ML083460261

Audit of the Licensee'S Management of Regulatory Commitments

ML083460261
Person / Time
Site:	Duane Arnold
Issue date:	12/18/2008
From:	Feintuch K Plant Licensing Branch III
To:	Andersen R Florida Power & Light Co
Feintuch K, NRR/DORL/LPL2-1, 415-3079
References
NEI 99-04, RIS-00-017, TAC MD6021
Download: ML083460261 (12)

Text

UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 December 18, 2008 Mr. Richard L. Anderson Vice President Duane Arnold Energy Center FPR Energy Duane Arnold, LLC 3277 DAEC Road Palo, IA 52324-9785 SUB~IECT: DUANE ARNOLD ENERGY CENTER - AUDIT OF THE LICENSEE'S MANAGEMENT OF REGULATORY COMMITMENTS (TAC NO. MD6021)

Dear Mr. Anderson:

In Regulatory Issue Summary 2000-17, "Managing Regulatory Commitments Made by Power Reactor Licensees to the NRC Staff," dated September 21, 2000, the U.S. Nuclear Regulatory Commission (NRC) informed licensees that the Nuclear Energy Institute (NEI) document NEI 99-04, "Guidelines for Managing NRC Commitment Changes," contains acceptable gUidance for controlling regulatory commitments and encouraged licensees to use the NEI guidance or similar administrative controls to ensure that regulatory commitments are implemented and that changes to the regulatory commitments are evaluated and, when appropriate, reported to the NRC.

The NRC Office of Nuclear Reactor Regulation has instructed its staff to perform an audit of licensees' commitment management programs once every 3 years to determine whether the licensees' programs are consistent with the industry guidance in NEI 99-04, and that the regulatory commitments are being effectively implemented.

An audit of Duane Arnold Energy Center (DAEC) commitment management program was performed at the plant site on October 30 and 31, 2008. The NRC staff concludes, based on the audit, that (1) FPL Energy Duane Arnold, LLC (the licensee) has implemented NRC commitments on a timely basis, and (2) the licensee has implemented an effective program for managing NRC commitment changes at DAEC. The details of the audit are set forth in the enclosed audit report.

R. L. Anderson -2 The NRC staff appreciates the resources that were made available by your staff, both before and during the audit. If there are any questions, I can be contacted at (301) 415-3079.

Sincerely, Karl Feintuch, Project Manager Plant Licensing Branch 111-1 Division of Operating Reactor Licensing Office of Nuclear Reactor Regulation Docket No. 50-331

Enclosure:

Audit Report cc w/encl: Distribution via ListServ

AUDIT REPORT BY THE OFFICE OF NUCLEAR REACTOR REGULATION LICENSEE MANAGEMENT OF REGULATORY COMMITMENTS FPR ENERGY DUANE ARNOLD, LLC DUANE ARNOLD ENERGY CENTER DOCKET NO. 50-331

1.0 INTRODUCTION AND BACKGROUND

In Regulatory Issue Summary 2000-17, "Managing Regulatory Commitments Made by Power Reactor Licensees to the NRC Staff," dated September 21,2000, the U.S. Nuclear Regulatory Commission (NRC) informed licensees that the Nuclear Energy Institute (NEI) document NEJ 99-04, "Guidelines for Managing NRC Commitment Changes," contains acceptable guidance for controlling regulatory commitments and encouraged licensees to use the NEI guidance or similar administrative controls to ensure that regulatory commitments are implemented and that changes to the regulatory commitments are evaluated and, when appropriate, reported to the NRC.

The NRC Office of Nuclear Reactor Regulation (NRR) has instructed its staff to perform an audit of licensees' commitment management programs once every 3 years to determine whether the licensees' programs are consistent with the industry guidance in NEI 99-04, and that the regulatory commitments are being effectively implemented.

NEI-99-04 defines a "regulatory commitment" as an explicit statement to take a specific action agreed to, or volunteered by, a licensee and submitted in writing on the docket to the NRC. NRR guidelines direct the NRR Project Manager to audit the licensee's commitment management program by assessing the adequacy of the licensee's implementation of a sample of commitments made to the NRC in past iicenslnq actions (amendments, relief requests, exemptions, etc.) and licensing activities (bulletins, generic letters, etc.). The audit is to be performed every 3 years.

2.0 AUDIT PROCEDURE AND RESULTS An audit of the Duane Arnold Energy Center (DAEC) commitment management program was performed at the plant site on October 30 and 31,2008. The audit reviewed commitments made since the previous audit on June 21 through 25, 2004, which was documented as an Audit Report dated August 9, 2004 and is publically available electronically from the Agencywide Documents Access and Management System (ADAMS) using the ADAMS Accession No. ML041890282. The audit consisted of two major parts: (1) verification of the licensee's implementation of NRC commitments that have been completed, and (2) verification of the licensee's program for managing changes to NRC commitments.

ENCLOSURE

-2 2.1 Verification of Licensee's Implementation of NRC Commitments The primary focus of this part of the audit is to confirm that the licensee has implemented commitments made to the NRC as part of past licensing actions/activities. For commitments not yet implemented, the NRC staff determines whether they have been captured in an effective program for future implementation.

2.1.1 Audit Scope The audit addressed a sample of commitments made during the review period. The audit focused on regulatory commitments (as defined above) made in writing to the NRC as a result of past licensing actions (amendments, exemptions, relief requests, etc.) or licensing activities (bulletins, generic letters, etc.). Commitments made in Licensee Event Reports or in response to Notices of Violation could be included in the sample, but the review is limited to verification of restoration of compliance, not the specific methods used.

Before the audit, the NRC staff searched the ADAMS for the licensee's submittals since the last audit and selected a representative sample of regulatory commitments for verification. The identified list of commitments was forwarded to the licensee with a request to locate documentation for the listed regulatory commitments ahead of the NRC staff visit.

The audit excluded the following types of commitments that are internal to licensee processes:

1. Commitments made on the licensee's own initiative among internal organizational components.

2. Commitments that pertain to milestones of licensing actions/activities (e.g.,

respond to an NRC request for additional information by a certain date).

Fulfillment of these commitments was indicated by the fact that the subject licensing action/activity was completed.

3. Commitments made as an internal reminder to take actions to comply with existing regulatory requirements such as regulations, Technical Specifications, and Updated Final Safety Analysis Reports. Fulfillment of these commitments was indicated by the licensee having taken timely action in accordance with the subject requirements.

2.1.2 Audit Results FPR Energy Duane Arnold, LLC (the licensee) has implemented Administrative Control Procedure (ACP) 102.2, "Action Request System," which identifies the methods and site organization tools for managing development, review, and implementation of station commitments. The licensee's Procedure ACP 114.5, "Procedure for Evaluation of NRC Commitment Changes," establishes the processes, guidelines, and activities the licensee uses to manage the development, review, and implementation of commitments generated from regulatory obligations and self-imposed requirements. An Action Request System (ARS) database is used in conjunction with other information sources to address and track regulatory commitments.

- 3 The documents furnished by the licensee during the audit included summary sheets providing the status of the commitments and appropriate backup documentation, as needed (i.e., plant procedures, examination records, and/or other plant documentation).

The NRC staff reviewed the documents and summarized the selected commitments information in the attachment to this audit report.

The NRC staff's audit was intended to confirm that the licensee has documented its implementation of its regulatory commitments made to the NRC staff as part of past licensing communications, and the commitments that had not yet been implemented or incorporated in design bases documents are captured in an effective manner for future implementation.

As discussed above, the ACP and ARS described in the licensee's procedures ACP 102.2 and ACP 114.5, provide acceptable tools for the licensee to capture the NRC guidance on commitment management programs. The licensee enters the regulatory commitments made to the NRC into a database. The regulatory commitments are labeled as NRC commitments. Each commitment is numbered and described by a commitment title and brief description. Status of the commitments, implementation dates, target implementation (documents which finally capture the commitment) document information associated with each specific commitment, and comments are captured in the database. The licensee's staff is well trained in updating the commitments management program.

The NRC staff's audit of the licensee's commitment management program for DAEC did not identify any regulatory commitments that were not satisfied or incorporated. The licensee has adequately maintained the database, and all the commitments selected for this audit were easily traceable. In case the commitment was already incorporated, the database provided an accurate status of the commitment providing reference to the implementation document.

To ensure that the regulatory commitments are not removed/changed in future revisions to the target documents, a database search is performed to identify all the open and closed commitments against the document/procedure being revised, and it is ensured that all the closed commitments are captured. Also, it ensures that the commitments are neither removed nor changed without management approval in accordance with the plant procedures.

Based on the results of the on-site audit, the NRC staff believes the licensee has implemented the regulatory commitments management program effectively in accordance with L1C-105, "Managing Regulatory Commitments Made by Licensees to the NRC," and consistent with NEI 99-04.

The attachment to this audit report contains details of the audit and a summary of the audit results.

2.2 Verification of the Licensee's Program for Managing NRC Commitment Changes The primary focus of this part of the audit is to verify that the licensee has established administrative controls for modifying or deleting commitments made to the NRC. The NRC staff compared the licensee's process for controlling regulatory commitments to the

-4 guidelines in NEI-99-04, which the NRC has found to be an acceptable guide for licensees to follow for managing and changing commitments. The process used at DAEC, is contained in procedures ACP 102.2 and ACP 114.5. The primary focus of the audit was to ensure that the commitments are implemented without a change and if a change is made, it is in accordance with the approved plant procedures, and with the approval of the plant's management. The audit also verified that the licensee's commitment management system includes a mechanism to ensure traceability of commitments following initial implementation. This ensures that licensee personnel are able to recognize that future proposed changes to the affected design features or operating practices require evaluation in accordance with the commitment change control process.

2.2.1 Audit Results Detailed processes are outlined by which the licensee carries out obligations under its regulatory commitments. Any changes to the commitments are processed through the ARS process. Changes to obligatory commitments are reported to the NRC in accordance with the recommendations of L1C-105. ARS identifies the affected commitments, their origin, oriqinal criteria, proposed changes, and justification for change.

The commitment changes are documented in ARS forms for submittal to the NRC staff.

However, no commitment changes were identified during the audit (for the commitments included in the scope of review), except for change to the implementation date. In all such cases, the NRC staff was appropriately informed and a specific NRC approval was attained. Based on the results of the on-site audit, the NRC staff believes the licensee has implemented regulatory commitment changes appropriately, in accordance with L1C-105 and consistent with NEI 99-04.

3.0 OBSERVATIONS AND RECOMMENDATIONS The auditors noted that the information requested to be on hand at the beginning of the audit was available and well organized. The information that was requested during the audit was readily retrieved and delivered. The system for managing regulatory commitments was both comprehensive and efficient and the support personnel were using the system in an efficient manner. Therefore, there are no observations leading to recommendations for change.

4.0 CONCLUSION

Based on the results of the audit, the NRC staff concludes that the licensee has implemented the regulatory commitments management program effectively, and implemented regulatory commitment changes appropriately, in accordance with L1C-105 and consistent with NEI 99-04.

5.0 LICENSEE PERSONNEL CONTACTED FOR THIS AUDIT S. Catron D. Barta Principal Contributors: K. Feintuch G. Lappert Date: December 18, 2008

Duane Arnold Energy Center AUDIT RESULTS Letter Number SUbject Duane Description of Commitment Implementation Status and Date Arnold Commitment No.

NG-06-0757, Letter from G. Van CAP038124 Duane Arnold Energy Center CLOSED:

dated Middlesworth (NMC) to CA040831 will perform an analysis of the Due date extended to May 3, 2006; commitment November 6, USNRC, "License Event CA041255 side effects pm HPCI completed April 17,2006.

2006 Report # 2005-004-00," CAP041780 discharge piping heating NG-05-2161, dated CA042899 caused by "turbulent Licensee identified that the approval procedure November 28, 2005, penetration." This action is within the Administrative Process and form NG ML053360261 due March 17,2006. 042G Rev 6 was not completed to revise the extension date from March 17,2006 to May 3, 2006 on April 24, 2006.

The licensee issued a CAP041780 on April 24, 2006 noting the Admin Process for CA41255 Due Date Extension Not Followed indicating human error type - knowledge based and a CA042899 was issued on April 24, 2006.

CA42899 was closed on April 28, 2008 with the completion of the form.

The form was completed and CA closed, which in turn closed the CAP41780 on May 10, 2006.

NG-06-0757, Letter from G. Van CA041251 After the completion of the CLOSED:

dated Middlesworth (NMC) to analysis performed under COM42886 changed due date to May 31, 2006.

November 6, USNRC, "License Event commitment 1, existing Per NG-06-0757 due date changed to April 27, 2006 Report # 2005-004-00," Technical Specification 2007. Commitment completion date in the NG-05-2161, dated Surveillance Requirements Licensee's Action Request System (ARS) is November 28, 2005, basis will be reviewed and March 13, 2007. TS bases update completed.

ML053360261. revised based on the results of the analysis. This action is due April 28, 2006.

-2 due April 28, 2006.

NG-08-0239, Duane Arnold Energy COM030103 Complete the detailed OPEN:

dated May 8, Center - Re: Generic walkdowns and evaluations of Due March 1, 2009. The ARS indicates active 2008 Letter 2008-01 , "Managing those inaccessible sections of status in Section 4 of the state of change history.

Gas Accumulation in piping of GL-2008-01 subject Emergency Core Cooling, systems, not otherwise Decay Heat Removal, and exempted, prior to start up Containment Spray from the next refueling that is Systems," Proposed currently planned for early Alternative Course of 2009.

Action.

NG-08-0239, Duane Arnold Energy COM030104 Submit a supplemental report OPEN:

dated May 8, Center - Re: Generic to the original 9-month Due June 1, 2009 - The ARS indicates report 2008 Letter 2008-01, "Managing response, for those walkdowns due to NRC 90 days from the intended start up Gas Accumulation in and evaluations completed from the spring Outage. The ARS shows as an Emergency Core Cooling, during the 2009 refueling active status in Section 5 of the state of change Decay Heat Removal, and outage, within 90 days after history.

Containment Spray the start up from the outage.

Systems," Proposed Alternative Course of Action.

NMC letter Generic Letter 2003-01: COM010906 Perform the ASTM E741 CLOSED:

dated Control Room Habitability COM036462 testing and [provide] the NMC letter to NRC dated August 11,2003, November 25, COM028326 requested response to GL provided partial response and NMC letter dated 2003 2003-01 January 28, 2005, indicating in the Enclosure supplements the Responses to GL 2003-01 and provided a schedule for completion of the commitments related to the compliance.

All commitments have been completed successfully and satisfactorily.

-3 NMC letter Generic Letter 2003-01 : COM010906 Verifying by ASTM E741 CLOSED:

dated Control Room Habitability COM036462 testing that the most limiting NMC letter to NRC dated August 11,2003, provided November 25 COM028326 inleakage has been partial response and NMC letter dated January 28, incorporated into the 2005, indicating in the Enclosure supplements the hazardous chemical Responses to GL 2003-01 and provided a schedule for completion of the commitments related to the assessments (GL 2003-01 compliance.

item 1(b) part 2).

All commitments have been completed successfully and satisfactorily.

NMC letter Generic Letter 2003-01 : COM010906 [Perform a] smoke CLOSED:

dated Control Room Habitability COM036462 assessment (GL 2003-01 item NMC letter to NRC dated August 11, 2003, November 25 COM028326 1(b) part 2). provided partial response and NMC letter dated January 28, 2005, indicating in the Enclosure supplements the Responses to GL 2003-01 and provided a schedule for completion of the commitments related to the compliance.

All commitments have been completed successfully and satisfactorily.

NMC letter Generic Letter 2003-01 : COM010906 Development of technical CLOSED:

dated Control Room Habitability COM036462 specification changes (and any NMC letter to NRC dated August 11,2003, November 25 COM028326 associated plant modifications) provided partial response and NMC letter dated to support requested January 28, 2005, indicating in the Enclosure information GL 2003-01 item supplements the Responses to GL 2003-01 and 1(c). provides a schedule for completion of the commitments related to the compliance.

All commitments have been completed successfully and satisfactorily.

NG-07-0495, Licensee Event Report # CAP049511 Review O-Ring procurement CLOSED:

dated June 11 , 2007 -008-00 and quality level process. August 27,2007. Condition Evaluation 2007 completed.

NG-07-0495, Licensee Event Report # CA045429 Development of the lessons OPEN:

dated June 11, 2007 -008-00 CA046878 learned from the cylinder liner When all lessons learned are collected, the 2007 work in RF020. corrections to resolve the problem need to be incorporated into the Preventative Work Order (PWO) for the lA' EDG Cylinder liner

-4 replacement scheduled for RF021 in spring 2009.

NG-07-0292, Licensee Event Report # COM045505 Submit a supplement to LER WITHDRAWAL:

dated March 2007-001 2007-041 that contains the LER 331/2007-001 Cancellation in letter dated 26, 2007 completed safety significance June 1, 2007, letter number NG-07-0466.

of the subject event by June 1, November 1, 2007, letter re-iterated to the NRC 2007. that the LER was retracted and cancelled.

NG-06-0601 Withdrawal of TSCR-076: COM043709 Prior to startup from the next WITHDRAWN:

dated "Relaxation of Emergency refuel outage (RF020), FPL Action being addressed at a site level with the September 6, Diesel Generator Testing Energy Duane Arnold will corrective action program. Commitment 2006 Criterion" implement the provisions of withdrawn.

NRC Safety Guide 9 for the EDGs to maintain minimum bus voltage (>75% nominal) between load groups, as described in the DAEC Section 1.8.9.4.

NG-07 -0571 , TSTF-476, Rev 1 OTH022501 Revise Bases Sections 3.1.6 CLOSED:

dated "Improved Banked Position abd 3.3.2.1 to allow use of the TS updates completed and approved by DAEC September 14, Withdrawal Sequence improved BPWS shutdown management concurrence dated April 3, 2008.

2007 (BPWS) Control Rod sequence per Amendment No.

Insertion Process (NEDO 268.

33091)"

NG-06-0439 Relief Request NDE-R001 Use of the DAEC Technical CLOSED:

dated June 30, Requirements Manual for Incorporated into DAEC Fourth 1O-Year lSI Plant 2006 Snubber Visual Examination - Relief Requests Section H by the Engineers.

and Testing.

NG-06-0439 Relief Request NDE-R002 Approved use of PDI for CLOSED:

dated June 30, Overlays in Lieu of Incorporated into DAEC Fourth 10-Year lSI Plant 2006 Supplement 11 to Appendix - Relief Requests Section H by the Engineers.

VIII.

NG-06-0439 Relief Request NDE-R005 Risk Informed lSI for Class I B CLOSED:

dated June 30, F and B-J Welds and Class 2 Incorporated into DAEC Fourth 10-Year lSI Plant 2006 and C-F-2 Welds. - Relief Reauests Section H bv the Enaineers.

NG-06-0439 Relief Request NDE-R008 Request approval to use CLOSED:

dated June 30, Appendix VIII examinations for Incorporated into DAEC Fourth 10-Year lSI Plant 2006 the Fourth 10-year Interval - Relief Requests Section H by the Enqlneers.

-5 reactor vessel-to-flange weld and head-to-flange weld in Lieu of the existing requirements to use Section V.

NG-06-0622, Request To Allow Use Of OTH021846 Request To Allow Use Of The CLOSED:

dated The Provisions Of IWA Provisions Of IWA-4132 For Withdrawn with letter number NG-07-0270 dated September 29, 4132 For The Remainder The Remainder Of The Third March 20, 2007.

2006 Of The Third 10-Year 10-Year Inservice Inspection Inservice Inspection Interval And The Interval And The Fourth Fourth 1O-Year Inservice Ten-Year Inservice Inspection Interval Inspection Interval Dated June 28, Duane Arnold Energy PCR020616, Implementation of Amendment CLOSED:

2007 Center, Issuance of OTH020627 No. 265 to remove Incorporated using various action requests Amendment No. 265. and requirements for CAD System. depending on which department was responsible LAR020625 for the updates.

R. L. Anderson -2 The NRC staff appreciates the resources that were made available by your staff, both before and during the audit. If there are any questions, I can be contacted at (301) 415-3079.

Sincerely, IRA!

Karl Feintuch, Project Manager Plant Licensing Branch 111-1 Division of Operating Reactor Licensing Office of Nuclear Reactor Regulation Docket No. 50-331

Enclosure:

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PUBLIC RidsNrrLATHarris Resource LPLIV r/f RidsNrrPMKFeintuch Resource RidsAcrsAcnw_MailCTR Resource RidsOgcRp Resource RidsNrrDorlDpr Resource RidsRgn4MailCenter Resource RidsNrrDorlLpl3-1 Resource SMeighan ADAMS Accession No.: ML083460261 OFFICE LPL3-1/PM LPLl4/LA LPL4/LA LPL3-1/BC NAME KFeintuch GLappert THarris LJames DATE 12/17108 12/17108 12/17108 12/18/08 OFFICIAL RECORD COpy