RIS 2003-18, Use of Nuclear Energy Institute (NEI) 99-01, Methodology for Development of Emergency Action Levels, Revision 4, Dated January 2003: Difference between revisions

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{{Adams
{{Adams
| number = ML032580518
| number = ML041550395
| issue date = 10/08/2003
| issue date = 07/13/2004
| title = Use of NEI 99-01, Methodology for Development of Emergency Action Levels, Revision 4, Dated January 2003
| title = Use of Nuclear Energy Institute (NEI) 99-01, Methodology for Development of Emergency Action Levels, Revision 4, Dated January 2003
| author name = Beckner W D
| author name = Beckner W D
| author affiliation = NRC/NRR/DIPM
| author affiliation = NRC/NRR/DIPM/IROB
| addressee name =  
| addressee name =  
| addressee affiliation =  
| addressee affiliation =  
| docket =  
| docket =  
| license number =  
| license number =  
| contact person = Blount T 415-1501
| contact person = Casto  G NUEPPO 415-4072
| case reference number = NEI-99-01, TAC M76820
| case reference number = TAC MC3249
| document report number = RIS-03-018
| document report number = RIS-03-018, Suppl 1
| document type = NRC Regulatory Issue Summary
| document type = NRC Regulatory Issue Summary
| page count = 10
| page count = 7
}}
}}
See also: [[followed by::RIS 2003-18]]
{{#Wiki_filter:UNITED STATESNUCLEAR REGULATORY COMMISSIONOFFICE OF NUCLEAR REACTOR REGULATIONWASHINGTON, D.C.  20555-0001July 13, 2004NRC REGULATORY ISSUE SUMMARY 2003-18, SUPPLEMENT 1,USE OF NUCLEAR ENERGY INSTITUTE (NEI) 99-01, "


=Text=
===METHODOLOGY===
{{#Wiki_filter:
FOR DEVELOPMENT OF EMERGENCY ACTION LEVELS,"REVISION 4, DATED JANUARY 2003
[[Issue date::October 8, 2003]]


NRC REGULATORY ISSUE SUMMARY 2003-18USE OF NEI 99-01,"METHODOLOGY FOR DEVELOPMENT OF EMERGENCY ACTIONLEVELS," REVISION 4, DATED JANUARY 2003ADDRESSEESAll holders of operating licenses for nuclear power reactors and licensees that havepermanently ceased operations and have certified that fuel has been permanently removed from the reactor vessel.INTENTThe U.S. Nuclear Regulatory Commission (NRC) is issuing this regulatory issue summary (RIS)to inform addressees that the NRC has reviewed Nuclear Energy Institute (NEI) 99-01
==ADDRESSEES==
"Methodology for Development of Emergency Action Levels", Revision 4, January 2003, and is endorsing the report for use as guidance in developing or changing a standard emergency classification and action level schem In addition, this RIS provides recommendations to assist licensees in determining whether to seek prior NRC approval of deviations from the new guidanc This RIS requires no action or written response on the part of an addressee.BACKGROUND INFORMATIONThe regulations governing the development and implementation of emergency action levels(EALs) for nuclear power licensees are contained in 10 CFR Part 50:Section 50.47(b)(4) states, in part: "A standard emergency classification and action levelscheme, the bases of which include facility system and effluent parameters, is in use by the nuclear facility licensee..."ML032580518 RIS 2003-18Page 2 of 5Section IV.B of Appendix E to 10 CFR Part 50 states in part: "These emergency actionlevels shall be discussed and agreed on by the applicant and State and local governmental authorities and approved by the NRC..."Section IV.C, of Appendix E to 10 CFR Part 50 states in part: "Emergency action levels(based not only on onsite and offsite radiation monitoring information but also on readings from a number of sensors that indicate a potential emergency, such as the pressure in containment and the response of the Emergency Core Cooling System) for notification of offsite agencies shall be described...The emergency classes defined shall include: (1) notification of unusual events, (2) alert, (3) site area emergency, and (4)
All holders of operating licenses for nuclear power reactors and licensees that havepermanently ceased operations and have certified that fuel has been permanently removed from the reactor vessel.
general emergency..."The guidance documents used to review EAL schemes are identified in RegulatoryGuide 1.101, "Emergency Planning and Preparedness for Nuclear Power Reactors." Revision 2 of Regulatory Guide 1.101 states in part: "The criteria and recommendationscontained in Revision 1 of NUREG-0654/FEMA-REP-1 are considered by the NRC staff to be acceptable methods for complying with the standards in 10 CFR 50.47 that must be met in onsite and offsite emergency response plans." NUREG-O654/FEMA-REP-1,Revision 1, "Criteria for Preparation and Evaluation of Radiological EmergencyResponse Plans and Preparedness in Support of Nuclear Power Plants," includes thefollowing criteria for EALs:Section Il.D.1:"An emergency classification and emergency action level schemeas set forth in Appendix 1 must be established by the licensee."Section ll.D.2:"The initiating conditions shall include the example conditionsfound in Appendix 1 [of NUREG-0654]..."Revision 3 of Regulatory Guide 1.101 endorsed NUMARC/NESP-007, "Methodology forDevelopment of Emergency Action Levels," Revision 2, dated January 1992, as anacceptable alternative to NUREG-0654 for developing EAL schemes. In Section D,
"Implementation" the regulatory guide states:Except in those cases in which an applicant or licensee proposesan acceptable alternative method for complying with specific portions of the Commission's regulations, the method described inthis regulatory guide will be used in the evaluation of emergency plans and preparedness for nuclear power reactors.After using the NUMARC/NESP-007 guidance for sometime, the industry and NRC identifiedimprovement Many of the industry-identified improvements were captured in NUMARC's 1In a letter dated June 10, 1993, the NRC concluded that the "answers" in the Q&Adocument met the intent of Revision 3 of Regulatory Guide 1.101.RIS 2003-18Page 3 of 5June 1993 "Question and Answer" (Q&A) document In addition, during its review of EALschemes developed using NUMARC/NESP-007, the NRC noted areas where the guidance could be improved to permit less resource-intensive review SUMMARY OF ISSUEThe purpose of this RIS is to inform licensees that the NRC has revised RegulatoryGuide 1.101 to endorse the updated industry guidance in NEI 99-01, Revision According to 10 CFR Part 50, Appendix E, Section IV.B, EALs developed by licensees must be agreed on by offsite emergency response authorities and approved by NR Licensees may use NEI 99-01, Revision 4 as an alternative to the NUREG-0654 methodology to develop EALs that are agreeable to offsite emergency response authorities and acceptable to NR Additionally, the RIS offers staff suggestions to aid licensees in determining whether to obtain prior NRC approval of changes to their existing EAL scheme in accordance with 10 CFR Part 50, Appendix E.The emergency planning standard of 10 CFR 50.47(b)(4) requires that licensees use astandard emergency classification and action level schem The method described in Regulatory Guide 1.101, Revision 4, will be used in the evaluation of emergency plans and preparedness for nuclear power reactors, except where an acceptable alternative method for complying with specific portions of the Commission's regulations is proposed or in us TheNRC staff will use the guidance documents identified in that regulatory guide to review the scheme chosen.The staff recognizes that all changes to EALs do not warrant NRC review and approva Licensees may make changes to their emergency plans without prior Commission approval when the changes do not decrease the effectiveness of the plans and the plans, as changed, continue to meet the standards of 10 CFR 50.47(b) and the requirements of Appendix Licensees adopting this latest guidance should consider the application of 10 CFR 50.54(q) and Appendix E, Section IV.B, as appropriat In this regard licensees should consider the following:A.NUREG-0654 users converting to NEI 99-01, Revision 4, should seek NRC priorapproval since this is a change in scheme.B.NUREG-0654 users updating their existing EAL guidance to include shutdown ordecommissioning EALs should seek prior approval since these changes can significantly modify existing classification schemes.C.NUREG-0654 users implementing Independent Spent Fuel Storage Installation (ISFSI)EALs in addition to an existing scheme should implement changes under 10 CFR 50.54(q) since the changes in this category are enhancements to the existing classification scheme.D.NUMARC-007 users implementing decommissioning EALs should seek NRC priorapproval since decommissioning is a significant change in operating conditio RIS 2003-18Page 4 of 5E.NUMARC-007 users implementing shutdown EALs or ISFSI EALs or updating EALs toinclude lessons learned from NEI 99-01, Revision 4, should implement changes under 10 CFR 50.54(q) since these changes are enhancements to the existing classification scheme.F.Licensees with hybrid EALs schemes that do not meet any one of the above conditionsshould submit changes for prior approval with the exception of implementing ISFSI EALs in addition to an existing scheme.The following staff suggestions are intended to enhance the review proces They are notmandatory or expected to form the basis for a licensees submittal, nor do they address all the possible issue Licensees should: 1.Identify the basis document for the current and proposed EAL schemes.


2.Provide a clear, unambiguous statement of the status of the State and local authority'sagreement to the proposed EAL revision.3.Provide a cross-reference relating the proposed EAL scheme to the appropriate"standard" EAL scheme numbering system.4.For each deviation from the guidance state why the deviation is appropriate for thefacility, why it does not decrease effectiveness, and how the revised EAL continues to protect health and safety within the proposed schem Such deviations include instances where the licensee elects not to implement one or more EALs from the applicable basis document, or proposes an EAL not found in the basis document.Licensees should follow their regulatory action submittal process and consider the items abovewithin that framework.BACKFIT DISCUSSIONThis RIS requires no action or written respons Any action on the part of addressees to adoptthe EAL development methodology in NEI 99-01, Revision 4, in accordance with the guidance contained in this RIS is strictly voluntary and, therefore, is not a backfit under 10 CFR 50.10 Consequently, the staff did not perform a backfit analysis.FEDERAL REGISTER NOTIFICATIONA notice of opportunity for public comment on this RIS was not published in the FederalRegister because it is informationa NRC worked with NEI, industry representatives, membersof the public, and other stakeholders in developing Revision 4 to Regulatory Guide 1.101 to endorse NEI 99-0 Proposed Revision 4 to Regulatory Guide 1.101 was issued for public comment as Draft Regulatory Guide DG-1075 in March 200 RIS 2003-18Page 5 of 5PAPERWORK REDUCTION ACT NOTIFICATIONThis RIS does not request any information collection.If you have any questions about this matter, please contact the person listed below./RA/William D. Beckner, Chief Reactor Operations Branch Division of Licensing Program Management Office of Nuclear Reactor RegulationTechnical Contact:Thomas Blount, NRR301-415-1501 E-mail: txb1@nrc.gov
==INTENT==
The Nuclear Regulatory Commission (NRC) is providing this regulatory issue summary (RIS) tosupplement previously issued information in RIS 2003-18, "Use of NEI 99-01, 'Methodology for Development of Emergency Action Levels,' Revision 4, dated January 2003." The NRC is clarifying technical positions regarding the revision of emergency action levels (EALs). This RIS requires no action or written response on the part of an addressee.


===Attachment:===
==BACKGROUND INFORMATION==
List of Recently Issued NRC Regulatory Issue Summaries RIS 2003-18Page 5 of 5PAPERWORK REDUCTION ACT NOTIFICATIONThis RIS does not request any information collection.If you have any questions about this matter, please contact the person listed below./RA/William D. Beckner, Chief Reactor Operations Branch Division of Licensing Program Management Office of Nuclear Reactor RegulationTechnical Contact:Thomas Blount, NRR301-415-1501 E-mail: txb1@nrc.gov  
Recently, the NRC has reviewed licensee processes for emergency action level (EAL) changesand issued findings related to the improper implementation of EAL changes.  In one recent example, a licensee made improvements to its emergency plan change process to require approval of proposed emergency plan changes by the station regulatory affairs department and the plant operations review committee.  That licensee subsequently submitted changes to EALs which were not of sufficient detail to support NRC review.  The NRC asked the licensee to withdraw the proposed changes.  The NRC staff has received several recent prior approval submittals from licensees convertingEALs to the endorsed NEI 99-01, Revision 4 scheme.  Those submittals have been inconsistent in format and quality.  The staff has conducted a review of NRC guidance and held discussions with the industry to ensure a common understanding of expectations for implementation of EAL
revisions consistent with RIS 2003-18.  The most recent information was received from a public ML041550395 RIS 2003-18, Sup 1 workshop held on April 26, 2004 (ADAMS Accession No. ML041210096), to discuss practicesfor making EAL changes.  The NRC staff believes that additional explanation regarding documentation for proposed EAL changes could be helpful.The regulations governing the development and implementation of EALs for nuclear powerlicensees are contained in 10 CFR Part 50.  Guidance documents used to review EAL schemes are identified in Regulatory Guide 1.101, "Emergency Planning and Preparedness for NuclearPower Reactors," Revision 2 (dated October 1982), Revision 3 (dated August 1992), andRevision 4 (dated October 2003). RIS 2003-18 describes the 10 CFR Part 50 sections and guidance references in detail, as theypertain to EAL revisions.  The details contained in RIS 2003-18 remain applicable to this RIS.
 
==SUMMARY OF ISSUE==
The purpose of this RIS is to supplement previously issued information in RIS 2003-18 byclarifying technical positions regarding the revision of EALs.  Specifically, this RIS provides clarification on the level of detail licensees need to provide to support proposed changes to EALs.  RIS 2003-18 contained staff suggestions intended to enhance the review process.
 
These suggestions were discussed during the April 26, 2004, public workshop.  As evidenced by recent licensee submittals for NRC prior approval of EAL changes, and asreinforced by discussion with licensees prior to and during the April 26, 2004 public workshop, licensees have not consistently provided the level of detail necessary to allow the NRC to effectively review proposed EAL changes.  Further, the information in RIS 2003-18 did not appear to provide sufficient explanation of the expectations which NRC intended for the example EAL change scenarios discussed in RIS 2003-18.  The following information was provided to the public in the April 26, 2004 workshop and may be useful to licensees preparing EAL revisions.General ExpectationsAs discussed in RIS 2003-18, the staff recognizes that certain EAL changes do not warrantNRC review and approval, and that licensees may make changes to EALs without prior NRC
approval when changes do not decrease the effectiveness of the emergency plan and continue to meet the standards of 10 CFR 50.47(b) and the requirements of Appendix E.  As also discussed in RIS 2003-18, certain other types of changes, such as scheme changes from EALs based on NUREG-0654 to EALs based on NUMARC/NESP-007 or NEI 99-01, should include a formal review and approval by NRC prior to implementation.  RIS 2003-18 provides detailed examples of the type of changes that should receive prior review and approval, as well as examples that are appropriate to implement in accordance with 10 CFR 50.54(q). Whether EAL changes warrant NRC prior approval or implementation per 50.54(q), it isrecommended that detailed documentation be compiled to justify the EAL changes.  EAL
justifications, which "stand alone" in the arrangement of documentation necessary to explain RIS 2003-18, Sup 1 proposed changes, will aid in supporting an efficient review process.  Supporting information,(such as engineering studies, calculations, referenced procedures, diagrams, maps, etc.), is useful. A pre-submittal conference between the licensee and the NRC, as referenced in 10 CFR2.101(a)(1), is often useful prior to the submittal of proposed EAL changes.  The conference serves to clarify the NRC's expectations for documentation and allows the licensee tounderstand the process by which the change will be evaluated, including NRC time estimations for completion of the review.Submittal DocumentationMethods which may provide for a more efficient and timely review process were discussed inthe April 26, 2004 public workshop.  Including the following information in EAL submittal documentation will facilitate the review process:(1) Summary Explanation A summary document, which generally explains the considerations applicable to the EALchange, provides the NRC reviewer information specific to the current EAL scheme, proposed EAL scheme, plant operational information, useful definitions applicable to understanding the EAL change, and emergency plan specific information that supports the EAL change.  Example information in the summary explanation includes:Contents in the submittal package, with an explanation for the contentsCurrent EAL scheme in useProposed EAL scheme on which the EAL change is basedCross-reference comparing scheme basis (NUMARC, NEI) to proposed EAL change(s)Specific discussion for the identification of differences and deviations from the proposedEAL scheme bases, including how changes are indicated for each difference anddeviationDescription of operational modes, as applicable to the specific unit(s)Discussion of applicable State and local government officials who have review andagreement authority for changes to EALs(2)  State/Local Government Official Agreement Documentation:
Review of and agreement with EAL changes by applicable State and local government officialsis required by 10 CFR Part 50, Appendix E.  Evidence of reviews and agreement, provided with the EAL change submittal, documents the level of explanation provided to government officials regarding the impact of the change to offsite agency emergency notifications.  For example, RIS 2003-18, Sup 1 where NUREG-0654 to NUMARC/NESP-007 or NEI 99-01 scheme changes result in a higheror lower classification for a specific event, documentation should be included to show that State and Local government officials were made aware of those changes in classifications. (3) Detailed Justification To facilitate a timely EAL review, a description of each EAL difference or deviation from thebasis scheme or prior NRC-approved site-specific hybrid EAL provides sufficient detail to "standalone" as justification for the proposed change.  It is recommended that supporting informationbe included (for prior approval submittals) or maintained for follow-up inspection (for 50.54(q)
implemented changes).  Supporting information includes technical document references, engineering reports, calculations, diagrams, maps, and procedures. Difference and DeviationA difference is an EAL change where the basis scheme guidance (NUREG, NUMARC, NEI)differs in wording but agrees in meaning and intent, such that classification of an event would be the same, whether using the basis scheme guidance or the site-specific proposed EAL.
 
Examples of differences include the use of site-specific terminology or administrative re-formatting of site-specific EALs.A deviation is an EAL change where the basis scheme guidance differs in wording and isaltered in meaning or intent, such that classification of the event could be different between the basis scheme guidance and the site-specific proposed EAL.  Examples of deviations includethe use of altered mode applicability, altering key words or time limits, or changing words of physical reference (protected area, safety-related equipment, etc.).  Good Industry Practices:The use of good industry practices in the preparation of EAL change documents is encouragedby the NRC.  As EAL changes occur, licensees are expected to gain experience and share information with the industry.  Assistance to licensees in the preparation of EAL change packages can be provided by the NRC during pre-submittal conferences, and may be beneficial in reducing regulatory burden through the consistent incorporation of acceptable practices by the licensee.
 
==BACKFIT DISCUSSION==
This RIS requires no action or written response.  Any action on the part of addressees to adoptthe information contained in this RIS is strictly voluntary and, therefore, is not a backfit under
10 CFR 50.109.  Consequently, the staff did not perform a backfit analysis.
 
RIS 2003-18, Sup 1
 
===FEDERAL REGISTER NOTIFICATION===
A notice of opportunity for public comment on this RIS was not published in the FederalRegister because it is informational.  NRC worked with NEI, industry representatives, members of the public, and other stakeholders to obtain information which was used in the development of this RIS.SMALL BUSINESS REGULATORY ENFORCEMENT FAIRNESS ACT OF 1996The NRC has determined that this action is not subject to the Small Business RegulatoryEnforcement Fairness Act of 1996.PAPERWORK REDUCTION ACT NOTIFICATIONThis RIS does not request any information collections and, therefore, is not subject to therequirements of the Paperwork Reduction Action of 1995 (44 U.S.C. 3501 et seq.).If you have any questions or wish to provide any feedback, please call the technical contact,listed below./RA/William D. Beckner, Chief Reactor Operations Branch Division of Inspection Program Management Office of Nuclear Reactor Regulation
 
===Technical Contact:===
Greg A. Casto, DPR/NSIR301-415-4072 Email:  gac@nrc.govAttachment:  List of Recently Regulatory Issue Summaries RIS 2003-18, Sup 1
 
===FEDERAL REGISTER NOTIFICATION===
A notice of opportunity for public comment on this RIS was not published in the FederalRegister because it is informational.  NRC worked with NEI, industry representatives, members of the public, and other stakeholders to obtain information which was used in the development of this RIS.SMALL BUSINESS REGULATORY ENFORCEMENT FAIRNESS ACT OF 1996The NRC has determined that this action is not subject to the Small Business RegulatoryEnforcement Fairness Act of 1996.PAPERWORK REDUCTION ACT NOTIFICATIONThis RIS does not request any information collections and, therefore, is not subject to therequirements of the Paperwork Reduction Action of 1995 (44 U.S.C. 3501 et seq.).If you have any questions or wish to provide any feedback, please call the technical contact,listed below./RA/William D. Beckner, Chief Reactor Operations Branch Division of Inspection Program Management Office of Nuclear Reactor Regulation
 
===Technical Contact:===
Greg A. Casto, DPR/NSIR301-415-4072 Email:  gac@nrc.govAttachment:  List of Recently Regulatory Issue SummariesDISTRIBUTION:ADAMS
RIS FileADAMS ACCESSION NUMBER: ML041550395*See previous concurrenceDOCUMENT NAME:  C:\ORPCheckout\FileNET\ML041550395.wpd  OFFICEDPR:NSIRTech EditorDPR:NSIRDPR:NSIROEOGCNAMEGACastoPEKleene*EWWeis*NLMamish*JLieberman*SCole*DATE06/09/200406/09/200406/21/200406/24/200406/29/200407/02/2004OFFICEPMASOCIOOES:IROB:DIPMA:SC:OES:IROB:DIPMC:IROB:DIPMNAMEDLMcCainBCStMaryCDPetroneWDBeckner/forWDBecknerDATE07/07200407/18/200407/12/200407/13/200407/13/2004OFFICIAL RECORD COPY
______________________________________________________________________________________OL = Operating License CP = Construction PermitAttachmentRIS 2003-18, Sup 1 LIST OF RECENTLY ISSUEDNRC REGULATORY ISSUE SUMMARIES_____________________________________________________________________________________Regulatory Issue  Date of Summary No.      Subject  IssuanceIssued to_____________________________________________________________________________________2004-11Supporting Information Associatedwith Requests For Withholding Proprietary Information06/29/2004All submitters of proprietaryinformation to the Nuclear Regulatory Commission.2004-10Preparation And Scheduling ofOperator Licensing Examinations06/14/2004All holders of operating licensesfor nuclear power reactors, except those who have permanently ceased operations and have certified that fuel has been permanently removed from the reactor vessel. 2004-09Status on Deferral of ActiveRegulation of Ground-water Protection At In Situ Leach Uranium Extraction Facilities06/07/2004All holders of materials licenses foruranium and thorium recovery facilities.2004-08Results of the License TerminationRule Analysis05/28/2004All holders of operating licensesfor nuclear power reactors, research and test reactors, as well as decommissioning sites.2004-07Release of Final Review Standard(RS)-002, "ProcessingApplications for Early Site Permits"05/19/2004All holders of operating licensesfor nuclear power reactors, all applicants for early site permits (ESPs), and all prospective vendors of nuclear power plants in the United States.2004-06Independent Survey of PowerReactor Licensees04/16/2004All holders of operating licensesfor nuclear power reactors except those who have permanently ceased operations and have certified that fuel has been permanently removed from the reactor vessel.Note:NRC generic communications may be received in electronic format shortly after they areissued by subscribing to the NRC listserver as follows:To subscribe send an e-mail to <listproc@nrc.gov >, no subject, and the followingcommand in the message portion:subscribe gc-nrr firstname lastname


===Attachment:===
List of Recently Issued NRC Regulatory Issue SummariesADAMS ACCESSION NUMBER: ML032580518DOCUMENT NAME:*See previous concurrenceC:\ORPCheckout\FileNET\ML032580518.wpdOFFICEIEPB:EPHP:DIPMTech EditorOES:IROB:DIPMIEPB:EPHP:DIPM NAMETBBlount*PKleene*CDPetrone*EWWeis*DATE07/24/200307/28/200307/31/200307/31/2003OFFICEC:IEPB:DIPMOGCSC:OES:IROB:DIPMC:IROB:DIPMNAMETRQuay*AFernandez*TReisWDBecknerDATE07/31/200309/08/200309/11/200310/08/2003OFFICIAL RECORD COPY
______________________________________________________________________________________OL = Operating License CP = Construction PermitAttachmentRIS 2003-18 Page 1 of 1LIST OF RECENTLY ISSUEDNRC REGULATORY ISSUE SUMMARIES_____________________________________________________________________________________Regulatory Issue Date of Summary N Subject IssuanceIssued to_____________________________________________________________________________________2003-17Complying with 10 CFR 35.59,"Recentness of Training," forBoard-certified Individuals Whose Training and Experience Were Completed More than 7 Years Ago10/03/2003All U.S. Nuclear RegulatoryCommission (NRC) medical-use licensees and NRC master materials license medical-use permittees.2003-16NRC Threat Advisory andProtective Measures System 10/07/2003(1) All Nuclear RegulatoryCommission (NRC) power reactor licensees. (2) All NRC research and test reactors. (3) All NRC decommissioning power reactors and independent spent fuel storage installations using wet storage. (4) All NRC independent spent fuel storage installations using dry storage. (5) All NRC Category I fuel facilitie (6) All NRC Category III fuel facilitie (7) The NRC regulated uranium conversion facilit (8) All NRC regulated gaseous diffusion plants. (9) All NRC power reactor licensees, research and test reactor licensees, independent spent fuel storage installation licensees, and special nuclear material licensees, who possess spent nuclear fuel; and all general licensees under 10 CFR 70.20a who transport spent nuclear fuel greater than 100 grams.2003-15Consolidation of the Region I andRegion Ii Materials Program09/05/2003All materials licensees.Note:NRC generic communications may be received in electronic format shortly after they areissued by subscribing to the NRC listserver as follows:To subscribe send an e-mail to <listproc@nrc.gov >, no subject, and the followingcommand in the message portion:subscribe gc-nrr firstname lastname
}}
}}
{{RIS-Nav}}

Revision as of 17:32, 6 April 2018

Use of Nuclear Energy Institute (NEI) 99-01, Methodology for Development of Emergency Action Levels, Revision 4, Dated January 2003
ML041550395
Person / Time
Issue date: 07/13/2004
From: Beckner W D
NRC/NRR/DIPM/IROB
To:
Casto G NUEPPO 415-4072
References
TAC MC3249 RIS-03-018, Suppl 1
Preceding documents:
Download: ML041550395 (7)


UNITED STATESNUCLEAR REGULATORY COMMISSIONOFFICE OF NUCLEAR REACTOR REGULATIONWASHINGTON, D.C. 20555-0001July 13, 2004NRC REGULATORY ISSUE SUMMARY 2003-18, SUPPLEMENT 1,USE OF NUCLEAR ENERGY INSTITUTE (NEI) 99-01, "

METHODOLOGY

FOR DEVELOPMENT OF EMERGENCY ACTION LEVELS,"REVISION 4, DATED JANUARY 2003

ADDRESSEES

All holders of operating licenses for nuclear power reactors and licensees that havepermanently ceased operations and have certified that fuel has been permanently removed from the reactor vessel.

INTENT

The Nuclear Regulatory Commission (NRC) is providing this regulatory issue summary (RIS) tosupplement previously issued information in RIS 2003-18, "Use of NEI 99-01, 'Methodology for Development of Emergency Action Levels,' Revision 4, dated January 2003." The NRC is clarifying technical positions regarding the revision of emergency action levels (EALs). This RIS requires no action or written response on the part of an addressee.

BACKGROUND INFORMATION

Recently, the NRC has reviewed licensee processes for emergency action level (EAL) changesand issued findings related to the improper implementation of EAL changes. In one recent example, a licensee made improvements to its emergency plan change process to require approval of proposed emergency plan changes by the station regulatory affairs department and the plant operations review committee. That licensee subsequently submitted changes to EALs which were not of sufficient detail to support NRC review. The NRC asked the licensee to withdraw the proposed changes. The NRC staff has received several recent prior approval submittals from licensees convertingEALs to the endorsed NEI 99-01, Revision 4 scheme. Those submittals have been inconsistent in format and quality. The staff has conducted a review of NRC guidance and held discussions with the industry to ensure a common understanding of expectations for implementation of EAL

revisions consistent with RIS 2003-18. The most recent information was received from a public ML041550395 RIS 2003-18, Sup 1 workshop held on April 26, 2004 (ADAMS Accession No. ML041210096), to discuss practicesfor making EAL changes. The NRC staff believes that additional explanation regarding documentation for proposed EAL changes could be helpful.The regulations governing the development and implementation of EALs for nuclear powerlicensees are contained in 10 CFR Part 50. Guidance documents used to review EAL schemes are identified in Regulatory Guide 1.101, "Emergency Planning and Preparedness for NuclearPower Reactors," Revision 2 (dated October 1982), Revision 3 (dated August 1992), andRevision 4 (dated October 2003). RIS 2003-18 describes the 10 CFR Part 50 sections and guidance references in detail, as theypertain to EAL revisions. The details contained in RIS 2003-18 remain applicable to this RIS.

SUMMARY OF ISSUE

The purpose of this RIS is to supplement previously issued information in RIS 2003-18 byclarifying technical positions regarding the revision of EALs. Specifically, this RIS provides clarification on the level of detail licensees need to provide to support proposed changes to EALs. RIS 2003-18 contained staff suggestions intended to enhance the review process.

These suggestions were discussed during the April 26, 2004, public workshop. As evidenced by recent licensee submittals for NRC prior approval of EAL changes, and asreinforced by discussion with licensees prior to and during the April 26, 2004 public workshop, licensees have not consistently provided the level of detail necessary to allow the NRC to effectively review proposed EAL changes. Further, the information in RIS 2003-18 did not appear to provide sufficient explanation of the expectations which NRC intended for the example EAL change scenarios discussed in RIS 2003-18. The following information was provided to the public in the April 26, 2004 workshop and may be useful to licensees preparing EAL revisions.General ExpectationsAs discussed in RIS 2003-18, the staff recognizes that certain EAL changes do not warrantNRC review and approval, and that licensees may make changes to EALs without prior NRC

approval when changes do not decrease the effectiveness of the emergency plan and continue to meet the standards of 10 CFR 50.47(b) and the requirements of Appendix E. As also discussed in RIS 2003-18, certain other types of changes, such as scheme changes from EALs based on NUREG-0654 to EALs based on NUMARC/NESP-007 or NEI 99-01, should include a formal review and approval by NRC prior to implementation. RIS 2003-18 provides detailed examples of the type of changes that should receive prior review and approval, as well as examples that are appropriate to implement in accordance with 10 CFR 50.54(q). Whether EAL changes warrant NRC prior approval or implementation per 50.54(q), it isrecommended that detailed documentation be compiled to justify the EAL changes. EAL

justifications, which "stand alone" in the arrangement of documentation necessary to explain RIS 2003-18, Sup 1 proposed changes, will aid in supporting an efficient review process. Supporting information,(such as engineering studies, calculations, referenced procedures, diagrams, maps, etc.), is useful. A pre-submittal conference between the licensee and the NRC, as referenced in 10 CFR2.101(a)(1), is often useful prior to the submittal of proposed EAL changes. The conference serves to clarify the NRC's expectations for documentation and allows the licensee tounderstand the process by which the change will be evaluated, including NRC time estimations for completion of the review.Submittal DocumentationMethods which may provide for a more efficient and timely review process were discussed inthe April 26, 2004 public workshop. Including the following information in EAL submittal documentation will facilitate the review process:(1) Summary Explanation A summary document, which generally explains the considerations applicable to the EALchange, provides the NRC reviewer information specific to the current EAL scheme, proposed EAL scheme, plant operational information, useful definitions applicable to understanding the EAL change, and emergency plan specific information that supports the EAL change. Example information in the summary explanation includes:Contents in the submittal package, with an explanation for the contentsCurrent EAL scheme in useProposed EAL scheme on which the EAL change is basedCross-reference comparing scheme basis (NUMARC, NEI) to proposed EAL change(s)Specific discussion for the identification of differences and deviations from the proposedEAL scheme bases, including how changes are indicated for each difference anddeviationDescription of operational modes, as applicable to the specific unit(s)Discussion of applicable State and local government officials who have review andagreement authority for changes to EALs(2) State/Local Government Official Agreement Documentation:

Review of and agreement with EAL changes by applicable State and local government officialsis required by 10 CFR Part 50, Appendix E. Evidence of reviews and agreement, provided with the EAL change submittal, documents the level of explanation provided to government officials regarding the impact of the change to offsite agency emergency notifications. For example, RIS 2003-18, Sup 1 where NUREG-0654 to NUMARC/NESP-007 or NEI 99-01 scheme changes result in a higheror lower classification for a specific event, documentation should be included to show that State and Local government officials were made aware of those changes in classifications. (3) Detailed Justification To facilitate a timely EAL review, a description of each EAL difference or deviation from thebasis scheme or prior NRC-approved site-specific hybrid EAL provides sufficient detail to "standalone" as justification for the proposed change. It is recommended that supporting informationbe included (for prior approval submittals) or maintained for follow-up inspection (for 50.54(q)

implemented changes). Supporting information includes technical document references, engineering reports, calculations, diagrams, maps, and procedures. Difference and DeviationA difference is an EAL change where the basis scheme guidance (NUREG, NUMARC, NEI)differs in wording but agrees in meaning and intent, such that classification of an event would be the same, whether using the basis scheme guidance or the site-specific proposed EAL.

Examples of differences include the use of site-specific terminology or administrative re-formatting of site-specific EALs.A deviation is an EAL change where the basis scheme guidance differs in wording and isaltered in meaning or intent, such that classification of the event could be different between the basis scheme guidance and the site-specific proposed EAL. Examples of deviations includethe use of altered mode applicability, altering key words or time limits, or changing words of physical reference (protected area, safety-related equipment, etc.). Good Industry Practices:The use of good industry practices in the preparation of EAL change documents is encouragedby the NRC. As EAL changes occur, licensees are expected to gain experience and share information with the industry. Assistance to licensees in the preparation of EAL change packages can be provided by the NRC during pre-submittal conferences, and may be beneficial in reducing regulatory burden through the consistent incorporation of acceptable practices by the licensee.

BACKFIT DISCUSSION

This RIS requires no action or written response. Any action on the part of addressees to adoptthe information contained in this RIS is strictly voluntary and, therefore, is not a backfit under

10 CFR 50.109. Consequently, the staff did not perform a backfit analysis.

RIS 2003-18, Sup 1

FEDERAL REGISTER NOTIFICATION

A notice of opportunity for public comment on this RIS was not published in the FederalRegister because it is informational. NRC worked with NEI, industry representatives, members of the public, and other stakeholders to obtain information which was used in the development of this RIS.SMALL BUSINESS REGULATORY ENFORCEMENT FAIRNESS ACT OF 1996The NRC has determined that this action is not subject to the Small Business RegulatoryEnforcement Fairness Act of 1996.PAPERWORK REDUCTION ACT NOTIFICATIONThis RIS does not request any information collections and, therefore, is not subject to therequirements of the Paperwork Reduction Action of 1995 (44 U.S.C. 3501 et seq.).If you have any questions or wish to provide any feedback, please call the technical contact,listed below./RA/William D. Beckner, Chief Reactor Operations Branch Division of Inspection Program Management Office of Nuclear Reactor Regulation

Technical Contact:

Greg A. Casto, DPR/NSIR301-415-4072 Email: gac@nrc.govAttachment: List of Recently Regulatory Issue Summaries RIS 2003-18, Sup 1

FEDERAL REGISTER NOTIFICATION

A notice of opportunity for public comment on this RIS was not published in the FederalRegister because it is informational. NRC worked with NEI, industry representatives, members of the public, and other stakeholders to obtain information which was used in the development of this RIS.SMALL BUSINESS REGULATORY ENFORCEMENT FAIRNESS ACT OF 1996The NRC has determined that this action is not subject to the Small Business RegulatoryEnforcement Fairness Act of 1996.PAPERWORK REDUCTION ACT NOTIFICATIONThis RIS does not request any information collections and, therefore, is not subject to therequirements of the Paperwork Reduction Action of 1995 (44 U.S.C. 3501 et seq.).If you have any questions or wish to provide any feedback, please call the technical contact,listed below./RA/William D. Beckner, Chief Reactor Operations Branch Division of Inspection Program Management Office of Nuclear Reactor Regulation

Technical Contact:

Greg A. Casto, DPR/NSIR301-415-4072 Email: gac@nrc.govAttachment: List of Recently Regulatory Issue SummariesDISTRIBUTION:ADAMS

RIS FileADAMS ACCESSION NUMBER: ML041550395*See previous concurrenceDOCUMENT NAME: C:\ORPCheckout\FileNET\ML041550395.wpd OFFICEDPR:NSIRTech EditorDPR:NSIRDPR:NSIROEOGCNAMEGACastoPEKleene*EWWeis*NLMamish*JLieberman*SCole*DATE06/09/200406/09/200406/21/200406/24/200406/29/200407/02/2004OFFICEPMASOCIOOES:IROB:DIPMA:SC:OES:IROB:DIPMC:IROB:DIPMNAMEDLMcCainBCStMaryCDPetroneWDBeckner/forWDBecknerDATE07/07200407/18/200407/12/200407/13/200407/13/2004OFFICIAL RECORD COPY

______________________________________________________________________________________OL = Operating License CP = Construction PermitAttachmentRIS 2003-18, Sup 1 LIST OF RECENTLY ISSUEDNRC REGULATORY ISSUE SUMMARIES_____________________________________________________________________________________Regulatory Issue Date of Summary No. Subject IssuanceIssued to_____________________________________________________________________________________2004-11Supporting Information Associatedwith Requests For Withholding Proprietary Information06/29/2004All submitters of proprietaryinformation to the Nuclear Regulatory Commission.2004-10Preparation And Scheduling ofOperator Licensing Examinations06/14/2004All holders of operating licensesfor nuclear power reactors, except those who have permanently ceased operations and have certified that fuel has been permanently removed from the reactor vessel. 2004-09Status on Deferral of ActiveRegulation of Ground-water Protection At In Situ Leach Uranium Extraction Facilities06/07/2004All holders of materials licenses foruranium and thorium recovery facilities.2004-08Results of the License TerminationRule Analysis05/28/2004All holders of operating licensesfor nuclear power reactors, research and test reactors, as well as decommissioning sites.2004-07Release of Final Review Standard(RS)-002, "ProcessingApplications for Early Site Permits"05/19/2004All holders of operating licensesfor nuclear power reactors, all applicants for early site permits (ESPs), and all prospective vendors of nuclear power plants in the United States.2004-06Independent Survey of PowerReactor Licensees04/16/2004All holders of operating licensesfor nuclear power reactors except those who have permanently ceased operations and have certified that fuel has been permanently removed from the reactor vessel.Note:NRC generic communications may be received in electronic format shortly after they areissued by subscribing to the NRC listserver as follows:To subscribe send an e-mail to <listproc@nrc.gov >, no subject, and the followingcommand in the message portion:subscribe gc-nrr firstname lastname