LIC-206
Integrated Risk-Informed Decision-Making for Licensing Reviews
June 6, 2019
text
OFFICE OF NUCLEAR REACTOR REGULATION
LIC-206 Integrated Risk-Informed Decision-Making for Licensing Reviews
Volume 200 Licensing Support
Approved By: Brian McDermott
Date Approved: June 6, 2019
Effective Date: June 10, 2019
Certification Date: June 10, 2024
Responsible Organization: Division of Operating Reactor Licensing (DORL)
Primary Contact: Samson S. Lee
301-415-3168
Samson.Lee@nrc.gov
Summary: This is the initial issuance of LIC-206. This office instruction provides guidance on
a graded approach for using risk insights in licensing and to better integrate complementary
insights from traditional engineering and risk assessment approaches to foster a broadened
understanding of the benefits that risk-informed decision-making can bring to the overall
regulatory approach. This office instruction is effective on June 10, 2019 and applies to the
Office of Nuclear Reactor Regulation (NRR) and the Office of New Reactors (NRO). After
NRR and NRO merge on October 13, 2019, this office instruction will remain in effect.
Recognizing the pending merger, the remainder of this document refers to NRR only.
Training: General training on risk-informed decision-making:
iLearn Course ID_280148, Risk-Informed Thinking Workshop
Training for LIC-206: To be determined
Training for Appendix B to LIC-206:
iLearn Course ID_427162, Integrating Risk into Regulatory Reviews
Web-based)
ADAMS Accession Number: ML19031C861
TABLE OF CONTENTS
1. POLICY ................................................................................................................................. 2
2. OBJECTIVES ........................................................................................................................ 2
3. BACKGROUND .................................................................................................................... 2
4. BASIC REQUIREMENTS ..................................................................................................... 3
5. RESPONSIBILITIES AND AUTHORITIES ........................................................................... 4
6. PERFORMANCE MEASURES ............................................................................................. 6
7. PRIMARY CONTACT ........................................................................................................... 6
8. RESPONSIBLE ORGANIZATION ........................................................................................ 6
9. EFFECTIVE DATE ................................................................................................................ 6
10. CERTIFICATION DATE ........................................................................................................ 6
11. REFERENCES ...................................................................................................................... 6
Office Instruction: LIC-206, “Integrated Risk-Informed Decision-Making for Licensing Reviews,”
dated June 6, 2019
ADAMS Accession No.: ML19031C861 *by e-mail
OFFICE NRR/DORL/LPL1/PM NRR/DORL/LPL1/LA NRR/DORL/DD* NRR/DRA/DD*
NAME SLee LRonewicz KBrock RFelts
DATE 05/06/2019 05/06/2019 02/13/2019 02/14/2019
OFFICE NRR/DE/DD*
(w/comments) NRR/DSS/DD* NRO/DSRA/DD* NRR/DMPS/D
NAME BSmith JMarshall KCoyne ARoberts
DATE 02/15/2019 02/15/2019 02/19/2019 02/19/2019
OFFICE NRR/DD
NAME BMcDermott
DATE 06/06/2019
OFFICIAL RECORD COPY
NRR Office Instruction LIC-206 Page 2 of 6
1. POLICY
It is the policy of the Office of Nuclear Reactor Regulation (NRR) to advance the nuclear
reactor safety program towards becoming a more effective and risk-informed regulator. It is
NRR management’s expectation to promote timely and effective decision-making that
appropriately prioritizes resources that are commensurate with the respective safety
significance of the activity. It is also NRR management’s continued expectation that all
regulatory activities are conducted in a manner consistent with the U.S. Nuclear Regulatory
Commission (NRC or the Commission) Principles of Good Regulation (i.e., independence,
openness, efficiency, clarity, and reliability) and Organizational Values (i.e., integrity,
service, openness, commitment, cooperation, excellence, and respect).
This office instruction (OI) provides guidance applicable to considering risk-informed
decision-making (RIDM) in licensing and other licensing-related activities to enhance
process efficiency and effectiveness. Integrating risk insights with traditional engineering
approaches provides better-reasoned regulatory decisions to appropriately disposition
issues that arise in all regulatory matters, including licensing activities. Staff in NRR are
expected to use RIDM, when appropriate, to complement and enhance deterministic
approaches to ensure a sound risk-informed regulatory decision is made. Additionally, a
risk-informed approach enables us to focus our resources on the more significant issues
and prevents us from diverting agency and licensee attention on low safety-significant
issues. Furthermore, all NRR staff are expected to use risk insights to improve
communication on the significance of issues both within their organizations and with external
stakeholders.
2. OBJECTIVES
This OI, along with the guidance in the attachments, provides staff who support NRR with a
basic framework for considering risk insights in licensing and other licensing-related
activities.
This OI will also support and enhance NRR efficiency and effectiveness by:
- providing staff and management with an improved framework to consider risk insights in licensing activities
- promoting consistency in considering and applying risk insights
- improving internal and external communications involving risk considerations
- increasing technical consistency on applying RIDM for similar licensing activities
- applying a holistic and integrated view of safety that considers defense in depth,
margin, engineering judgment, probabilistic risk assessment, and other technical
information
An outcome of this OI is to continue efforts to support inclusion of risk considerations in staff
and management mindset and cultural changes at different levels of the organization.
3. BACKGROUND
On May 11, 2017, the Commission was briefed on risk-informed regulatory activities by
nuclear industry representatives and the NRC staff. The briefing included a status of the
NRC’s and industry’s risk-informed initiatives and an overview of successes and areas of
focus for advancing risk-informed regulation. On June 26, 2017, the Commission issued
Staff Requirements Memorandum (SRM)-M170511, “Briefing on Risk-Informed Regulation”
(ADAMS Accession No. ML17177A397), and directed the staff to provide the Commission
with an information paper discussing its plans for increasing staff capabilities to use risk
information in decision-making activities.
On November 13, 2017, the staff responded to SRM-M170511 by SECY-17-0112, “Plans
for Increasing Staff Capabilities to Use Risk Information in Decision-Making Activities”
(ADAMS Accession No. ML17270A192). SECY-17-0112 provides the staff’s proposal for
increasing its capability to use risk information in decision-making and describes challenges
toward further progress in RIDM and measures that the staff is taking to overcome these
challenges.
The staff developed the RIDM Action Plan, “Action Plan, Risk-Informed Decision-Making
Operating Reactor Business Line,” dated November 27, 2018 (ADAMS Accession
No. ML18317A117), implementing the staff’s proposal contained in SECY-17-0112 and
continuing the development and inclusion of risk considerations in licensing reviews. NRR
staff was assigned specific tasks from the RIDM Action Plan and also conducted a pilot
program with a sample of licensing actions during a trial period in the fall of 2018.
Phases 1 and 2 of the RIDM Action Plan reports, dated June 26, 2018, and January 30,
2019, respectively, are available in ADAMS (Accession No. ML18169A205 and Package
Accession No. ML19007A339, respectively).
This OI documents the guidance resulting from the RIDM Action Plan efforts. The staff
plans to update the guidance in this OI as more experience is gained in considering risk
insights in licensing and other licensing-related activities. The staff continues to develop
more applications as a result of the RIDM Action Plan, which may be inserted as additional
appendices to this OI or revisions to procedures as they are finalized. The licensing-related
topics identified in Phase 2 of the RIDM Action Plan are power uprate, backfits, Technical
Specification Task Force (TSTF) travelers, task interface agreements, and RIDM guidance
to technical reviewers. There may be additional topics, as appropriate, such as relief
requests.
4. BASIC REQUIREMENTS
The NRC has a longstanding commitment to increase the consideration of risk insights. It is
management’s vision to enhance the integration of risk information into the organization’s
decision-making practices and processes to improve the technical basis for regulatory
activities, increase efficiency, and improve effectiveness. This OI provides guidance on a
graded approach for using risk insights in licensing and to better integrate complementary
insights from traditional engineering and risk assessment approaches to foster a broadened
understanding of the benefits that RIDM can bring to the overall regulatory approach.
NRR Office Instruction LIC-206 Page 4 of 6
Appendices on various aspects of RIDM in licensing are expected to be inserted into this OI
as they become available. Currently, this OI contains one appendix on the Integrated
Review Team (IRT), Appendix B. Future appendices to this OI will include additional
guidance on applying risk insights in specific licensing activities; defining RIDM terminology;
staff training; and other guidance, as appropriate.
5. RESPONSIBILITIES AND AUTHORITIES
All staff who support the nuclear safety and security program are responsible for
understanding and applying the guidance in this OI and current and future appendices. The
staff is also responsible for identifying potential improvements to the guidance and submitting
suggestions for such improvements to the primary contact for this OI.
The staff and management are responsible for focusing efforts on safety-significant issues
and dispositioning low-risk issues efficiently.
In addition, the following describes the NRC staff and management roles and
responsibilities associated with the consideration of risk insights in licensing and other
licensing-related activities.
A. Office Directors and Deputy Directors
Office management is responsible for:
• leading the office’s implementation of the policy in this procedure
• initiating behavior changes throughout the organization toward RIDM
B. Division Management
Division management is responsible for:
• providing overall management and oversight of licensing activities to
incorporate RIDM
• ensuring appropriate resources are made available to consider risk insights in
licensing activities
• promoting consistency in considering and applying risk insights
• facilitating strategies to address challenges incorporating risk considerations in
decision-making
C. Branch Chiefs
Branch chiefs are responsible for:
• being familiar with pertinent elements of risk-informed and performance-based
regulation
• effectively managing use of risk information and technology, as appropriate, to
enhance decision-making
• encouraging staff participation in risk-informed processes, as appropriate
NRR Office Instruction LIC-206 Page 5 of 6
• assigning appropriate resources, including risk analysts, to consider risk insights
in licensing activities
• ensuring staff attends RIDM training
• promoting consistency in considering and applying risk insights
D. Project Managers
Project managers (PMs) are responsible for:
• being familiar with pertinent elements of risk-informed and performance-based
regulation
• reflecting the use of risk insights and a risk-informed and performance-based
philosophy into work products, as appropriate
• coordinating consideration of risk insights in licensing activities
• appropriately engaging a risk analyst early for risk insights in licensing
activities
E. Technical Reviewers
Technical reviewers (TRs) are responsible for:
• being familiar with pertinent elements of risk-informed and performance-based
regulation
• using risk information and risk insights to enhance decision-making without
undue delay, as appropriate
• reflecting the use of risk insights and a risk-informed and performance-based
philosophy in work products, as appropriate
• considering risk insights in licensing activities
• working collaboratively with risk analysts in both traditionally deterministic and
risk-informed licensing activities
• working collaboratively with the responsible PM
F. Risk Analysts
In addition to TR responsibilities, risk analysts are responsible for:
• providing risk insights on licensing activities as requested, including traditionally
deterministic regulatory activities
• familiarizing the staff with available risk tools and information in communicating
risk insights
• ensuring documentation properly characterizes the consideration of risk
information in the staff’s decision
• working collaboratively with TRs in both traditionally deterministic and
risk-informed licensing activities
NRR Office Instruction LIC-206 Page 6 of 6
6. PERFORMANCE MEASURES
To be developed.
7. PRIMARY CONTACT
Samson S. Lee
301-415-3168
Samson.Lee@nrc.gov
8. RESPONSIBLE ORGANIZATION
9. EFFECTIVE DATE
June 10, 2019
10. CERTIFICATION DATE
June 10, 2024
11. REFERENCES
None
Enclosures:
1. Appendix A: Change History
2. Appendix B: Guide for Integrated Review Team
Appendix A - Change History
Office Instruction LIC-206
Integrated Risk-Informed Decision-Making for Licensing Reviews
LIC-206 Change History - Page 1 of 1
Date Description of Changes Method Used to
Announce &
Distribute
Training
06/06/19 This is the initial issuance of
LIC-206. This office instruction
provides guidance on a graded
approach for using risk insights in
licensing and to better integrate
complementary insights from
traditional engineering and risk
assessment approaches to foster a
broadened understanding of the
benefits that risk-informed
decision-making can bring to the
overall regulatory approach.
E-mail to NRR
Leadership Team
and Technical
Assistants
General training on
risk-informed
decision-making:
iLearn Course
ID_280148,
Risk-Informed
Thinking Workshop
Training for
LIC-206: TBD
Training for
Appendix B to
LIC-206:
iLearn Course
ID_427162,
Integrating Risk
into Regulatory
Reviews
(Web-based)
Enclosure
Enclosure 2
U.S. Nuclear Regulatory Commission
Office of Nuclear Reactor Regulation
Appendix B Guide for Integrated Review Team
1.0 INTEGRATED REVIEW TEAM PROCESS1
1.1 Integrated Review Team Process Flow Chart
The Integrated Review Team (IRT) process was discussed in the June 26, 2018, Risk-Informed
Decision-Making (RIDM) Phase 1 report (ADAMS Accession No. ML18169A205). Team A,
Phase 2, revised the IRT process flow chart and made minor changes to the IRT process to
incorporate lessons learned from the trial period implementing the IRT (ADAMS Accession
No. ML18360A499, non-public). The revised IRT is also documented in Enclosure 3 of the
January 30, 2019, RIDM Phase 2 report (ADAMS Package Accession No. ML19007A339).
Box 1: Upon receipt of a licensee submittal, the project manager (PM) will review the request to
identify the level of probabilistic risk assessment (PRA)-related information in the submittal. The
checklists discussed in Sections 5 through 8 provide guidance to facilitate the implementation of
the IRT process.
1 Staff performing licensing and review activities in the new reactor business line are encouraged to apply this
guidance to the extent possible and appropriate, because certain requirements are different from those of the
operating reactor business line, such as timelines and milestones.
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Box 2: Based on the level of PRA information, the PM will use the PM Checklist (see
Section 5.0) to categorize the submittal as being Type 1, 2, or 3.
Box 3: There is little or no risk information and no quantitative risk (e.g., core damage
frequency (CDF)) discussed in the licensee submittal. The technical reviewers (TRs) and PM
determine if an IRT is needed through the use of the IRT Checklist (see Section 6.0). A broad
understanding of the concepts of the Division of Risk Assessment (DRA) Checklist may help in
the determination (see Section 7.0).
Box 3a: The action in this box depends on the input and also how the IRT decides to use the
input. This is described as TR-led since licensees have not provided information in accordance
with Regulatory Guide (RG) 1.174, “An Approach for Using Probabilistic Risk Assessment in
Risk-Informed Decisions on Plant-Specific Changes to the Licensing Basis”; therefore, this will
result in a deterministic regulatory decision, albeit possibly with some supporting risk-insight
information.
Box 4: The submittal is risk-informed in accordance with RG 1.174. DRA leads the review.
Boxes 5 through 8 − Overview
In order to integrate the reviews of submittals that have varying levels of risk information, safety
evaluation (SE) template language is discussed below in association with Boxes 5 through 8 of
the IRT Process Flow Chart.
The staff should use consistent and commonly understood language when integrating “risk”
information into regulatory decision-making, as defined in NUREG-2122, “Glossary of
Risk-Related Terms in Support of Risk-Informed Decision-Making.”
Primary consideration for properly describing the use of risk information in regulatory
decision-making should be given to ensure that the term probabilistic risk assessment or PRA is
only used when there is a PRA calculation used as part of the basis or to support the decision.
Secondly, PRA can only be part of the basis for a decision when the PRA is acceptable for the
application; that is, the PRA acceptability is addressed in accordance with RG 1.200, “An
Approach for Determining the Technical Adequacy of Probabilistic Risk Assessment Results for
Risk-Informed Activities.” If PRA acceptability is not addressed in accordance with RG 1.200,
then the PRA results or risk insights could assist by supporting safety conclusions and
enhancing confidence in the technical evaluations. Lastly, if a PRA or risk analysis was not
used, even if there is quantitative information or calculations, the term probabilistic risk
assessment or PRA should not be used in the NRC staff’s SE.
Box 5: This is a traditional engineering decision. The staff may consider risk information in the
licensee submittal to determine the necessary scope and depth of the deterministic review, and
to confirm that it does not challenge the traditional engineering conclusion. In this case, the SE
needs to clearly state that the licensee methodology used to derive the risk insights was not
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reviewed, and that the risk information was not used as the basis for the licensing decision. An
example SE for a license amendment request (LAR) (ADAMS Accession No. ML18204A252)
states:
The licensee stated that the proposed extension offered the lowest risk among
the four options available. No numerical support for the conclusion was
submitted. Because the LAR is not a risk-informed application, the staff did not
review the method used by the licensee to derive risk insights. The evaluation
performed was not used to support a risk-informed decision by the staff.
However, the staff considered the insights provided, judged that they were
reasonable, and determined that they did not challenge the conclusion that the
proposed change maintains defense in depth.
Box 6: Qualitative insights of risk significance or supporting information can be used to support
regulatory decisions. Examples include probabilities of failures of equipment, the frequency of
initiating events, or other pertinent information. This also includes consideration of supporting
PRA information such as CDF or large early release frequency (LERF) submitted not in
accordance with RG 1.174. Care is needed to avoid calling this supporting information PRA.
This information does not have to be used within a risk analysis to help support a deterministic
evaluation. Perhaps a better name would be “risk inputs” or the factors that could be used in a
risk analysis.
The language that would be used for this supporting information could be called “likelihood
information,” “probabilistic analyses,” or other quasi-qualitative terms. However, this information
should not be called PRA results or input. Care should be taken to ensure that users of this
probabilistic information do not mistakenly assume probabilistic information is PRA results or
insights just because such information has the potential to be used in PRA or risk evaluation
that is PRA.
DRA risk analysts should assist the staff in crafting an SE that uses probabilistic information, in
addition to the typical deterministic information to support a regulatory decision. When
discussing probabilistic information or risk inputs, technical staff have significant flexibility within
the templates provided in Office of Nuclear Reactor Regulation (NRR) office instructions (OIs)
such as LIC-101, “License Amendment Review Procedures,” to describe the technical basis for
their regulatory decision. The limitation is that when describing probabilistic or risk input, the
term “PRA” or use of quantitative CDF or LERF should not be used. Use of these terms would
indicate PRA as a basis of the decision or as used to support the decision; therefore, it would be
in Box 8.
Box 7: PRA insights or results that can help support or verify regulatory decisions made using
traditional engineering evaluations is a primary outcome of the graded approach in RIDM. The
output of PRAs often includes numbers such as CDF or LERF. PRAs are also used to gain
insights about a facility’s response to initiating events and accident progression, including the
expected interactions among facility systems, structures, and components (SSCs), and between
the facility and its operating staff. A risk assessment is a systematic method for addressing
these questions as they relate to understanding issues such as important hazards and initiators;
important accident sequences and their associated SSCs failures and human errors; system
interactions; vulnerable plant areas; likely outcomes; sensitivities; and areas of uncertainty.
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Risk insights can be obtained by both quantitative and qualitative investigations. Quantitative
risk results from PRA calculations are typically the most useful and complete characterization of
risk, but they are generally supplemented by qualitative risk insights and traditional engineering
analysis. Qualitative risk insights include generic results (i.e., results that have been learned
from numerous PRAs performed in the past and from operational experience, and that are
applicable to a group of similar plants). These qualitative or quantitative risk insights also need
not be necessarily developed by PRA models that meet the guidance of RG 1.200, but may be
developed using standardized plant analysis risk (SPAR) models or other PRA tools.
DRA risk analysts should assist in the crafting of the SE and should be specifically included in
the initial IRT assignment. The language used in SEs would describe the information from a
PRA but would be clear that the information was not used as the basis in the NRC’s RIDM
framework. For example, verification might be described as, “PRA information was determined
to be consistent with this conclusion” or “Nothing in the PRA was inconsistent with this
deterministic evaluation.”
Using PRA tools such as SPAR models, human reliability analysis worksheets, or Plant Risk
Information e-Book handbooks that do not generally meet the acceptability needed for RG 1.174
applications can also be described as PRA insights or information used to verify a regulatory
decision, as described above.
When describing the use of PRA to support regulatory decisions, language such as the
following can be used as a template in the following manner:
In the subject application, the licensee stated that the basis for the proposed […]
is based upon […]. The licensee submitted a risk evaluation that was not
consistent with risk-informed decision-making.
Because this is not a risk-informed application, the PRA models used to derive risk
insights in […] were not reviewed by the staff to determine their technical
acceptability as a basis to support this application. As a result, the staff did not rely
on the numerical results provided by the licensee. However, the staff considered
the licensee-provided risk insights to aid in the deterministic review of the proposed
change. The staff also performed an independent assessment using […] to
evaluate the risk contribution. The licensee-provided risk insights and the risk
insights developed by staff both supported the engineering conclusions […]. The
currently available risk insights and results did not challenge the engineering
conclusions that the proposed change maintains defense in depth.
Box 8: Using the results of a PRA as part of the basis of a regulatory decision involves using
the five principles of the RIDM framework from RG 1.174. These features are: (1) the change
meets the regulations, (2) is consistent with defense-in-depth, (3) maintains safety margins,
(4) results in small increase in risk using PRA information, and (5) is monitored. For PRA
information to be used in this RIDM framework, the PRA should be acceptable to support the
application as described in RG 1.174.
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DRA risk analysts typically lead review activities for these licensing actions, including primary
development of the SE. The language used to describe PRA results as elements of a
regulatory decision are documented in RG 1.174 and other RIDM regulatory guidance. The
language should focus on PRA. Language such as risk insights or PRA insights may be used,
consistent with the guidance in RG 1.174 or RG 1.200. Therefore, existing precedents and
guidance from RG 1.174 apply.
1.2 Integrated Review Team Process for Licensing Actions
The following are general licensing actions:
• routine plant-specific licensing actions that are requested by Type 1, 2, or 3 submittals
• emergent licensing actions (i.e., emergency and exigent amendments and verbal relief
requests)
The IRT process does not constitute a review methodology for integrating risk and traditional
insights to complete a technical evaluation; rather, it describes a framework for forming the
teams that will need to integrate the review products from TRs and risk analysts. The use of the
terms “technical branches (TBs),” “technical reviewers (TRs),” or “traditional engineering,” refers
to staff that are not qualified risk analysts or reliability experts. Use of the terms “risk analyst” or
“PRA analysts” refers to qualified PRA analysts or reliability experts who would typically be
assigned to PRA branches in DRA of NRR.
“Integrated review team (IRT)” typically refers to a review team consisting of at least one PM, a
TR, and a risk analyst, whereby the team members are responsible for developing requests for
additional information (RAIs), audit plans, and SEs. However, an IRT does not have to include
a risk analyst if the team finds the IRT concept is beneficial to enhance the review integration of
various technical disciplines and the consolidation of SE and RAI input. The IRT concept
encourages reviewers from many technical disciplines, including a risk analyst, if any, to work
together as a team. The communication within a team and developing joint consolidated
products enhance the efficiency of the licensing process. If a branch has a concurrence-only
role, the inclusion of this branch in the IRT may not be necessary. An IRT can be created to
review Type 1, 2, or 3 submittals. Ultimately, the IRT generates a single SE with a primary TR
branch responsible for the body of the draft SE and other TRs providing written additions to the
draft SE (see Section 8.0).
Although the IRT process described below consists of specific team meetings, the IRT has the
flexibility in determining whether certain meetings are needed on a case-by-case basis.
2.0 INTEGRATED REVIEW TEAM ROLES AND RESPONSIBILITIES
The following describes roles, responsibilities, knowledge, skills, and abilities of the IRT. As a
reminder, the staff’s performance plans have been revised to incorporate RIDM, and the IRT
process provides guidance in implementing RIDM. The staff should charge time to the specific
CAC/EPID corresponding to the licensee submittal when participating in an IRT for that review.
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2.1 Project Manager
The PM will:
• Facilitate team formation, meetings, written products, and meeting milestones.
• Have a leadership role in consolidating products (e.g., RAIs and SEs) by ensuring that
the products are consistent with OIs and training courses involving the fundamentals of
reactor licensing.
• Ensure that the IRT reviews licensing actions consistent with LIC-109, “Acceptance
Review Procedures,” for amendment acceptance.
• Ensure that the consolidated SE conforms to the guidance in LIC-101, Appendix B,
Attachment 2, or LIC-102, “Relief Request Reviews.”
• Ascertain the team’s abilities with using available information technology (IT) tools, such
as ADAMS, SharePoint, Office 365, Skype, and Go-To-Meetings, to determine which
platform would best suit the team for consolidated products and accommodating remote
workers.
• Be familiar with various IT tools, such as ADAMS, SharePoint, Office 365, Skype, and
Go-To-Meetings.
• Be familiar with using risk insights in licensing reviews, various risk-informed licensing
initiatives (e.g., Technical Specifications Task Force (TSTF) travelers and 10 CFR 50.69
LARs), and RGs for risk-informed reviews (e.g., RG 1.174, RG 1.200, etc.) to better
inform team formation and review needs. The PMs will facilitate issue resolution and
escalation to management.
• Be familiar with the Type 1, 2, and 3 definitions.
• Consider risk insights to inform the scope and depth of reviews to reach a reasonable
assurance determination
• Ensure maintenance of information current for responsible licensing actions in the
Replacement Reactor Program System (RRPS).
2.2 Technical Reviewers
Technical reviewers (TRs) will:
• Be familiar with the Type 1, 2, and 3 definitions.
• Be familiar with the application of risk in licensing reviews to assist PMs with team
formation, integrate risk and traditional engineering reviews, and enable early
identification of the need to involve risk analysts with the reviews.
• Understand the various SE formats and guidance in LIC-101 and LIC-102.
• Serve a technical coordination role in the integration of risk and traditional engineering
insights.
• Be familiar with various IT tools, such as ADAMS, SharePoint, Office 365, Skype, and
Go-To-Meetings.
• Consider risk insights to inform the scope and depth of reviews to reach a reasonable
assurance determination
• Maintain information current for responsible licensing actions in RRPS.
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2.3 Risk Analysts
Risk analysts will:
• Be familiar with the Type 1, 2, and 3 definitions.
• Assist PMs with team formation and the TRs with integrating the risk and traditional
engineering reviews.
• Understand the various SE formats and guidance in LIC-101 and LIC-102 to assist with
the consolidated SE format.
• Serve a technical coordination role in the integration of PRA and traditional engineering
insights.
• Be familiar with various IT tools, such as ADAMS, SharePoint, Office 365, Skype, and
Go-to-Meetings.
• Be able to identify, with the PM’s assistance, which technical branch or discipline will be
needed to review RG 1.174 applications.
• Consider risk insights to inform the scope and depth of reviews to reach a reasonable
assurance determination
• Maintain information current for responsible licensing actions in RRPS.
2.4 Management
Division management will:
• Maintain awareness of industry initiatives that will result in a large volume of similar
risk-informed applications and allot the resources needed to efficiently address those
applications.
• Ensure that the PMs, TRs, and risk analysts are aware of such situations and will
communicate with management peers through workload management meetings.
• Ensure the staff is sufficiently trained in the integrated review approach.
• Assist, as needed, in resolving differing views that may arise during the integration of
risk and traditional engineering insights.
Branch chiefs will:
• Review and concur on their staff’s input to the consolidated SEs and RAIs to ensure the
adequacy of the review methodology, approach, and result documentation.
• Review and concur on the final consolidated SEs and RAIs as requested by the PMs.
• Ensure staff considers risk insights to inform the scope and depth of reviews to reach a
reasonable assurance determination
• Adjust resources or redirect their staff to support projects, as needed, to meet office
level goals and priorities.
3.0 ROUTINE PLANT-SPECIFIC LICENSING ACTIONS
The following process description is for establishing IRTs for routine plant-specific licensing
actions submitted as Type 1, 2, or 3 applications from licensees. The process description
covers submittal type designation, staffing assignments, determination of whether to use an
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IRT, and consolidated RAI and SE development. The processes described in established and
applicable NRR OIs apply unless they are specifically addressed by the following description.
The term “routine” means that the application is not an emergency or exigent (i.e., “emergent”)
request or a verbal relief request.
3.1 Submittal Type Determination
The following process for submittal type determination applies when the PM creates the project
in RRPS and makes initial branch assignments.
A. Within the typical timeliness for adding a project to RRPS when an application is
received, the PM will review the application to determine whether it is a Type 1, 2, or 3
application based on the level of quantitative PRA information in the application (e.g.,
CDFs, LERFs, initiating event frequencies, references to PRAs, etc.). For large
applications, doing a “find” for PRA terms or asking the licensee during routine
discussions can be helpful. If the PM is uncertain how to determine the type of
application, the PM can consult with DRA. For Type 3 applications, the PM should
consult with DRA, as needed, to determine which branches have reviewed similar
applications in the past. For the purpose of implementing this step, Type 1, 2, and 3
applications are defined as follows:
Type 1: Applications contain little or no risk/PRA information.
Type 2: Applications contain PRA information, but are not submitted as
risk-informed applications in accordance with RG 1.174.
Type 3: Applications submitted as risk-informed applications in accordance
with RG 1.174.
B. The PM will assign branches in RRPS as follows:
• Routine Type 1: Assign technical branches but not DRA branches. The need for
risk analysts will be determined after meeting with the TR(s) or after the PM
determines that he or she needs assistance with the no significant hazards
consideration determination regarding frequency of accidents. The PM may assign
DRA at this stage if it is already known that the technical staff will want a
consideration of risk insights (e.g., if this was discussed after a pre-submittal
meeting).
• Routine Type 2 or emergent: Assign both DRA and technical branches.
• Routine Type 3: Assign DRA and technical branches. If technical branch assistance
is not needed, the reviewer can be removed from the project at a later time.
Assigning the technical branches at the start of the project will provide them an early
opportunity to raise concerns with risk-informed applications.
- 9 -
3.2 Integrated Review Team Determination
The following process for team formation and project scoping is applicable from the time the
initial set of reviewers is assigned in RRPS to when the acceptance review is issued. It includes
explicit instructions to hold team meetings prior to issuance of the acceptance review to verify
team composition, scopes of review, and any issues regardless of the hours estimate, and the
possibility that more than 25 days may be needed to do an acceptance review for an IRT
approach. If more than 25 days are required for an acceptance review, request division
management approval for a longer review period as discussed in LIC-109.
A. The PM will hold an initial staffing meeting with the assigned reviewers, regardless of the
estimated hours, within 10 working days of the application being added to ADAMS to
determine if additional branches should be added to or consulted about the review. The
PM and assigned reviewers should consult the checklists in Sections 5.0 through 8.0 of
this document. Assigned reviewers should use RRPS to identify other branches needed
and start recommending scopes of review. However, the PM will confirm with the
reviewers by a meeting to understand the bases for his or her recommendations. For
Type 1 applications, the staffing meeting will be used to determine if risk analysts or any
other technical branches should be assigned to the review, using the checklists in
Sections 6.0 and 7.0. If risk analysts will not be used (i.e., the review team agrees that it
does not need risk insights from DRA), then staff should follow the acceptance review
processes established by applicable NRR OIs. For Type 2 applications, the staffing
meeting will be used to confirm that assigned branches will remain on the review and
whether to assign other branches using the checklists for assistance. For Type 3
applications, the staffing meeting will be used to confirm whether the technical branches
will remain on the review and whether to assign other branches. If technical staff will not
be assigned to Type 3 reviews, then staff should follow the acceptance review
processes in LIC-109.
B. After the staffing meeting, the PM will use RRPS to assign other branches to the review,
as needed. It is not expected at this stage that the extent of each reviewer’s scope is
known; therefore, it is possible at a later time that some reviewers may still be added,
denoted as having a “concurrence-only” scope or no longer needed. However, the
meeting provides assurance that the reviewers have read the application and have
considered whether risk insights will be used.
C. After the review team is staffed and assigned in RRPS, the PM will hold a scoping
meeting, regardless of the estimated hours, within 15 working days of the application
being added to ADAMS. The following will occur during the scoping meeting:
• The PM will discuss the application, including all of the proposed changes that need
evaluation, plant-specific issues, or background information (e.g., licensing and
design basis, stakeholder interests, time-charging expectations, or generic RAI and
SE expectations). The PM will also identify if there are other ongoing reviews for
applications that may overlap with the current application (e.g., multiple risk-informed
applications from the same plant that use the same PRA information).
- 10 -
• Team members will discuss their expertise as it pertains to the review.
• The PM will introduce any scoping recommendations with input from the TRs and
risk analysts. The PM should also identify whether he or she will need the team’s
help with the no significant hazards consideration determination (e.g., whether the
change could affect the frequency of accidents).
• For Type 1 and 2 applications, the team will use the checklists in Sections 6.0 and
7.0 to decide if DRA should be on the review. The DRA division must be on the
review if the staff intends to document risk insights in the SE. DRA has the
responsibility to determine if risk insights are appropriate or beneficial to the SE.
Consideration for cost/benefit from a staff resource, as well as licensee fee billing,
will be the general responsibility of the PM (maintaining cost tracking for hours and
contract expenses through the fee validation process, as well as informing the
licensee of the added risk review).
• For each change identified in the submittal, the review team will confirm each change
proposed by the licensee, which team member is reviewing each of the change(s),
and the scope of each team member’s review. The PM will ensure that the entire
application (i.e., every proposed change) has an assigned reviewer. The team
members will identify what information, evaluations, and conclusions the reviewers
will need from each other to help inform the hours estimate. This action may take
more than one meeting because it requires the staff to understand how risk and
traditional engineering insights can be integrated.
• With assistance from the review team, the PM will document the proposed changes
and reviewer assignments and note the scoping assignments in an RRPS comment.
At this time, the PM will denote in RRPS whether an IRT approach will be used. If it
is determined that both risk analysts and TRs are providing input to the review, or if
the risk analysts are assisting with documenting qualitative risk insights, then an IRT
approach will be used. If either the risk analysts or TRs are on concurrence only,
then an IRT approach is not necessary; however, the staff can and should consult
with each other throughout the review to ensure any issues are identified and
resolved early in the process.
D. Within 20 working days2 after the application is added to ADAMS, the PM will hold an
acceptance review meeting. This meeting will cover the following topics:
• Hours estimate and the need for a metric exclusion memorandum. With the IRT
approach, the average hours per review may increase; therefore, the hours estimate
per reviewer in the expectations memorandum (ADAMS Accession
No. ML16202A029) may no longer be accurate, and the total hours estimate for the
review may no longer be a sufficient gauge to determine whether the review may be
complex.
2 The technical staff’s acceptance review is due to the PM within 20 days based on guidance in LIC-109. The PM
may hold the meeting prior to this date if efficiencies can be gained (e.g., if previous meetings or discussions can be
held sooner).
- 11 -
• Acceptance review issues (e.g., information insufficiencies).
• The IT tools (e.g., e-mail, ADAMS, SharePoint, or Office 365) to be used to
collectively develop the consolidated RAIs and SE. The team will also determine the
need for Skype or Go-To-Meetings for teleworking staff.
E. Prior to issuing the acceptance review results to the licensee, the PM may hold
additional team meetings or discussions to finalize any acceptance review issues, and to
confirm hours estimate, review scopes, and milestone dates. Reviews with an IRT might
exceed the 25-day metric for acceptance reviews because the review team will need to
understand how it plans to use risk insights or how technical staff will contribute to
Type 3 reviews. In these instances, the staff should follow the guidance in LIC-109 to
request division management approval.
4.0 EMERGENT LICENSING ACTIONS
The efficiency of IRT can be beneficial for emergent or emergency licensing actions, although
the prescribed process here may be adjusted for the situation by the PM. The PM should
consider early inclusion of DRA staff, especially if risk insights are being discussed by TRs. The
IRT should leverage existing completed PRA work and other risk insights to expedite the review.
The NRR staff will maintain the current processes and practices for emergent actions but apply
the IRT approach to the extent practicable. For an emergent licensing action, the PM should
involve the technical and risk branches; branch chiefs; and management, as appropriate, in an
initial (and subsequent) staffing and scoping meetings as soon as practical, to understand the
methodology for the review and who will be reviewing which aspects of the proposed changes.
The review team should decide whether there is sufficient time to develop a consolidated SE at
the start of the review and if individual branch SE inputs are needed or preferred. The PM or a
technical coordinator will need to consolidate the SE inputs into LIC-101, Appendix B, or
LIC-102 SE format. Therefore, the PM, with assistance from the review team, will begin
developing the consolidated SE outline at the start of the review.
5.0 PROJECT MANAGER CHECKLIST
The following are several checklists to facilitate implementation of the IRT process:
• Project Manager Checklist (Section 5.0)
• Integrated Review Team Checklist (Section 6.0)
• DRA Checklist (Section 7.0)
• Project Checklist for Consolidated SEs and RAIs (Section 8.0)
The PM uses the following checklist to determine whether a licensee application is Type 1, 2, or 3.
- 12 -
PM Checklist
Licensee Application Type Information in Licensee Request
Type 1 Applications contain little or no risk/PRA information
Type 2 Applications contain PRA information, but are not submitted
as risk-informed applications in accordance with RG 1.174
Type 3 Applications submitted as risk-informed applications in
accordance with RG 1.174
6.0 INTEGRATED REVIEW TEAM CHECKLIST
The PM will determine which branches to initially assign to the review based on the level of PRA
information in a submittal. The team then meets to determine if additional reviewers are needed
and if an IRT should be used. The IRT Checklist will assist the teams with determining whether
to apply an IRT. This checklist (i.e., Table 1 below) can be used for Type 1, 2, and 3 submittals,
including license amendments, relief requests (or proposed alternatives), and exemption
requests. The checklist corresponds to the decision on whether to form an IRT based on
considerations of the review or licensee submittals.
Table 1 lists decisions (i.e., integration recommended, integration considered, and integration
not necessary) and descriptions under “description of review or submittal topic.” If any of the
descriptions in Table 1 apply, then the corresponding decision can be selected.
Table 1: Integrated Review Team Checklist
Decision Description of Review or Submittal Topic
Integrated
Review Team
Recommended
1. Risk-informed reviews in accordance with RG 1.174
2. Requests to adopt risk-informed TSTF travelers (e.g.,
consolidated line item improvement process), unless risk
considerations were taken into account during the TSTF
approval process
3. Submittals that include risk information, but not in accordance
with RG 1.174
4. Submittals that are complex and involve many technical
disciplines, even though they do not benefit from including a risk
analyst, should be reviewed by an IRT without a risk analyst to
enhance review integration
- 13 -
Table 1: Integrated Review Team Checklist
Decision Description of Review or Submittal Topic
Integrated
Review Team
Considered
1. Reviews that technical divisions have historically found to be
challenging, specifically where PRA insights may help in
completing the review more effectively
2. Reviews where it is not feasible to complete a portion of the
deterministic justification in an appropriate timeframe
3. Changes to technical specifications where single failure and
other conservatisms in Updated Final Safety Analysis Report,
Chapter 15, are no longer considered as part of the assumption
4. Reviews that involve multiple system integration
5. Reviews that are related to SSCs that are important to safety,
but risk information is not provided
6. Submittals that involve many technical disciplines, even though
they do not benefit from including a risk analyst, should be
considered for an IRT without a risk analyst to enhance review
integration
Integrated
Review Team
Not Necessary
1. Administrative changes
2. Reactor risk neutral activities, such as offsite sirens, domestic
water, etc.
3. Other reviews where integrating the review with risk analysts will
have no significant use, such as those where risk methods are
not available, or reviews where including risk information is not
needed to ensure an efficient and effective review
4. Submittals that involve a single technical discipline and do not
benefit from including a risk analyst
NOTE: If NRC SEs will include some discussion of risk insights, then
DRA should be involved.
6.1 Integrated Review Team Recommended
6.1.1 Risk-Informed Reviews in Accordance with RG 1.174
These reviews, which are Type 3 reviews, require the use of risk analysts from DRA. These
reviews should be integrated as soon as practicable to ensure that the TRs and risk analysts
understand the scope of their respective portions of the review, the justification for the bases for
- 14 -
acceptance in each of the technical and risk areas, and technique for formatting an integrated
technical evaluation.
TRs should become familiar with risk-informed reviews in accordance with RG 1.174 with focus
on the principles of RIDM. Also, see available references in Module 1 of iLearn Course 322150,
“Inspector Training on Risk-Informed Completion Times.” The Technical Specifications Branch
Specific Training Module, Section B, contains a primer about risk (ADAMS Accession
No. ML17086A415, non-public). TRs may also reach out to risk analysts for information about
the RIDM process or precedents involving risk reviews.
Risk analysts that are new to the topic area may find technical information in the Technical
Training Center series training or reach out to the technical branches for references.
6.1.2 Risk-Informed Technical Specifications Task Force Traveler Consolidated Line Item
Improvement Process
The consolidated line item improvement process (CLIIP) is intended to make the review of
technical specification changes more efficient. Reviews that use the CLIIP are called CLIIPs.
Even though CLIIPs are highly streamlined, CLIIPs that rely on risk information typically involve
the review by a risk analyst from DRA.
Revision 5 of LIC-101 states, in part, “Only the NRR Division of Safety Systems (DSS)
Technical Specifications Branch and the PM in DORL typically need to review a CLIIP LAR,
unless it is a risk-informed CLIIP LAR, which would also need to be reviewed by DRA/APLA.” In
some cases, risk considerations are taken into account during the initial CLIIP review process.
In these cases, the risk review of plant-specific applications of the CLIIP may be unnecessary.
6.1.3 Submittals that Include Risk Information but Not in Accordance with RG 1.174
For these reviews, the licensee is presenting what it believes is risk information that supports its
safety case. This information is not sufficient to form the basis of a potential NRC acceptance of
the submittal because it does not meet RG 1.174. However, the proposed change may lend
itself to risk evaluations, and DRA may be able to provide some technical rather than
quantitative insights to the review. Risk insights should be considered to inform the scope and
depth of the staff review to reach a reasonable assurance determination. DRA risk analysts
should be engaged early in these reviews to ensure that the provided risk information is used
appropriately and within the correct context.
6.1.4 Submittals that are Complex and Involve Many Technical Disciplines
For these submittals, many technical disciplines are involved in the review. Even though the
reviewers and PM decide that the risk analyst would not benefit from the review, an IRT can still
be formed without a risk analyst, as discussed in Section 1.2.
The IRT concept encourages reviewers from many technical disciplines to work together as a
team. The communication within a team and developing joint consolidated products enhance
the efficiency of the licensing process. The IRT enhances the integration of staff review and
preparation of consolidated SEs and RAIs from the many technical disciplines.
- 15 -
6.2 Integrated Review Team Considered
For these reviews, there may be usefulness in engaging DRA risk analysts to provide
supporting information or other insights to the staff reviews. In general, these are listed below in
the order of the most likely to involve a risk analyst to the least likely.
6.2.1 Reviews that Technical Divisions Have Historically Found Challenging and Where
Probabilistic Risk Assessment Insights May Help Complete the Review More Effectively
For complex reviews that are technically challenging but without a clear challenge to plant
safety, the staff should consider integrating risk insights. Without a fully risk-informed submittal,
risk insights may not be used as the basis for acceptance of a request; however, the risk
insights would be expected to assist the TRs by supporting their safety conclusions and
enhancing the TRs’ confidence in their technical evaluations.
6.2.2 Emergency and Exigent Reviews
Emergency and exigent reviews typically involve a request to quickly change a deterministic
requirement. It is prudent to involve DRA risk analysts in these reviews early. The role of the
use of risk insights would be to assist the TRs in supporting their safety conclusions and
enhancing the TRs’ confidence in their technical evaluations.
6.2.3 Changes to Technical Specifications Where Single Failure and Other Conservatisms in
Updated Final Safety Analysis Report, Chapter 15, are No Longer Considered as Part
of the Assumptions
Safety-related SSCs and analyses often have numerous layers of protection, such as assuming
a single failure or worst-case scenarios. Where these numerous layers of protection are in
place, there may not be any use in applying risk insights developed by risk tools because the
risk tools do not make the same assumptions (for example, regarding single failure). In cases
where a safety-related analysis no longer relies on these prescriptive assumptions, it is both
useful and prudent to look to risk analyses for insights. This is often the case when a licensee is
already in a technical specification completion time because single failure does not apply in that
case, or for a submittal where the licensee is requesting not to consider single failure for a
period of time (for example, when maintenance is planned).
6.2.4 Reviews that Involve Multiple System Integration
Reviews of submittals that involve multiple system integration that may not have an obvious risk
connection should be considered to be discussed with risk analysts.
6.2.5 Reviews that are Related to Structures, Systems, and Components that are Important
to Safety, but Risk Information is Not Provided
SSCs that are important to safety are typically modeled in the PRA. For SSCs that are
important to safety, there are typically more tools (e.g., SPAR, notebooks, etc.) available to the
risk analysts to provide insights to TRs regarding the risk insights related to an SSC that are
important to safety. Discussion with risk analysts may be prudent to ensure all the roles of that
- 16 -
equipment are considered in the deterministic review. In this case, the risk analyst may not
provide risk insights but may provide connections to other review organizations that are not
obviously related to the review topic.
6.2.6 Submittals that Involve Many Technical Disciplines
For these submittals, even though they may not benefit from including a risk analyst in the staff
review, an IRT without a risk analyst should be considered to enhance the integration of the
staff’s interactive review and preparation of consolidated SEs and RAIs as discussed in
Section 1.2.
The IRT concept encourages reviewers from many technical disciplines to work together as a
team versus the traditional “silo” reviews that each reviewer works independently and transmits
the responsible section to the SE to the PM at the end for integration. The communication
within a team and developing joint consolidated products enhance the efficiency of the licensing
process. The IRT enhances the integration of staff review and preparation of consolidated SEs
and RAIs from the many technical disciplines.
6.3 Integrated Review Team Not Necessary
For these reviews, there is currently not an identified need to engage with DRA risk analysts.
Either there is not a risk aspect to be considered, or the technical review process is mature
enough such that adding risk resources would not improve the efficiency or effectiveness or
safety decision of the review.
6.3.1 Administrative Changes
If administrative changes do not impact the operation or maintenance of the plant, there is no
need to engage with DRA risk analysts for reviewing these changes. Requests for NRC review
of operational, testing, or maintenance procedure-related changes could potentially impact plant
risk and should not be excluded from possible integration by categorizing these types of
changes as administrative changes.
6.3.2 Reactor Risk Neutral Activities
This includes reviews of topics that are not related to components that could have an impact on
the safety of the reactor, such as the use of offsite sirens or domestic water. If the TRs for such
changes are new to the reviews, discussions with risk analysts may be prudent.
6.3.3 Other Reviews Where Integrating the Review with Risk Analysts Will Have No
Significant Benefit, as Agreed on by DRA (for Example, Reviews Where Risk Methods
are Not Available or Reviews Where Including Risk Information is Not Needed to Ensure
an Efficient and Effective Review)
For a large number of reviews, there currently is no integrated review, and it may continue to be
the most efficient and effective way to manage these reviews. For example, where single failure
is required to be considered, there is little value in layering in a risk review that uses different
- 17 -
criteria. There may be no need for risk analyst involvement unless a new or unique situation
dictates that risk may play a larger factor.
6.3.4 Submittals that Involve a Single Technical Discipline
For submittals that do not benefit from including a risk analyst in the staff review, an IRT is not
necessary because the SE and RAI input is from a single technical branch.
7.0 DRA CHECKLIST
During the scoping meetings, the PMs and reviewers will need to determine whether to use risk
insights, and therefore, use an IRT approach. The DRA Checklist below identifies risk tools to
provide insights for reviews of applications that were not submitted in accordance with
RG 1.174. These risk insights may be developed based on quantitative information but will be
characterized as qualitative risk insights when included in SEs. The staff may use risk tools
such as SPAR models, the “risk triplet,” or event frequencies to develop these qualitative risk
insights. RG 1.174 quantitative risk thresholds are not expected to be used as the basis for
approving changes that were not submitted in accordance with RG 1.174.
The questions in the checklist below provide a framework for developing risk insights that may
provide additional confidence in conclusions reached by TRs using traditional defense-in-depth
and deterministic evaluations. The DRA staff will be responsible for facilitating the use of this
checklist with the review team when considering whether PRA risk insights should be included
in licensing action decision-making. Quantitative or qualitative PRA risk insights are considered
in this checklist. The DRA staff should assist the IRT in differentiating probabilistic information
from PRA risk insights. The staff will use this checklist to determine whether and in what form
PRA risk insights should be included as part of an SE. DRA risk analysts should be considered
as the risk insight specialists and will be responsible for reviewing risk-related information
contained in SEs. The DRA staff will use NRC SPAR models or publicly-available information
provided by a licensee as part of risk-informed reviews to develop these risk insights, when
possible.
If there is significant risk discussion or quantitative risk information (e.g., CDF), but the licensee
submittal is not in accordance with RG 1.174 principles, a risk analyst should be included.
Significant risk discussion is not a casual mention of a submittal being low risk but is a
substantive discussion of risk insights. If risk discussion is substantive or quantitative risk is
mentioned, a risk analyst should be included.
The review team, with DRA’s lead, should compile answers for all questions in the checklist
when considering whether the review may use PRA risk insights. If the risk analyst’s response
to Questions A − E is no (“N”), the proposed change is not considered to be risk-significant. If
the answer to any of those questions is yes (“Y”) or not available (“NA”), the risk analyst may
perform additional analysis in response to Question F or develop risk insights using SPAR
models or other tools.
- 18 -
The checklist helps focus discussion between DRA and TRs.
Description of the Proposed Change:
Y N NA
A. PREVENTION: Does the proposed change increase the likelihood of
events that challenge normal plant operations and require
successful mitigation?
1. Does the proposed change increase the likelihood of events from
internal plant causes (e.g., hardware faults, internal floods, or internal
fires) that challenge normal plant operation and require successful
mitigation?
2. Does the proposed change introduce new events from internal plant
causes (e.g., hardware faults, internal floods, or internal fires) that
challenge normal plant operation and require successful mitigation?
3. Does the proposed change increase the intensity or occurrence of
external plant causes (e.g., earthquakes or high winds)?
4. Does the proposed change introduce external plant causes (e.g.,
earthquakes or high winds) not previously evaluated?
B. PROTECTION: Does the proposed change adversely affect common
cause failures by increasing the likelihood of such failures
(e.g., an operable SSC may be subject to the same failure
mode as an inoperable SSC)?
1. Does the proposed change increase the likelihood of a cause or event
that could cause simultaneous multiple component failures?
2. What is the risk significance of common cause failures? Is an SSC
that is the subject of the proposed change impacted by the increased
likelihood of common cause failures? Is an SSC that is necessary for
successful mitigation from events caused by internal and external plant
causes impacted by the increased likelihood of common cause
failures?
Y N N/A
- 19 -
Y N N/A
C. MITIGATION: Does the proposed change affect the likelihood of
successful mitigation (i.e., plant response) of challenges to
normal plant operation (events that would cause the plant
to implement abnormal operating procedures and
emergency operating procedures)?
1. Is the likelihood of the affected SSCs to successfully perform their
required function(s) (during a specified period) affected by the
proposed change?
2. What is the likelihood of the affected SSCs not being capable of
supporting their functions due to being unavailable for test or
maintenance? Is this unavailability of an SSC due to test and
maintenance affected by the proposed change?
3. Does the proposed change affect the likelihood of restoring a function
due to failure of affected SSCs?
i. Does the affected function rely on diverse/redundant SSCs? What
is the recovery likelihood of the affected SSCs or affected
function?
ii. Do the proposed compensatory measures manage risk-significant
configurations?
Y N N/A
D. DEFENSE-IN-DEPTH CONSIDERATIONS
1. Does the proposed change significantly increase the likelihood of an
event or introduce a new event that could simultaneously challenge
multiple barriers (e.g., interfacing systems loss-of-coolant accident and
steam generator tube rupture)?
2. Does the balance among the layers of defense remain appropriate?
3. Does the proposed change significantly impact the containment
function or SSCs supporting that function? Does the proposed change
significantly reduce the effectiveness of the emergency preparedness
program?
4. Does the proposed change include an overreliance on programmatic
activities as compensatory measures? (Reliance on a programmatic
activity as a compensatory measure might be considered excessive when
a program is substituted for an engineered means of performing a safety
function or when the failure of the programmatic activity could prevent an
engineered safety feature from performing its intended function.)
5. Does the proposed change result in a decrease in redundancy,
independence, or diversity of system functions impacted by the change?
Does the proposed change decrease the redundancy, independency,
or diversity of system functions not impacted by the change?
- 20 -
Y N N/A
E. HUMAN ACTIONS: Does the proposed change increase failures or
unavailability of SSCs (or function) caused by human
inaction or inappropriate actions or result in new
human failure event?
1. Does the proposed change create new human actions?
2. What is the likelihood of errors associated with new or affected human
actions?
3. Are new human actions important to preserving layers of defense?
4. What are the absolute or relative contributions of new or affected
human actions to overall risk?
F. RISK INFORMATION:
1. If risk information is known, what are some readily available risk insights applicable to
the proposed change?
a. What is the overall risk of the plant (i.e., baseline risk)?
b. What are the drivers of risk (or change in risk) (e.g., at the initiating events,
accident sequences, and cut sets levels)?
c. Has the NRC reviewed applications that proposed similar changes? What
conclusions were made in those reviews by the NRC?
2. What are the absolute and relative contributions of the affected SSCs, collectively
and individually, to overall risk?
a. What is the increase in risk if the affected SSC (or a collection of SSCs) was
assumed to be failed or unavailable?
b. What is the relative contribution of the affected SSC (or a collection of SSCs) to
the calculated risk?
c. What is the sensitivity of risk to the performance of the affected SSC?
Overall Conclusions:
- 21 -
8.0 CONSOLIDATED SAFETY EVALUATION AND REQUEST FOR ADDITIONAL
INFORMATION INPUT
There is efficiency when members of an IRT work together to produce consolidated SEs and
RAIs. This process should be considered when the staff review involves multiple technical
disciplines, with or without a risk analyst. The following process steps are for the development
of the consolidated SEs and RAIs. The discussion below about a risk analyst does not apply if
there is no risk analyst involved in the review.
Figure 1 shows the timeliness for a traditional review and an IRT review from the time a licensee
submittal is entered into ADAMS to when the SE is issued. The Project Checklist for
Consolidated SEs and RAIs provides details of the IRT process. Existing staff guidance
continues to apply, such as branch chief review of staff input to RAIs and the SE, PM
maintenance of RAIs and SE, and PM preparation of the licensing package. However, the IRT
approach requires a preparation of a consolidated SE outline early and more internal meetings
for communication and coordination than the traditional approach. It is important to have an
agreed-upon consolidated SE outline so each member of the IRT knows where his or her input
fits in the SE, and the PM can confirm that there is no gap in the SE.
Figure 1: Review Timelines for Traditional and Integrated Review Teams
ADAMS Add T0
Traditional
Review
Team
Timeline
Integrated
Review
Team
Timeline
AR Issued in
25 working
days
AR Issued in
25 working
days
Staffing,
Scoping, &
AR Meetings
Kick-Off
Meeting
Review Timelines
12 Months with 9 Months as Stretched Goal
Branch-Specific Draft SEs
and RAIs to DORL RAI Responses
Draft SE
Outline
1m 2m 3m 4m 5m 6m 7m 8m 9-12m
Draft SE & RAIs developed RAI Responses
Branch-Specific
PM’s SE
consolidation &
Concurrences &
Issuance
Tech, DORL LA
SE Concurrences
Concurrences &
Issuance
Project Checklist for Consolidated Safety Evaluations and Requests for Additional Information
The following steps are in addition to those in other applicable office instructions.
- 22 -
Who? Task
Adding Project to RRPS
PM Add project to RRPS and assign Type 1, 2, or 3
o Type 1 (no PRA)
o Type 2 (PRA info but not RG 1.174)
o Type 3 (formally risk-informed; RG 1.174)
Key search words: risk, probabilistic, CDF, LERF, frequency
PM Assign branches (or DRA Front Office “DRAFO” for risk analyst) based on type
number
o Type 1 – technical branches (TBs) only
o Type 2 and 3 – technical branches and DRAFO
Staffing Meeting
PM Schedule staffing meeting within 10 working days
Team For Type 1 and 2, determine if other reviewers and DRA need to be added or
remain.
For Type 3, determine if technical branches should remain or need other branches.
PM Assign any new branches.
Technical Remove branches not needed.
Scoping Meeting
PM Schedule scoping meeting within 15 working days.
Team Identify all changes and who is reviewing each change.
Team Decide if IRT will be used.
Acceptance Review Meeting
PM Schedule acceptance review meeting within 20 working days.
Team Discuss hours estimate, complex review determination.
Team Identify any acceptance review issues.
Team Discuss IT format for consolidated SE (e-mail, ADAMS, SharePoint, etc.).
Team Identify challenges to meeting 25-day metric - refer to LIC-109, Section 3, page 6.
Consolidated SE Preparation
PM Schedule consolidated SE meeting within approximately 6 weeks from acceptance
review
- schedule laptop/projector if needed
- establish SharePoint site location or ADAMS accession number, if needed
PM Develop licensing package with draft SE outline.
PM Start filling out “Introduction” section of the SE.
TB/DRA Technical reviewers and DRA nominate a technical coordinator.
TB/DRA Begin “Regulatory Evaluation” and outline “Technical Evaluation” sections of the SE.
TB/DRA Send PM draft SE outline within 4 weeks of acceptance review.
PM Combine TB/DRA SE outline with PM’s outline; send to team within 5 weeks.
Consolidated SE Meeting (may need multiple meetings)
PM Discuss version control of SE (e.g., have TB/DRA only “check out” document when
updating; not while developing).
Team Discuss and agree on a consolidated SE outline.
Team Agree on who is responsible to complete which section or subsection of the SE.
PM Ensure someone is assigned responsibility to complete every section and subsection
of the SE.
Team Ensure “Regulatory Evaluation” section of the SE is accurate.
Team Agree on review methodology.
PM Get branch chief’s informal approval on draft SE outline (after meeting).
Team Work on section or subsection of the SE as agreed.
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Team Finish draft SE with any “holes” prior to sending RAIs.
TB/DRA
Branch
Chiefs
Review his or her staff’s RAI input to the PM.
Team Develop and consolidate RAIs into one document.
PM Get branch chief’s concurrences on consolidated RAIs.
Team Fill in “holes” in draft SE after RAI responses are received.
TB/DRA
Branch
Chiefs
Review his or her staff’s SE input to the PM.
Team Develop and consolidate SE into one document.
PM Get branch chief’s concurrences on consolidated SE.
The process, as described above, contains specific timeframes. When necessary, and except
for timelines associated with metrics, the staff has flexibility to manage their review with the PM
and propose timelines that suit the workload. In addition, it may not be necessary to have
formal meetings as described because the IRT has flexibility to decide when it is appropriate to
hold meetings.