LIC-206

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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

DORL

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

- 3 -

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.

- 4 -

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.

- 5 -

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.

- 6 -

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

- 8 -

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

SEs to DORL

PM’s SE

consolidation &

DORL, OGC

Concurrences &

Issuance

Tech, DORL LA

SE Concurrences

OGC, DORL BC

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).

SE and RAI Development

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.