ML13015A190

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Generating. Units Nos. 2 and 3 - Audit of the Licensees Management of Regulatory Commitments
ML13015A190
Person / Time
Site: Indian Point  Entergy icon.png
Issue date: 01/16/2013
From: Pickett D
Plant Licensing Branch 1
To:
Entergy Nuclear Operations
Pickett D NRR/DORL/LPL1-1 301-415-1364
References
TAC MF0305, TAC MF0306
Download: ML13015A190 (12)
v • d • e


Text

UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555*0001 January 16, 2013 Vice President, Operations Entergy Nuclear Operations, Inc.

Indian Point Energy Center 450 Broadway, GSB P.O. Box 249 Buchanan, NY 10511-0249

SUBJECT:

AUDIT OF THE LICENSEE'S MANAGEMENT OF REGULATORY COMMITMENTS -INDIAN POINT NUCLEAR GENERATING UNIT NOS. 2 AND 3 (TAC NOS. MF0305 AND MF0306)

Dear Sir or Madam:

The U.S. Nuclear Regulatory Commission (NRC) informed licensees in Regulatory Issue Summary (RIS) 2000-17, "Managing Regulatory Commitments Made by Power Reactor Licensees to the NRC Staff," dated September 21, 2000, that the Nuclear Energy Institute (NEI) document NEI 99-04, "Guidelines for Managing NRC Commitment Changes," contains acceptable guidance for controlling regulatory commitments. RIS 2000-17 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 regulatory commitments are being effectively implemented.

An audit of Indian Point's commitment management program was performed at the plant site during the period of December 11 - 13, 2012. The NRC staff concludes, based on the audit, that Entergy has (1) implemented NRC commitments on a timely basis, and (2) implemented an effective program for managing NRC commitment changes. Details of the audit are set forth in the enclosed audit report.

Sincerely,

~v?~

Douglas V. Pickett, Senior Project Manager Plant Licensing Branch 1-1 Division of Operating Reactor Licensing Office of Nuclear Reactor Regulation Docket Nos. 50-247 and 50-286

Enclosure:

Audit Report cc: Listserv

UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 AUDIT REPORT BY THE OFFICE OF NUCLEAR REACTOR REGULATION LICENSEE MANAGEMENT OF REGULATORY COMMITMENTS ENTERGY NUCLEAR OPERATIONS, INC.

INDIAN POINT NUCLEAR GENERATING UNIT NOS. 2 AND 3 DOCKET NOS. 50-247 AND 50-286

1.0 INTRODUCTION AND BACKGROUND

The U.S. Nuclear Regulatory Commission (NRC) informed licensees in Regulatory Issue Summary (RIS) 2000-17, "Managing Regulatory Commitments Made by Power Reactor Licensees to the NRC Staff." dated September 21, 2000, that the Nuclear Energy Institute (NEI) document NEI 99-04, "Guidelines for Managing NRC Commitment Changes," contains acceptable guidance for controlling regulatory commitments. RIS 2000-17 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. 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.

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 regulatory commitments are being effectively implemented. An audit of the Indian Point commitment management program was performed at the plant site during the period of December 11-13, 2012. The audit reviewed commitments made since the previous audit performed in December 2009 (Agencywide Documents and Management System Accession No. ML100200029).

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 licensing actions (amendments, reliefs, exemptions, etc.) and activities (bulletins, generic letters, etc.).

2.0 AUDIT PROCEDURE AND RESULTS The audit consisted of three major parts: (1) verification of the licensee's implementation of NRC commitments that have been completed, (2) verification of the licensee's program for managing changes to NRC commitments and (3) verification that all regulatory commitments reviewed were correctly applied in NRC staff licensing action reviews.

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. The audit also verifies 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.

2.1.1 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, etc.) or licensing activities (bulletins, generic letters, etc.). Commitments made in Licensee Event Reports or in response to Notices of Violation may be included in the sample, but the review will be limited to verification of restoration of compliance, not the specific methods used. Before the audit, the NRC staff searched ADAMS for the licensee's submittals since the last audit and selected a representative sample for verification.

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 (TSs), 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 The attached Audit Summary provides details of the audit and its results. The NRC staff found that the Entergy corporate procedure for managing regulatory commitments, EN-U-11 0, "Commitment Management Program," Revision 5, acceptably implements the NEI-99-04 guidelines, and that the Entergy staff at Indian Point is following the guidance of EN-U-110.

Furthermore, the staff confirmed that Revisions 2, 3, and 4, which were implemented subsequent to the last commitment audit at Indian Point, also implement the guidance of NEI-99-04. The attached Table 1 in the Audit Summary lists the commitments that were audited to verify that the licensee adequately implements and tracks its commitments.

- 3 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 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 Entergy commitment management system is described in the Entergy corporate procedure EN-U-110. EN LI 110 is based on and implements the recommendations of !\\lEI 99-04. The audit reviewed a sample of commitment changes that included changes that were or will be reported to the NRC, and changes that were not or will not be reported to the NRC. The audit also verifies 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 The attached Audit Summary provides details of this portion of the audit and its results. The NRC staff found that the Entergy corporate procedure for managing regulatory commitments, EN-Ll-110, acceptably implements the NEI-99-04 guidelines pertaining to commitment changes.

The Entergy staff at Indian Point is following the guidance of EI\\J-U-11 0 with regard to commitment changes. The attached Table 2 in the Audit Summary lists the commitments that were audited to verify the licensee's program for managing changes to NRC commitments.

2.3 Review to Identify Misapplied Commitments The commitments reviewed for this audit were also evaluated to determine if they had been misapplied. A commitment is considered to be misapplied if the action comprising the commitment was relied on by the NRC staff in making a regulatory decision such as a finding of public health and safety in an NRC safety evaluation associated with a licensing action.

Reliance on an action to support a regulatory decision must be elevated from a regulatory commitment to a legal obligation (e.g., license condition, condition of a relief request, regulatory exemption limitation or condition). A commitment is also considered to have been misapplied if the commitment involves actions that were safety significant (i.e., commitments used to ensure safety).

Each of the commitments selected for the audit sample were reviewed to determine if any had been misapplied.

2.3.1 Review of Safety Evaluation Reports for licenSing Actions since the Last Audit to Determine if They Are Properly Captured as Commitments or Obligations In addition to the commitments selected for the audit sample, all license amendment safety evaluations, exemptions and relief request safety evaluations that have been issued since the last audit were identified. These documents were evaluated to determine if they contained any misapplied commitments as described above.

-4 2.3.2 Audit Results The attached Audit Summary provides details of this portion of the audit and its results. The NRC staff found that the Entergy corporate procedure for managing regulatory commitments, EN-Ll-110, acceptably implements the NEI-99-04 guidelines pertaining to the application of commitments. The staff did not identify any examples of misapplied commitments at Indian Point.

3.0 CONCLUSION

The NRC staff concludes that, based on the above audit, Entergy has implemented an effective program for managing NRC commitments, changing commitments, and application of commitments at Indian Point.

4.0 LICENSEE PERSONNEL CONTACTED FOR THIS AUDIT Michael Burney Stephen Prussman Robert Walpole Principal Contributor: Douglas Pickett Date: January 16, 2013

Attachment:

Summary of Audit Results

I AUDIT

SUMMARY

TABLE 1 -IMPLEMENTATION OF REGULATORY COMMITMENTS INDIAN POINT NUCLEAR GENERATING UNIT NOS. 2 AND 3 Date of I Licensee's I Description of Commitment i

Commitment Status Commitment Letter I

i Complete. Letter of supporting information regarding NL-09-151 Licensee committed to provide 11/16/2009 12/11/2009 provided

  • their severe accident

. supporting information.

i management guidelines by 12/16/2009.

12/15/2009 NL-09-167 To support an exigent TS Withdrawn. Licensee's letter dated 11/17/2010 withdrew I

i amendment for the AFW turbine the proposed license commited to implement 15

  • driven pump, the licensee amendment.

specific actions to reduce risk i

i upon entering the TS LCO.

09/23/2010 NL-10-096 Licensee to supplement the cyber Complete. Letter of 11/30/2010 (NL-10-118) systems by 11/30/2010 1typlan to clarify scope of revises submittal date.

Letter of 4101/2011 provides information 09/23/2010 NL-10-096

SSCs subject to 10 CFR 73.54 by revises submittal date.

i i

i 09/14/2014 I Letter of 410112011 provides I

information I

I 12/10/2010 Open. This item is included NL-10-123 ICommitment to provide an in the licensee's commitment

  • additional $55.634 million into the I spent fuel management trust fund tracking system.

b 6/30/2023 02/18/2011 NL-11-015 Changes to Section 4.3, Complete. Incorporated in i

"Defense-in Depth Protective

. licensee's letter of 4/01/2011 Strategies," of cyber security plan to be made per RAI responses Enclosure

- 2 licensee's Description of Commitment Commitment Status Commitment Letter I

rre~

04/01/2011 NL-11-033 Entergy will implement Open. This item is included milestones 1 through 7 I

I in the licensee's commitment described in letter by tracking system.

I 12/31/2012 04/01/2011 NL-11-033 Full implementation of th~pen, This item is included cyber security plan will be in the licensee's commitment

  • achieved by 12/15/2014 tracking system.

10/28/2011 NL-11-118 ILicensee to move the Protected Complete.

  • Area boundary to support I wet-fuel transfer prior to first I fuel movement 10/28/2011 NL-11-118 Licensee to replace existing I

Complete Unit 3 cask handling crane prior i I to first fuel movement

~--------~

10/28/2011 NL-11-118

  • Licensee to evaluate all
  • Complete safety-related components beneath transport roadway I'

rior to first fuel movement

...__________--1 10/28/2011 NL-11-118 Replace the shielded transport I Complete cask lid bolts prior to the first fuel movement 10/28/2011 NL-11-118 Unit 3 fuel assemblies Ongoing. This item is unloaded from cycle 17 and included in the licensee's commitment tracking system.

  • following will be evaluated I
  • before being loaded into the STC to ensure they are bounded by design anal Sis 03101/2012 NL-12-041 Licensee to report any changes I Ongoing. This item is to proposed resolution to included in the licensee's

! to the NRC 05/11/2012 NL-12-054 This letter contained 15 The 15 commitments had separate commitments related varying completion dates.

  • to the licensee's 60-day Some were observed to be i response to the 10 CFR closed while others are still emergency communication and 50.5.4(f) Fukushima I

..etter for licensee's commitment being tracked in the i staffing assessments.

tracking system.

__ -'--__~_--'-______-.J

- 3 Commitment Status Commitment Description of Commitment i

Date of Licensee's Letter The 4 commitments had separate commitments This letter contained 4 NL-12-075 06/08/2012 varying completion dates.

related to the licensee's Two were closed and one 90-day response to the remained open and was 10 CFR 50.54(f) Fukushima included in the commitment letter for emergency tracking system. The fourth communication and staffing was not being tracked in the assessments.

licensee's commitment tracking program and the licensee created a Condition i Report

...~

NL-12-081 The licensee's commitment to separate commitments 06/08/2012 This letter contained 3 submit their flood hazard related to the licensee's

' evaluation by 03/12/2013 is response to the Fukushima i included in the licensee's Recommendations 2.1 and commitment tracking system.

2.3 for flooding evaluations i

, and walkdowns.

06/11/2012 NL-12-084 The licensee committed to submit plans for performing the seismic risk evaluation within 60 days of NRC i

endorsing industry guidance.

I 06/14/2012 NL-12-089 This letter provides an update to the 47 license renewal commitments.

06/14/2012 NL-12-083 Licensee commits to submit a I revised large break LOCA i analysis that includes the Two other commitments regarding the evaluation have been completed.

Complete. Commitment met in licensee's letter NL-12-096, dated 07/10/2012.

i i

The commitments were identified in the licensee's commitment tracking system.

Some commitments have been completed whereas most have commitment dates to i

coincide with the end of the I

  • original 40 year license_s._----1 I Open. The commitment was I'
identified in the licensee's
  • commitment tracking system.

, effects of thermal conductivity degradation b 12/15/2016.

07/10/2012 NL-12-096 The letter supported Complete.

Fukushima related Recommendation 2.3 (seismic walkdowns).

Licensee committed to develop supporting

, information for Indian Point

i Date of Commitment 09/17/2012

- 4 Licensee's Description of Commitment Commitment Status Letter Open. Commitment identified NL-12-122 Update to planned responses in licensee's commitment unapproved OMAs. Licensee to violations regarding tracking system.

, to report any changes to I proposed resolution to denied operator manual actions to the NRC.

NL-12-142 Licensee commits to develop Open. Commitment identified planned enhancements to 10/31/2012 in licensee's commitment Fukushima Recommendation tracking system.

9.3 for emergency

. communication assessment by the end of the Spring 2015 I RFO for Unit 3.

AUDIT

SUMMARY

TABLE 2 - CHANGES TO REGULATORY COMMITMENTS INDIAN POINT NUCLEAR GENERATING UNIT NOS. 2 AND 3 Date of Licensee's Date of Commitment Description of Change to Letter Letter No.

Change Commitment 10108/2011 I

NL-11-110 12/28/2010 Licensee revised their original (IP3 UFSAR commitment to GL 89-13 regarding Changes) monitoring, inspection, and control of biofouling of SW intake structure.

Personal safety issues and improved preventive maintenance programs

  • cited.

I I

10108/2011 NL-11-110 03/15/2011 I Licensee revised their response to GL i

Repositioning of RHR MOV-744 to

10108/2011 NL-11-110 03/15/2011 Licensee revised their response to GL 95-07 re: pressure locking thermal binding of MOVs due to repositioning MOVs.

i 10108/2011 NL-11-110 03/23/2011 Commitment to coat interior of Unit 3 I

DG air accumulators to reduce wall thinning by March 2007 RFO revised I

to March 2013 RFO.

~08/2011 I NL-11-110 04/11/2011

  • Licensee revised commitment to GL 96-05 for MOV periodic verification program by deferring AC-MOV-743 to Unit 3 March 2013 RFO. Need to fully off-load reactor core cited.
-10101/2012 12/28/2010 NL-12-132 Licensee revised their original (lP2 UFSAR commitment to GL 89-13 regarding Changes) monitoring, inspection, and control of biofouling of SW intake structure.

Personal safety issues and improved preventive maintenance programs r---------~----------~-------------~Ic_lte~d_.____________________~

10101/2012 NL-12-132 08/03/2011 Licensee revised commitment to

  • preclude flooding in the primary auxiliary building. A new modification I* to reduce floodin level was cited.

~----------~--------------~----

- 2 I

L_e_tt_e_r_-+-_L_e_tt_e_r_N_o_,---,-___.. _C_h_a_n-"!g""-e___+--___ Commitment r

O/01/2012 NL-12-132 11/09/2011 In June 1996 the licensee committed to install passive autocatalytic recombiners to control hydrogen during the post-accident period.

Commitment deleted after NRC approved removal of PARs from TSs.

10/01/2012 NL-12-132 06/12/2012 Licensee had committed to calculate dose in accordance with ANSI PS Date of Licensee's Date of Commitment Description of Change to I

N13.41-1997. This standard was subsequently updated to RG 8.4.

Commitment revised to reflect new

January 16, 2013 Vice President, Operations Entergy Nuclear Operations, Inc.

Indian Point Energy Center 450 Broadway, GSB P.O. Box 249 Buchanan, NY 10511-0249

SUBJECT:

AUDIT OF THE LICENSEE'S MANAGEMENT OF REGULATORY COMMITMENTS -INDIAN POINT NUCLEAR GENERATING UNIT NOS. 2 AND 3 (TAC NOS. MF0305 AND MF0306)

Dear Sir or Madam:

The U.S. Nuclear Regulatory Commission (NRC) informed licensees in Regulatory Issue Summary (RIS) 2000-17, "Managing Regulatory Commitments Made by Power Reactor Licensees to the NRC Staff," dated September 21, 2000, that the Nuclear Energy Institute (NEI) document NEI 99-04, "Guidelines for Managing NRC Commitment Changes," contains acceptable guidance for controlling regulatory commitments. RIS 2000-17 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 regulatory commitments are being effectively implemented.

An audit of Indian Point's commitment management program was performed at the plant site during the period of December 11 - 13, 2012. The NRC staff concludes, based on the audit, that Entergy has (1) implemented NRC commitments on a timely basis, and (2) implemented an effective program for managing NRC commitment changes. Details of the audit are set forth in the enclosed audit report.

Sincerely, IRA!

Douglas V. Pickett, Senior Project Manager Plant Licensing Branch 1-1 Division of Operating Reactor Licensing Office of Nuclear Reactor Regulation Docket Nos. 50-247 and 50-286

Enclosure:

Audit Report cc: Listserv DISTRIBUTION:

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