Ri

kI

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tiIn

tern

atio

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tom

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nerg

y A

genc

y

Ris

k–In

form

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pplic

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Ris

k-In

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on2)

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or C

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Spe

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atm

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uire

men

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IAE

AW

orks

hop

IAE

A W

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hop

Saf

ety

Goa

ls a

nd IR

IDM

Pro

cess

Nov

embe

r 11-

15, 2

013

See

Men

g W

ong,

PhD

U.S

. Nuc

lear

Reg

ulat

ory

Com

mis

sion

SM

W@

See

-Men

g.W

ong@

nrc.

gov

Pre

sent

atio

nO

utlin

eP

rese

ntat

ion

Out

line

R

isk

Info

rmed

Tech

nica

lSpe

cific

atio

n(R

ITS

)

Ris

k-In

form

ed T

echn

ical

Spe

cific

atio

n (R

I-TS

)

Exa

mpl

e of

Ris

k-In

form

ed T

echn

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Spe

cific

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n C

hang

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hang

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Ju

stifi

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pera

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N

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men

tDis

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men

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S

ilT

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it

10C

FR

Spe

cial

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atm

ent R

equi

rem

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~ 1

0 C

FR

50.6

9

2

Ris

kIn

form

edA

pplic

atio

nI

Ris

k-In

form

ed A

pplic

atio

n I

Ris

k-In

form

edT

hi

lSifi

tiTe

chni

cal S

peci

ficat

ion

(RIT

S)

(RI-T

S)

3

Ris

k-In

form

ed T

echn

ical

Spe

cific

atio

n (R

ITS

)(R

I-TS

)

Oft

ht

fl

ik

if

d

One

of t

he m

ost s

ucce

ssfu

l ris

k-in

form

ed

appl

icat

ions

in th

e U

S

A

ll lic

ense

es h

ave

impl

emen

ted

som

e as

pect

of R

I-TS

p

4

Ris

k-In

form

ed T

echn

ical

Spe

cific

atio

n (R

ITS

)(R

I-TS

)

Gen

eral

Phi

loso

phy:

App

lyris

kin

sigh

tsfro

mP

SA

toG

ener

al P

hilo

soph

y: A

pply

risk

insi

ghts

from

PS

A to

es

tabl

ish

and

man

age

plan

t ope

ratio

nal l

imits

and

re

quire

men

ts

R

egul

ator

y G

uide

1.1

77 u

sed

in c

onju

nctio

n w

ith

Reg

ulat

ory

Gui

de 1

.174

for N

RC

pos

ition

on

RI-T

S

prog

ram

sp

g

Jo

int I

ndus

try/N

RC

initi

ativ

es to

est

ablis

h m

etho

ds to

ap

ply

PS

A to

Tec

hnic

al S

peci

ficat

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enef

its:

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prov

ed s

afet

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cus

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igni

fican

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ms/

issu

es

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ibili

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laxa

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quire

men

tsw

hen

appr

opria

te

Flex

ibili

ty/re

laxa

tion

of re

quire

men

ts w

hen

appr

opria

te

5

RIT

SIn

itiat

ives

RI-T

S In

itiat

ives

In

itiat

ive

1:M

odifi

edE

ndS

tate

s–

just

ifyre

mai

ning

ina

mod

eot

her

Initi

ativ

e 1:

Mod

ified

End

Sta

tes

just

ify re

mai

ning

in a

mod

e ot

her

than

col

d sh

utdo

wn

whe

n eq

uipm

ent i

s in

oper

able

In

itiat

ive

2: M

isse

d S

urve

illan

ce T

est –

just

ify a

dditi

onal

tim

e to

co

mpl

ete

am

isse

dte

stco

mpl

ete

a m

isse

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st

In

itiat

ive

3: M

odify

exi

stin

g m

ode

rest

rain

t log

ic to

allo

w e

ntry

into

hi

gher

mod

e lim

iting

con

ditio

ns fo

r ope

ratio

n (L

CO

s)

In

itiat

ive

4a:

TS C

ompl

etio

n Ti

me

(CT)

Ext

ensi

ons

–ju

stify

ex

tens

ions

of s

elec

ted

syst

em C

Ts

In

itiat

ive

4b:

Ris

k M

anag

ed T

S –

allo

w fl

exib

le C

Ts b

ased

on

gco

nfig

urat

ion-

spec

ific

risk

calc

ulat

ions

and

risk

man

agem

ent a

ctio

ns

usin

g N

RC

app

rove

d m

etho

dolo

gy

6

RI-T

S In

itiat

ives

(Con

tinue

d)

In

itiat

ive

5:E

xten

sion

ofS

urve

illan

ceTe

stIn

terv

als

-sta

ffap

prov

edIn

itiat

ive

5: E

xten

sion

of S

urve

illan

ce T

est I

nter

vals

st

aff a

ppro

ved

risk-

info

rmed

met

hodo

logy

to a

llow

lice

nsee

con

trol o

f tes

t int

erva

ls

In

itiat

ive

6: M

odifi

catio

n of

LC

O 3

.0.3

(shu

tdow

n) –

chan

ges

to

requ

ired

actio

nsan

dtim

esre

quire

d ac

tions

and

tim

es

In

itiat

ive

7a:

Snu

bber

s-d

elay

LC

Os

entry

due

to re

mov

al o

f sn

ubbe

rsfo

r tes

ting/

mai

nten

ance

In

itiat

ive

7b:

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ard

Bar

riers

-de

lay

LCO

ent

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ue to

rem

oval

of

haza

rd b

arrie

rs to

sup

port

mai

nten

ance

In

itiat

ive

8: R

emov

al o

f non

risk

-sig

nific

ant L

CO

s fro

m T

S s

cope

gp

7

Ris

kIn

form

edTe

chni

calS

peci

ficat

ions

Ris

k-In

form

ed T

echn

ical

Spe

cific

atio

ns

E

ach

initi

ativ

eca

nin

volv

eso

me

com

bina

tion

of:

E

ach

initi

ativ

e ca

n in

volv

e so

me

com

bina

tion

of:

To

pica

l Rep

ort a

ppro

ving

the

gene

ric c

hang

e

Sta

ndar

d Te

chni

cal S

peci

ficat

ion

chan

ge p

ropo

sal

with

a T

echn

ical

Spe

cific

atio

n Ta

sk F

orce

des

igna

tor

P

ilot p

lant

sub

mitt

al to

test

the

chan

gep

g

A C

onso

lidat

ed L

ine

Item

Impr

ovem

ent P

roce

ss

(CLI

IP) p

acka

ge•

Des

crib

edin

NR

CR

egul

ator

yIs

sue

Sum

mar

y20

00-0

6,D

escr

ibed

in N

RC

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ulat

ory

Issu

e S

umm

ary

2000

06,

“Con

solid

ated

Lin

e Ite

m Im

prov

emen

t Pro

cess

for A

dopt

ing

Sta

ndar

d Te

chni

cal S

peci

ficat

ions

Cha

nges

for P

ower

R

eact

ors,

” for

revi

ewin

g an

d im

plem

entin

g im

prov

emen

ts to

th

eS

tand

ard

Tech

nica

lSpe

cific

atio

nsth

e S

tand

ard

Tech

nica

l Spe

cific

atio

ns

8

Ris

k-In

form

ed T

echn

ical

Spe

cific

atio

ns~

Cha

lleng

es

Est

ablis

hing

the

appr

opria

tele

elof

PS

A

Est

ablis

hing

the

appr

opria

te le

vel o

f PS

A

qual

ity to

sup

port

each

app

licat

ion

S

cope

ofP

SA

mod

els

need

edfo

rspe

cific

S

cope

of P

SA

mod

els

need

ed fo

r spe

cific

ch

ange

s

eg

lack

ofde

taile

dfir

em

odel

sm

aym

ake

som

e

e.g.

, lac

k of

det

aile

d fir

e m

odel

s m

ay m

ake

som

e ap

plic

atio

ns n

ot p

ossi

ble

A

ddre

ssin

g m

odel

ass

umpt

ions

and

g

pun

certa

intie

s

9

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

S

ifiti

LiA

dtR

tS

peci

ficat

ion

Lice

nse

Am

endm

ent R

eque

st

R

eque

st:

Ext

end

the

curre

nt T

echn

ical

Spe

cific

atio

n q

p(T

S) e

mer

genc

y di

esel

gen

erat

or (E

DG

) Com

plet

ion

Tim

e (C

T) fr

om 3

day

s to

14

days

A

llow

sex

tend

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aint

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ceat

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Allo

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nded

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at-p

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inst

ead

of d

urin

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fuel

ing

outa

ge

S

ince

sub

mitt

al is

a ri

sk-in

form

ed li

cens

e am

endm

ent,

th

lif

dth

e lic

ense

e re

fere

nced

:

RG

1.1

74, “

An

App

roac

h fo

r Usi

ng P

RA

in R

isk-

Info

rmed

D

ecis

ions

on

Pla

nt-S

peci

fic C

hang

es to

the

Lice

nsin

g B

asis

”

R

G 1

.177

, “A

n A

ppro

ach

for P

lant

-Spe

cific

, Ris

k-In

form

ed

Dec

isio

n m

akin

g: T

echn

ical

Spe

cific

atio

ns”

10

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

p

Spe

cific

atio

n Li

cens

e A

men

dmen

t Req

uest

P

roce

ss fo

r rev

iew

of r

isk-

info

rmed

lice

nse

amen

dmen

t re

ques

ts:

PSA

Trad

ition

alA

naly

sis

1.D

efin

e 2.

Per

form

3.

Def

ine

4.S

ubm

it

Ana

lysi

s

Cha

nge

Eng

inee

ring

Ana

lysi

sIm

plem

enta

tion/

Mon

itorin

g P

rogr

am

Pro

pose

d C

hang

e

U

ses

the

5 ke

y pr

inci

ples

R

isk

acce

ptan

ce g

uide

lines

11* R

G 1

.174

, “A

n A

ppro

ach

for U

sing

Pro

babi

listic

Ris

k A

sses

smen

t in

Ris

k-In

form

ed D

ecis

ions

on

Pla

nt-S

peci

fic C

hang

es to

the

Lice

nsin

g B

asis

”

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

p

Spe

cific

atio

n Li

cens

e A

men

dmen

t Req

uest

2.C

hang

e is

con

sist

ent w

ith

defe

nse-

in-d

epth

phi

loso

phy.

5 K

ey

Prin

ciple

s

INTE

GR

ATE

DD

EC

ISIO

NM

AK

ING

1.C

hang

e m

eets

cur

rent

re

gula

tions

unl

ess

it is

ex

plic

itly

rela

ted

to a

n

3.M

aint

ain

suffi

cien

t sa

fety

mar

gins

.

DE

CIS

ION

MA

KIN

Gp

yex

empt

ion

or ru

le c

hang

e.

5U

sepe

rform

ance

4P

ropo

sed

incr

ease

sto

CD

F5.

Use

per

form

ance

-m

easu

rem

ent s

trate

gies

to

mon

itor t

he c

hang

e.

4.P

ropo

sed

incr

ease

s to

CD

F or

risk

are

sm

all a

nd a

re

cons

iste

nt w

ith th

e C

omm

issi

on’s

Saf

ety

Goa

l P

olic

y S

tate

men

t.

12

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

S

ifiti

LiA

dtR

tS

peci

ficat

ion

Lice

nse

Am

endm

ent R

eque

st

R

equi

red

info

rmat

ion

inlic

ense

esu

bmitt

al

Req

uire

d in

form

atio

n in

lice

nsee

sub

mitt

al1)

List

of a

pplic

able

regu

latio

ns a

nd h

ow a

re th

e re

gula

tions

bei

ng

met

2)Im

pact

ofth

ech

ange

onde

fens

ein

dept

h2)

Impa

ct o

f the

cha

nge

on d

efen

se in

dep

th3)

Impa

ct o

f the

cha

nge

on s

afet

y m

argi

ns4)

Ris

k as

sess

men

t)P

fi

5)P

erfo

rman

ce m

easu

rem

ent s

trate

gies

D

eter

min

istic

anal

ysts

revi

ewite

ms

#1,

2,3,

&5

Det

erm

inis

tic a

naly

sts

revi

ew it

ems

# 1,

2, 3

, & 5

P

SA

ana

lyst

s re

view

item

s #

4 &

5

13

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

S

ifiti

LiA

dtR

tS

peci

ficat

ion

Lice

nse

Am

endm

ent R

eque

st

P

art 1

: App

licab

le R

egul

atio

nspp

g

Lice

nsee

con

firm

ed th

at th

e ch

ange

mee

ts

the

a ppl

icab

le re

gula

tions

:pp

g•

Gen

eral

Des

ign

Crit

erio

n 17

, Ele

ctric

Pow

er S

yste

ms

–O

nsite

and

offs

ite e

lect

ric p

ower

sys

tem

s w

ill s

till p

rovi

de

capa

city

and

capa

bilit

yto

assu

refu

elan

dR

CS

desi

gnlim

itsar

eca

paci

ty a

nd c

apab

ility

to a

ssur

e fu

el a

nd R

CS

des

ign

limits

are

no

t exc

eede

d an

d vi

tal f

unct

ions

are

mai

ntai

ned

•G

ener

al D

esig

n C

riter

ion

18, I

nspe

ctio

n an

d Te

stin

g of

E

lect

ricP

ower

Sys

tem

sw

illst

illbe

met

Ele

ctric

Pow

er S

yste

ms

will

stil

l be

met

•10

CFR

50.

63 –

Sta

tion

Bla

ckou

t cop

ing

anal

ysis

not

im

pact

ed

10C

FR0

6W

illi

fM

iR

l•

10 C

FR 5

0.65

–W

ill s

atis

fy c

urre

nt M

aint

enan

ce R

ule

relia

bilit

y an

d av

aila

bilit

y go

als

14

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

p

Spe

cific

atio

n Li

cens

e A

men

dmen

t Req

uest

P

art2

:D

efen

sein

Dep

th

Par

t 2:

Def

ense

in D

epth

Li

cens

ee s

tate

d th

at th

ere

is n

o ac

tual

impa

ct

onde

fens

ein

dept

has

are

sult

ofth

ech

ange

:on

def

ense

in d

epth

as

a re

sult

of th

e ch

ange

:•

Fiss

ion

prod

uct b

arrie

rs n

ot im

pact

ed•

Equ

ipm

entr

edun

danc

yno

tim

pact

ed•

Equ

ipm

ent r

edun

danc

y no

t im

pact

ed•

Cur

rent

lice

nse

allo

ws

a pe

riod

of ti

me

whe

n th

e pl

ant d

oes

not m

eet t

he s

ingl

e fa

ilure

crit

erio

np

g–

Req

uest

ed c

hang

e in

volv

es o

nly

the

exte

nsio

n of

the

time

perio

d

15

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

S

ifiti

LiA

dtR

tS

peci

ficat

ion

Lice

nse

Am

endm

ent R

eque

st

P

art 3

: Saf

ety

Mar

gins

yg

R

G 1

.177

sta

tes

that

suf

ficie

nt s

afet

y m

argi

ns a

re

mai

ntai

ned

whe

n:A

libl

id

td

dt

dd

t•

App

licab

le in

dust

ry c

odes

and

sta

ndar

ds a

re m

et•

Saf

ety

anal

ysis

acc

epta

nce

crite

ria in

the

UFS

AR

are

met

Th

elic

ense

est

ates

that

exte

ndin

gth

eE

DG

Th

e lic

ense

e st

ates

that

ext

endi

ng th

e E

DG

C

ompl

etio

n Ti

me

(or A

llow

ed O

utag

e Ti

me)

:•

Doe

s no

t mod

ify o

r affe

ct c

ompl

ianc

e w

ith a

ny in

dust

ry

stan

dard

s•

Doe

s no

t red

uce

requ

irem

ents

for r

edun

dant

equ

ipm

ent t

o be

op

erab

le d

urin

g th

e ex

tend

ed C

ompl

etio

n Ti

me

•S

uffic

ient

redu

ndan

cyw

illbe

mai

ntai

ned

toen

sure

the

Suf

ficie

nt re

dund

ancy

will

be

mai

ntai

ned

to e

nsur

e th

e ac

cide

nt a

naly

ses

in th

e U

pdat

ed F

SA

R re

mai

n va

lid16

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

p

Spe

cific

atio

n Li

cens

e A

men

dmen

t Req

uest

P

art4

:Ris

kA

sses

smen

t

Par

t 4: R

isk

Ass

essm

ent

R

G 1

.177

3-ti

er a

ppro

ach:

•A

sses

sris

kbo

thav

erag

ean

dco

nfig

urat

ion

spec

ific

•A

sses

s ris

k, b

oth

aver

age

and

conf

igur

atio

n-sp

ecifi

c•

Pre

clud

e po

tent

ially

hig

h-ris

k pl

ant c

onfig

urat

ions

•H

ave

adeq

uate

prog

ram

s/pr

oced

ures

inpl

ace

toH

ave

adeq

uate

pro

gram

s/pr

oced

ures

in p

lace

to–

iden

tify

risk-

sign

ifica

nt p

lant

con

figur

atio

ns re

sulti

ng fr

om

mai

nten

ance

or o

ther

ope

ratio

nal a

ctiv

ities

–ta

keap

prop

riate

com

pens

ator

ym

easu

res

toav

oid

such

take

app

ropr

iate

com

pens

ator

y m

easu

res

to a

void

suc

h co

nfig

urat

ions

17

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

S

peci

ficat

ion

Lice

nse

Am

endm

entR

eque

stS

peci

ficat

ion

Lice

nse

Am

endm

ent R

eque

st

P

art4

Tier

1A

sses

sR

isk

P

art 4

, Tie

r 1 –

Ass

ess

Ris

k

Tech

nica

l ade

quac

y of

the

PS

A u

sed

for t

his

requ

est

requ

est

•M

odel

sco

pe•

Indu

stry

pee

r rev

iew

•C

onfo

rman

ceto

RG

120

0•

Con

form

ance

to R

G 1

.200

E

valu

atio

n of

the

PS

A re

sults

and

risk

insi

ghts

f

thi

tfo

r thi

s re

ques

t•

Com

pare

impa

ct o

n ris

k to

acc

epta

nce

guid

elin

es

of R

G 1

.174

and

RG

1.1

77 s

ince

this

is a

TS

ch

ange

18

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

p

Spe

cific

atio

n Li

cens

e A

men

dmen

t Req

uest

Req

uest

ed C

hang

e

19

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

p

Spe

cific

atio

n Li

cens

e A

men

dmen

t Req

uest

•Par

t4Ti

er2

Hig

hR

isk

Con

figur

atio

ns•P

art 4

, Tie

r 2 –

Hig

h R

isk

Con

figur

atio

ns

Lice

nsee

iden

tifie

d, u

p-fro

nt, p

oten

tially

hig

h-ris

k pl

ant

fiti

tiiti

hth

dC

Ti

conf

igur

atio

ns o

r act

iviti

es w

hen

the

prop

osed

CT

is

ente

red

Li

cens

eeim

pose

dap

prop

riate

rest

rictio

nson

thes

e

Lice

nsee

impo

sed

appr

opria

te re

stric

tions

on

thes

e co

nfig

urat

ions

or a

ctiv

ities

ass

ocia

ted

with

the

CT

exte

nsio

n ar

e in

pla

ce

20

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

S

ifiti

LiA

dtR

tS

peci

ficat

ion

Lice

nse

Am

endm

ent R

eque

st

P

art4

Tier

3R

isk

Man

agem

entP

rogr

am

Par

t 4, T

ier 3

–R

isk

Man

agem

ent P

rogr

am

The

licen

see

stat

ed th

at it

s M

aint

enan

ce R

ule

(a)(4

) pr

ogra

m s

atis

fies

the

inte

nt o

f Tie

r 3 b

ecau

se th

e lic

ense

e:•

Ass

esse

s an

d m

anag

es ri

sk o

f equ

ipm

ent r

emov

ed fr

om

serv

ice

prio

r to

or d

urin

g th

e pr

opos

ed e

xten

ded

AO

T pe

riod

•Id

entif

ies

risk-

sign

ifica

nt p

lant

con

figur

atio

ns re

sulti

ng fr

om

mai

nten

ance

or o

ther

ope

ratio

nal a

ctiv

ities

•Ta

kes

appr

opria

te c

ompe

nsat

ory

mea

sure

s

Rev

iew

ers

mus

t det

erm

ine

whe

ther

the

(a)(4

) pr

ogra

m m

eets

the

inte

nt o

f RG

1.1

77 T

ier 3

21

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

S

ifiti

LiA

dtR

tS

peci

ficat

ion

Lice

nse

Am

endm

ent R

eque

st

•Par

t5:P

erfo

rman

ceM

easu

rem

ent

•Par

t 5: P

erfo

rman

ce M

easu

rem

ent

Th

e lic

ense

e sh

ould

ens

ure

that

whe

n eq

uipm

ent

does

not

mee

t its

per

form

ance

crit

eria

, the

eva

luat

ion

p,

requ

ired

unde

r the

Mai

nten

ance

Rul

e (M

R) i

nclu

des

prio

r rel

ated

TS

cha

nges

in it

s sc

ope

Li

cens

ee s

tate

d th

at:

•Th

e E

DG

s ar

e m

onito

red

unde

r the

MR

pro

gram

in

acco

rdan

cew

ith10

CFR

5065

acco

rdan

ce w

ith 1

0 C

FR 5

0.65

•E

DG

s ar

e cu

rren

tly d

esig

nate

d “c

ateg

ory

(a)(

2) –

mee

ting

esta

blis

hed

relia

bilit

y an

d un

avai

labi

lity

goal

s”

22

Exa

mpl

e ~

Ris

k-In

form

ed T

echn

ical

S

ifiti

LiA

dtR

tS

peci

ficat

ion

Lice

nse

Am

endm

ent R

eque

st

O

utco

me

O

utco

me

Li

cens

e am

endm

ent i

ssue

d

S

afet

y E

valu

atio

n ex

cerp

t:•

“The

NR

Cst

afff

inds

that

the

licen

see'

spr

opos

edTh

e N

RC

sta

ff fin

ds th

at th

e lic

ense

es

prop

osed

ch

ange

to re

vise

the

TS to

per

mit

exte

ndin

g th

e C

T fro

m 3

day

s to

14

days

for a

n in

oper

able

ED

G is

ac

cept

able

beca

use

the

five

key

prin

cipl

esof

risk-

acce

ptab

le b

ecau

se th

e fiv

e ke

y pr

inci

ples

of r

isk

info

rmed

dec

isio

n m

akin

g id

entif

ied

in R

G 1

.174

an

d R

G 1

.177

hav

e be

en s

atis

fied.

”

23

Ris

k-In

form

edA

pplic

atio

nII

Ris

kIn

form

ed A

pplic

atio

n II

Just

ifica

tion

for C

ontin

ued

Oi

(JC

O)

Ope

ratio

n (J

CO

)

~ N

otic

e of

Enf

orce

men

t D

iscr

etio

n(N

OE

D)P

roce

ssD

iscr

etio

n (N

OE

D) P

roce

ss

24

Just

ifica

tion

for C

ontin

ued

Ope

ratio

n (J

CO

)~

Not

ice

of E

nfor

cem

ent D

iscr

etio

n (N

OE

D) P

roce

ss

Li

cens

eeR

eque

sts

Reg

ulat

ory

Act

ion

Whe

n:

Lice

nsee

Req

uest

s R

egul

ator

y A

ctio

n W

hen:

C

ircum

stan

ces

whe

re c

ompl

ianc

e w

ith a

Tec

hnic

al

Spe

cific

atio

n(T

S)

orot

herr

equi

rem

ent

wou

ldre

sult

Spe

cific

atio

n (T

S),

or o

ther

requ

irem

ent,

wou

ld re

sult

in in

appr

opria

te p

lant

con

ditio

ns th

at c

ould

affe

ct th

e he

alth

and

saf

ety

of th

e pu

blic

Th

e N

RC

sta

ff de

term

ines

whe

ther

to a

llow

the

licen

see

to v

iola

te th

e TS

with

out i

ssui

ng a

vi

olat

ion

for v

iola

ting

the

TS v

ia o

ne o

f tw

o w

ays:

Em

ergen

cy a

men

dm

ent

N

otic

e of

Enf

orce

men

t Dis

cret

ion

(NO

ED)

25

Not

ice

of E

nfor

cem

ent D

iscr

etio

n (N

OE

D)

()

~ W

hat i

s it?

N

RC

is e

xerc

isin

g its

dis

cret

ion

to N

OT

enfo

rce

gco

mpl

ianc

e w

ith th

e op

erat

ing

licen

se fo

r a s

peci

fied

time

perio

d

Topr

omot

esa

fety

byno

tim

posi

ngun

nece

ssar

ytra

nsie

nts

or

To p

rom

ote

safe

ty b

y no

t im

posi

ng u

nnec

essa

ry tr

ansi

ents

or

shut

dow

ns o

f an

oper

atin

g re

acto

r or u

nnec

essa

ry d

elay

s in

pl

ant s

tartu

ps w

ithou

t a c

orre

spon

ding

hea

th a

nd s

afet

y be

nefit

N

OE

Ds

are

not a

ppro

pria

te fo

r non

-con

form

ance

s w

ith

regu

latio

ns, U

pdat

ed F

inal

Saf

ety

Ana

lysi

s R

epor

ts

(UFS

AR

s)or

code

s(U

FSA

Rs)

, or c

odes

.

N

OE

D is

for t

empo

rary

and

non

recu

rring

requ

est -

it sh

ould

not

be

used

on

a re

gula

r bas

is a

s a

subs

titut

e fo

r g

com

plia

nce

26

Not

ice

of E

nfor

cem

ent D

iscr

etio

n (N

OE

D)

Wh

ttfN

OE

D?

~ W

hat t

ypes

of N

OE

Ds?

R

egul

arN

OE

D

Reg

ular

NO

ED

S

ituat

ions

invo

lvin

g ra

diol

ogic

al s

afet

y

App

licab

le fo

r pla

nts

at p

ower

, in

shut

dow

n, o

r atte

mpt

ing

to s

tart

up

N

atur

al E

vent

NO

ED

S

ever

ew

eath

er

Sev

ere

wea

ther

E

lect

rical

grid

inst

abili

ty

Pan

dem

ic c

ondi

tions

O

ther

nat

ural

phe

nom

ena

P

ublic

em

erge

ncie

s un

rela

ted

to n

atur

al e

vent

s

27

Not

ice

of E

nfor

cem

ent D

iscr

etio

n (N

OE

D)

()

~ Im

plem

enta

tion

Pro

cess

N

RC

Insp

ectio

n M

anua

l Cha

pter

041

0, “N

otic

es o

f p

p,

Enf

orce

men

t Dis

cret

ion,

” Mar

ch 2

013.

N

OE

D P

roce

ss

Com

mun

icat

ion

betw

een

licen

see

and

NR

C s

taff

•In

form

al d

iscu

ssio

ns fo

r inf

orm

atio

n ga

ther

ing

and

unde

rsta

ndin

g of

th

e si

tuat

ion

Fld

ii

th

th

ilb

ttt

hl

t•

Form

al d

iscu

ssio

n to

hea

r tec

hnic

al b

ases

to s

uppo

rt th

e re

gula

tory

de

cisi

on m

akin

g

Pro

cess

Con

side

ratio

ns•

Use

dw

hen

less

than

72ho

urs

until

the

TSre

quire

men

tsre

quire

sa

•U

sed

whe

n le

ss th

an 7

2 ho

urs

until

the

TS re

quire

men

ts re

quire

s a

shut

dow

n

•Li

cens

ee m

ay N

OT

wai

t unt

il th

e la

st m

inut

e so

that

they

can

avo

id a

lic

ense

am

endm

ent

•N

OT

allo

wed

forp

lann

eden

tries

into

TSR

equi

red

Act

ions

tope

rform

•N

OT

allo

wed

for p

lann

ed e

ntrie

s in

to T

S R

equi

red

Act

ions

to p

erfo

rm

mai

nten

ance

, tro

uble

shoo

ting,

or o

ther

act

iviti

es28

Not

ice

of E

nfor

cem

ent D

iscr

etio

n (N

OE

D)

()

~ R

isk-

Info

rmed

Bas

is fo

r App

rova

l

Dem

onst

rate

“no

net i

ncre

ase

in ri

sk,”

eith

er in

a

ii

id

fib

lli

iqu

antit

ativ

e as

sess

men

t , o

r in

a de

fens

ible

qua

litat

ive

man

ner

N

umer

ical

goa

ls o

f 5E

-7 a

nd 5

E-8

for I

CC

DP

and

ICLE

RP

(

G1

1)

resp

ectiv

ely

(per

RG

1.1

77),

usin

g ze

ro m

aint

enan

ce b

asel

ine

PS

A m

odel

D

omin

ant c

ontri

buto

rs w

ith s

umm

ary

of ri

sk in

sigh

ts

Com

pens

ator

y m

easu

res

cred

its (q

uant

itativ

e &

qua

litat

ive)

with

fo

cus

on:

•In

itiat

ing

even

ts li

kelih

ood

•U

nava

ilabi

lity

ofre

dund

antt

rain

s•

Una

vaila

bilit

y of

redu

ndan

t tra

ins

•H

uman

err

or

Ext

ent o

f con

ditio

n re

view

and

com

mon

cau

se fa

ctor

s ad

just

men

ts

Ext

erna

l eve

nt ri

sk c

ontri

butio

ns (e

.g.,

seve

re w

eath

er, g

rid

stab

ility

, etc

.)29

Ris

k-In

form

edA

pplic

atio

nIII

Ris

k-In

form

ed A

pplic

atio

n III

Spe

cial

Trea

tmen

tReq

irem

ents

Spe

cial

Tre

atm

ent R

equi

rem

ents

~10

CFR

5069

~ 10

CFR

50.

69

30

10 C

FR 5

0.69

~B

ackg

roun

d~

Bac

kgro

und

10

CFR

50.

69 is

a v

olun

tary

alte

rnat

ive

regu

latio

n:

To ri

sk-in

form

the

scop

e of

spe

cial

trea

tmen

t req

uire

men

ts

(“as

sura

nce

requ

irem

ents

”)

Not

cha

ngin

g de

sign

bas

is o

r tec

hnic

al fu

nctio

nal r

equi

rem

ents

E

nabl

eN

RC

and

licen

see

tobe

tterf

ocus

reso

urce

son

E

nabl

e N

RC

and

lice

nsee

to b

ette

r foc

us re

sour

ces

on

regu

lato

ry is

sues

of g

reat

er s

afet

y si

gnifi

canc

e, w

hile

con

tinui

ng

to p

rovi

de re

ason

able

ass

uran

ce o

f ade

quat

e pr

otec

tion

to p

ublic

he

alth

and

saf

ety

B

asic

str

uctu

re o

f sec

tion

50.6

9:

Bui

lt ar

ound

cat

egor

izat

ion

(par

agra

ph (c

)), w

hich

incl

udes

:In

tern

ale

ents

PS

Aat

fll

poer

that

has

been

peer

reie

ed•

Inte

rnal

eve

nts

PS

A a

t ful

l pow

er th

at h

as b

een

peer

revi

ewed

•E

xper

t pan

el (I

nteg

rate

d D

ecis

ion-

mak

ing

Pan

el)

A

pply

trea

tmen

t req

uire

men

ts (p

arag

raph

(d))

as

a fu

nctio

n of

R

ISC

bin

Im

plem

ente

d vi

a lic

ense

am

endm

ent w

ith N

RC

sta

ff re

view

s/ap

prov

es c

ateg

oriz

atio

n pr

oces

s31

10 C

FR 5

0.69

Sta

tus

~ S

tatu

s

10

CFR

5069

pbl

ishe

din

Fede

ralR

egis

ter

10

CFR

50.

69 p

ublis

hed

in F

eder

al R

egis

ter

on N

ovem

ber 2

2, 2

004

(69

FR 6

8008

)

Im

plem

enta

tion

Gui

danc

e:

NE

I00

04R

evis

ion

0da

ted

July

2005

N

EI 0

0-04

, Rev

isio

n 0

date

d Ju

ly 2

005

R

egul

ator

y G

uide

1.2

01, R

evis

ion

1, is

sued

for t

rial

use

in M

ay 2

006

y•

End

orse

s N

EI 0

0-04

, Rev

isio

n 0,

with

a n

umbe

r of

clar

ifica

tions

, as

an a

ccep

tabl

e ap

proa

ch fo

r cat

egor

izin

g S

SC

s fo

r 10

CFR

50.

69

32

Ris

kC

ateg

oriz

atio

nP

roce

ssR

isk

Cat

egor

izat

ion

Pro

cess

Safe

ty-R

elat

edN

onsa

fety

-Rel

ated

Safe

ty-R

elat

edN

onsa

fety

-Rel

ated

NEI

00-

04C

ateg

oriz

atio

n Pr

oces

sN

EI 0

0-04

Cat

egor

izat

ion

Proc

ess

Safe

tySi

gnifi

cant

RIS

C-1

RIS

C-2

Safe

tySi

gnifi

cant

RIS

C-1

RIS

C-2

g

RIS

C-3

RIS

C-4

Low

Saf

ety

Sign

ifica

nt

g

RIS

C-3

RIS

C-4

Low

Saf

ety

Sign

ifica

nt

33

RG

1.2

01G

lSt

ffP

itiG

ener

al S

taff

Pos

ition

s

Entir

e pr

oces

s de

scrib

ed in

NEI

00-

04 is

inte

gral

to

idi

blfid

id

b10

CFR

prov

idin

g re

ason

able

con

fiden

ce re

quire

d by

10

CFR

50

.69

S

ectio

ns 2

-7 &

10

desc

ribe

the

proc

ess

used

to d

eter

min

e th

e se

tofL

SS

SS

Cs

set o

f LS

S S

SC

s

Sec

tion

8 de

scrib

es th

e ris

k se

nsiti

vity

eva

luat

ion

used

to

conf

irm a

ccep

tabl

y sm

all r

isk

impa

ct fr

om re

mov

al o

f spe

cial

tre

atm

ent

S

ectio

n 9

desc

ribes

the

IDP

func

tion

of re

view

ing

and

ensu

ring

syst

em fu

nctio

ns a

nd o

pera

ting

expe

rienc

e ar

e co

nsid

ered

S

ectio

ns 1

1 &

12

desc

ribe

the

proc

esse

s fo

r mai

ntai

ning

the

valid

ityof

the

cate

goriz

atio

npr

oces

sva

lidity

of t

he c

ateg

oriz

atio

n pr

oces

s

D

egre

e of

relie

f gai

ned

unde

r 10

CFR

50.

69 d

epen

ds

onth

ety

pes

ofan

alys

esus

edin

the

cate

goriz

atio

non

the

type

s of

ana

lyse

s us

ed in

the

cate

goriz

atio

n pr

oces

s34

Ris

k C

ateg

oriz

atio

nC

idti

Con

side

ratio

ns

HSS

RIS

C-1

HSS

Ris

kC

hara

cter

izat

ion

•In

tern

al E

vent

R

isks

LSS

HSS

LSS

RIS

C1

And

RIS

C-2

Ris

k Se

nsiti

vity

HSS

Ris

ks•

Fire

Ris

ks•

Seis

mic

Ris

ks•

Oth

er E

xter

nal

Ris

ks•

Shut

dow

n R

isks

Inte

grat

edD

ecis

ion-

mak

ing

Inte

grat

edD

ecis

ion-

mak

ing

Def

ense

-in-D

epth

Cha

ract

eriz

atio

n

HSS

LSS

LSS

Stud

yLS

S

mak

ing

Pane

l (ID

P)R

evie

w

mak

ing

Pane

l (ID

P)R

evie

w

RIS

C-3

And

RIS

C-4

•O

pera

ting

Expe

rienc

e•

Engi

neer

ing

•D

BA/L

icen

sing

R

equi

rem

ents

•PR

A

35

RG

1.2

01G

lSt

ffP

itiG

ener

al S

taff

Pos

ition

s

Tech

nica

lade

quac

yne

eds

tobe

addr

esse

dfo

rful

lTe

chni

cal a

dequ

acy

need

s to

be

addr

esse

d fo

r ful

l sc

ope

of th

e an

alys

is (i

.e.,

all m

odes

& in

itiat

ors)

O

nly

inte

rnal

eve

nts

at fu

ll po

wer

mus

t use

a P

SA

O

nly

endo

rsed

PS

AS

tand

ard

isfo

rint

erna

leve

nts

atfu

llpo

wer

O

nly

endo

rsed

PS

A S

tand

ard

is fo

r int

erna

l eve

nts

at fu

ll po

wer

M

ust j

ustif

y m

etho

ds a

re te

chni

cally

ade

quat

e fo

r thi

s ap

plic

atio

n

Mh

ith

tld

li

ki

M

echa

nism

s th

at c

ould

cau

se la

rge

risk

incr

ease

s th

at c

ould

pot

entia

lly in

valid

ate

the

assu

mpt

ions

un

derly

ing

the

cate

goriz

atio

n pr

oces

s w

ould

hav

e to

in

volv

eth

eem

erge

nce

ofex

tens

ive

com

mon

caus

ein

volv

e th

e em

erge

nce

of e

xten

sive

com

mon

cau

se

failu

res

and

sign

ifica

nt u

nmiti

gate

d de

grad

atio

n

App

roac

h re

lies

on c

orre

ctiv

e ac

tion

and

feed

back

pro

cess

es

(des

crib

ed in

NE

I 00-

04 S

ectio

n 12

.4) f

or a

ddre

ssin

g th

ese

()

gis

sues

and

pre

clud

ing

reac

hing

una

ccep

tabl

e S

SC

per

form

ance

36

RG

1.2

01G

lSt

ffP

itiG

ener

al S

taff

Pos

ition

s

10sp

ecifi

ccl

arifi

catio

nsar

epr

esen

ted

10 s

peci

fic c

larif

icat

ions

are

pre

sent

ed

Cla

rific

atio

n of

term

inol

ogy

•“im

porta

nt to

saf

ety,

” “si

mul

tane

ous”

C

larif

ying

sta

ff un

ders

tand

ing

of s

peci

fic in

tent

of N

EI

00-0

4 di

scus

sion

•P

roce

ss “b

lend

s ris

k in

sigh

ts, n

ew te

chni

cal i

nfor

mat

ion,

and

g

,,

oper

atio

nal f

eedb

ack”

R

ecog

nizi

ng a

ltern

ativ

e ap

proa

ches

can

be

prop

osed

fo

rspe

cific

NE

I00-

04ar

eas

for s

peci

fic N

EI 0

004

are

as•

AS

ME

Cod

e C

ase

N-6

60

Iden

tifie

s ne

ed fo

r lic

ense

con

ditio

n to

add

ress

the

met

hods

relie

dup

onfo

rthe

cate

goriz

atio

npr

oces

sm

etho

ds re

lied

upon

for t

he c

ateg

oriz

atio

n pr

oces

s37

RG

1.2

01Im

plem

enta

tion

Sch

edul

eIm

plem

enta

tion

Sch

edul

e

Tr

iala

pplic

atio

nbe

ing

perf

orm

ed

Tria

l app

licat

ion

bein

g pe

rfor

med

Le

sson

sle

arne

dfr

ompi

lots

will

beus

edto

:

Less

ons

lear

ned

from

pilo

ts w

ill b

e us

ed to

:

Sup

port

deve

lopm

ent o

f tem

plat

e of

info

rmat

ion

and

leve

l of

deta

il ne

eded

to s

uppo

rt fu

ture

10

CFR

50.

69 s

ubm

ittal

s

Efi

lid

iffi

itt

lt

E

nsur

e fin

al g

uida

nce

is s

uffic

ient

to re

mov

e re

gula

tory

un

certa

intie

s an

d es

tabl

ish

regu

lato

ry s

tabi

lity

in th

e re

view

, ap

prov

al, a

nd im

plem

enta

tion

of 1

0 C

FR 5

0.69

cat

egor

izat

ion

proc

ess

proc

ess

E

nhan

ce N

EI 0

0-04

and

RG

1.2

01 re

gula

tory

gui

danc

e

38

Inte

rnat

iona

l Ato

mic

Ene

rgy

Age

ncy

The

End

Que

stio

ns&

Ans

wer

sQ

uest

ions

& A

nsw

ers…

..

39