing/design bases Address the applicability/enforceability of licensing/design bases documents LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 4

REGULATORY ASSUMPTIONS - SAFETY, ADEQUATE PROTECTION Safety: freedom from exposure to danger, or protection from harm Adequate protection Presumptively assured by compliance with NRC requirements NRC staff needs evidence of deficiency to rebut presumption Corresponds to no undue risk to public health and safety through acceptable design, construction, operation, maintenance, modification, and quality assurance measures LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 5 https://www.nrc.gov/reading-rm/doc-collections/insp-manual/

technical-guidance/tg-operation-safety.pdf

REGULATORY ASSUMPTIONS - COMPLIANCE Issuance of license assumes compliance with regulations (10 CFR 50.57)

Concept is meant to preserve original integrity of the NRCs decisions LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 6 https://www.nrc.gov/reading-rm/doc-collections/commission/comm-secy/1997/1997-008comsrm.pdf

LICENSING BASIS IN THE CONTEXT OF BACKFIT Backfitting is defined as the modification of or addition to:

systems, structures, components, or design of a facility; or the design approval or manufacturing license for a facility; or the procedures or organization required to design, construct or operate a facility Any of which may result from a new or amended provision in the Commission's regulations or the imposition of a regulatory staff position interpreting the Commission's regulations that is either new or different from a previously applicable staff position LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 7

STANDARD REVIEW PLAN (SRP)

Format and content initially only in Regulatory Guide 1.70 (February 1972 - ML13350A353)

First issued in current form in 1975 as NUREG-75/087 Chapters Sections Branch Technical Positions NUREG-75/087 Revision 1 in May 1980 - ML042080088 Transitioned to NUREG-0800 in July 1981 Updated at first as a whole: for example, June 1987 - ML052340514 Currently updated by section Operating license applicants after May 17, 1982, and combined license applicants must evaluate the facility against the SRP in effect 6 months before docket date of application 10 CFR 50.34(h) 10 CFR 52.79(a)(41)

LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 8

DESIGN BASIS HISTORY LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 9 Operating License Appendix A -

Technical Specifications Preliminary Safety Analysis Report Construction Permit (CP) Application Final Safety Analysis Report Operating License (OL) Application Updated Final Safety Analysis Report Operating License Principal Design Criteria 10 CFR 50.34 General Design Criteria CP > 1971 AEC Design Criteria (pre-GDC)

CP < 1971 or

LICENSING/DESIGN BASES DOCUMENTS LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 10 Updated Final Analysis Report Technical Requirements Manual Technical Specification Bases Offsite Dose Calculation Manual Core Operating Limits Report Pressure Temperature Limits Report Operating License Appendix A -

Technical Specifications Appendix B -

Environmental Protection Plan Orders Fire Protection Plan Amendment License Condition Quality Assurance Plan Security Plan Emergency Preparedness Plan 10 CFR 50.54 10 CFR 50.59

TECHNICAL SPECIFICATIONS Derived from the FSAR Operational constraints; completion times / allowed outage times (AOTs)

Intent is to ensure proper equipment is available to support mitigation of Chapter 15 accident Constructed to allow temporary differences from design capabilities envisioned in the General Design Criteria (GDCs) related to redundancy and defense in depth All current operating plant licenses and TS are available in ADAMS package ML101940006 LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 11

LICENSING BASIS HISTORY LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 12 10 CFR 50.36 - 1962 10 CFR 50.36 - 1995 10 CFR 50.36 - 2017 no change 10 CFR 50.36 - 1969

MANDATED LICENSING BASIS HISTORY LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 13 Operating License Appendix A -

Technical Specifications Updated Final Analysis Report Fire Protection Plan Technical Requirements Manual Offsite Dose Calculation Manual Core Operating Limits Report Pressure Temperature Limits Report 1980s-1990s limit / methodology

INSPECTION ISSUE PROCESS Observation A factual detail noted during an inspection.

Issue of Concern A well-defined observation or collection of observations potentially impacting safety or security which may warrant further inspection, screening, evaluation, or regulatory action.

Performance Deficiency The licensees failure to satisfy one or more regulatory requirements or self-imposed standards where such failure was reasonably foreseeable and preventable.

Finding A performance deficiency determined to be More-than-Minor.

Violation The failure to comply with a legally binding requirement, such as a statute, regulation, order, license condition, technical specification.

LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 14

COMPLIANCE DOCUMENTS LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 15 Amendment License Condition 10 CFR 50.54 10 CFR 50.59 Updated Final Analysis Report Technical Requirements Manual Technical Specification Bases Offsite Dose Calculation Manual Core Operating Limits Report Pressure Temperature Limits Report Operating License Appendix A -

Technical Specifications Appendix B -

Environmental Protection Plan Orders Fire Protection Plan Quality Assurance Plan Security Plan Emergency Preparedness Plan

FINAL SAFETY ANALYSIS REPORT Content not directly enforceable, but can consider:

Failure to perform evaluation required by 10 CFR 50.59 (at all or correctly)

Failure to update as required by 10 CFR 50.71 FSAR describes how substantive requirement is metnon-conformance with a description may indicate non-compliance with the requirement Issuance reflects NRC decision that principal design criteria have been met as required by 10 CFR 50.34 GDC (draft-GDC) establish minimum requirements for the principal design criteria for water-cooled nuclear power plants similar in design and location to plants for which construction permits have been issued by the Commission LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 16

LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 17 FSAR (10 CFR 52.79 requirement)

Plant-Specific Design Control Document (DCD)

COL FSAR (site-specific)

ESP SSAR Tier 1 Tier 2 Tier 2*

Site:

Seismic Hydrology Heat Sink etc.

Early site permit site safety analysis report (applies to Vogtle Units 3 and 4)

Operations:

Emergency QA Security Fire etc.

FSAR CONTENT (10 CFR PART 52)

COMMITMENTS MADE BY LICENSEES Commitments are related to an applicant/licensees intent to take some action Provided to the NRC in writing by authorized individual The actual action, activity, or method used by a licensee to restore compliance with an obligation is not normally considered a commitment The corrective actions to address a noncompliance are not a commitment The promise to complete it within a specified time is a commitment Licensee communications do not, in and of themselves, establish or revise the licensing bases for regulated facilities LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 18

CHANGES TO COMMITMENTS Once incorporated into a mandated licensing basis document, the activity is no longer tracked/treated as a commitment Nonconformance with a commitment is not a violation Notice of deviation can be issued under enforcement policy Changes related to commitments may be made by the licensee without prior NRC approval Intent to change a commitment with safety significance/regulatory interest should be communicated to NRC LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 19

COMMITMENTS MADE BY LICENSEES (CONTD)

In response to Generic Letters and Bulletins Requirements if incorporated by NRC into license Cannot require compliance unless specific requirement (e.g., order) used to make enforceable In response to Notices of Violations (NOVs) or Licensee Event Reports (LERs)

The actual action, activity, or method used by a licensee to restore compliance with the NOV is not normally considered a commitment The promise to complete it within a specified time is a commitment LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 20

GDC NONCOMPLIANCE The GDC are design requirements, evaluated by the NRC in determining whether to issue a license or approval.

The NRCs approval process will typically yield more specific requirementse.g.,

Technical Specifications.

If the GDC is prescriptive and the TS and other licensee requirements do not speak to the matter in question, the GDC can be regarded as an ongoing (post-design) requirement.

Otherwise, quality assurance (QA) programs typically address nonconformance with design requirements.

LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 21

Reference:

ML16355A258

GUIDANCE/VOLUNTARY ACTION NON-CONFORMANCE In general, no violation for failing to follow:

NUREG Regulatory Guide FSAR, as updated Written Commitment Guidance is only required to be followed if elevated to a specific requirement License Condition Appendix A to the Operating License Order LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 22 Farley TMI Action Item Order: ML013100353

INITIAL DETERMINATIONS FOR A NEW ISSUE What did the people at the time, understand at the time, using the standards of the time?

Where in the plant-specific licensing bases documents is that determination documented?

Is there sufficient justification to question the approved existing licensing/design basis for the licensee?

New revisions to NRC regulations, guidance Risk analyses (Appendix D to Standard Review Plan Section 19.2; LIC-504)

Quantitative and/or qualitative LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 23

EXERCISE LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 24

EXERCISE - TECHNICAL SPECIFICATION SURVEILLANCE FAILURE A facility has a unique design for the auxiliary feedwater system. The licensee was recently approved to use the risk model to extend the technical specification (TS)

COMPLETION TIME. During recent TS surveillance testing, the pump failed and was declared inoperable.

When the current plant risk was reviewed to support repair activities, the plant configuration at the time resulted in a change in plant risk for core damage frequency above the acceptable range identified in RG 1.174 and RG 1.177.

The high risk configuration was not considered nor reviewed as part of the amendment to risk-inform the TS COMPLETION TIME. The licensees risk assessment identified a non-safety component that could be used to lower the core damage frequency.

LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 25

EXERCISE - TECHNICAL SPECIFICATION LIMITING CONDITION Currently, Section 50.36(c)(2)(ii) requires that a TS limiting condition for operation (LCO) must be established for each item meeting the following criteria. Criterion 4 -

A structure, system, or component which operating experience or probabilistic risk assessment has shown to be significant to public health and safety.

Does this requirement apply to Oconee?

Construction Permits - November 6, 1967 Operating Licenses - February 1973 through July 1974 Renewed Licenses - May 23, 2000 LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 26

LICENSING BASIS FLOW CHART LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 27 Start End Pre-GDC Apply Appendix A GDC Apply Appendix A 1962 50.36(c)(2) 1969 50.36(c)(2) 1996 CP >

1971 CP >

1/16/69 OL >

8/18/95 No Yes OL >

5/17/82 Shall address SRP Yes Yes No Yes No No

LICENSING BASIS FLOW CHART LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 28 Start End Pre-GDC Apply Appendix A GDC Apply Appendix A 1962 50.36(c)(2) 1969 50.36(c)(2) 1996 CP >

1971 CP >

1/16/69 OL >

8/18/95 No Yes OL >

5/17/82 Shall address SRP Yes Yes No Yes No No

LICENSING BASIS FLOW CHART LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 29 Start End Pre-GDC Apply Appendix A GDC Apply Appendix A 1962 50.36(c)(2) 1969 50.36(c)(2) 1996 CP >

1971 CP >

1/16/69 OL >

8/18/95 No Yes OL >

5/17/82 Shall address SRP Yes Yes No Yes No No

LICENSING/DESIGN BASIS CHANGES Licensing actions Exemptions Amendments Orders Rule Changes (for example Section 50.55a(h)(2))

Licensee changes (for example Section 50.59 to 10 CFR or Section VIII of Appendices A-E to 10 CFR Part 52)

LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 30

GOING FORWARD LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 31

ADDRESSING SAFETY/SECURITY ISSUES IN LICENSING Be sure when looking at a potential compliance issue to determine the following:

Plant-specific licensing/design basis Applicability of specific regulation or guidance Be sure to write safety evaluations with consideration of the following:

What do you understand is the basis of the applicants request? (Section 3.0)

What requirements/guidance are you basing your regulatory finding on? (Section 2.0)

Revision number and date What did you review or not review? (Sections 2.0/3.0)

What is the safety/security basis for your regulatory finding? (Section 3.0 final conclusion)

LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 32

ADDRESSING SAFETY/SECURITY ISSUES IN INSPECTION Be sure when looking at a potential compliance issue to determine:

Plant specific licensing/design basis Applicability of specific regulation or guidance Be sure to prepare violations considering:

What is the relevant licensee practice (past or current)?

What requirements are you basing your violation on?

Where in their licensing basis or in 10 CFR is the licensee required to comply?

Remember that most of UFSAR is not a compliance document (COL Tier 1 is an exception)

How and when did they fail to comply with requirements in their plant-specific licensing bases documents or 10 CFR?

LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 33

UNDERSTANDING THE PLANT-SPECIFIC LICENSING BASIS Some documents are readily available:

10 CFR License / TS (ML101940006)

FSAR DCD (if referenced, for COLs)

Inquiries of the licensee or of NRC Headquarters experts may be needed for context:

NRC approval documents - safety evaluation (report)

Other contextual documents - letters, requests for additional information (RAIs) and responses Guidance documents, standards, etc. used in NRC approvals LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 34

KEY MESSAGES Adequate protection is assured by compliance with requirements Not all components of the current licensing basis are obligations (requirements)

Most amendments are voluntary It is important to know the current requirements for a specific facility before imposing new ones Enforcing applicable requirements is NOT a backfit LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 35

TOOLS AND CONTACTS Tools Informal Q&A with contacts - ensure specific plant is referenced (answer may change)

Task interface agreement (for plant-specific inquiries to NRC Headquarters)

Other processes for generic concernsGeneric Issues, generic communications, etc.

Contacts Plant project manager (NRR/DORL, NRO/DNRL)

Backfitting points of contact (see Introduction)

LICENSING BASIS AND BACKFITTING WORKSHOP - SUMMER 2018 - MODULE 1 (LICENSING AND DESIGN BASES) 36