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 BACKFITTINGWORKSHOPMODULE 1: LICENSING AND DESIGN BASES WHYREVIEW THIS MATERIAL?In our daily work you may not be entering the backfitprocess, but should consider whether your decision can constitute "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"Understanding the process you are in and the scope of that process is importantUnderstanding 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 requiredUnderstanding that the current licensing basis is always changingLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 2 CONSIDERATIONS FOR BACKFITAPPLICABILITYLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 3Licensee OBJECTIVESDiscussion of the documents associated with the licensing/design basesAwareness of different licensing/design basesAddress the applicability/enforceability of licensing/design bases documentsLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 4 REGULATORY ASSUMPTIONS

-SAFETY, ADEQUATE PROTECTION Safety: freedom from exposure to danger, or protection from harmAdequate protection Presumptively assured by compliance with NRC requirementsNRC staff needs evidence of deficiency to rebut presumptionCorresponds to "no undue risk to public health and safety"

-through acceptable design, construction, operation, maintenance, modification, and quality assurance measuresLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 5https://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 NRC's decisionsLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 6https://www.nrc.gov/reading

-rm/doc-collections/commission/comm

-secy/1997/1997

-008comsrm.pdf LICENSING BASIS IN THE CONTEXT OF BACKFITBackfittingis 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 positionLICENSING BASIS AND BACKFITTING WORKSHOP

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-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

-75/087Chapters Sections Branch Technical PositionsNUREG-75/087 Revision 1 in May 1980 -ML042080088Transitioned to NUREG-0800in July 1981Updated at first as a whole: for example, June 1987

-ML052340514Currently updated by sectionOperating license applicants after May 17, 1982, and combined license applicants must evaluate the facility againstthe SRPin effect 6 months before docket date of application10 CFR 50.34(h)10 CFR 52.79(a)(41)LICENSING BASIS AND BACKFITTING WORKSHOP

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

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-MODULE 1 (LICENSING AND DESIGN BASES) 9Operating LicenseAppendix A

-Technical SpecificationsPreliminary Safety Analysis ReportConstruction Permit(CP) ApplicationFinal Safety Analysis ReportOperating License (OL) ApplicationUpdated Final Safety Analysis ReportOperatingLicensePrincipal Design Criteria10 CFR 50.34General Design CriteriaCP > 1971AEC Design Criteria (pre-GDC)CP < 1971 or LICENSING/DESIGN BASES DOCUMENTSLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 10Updated Final Analysis ReportTechnical Requirements ManualTechnicalSpecificationBasesOffsite Dose Calculation ManualCore Operating Limits ReportPressure Temperature Limits ReportOperating LicenseAppendix A

-Technical SpecificationsAppendix B

-Environmental Protection PlanOrdersFireProtectionPlanAmendmentLicense ConditionQuality Assurance PlanSecurityPlanEmergencyPreparedness Plan10 CFR50.5410 CFR 50.59 TECHNICAL SPECIFICATIONS Derived from the FSAROperational constraints; completion times / allowed outage times (AOTs)Intent is to ensure proper equipment is available to support mitigation of Chapter 15 accidentConstructed to allow temporary differences from design capabilities envisioned in the General Design Criteria (GDCs) related to redundancy and defense in depthAll currentoperating plant licenses and TSare available in ADAMS package ML101940006LICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 11 LICENSING BASIS HISTORYLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 1210 CFR 50.36

-1962 10 CFR 50.36

-1995 10 CFR 50.36

-2017 no change10 CFR 50.36

-1969 MANDATED LICENSING BASIS HISTORYLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 13Operating LicenseAppendix A

-Technical SpecificationsUpdated Final Analysis ReportFire Protection PlanTechnical Requirements ManualOffsite Dose Calculation ManualCore Operating Limits ReportPressure Temperature Limits Report 1980s-1 990slimit / methodology INSPECTION ISSUE PROCESSObservationA factual detail noted during an inspection.Issue of ConcernA well-defined observation or collection of observations potentially impacting safety or security which may warrant further inspection, screening, evaluation, or regulatory action.Performance DeficiencyThe licensee's failure to satisfy one or more regulatory requirements or self-imposed standards where such failure was reasonably foreseeable and preventable.

FindingA performance deficiency determined to be More-than-Minor.ViolationThe failure to comply with a legally binding requirement, such as a statute, regulation, order, license condition, technical specification.LICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 14 COMPLIANCE DOCUMENTSLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 15AmendmentLicense Condition10 CFR50.5410 CFR 50.59Updated Final Analysis ReportTechnical Requirements ManualTechnicalSpecificationBasesOffsite Dose Calculation ManualCore Operating Limits ReportPressure Temperature Limits ReportOperating LicenseAppendix A

-Technical SpecificationsAppendix B

-Environmental Protection PlanOrdersFireProtectionPlanQuality Assurance PlanSecurityPlanEmergencyPreparedness Plan FINAL SAFETY ANALYSIS REPORTContent 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 50.71FSARdescribes how substantive requirement is met

-non-conformance with a description may indicate non-compliance with the requirementIssuance reflects NRC decision that principal design criteriahave been met as required by 10 CFR 50.34GDC (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 CommissionLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 16 LICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 17FSAR (10 CFR 52.79 requirement)Plant-Specific Design Control Document (DCD)COLFSAR (site-specific)ESPSSARfTier 1Tier 2Tier 2*Site:SeismicHydrologyHeat Sinketc.fEarly site permit site safety analysis report (applies to Vogtle Units 3 and 4)Operations:Emergency QASecurityFireetc.FSARCONTENT (10 CFR PART 52)

COMMITMENTS MADE BY LICENSEESCommitments are related to an applicant/licensee's intent to take some actionProvided to the NRC in writing by authorized individualThe actual action, activity, or method used by a licensee to restore compliance with an obligation is not normally considered a commitmentThe corrective actions to address a noncompliance are not a commitmentThe promise to complete it within a specified time is a commitmentLicensee communications do not, in and of themselves, establish or revise the licensing bases for regulated facilitiesLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 18 CHANGES TO COMMITMENTSOnce incorporated into a mandated licensing basis document, the activity is no longer tracked/treated as a commitmentNonconformance with a commitment is not a violation"Notice of deviation" can be issued under enforcement policyChanges related to commitments may be made by the licensee without prior NRC approvalIntent to change a commitment with safety significance/regulatory interest should be communicated to NRCLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 19 COMMITMENTS MADE BY LICENSEES (CONT'D)In response to Generic Letters and BulletinsRequirements if incorporated by NRC into licenseCannot require compliance unless specific requirement (e.g., order) used to make enforceableIn 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 commitmentThe promise to complete it within a specified time is a commitmentLICENSING BASIS AND BACKFITTING WORKSHOP

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-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 NRC's approval process will typically yield more specific requirements

-e.g., Technical Specifications.If the GDCis prescriptive and the TSand other licensee requirements do not speak to the matter in question, the GDCcan be regarded as an ongoing (post

-design) requirement.Otherwise, quality assurance (QA) programs typically address nonconformance with design requirements.LICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 21

Reference:

ML16355A258 GUIDANCE/VOLUNTARY ACTION NON

-CONFORMANCEIn general, no violation for failing to follow:NUREGRegulatory GuideFSAR, as updatedWritten CommitmentGuidance is only required to be followed if elevated to a specific requirementLicense ConditionAppendix A to the Operating LicenseOrderLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 22Farley TMIAction Item Order: ML013100353 INITIAL DETERMINATIONS FOR A NEW ISSUEWhat 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, guidanceRisk analyses (Appendix D to Standard Review Plan Section 19.2

LIC-504)Quantitative and/or qualitativeLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 23 EXERCISELICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 24 EXERCISE -TECHNICAL SPECIFICATION SURVEILLANCE FAILUREA facility has a unique design for the auxiliary feedwatersystem. 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 licensee's risk assessment identified a non

-safety component that could be used to lower the core damage frequency.LICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 25 EXERCISE-TECHNICAL SPECIFICATION LIMITING CONDITIONCurrently, 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, 1967Operating Licenses

-February 1973 through July 1974Renewed Licenses

-May 23, 2000LICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 26 LICENSING BASIS FLOW CHARTLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 27Start EndPre-GDCApplyAppendix A GDC ApplyAppendix A 196250.36(c)(2) 196950.36(c)(2) 1996CP > 1971CP > 1/16/69 OL> 8/18/95 NoYes OL> 5/17/82Shall address SRPYesYes NoYes No No LICENSING BASIS FLOW CHARTLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 28Start EndPre-GDCApplyAppendix A GDC ApplyAppendix A 196250.36(c)(2) 196950.36(c)(2) 1996CP > 1971CP > 1/16/69 OL> 8/18/95 NoYes OL> 5/17/82Shall address SRPYesYes NoYes No No LICENSING BASIS FLOW CHARTLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 29Start EndPre-GDCApplyAppendix A GDC ApplyAppendix A 196250.36(c)(2) 196950.36(c)(2) 1996CP > 1971CP > 1/16/69 OL> 8/18/95 NoYes OL> 5/17/82Shall address SRPYesYes NoYes No No LICENSING/DESIGN BASIS CHANGESLicensing actionsExemptionsAmendmentsOrdersRule 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

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-MODULE 1 (LICENSING AND DESIGN BASES) 30 GOING FORWARDLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 31 ADDRESSING SAFETY/SECURITY ISSUES IN LICENSINGBe sure when looking at a potential compliance issue to determine the following:Plant-specific licensing/design basisApplicability of specific regulation or guidanceBe sure to write safety evaluations with consideration of the following:What do you understand is the basis of the applicant's request? (Section 3.0)What requirements/guidance are you basing your regulatory finding on? (Section 2.0)Revision number and dateWhat 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

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-MODULE 1 (LICENSING AND DESIGN BASES) 32 ADDRESSING SAFETY/SECURITY ISSUES IN INSPECTIONBe sure when looking at a potential compliance issue to determine:Plant specific licensing/design basisApplicability of specific regulation or guidanceBe 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

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-MODULE 1 (LICENSING AND DESIGN BASES) 33 UNDERSTANDING THE PLANT

-SPECIFIC LICENSING BASISSome documents are readily available:10 CFRLicense /

TS (ML101940006

)FSARDCD(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 responsesGuidance documents, standards, etc. used in NRC approvalsLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 34 KEY MESSAGESAdequate protection is assured by compliance with requirementsNot all components of the current licensing basis are obligations (requirements)Most amendments are voluntaryIt is important to know the current requirements for a specific facility before imposing new onesEnforcing applicable requirements is NOT a backfitLICENSING BASIS AND BACKFITTING WORKSHOP

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-MODULE 1 (LICENSING AND DESIGN BASES) 35 TOOLS AND CONTACTSToolsInformal Q&A with contacts

-ensure specific plantis referenced (answer may change)Task interface agreement (for plant

-specific inquiries to NRC Headquarters)Other processes for generic concerns

-Generic Issues, generic communications, etc.ContactsPlant project manager (NRR/DORL , NRO/DNRL)Backfitting points of contact (see Introduction)LICENSING BASIS AND BACKFITTING WORKSHOP

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