ML17249A100

NEI Response to NRC Comment Set 1

ML17249A100
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Site:	Nuclear Energy Institute
Issue date:	09/30/2017
From:	Nuclear Energy Institute
To:	Office of New Reactors
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ML17249A097	List: ML17249A098 ML17249A099 ML17249A100
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Download: ML17249A100 (12)

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Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number 1 Foreword 10 CFR 50.71(e), referenced in the foreword, speaks to It is not intended that NEI 98-03 The following was added annual updates of the final safety analysis report (FSAR) be applied to applicants for a to the Foreword:

submittal of a Part 52 Combined License (COL) applicant. Combined License under Part 52 This guidance does not Updating COL application FSARs is also discussed in various since the FSAR updates during apply to FSAR update sections of the draft revision of NEI 98-03 (e.g. sections 6.1 the period from filing an requirements for and 7). The foreword, the introduction and other sections application until the issuance of applicants for a Combined speak in terms of Licensee which would not include the Part the COL are the result of NRC License under 10 CFR 52 applicants still under licensing review. Does this mean that review issues and the regulation Part 52.

those FSARs are not to be updated in a manner laid out in is clear on the update NEI 98-03? Is this document only meant for licensees and not requirements and no additional also Part 52 applicants? Consider adding clarification to this guidance is required. The purpose matter in the foreword, introduction, and later sections. of this guidance document is already stated in the introduction In addition, the title is misspelled. "Foreward" should be as to provide licensees with "Foreword". guidance Spelling corrected.

2 General, All The Nuclear Energy Institute (NEI) should ensure that when a Incorporated 52.47 was replaced with specific subsection of a regulation is stated that it has all of 52.47(a) throughout the the necessary wording (e.g., citing 10 CFR 50.47(a) vs 10 document as appropriate CFR 50.47). [sic]

3 Section 2, Recommend adding "originally" or other qualifying statement Incorporated, originally. Added the word paragraph 2 so that 3rd sentence reads "The industry originally developed originally as suggested.

this guidance...." to give the right historical context. As written, this states the updated final safety report (UFSAR) In this Background section, the Restructured existing needs to comply with 10 CFR 50.71(e) update requirements focus is on 10 CFR 50.71(e) sentence on specific but does not mention other requirements such as specific FSAR update/report reporting requirements in reporting requirements for nuclear plants licensed under 10 requirements. The third paragraph the third paragraph and CFR Part 52 contained in Section X of the referenced design already mentions specific added pointer to certification rule as applied to the plant specific design control reporting requirements for Part 52 additional guidance in document (DCD). The guidance should be comprehensive licensees contained in Section X Section 10.

and reference other requirements either specifically or of an applicable referenced generally. design certification rule as applied to the plant specific DCD. The relationship to separate change process requirements for reporting (e.g., 10CFR 50.59(d)(2)

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Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number and/or Section X of an applicable design certification rule) is discussed in later sections.

4 Section 2, Suggest only referencing FSAR requirements related to We believe this is unnecessary as None paragraph 3 COLs one time in the document, but again (as in comment the document does not provide

21) break down for the reader via a list or other method each this level of detail for Part 50 time an update to the FSAR is required via the 10 CFR Part licensees. The referenced 52 process. discussion is provided as background. The document provides appropriate detail for both Part 50 and Part 52 licensees in Section 6.

5 Section 2, Specific reporting requirements contained in Section X of the Because Section X of each design None paragraph 3 referenced design certification are referenced. Consider certification rule appendix to Part discussing also change requirements in Section VIII. 52, e.g., Appendix D, references 10 CFR 50.71(e), it is appropriate to reference Section X in NEI 98-

03.Section VIII of each design certification rule appendix to Part 52 contains requirements related to changes and departures beyond the scope of NEI 98-03.

Throughout NEI 98-03, where the relationship to 10 CFR 50.59 was already discussed,Section VIII or 10 CFR 52.98(c) were included as appropriate for Part 52 licensees.

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Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number 6 Section 2, Consider deletion or modification of the following text related This revision takes previously See minor editorial paragraph 3 to requirements for UFSAR updates to reduce repetitiveness endorsed guidance for 10 CFR changes to improve flow.

in the sentence structure: "Nuclear power plants licensed Part 50 nuclear power reactor under 10 CFR Part 52 are also subject to 10 CFR 50.71(e). licensees and updates it to add 10 CFR 50.71(e) contains unique FSAR updating guidance for 10 CFR Part 52 requirements for COL applicants and for holders of a COL licensees. Thus, the background until the Commission makes its finding under 10 CFR was updated in the proposed draft 52.103(g). Subsequent to the 10 CFR 52.103(g) finding, the to acknowledge the manner in provisions of 10 CFR 50.71(e) are identical for nuclear plants which 10 CFR 50.71(e) applies to licensed under 10 CFR Part 52 and nuclear plants licensed plants under Part 52.

under 10 CFR Part 50."

7 Section 2 For Part 52 COL Holders, this guidance for UFSAR updates Additional guidance has been Added a statement to should include guidance regarding the particular case of an added to Section 10. Section 2 that additional entity who is updating their UFSAR following receipt of the guidance is contained in NRCs 52.103(g) finding. Where a plant has a FSAR/UFSAR Section 10.

that combines more than 1 reactor unit into 1 FSAR/UFSAR document for convenience, issues will be created by the issuance of NRCs 52.103(g) finding (such as the expiration of certain Tier 2* requirements) for the first unit. This example is a very specific one that can be dealt with on a case-by-case basis in consultation with the applicable regulatory authorities. In addition, for cases where a COL Holder has a Tier 1 FSAR/UFSAR and a Tier 2 FSAR/UFSAR, this guidance applies to the latter only.

8 Section 3 Additional terms that may be worth adding in Section 3 or Since the regulations do not None discussing elsewhere include Tier 1 and Tier 2 FSARs (e.g., introduce new terms such as as seen on South Texas Project), as well as mid-cycle interim or mid-cycle it does not UFSAR updates or "interim" updates. Since the document seem appropriate to introduce focuses on long term operations, the pre-52.103(g) is quite new terms in this document.

important in the near term. It may be best to separate discussion of pre-52.103(g) COLs by adding more The frequency of updates prior to information in Section 10 and adding any appropriate the 103(g) finding is discussed in additional terms to Section 3. Consider adding more Section 7.

discussion on COL updating during before the 10 CFR 52.103(g) finding and qualifying any new terms associated with pre-52.103(g) COLs in Section 3.

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Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number 9 Section 3.3, Is it appropriate to cite 52.47 since that provision addresses Since FSAR content required for a None paragraph 1 requirements for design certification (DC) applications and design certification is typically not COL applications? Shouldnt the citation with respect to incorporated by reference into an COLs only be to 52.79? UFSAR as required by 10 CFR 52.79, we believe it is appropriate to retain the reference.

10 Section 3.4 Recommend greater discussion differentiating expectations The criteria defining obsolete None for obsolete information for COLs vs operating licenses, e.g., information in 3.4 are suitable for including that obsolete Information for COL Holders (Part 52 both Part 50 and Part 52 license holders) may also include information in text, tables, licensees. The ITAAC in Appendix and figures showing information which expired on the C are part of the COL and as such issuance of NRCs 52.103(g) finding such as Appendix C, it is not clear that they could be Inspections, Tests, Analyses, and Acceptance Criteria. administratively controlled as described in NEI 98-03. Guidance in Section 10 clearly states our intent that, Due to special change control requirements under Part 52, guidance in this document, including Appendix A guidance on making voluntary modifications to UFSARs, applies only to the Tier 2 and plant-specific FSAR content.

11 Section 3.5, Text refers to all nuclear power plants (NPP) licensed under Inserted text to ensure Revised to state including paragraph 2 Part 52 but discussion is only for those that reference a consideration of the plant-specific the plant-specific Design certified design. A FSAR for a COL not referencing a certified DCD as applicable. Control Document (DCD),

design would not have a plant-specific DCD. as applicable and confirmed that the paragraph in question already indicates applicable Part 52 design certification appendix.

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Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number 12 Section 3.5, Text should also mention that a COL referencing a certified Added phrase to Section 3.5 as Inserted as amended paragraph 2 design may incorporate departures and exemptions from the recommended. and supplemented (e.g.,

certified design that must be evaluated under Section VIII of by departures under the DC rule. Section VIII of the applicable Part 52 design certification rule), and as updated per 13 Section 3.7, Text should discuss the role of Tier 1 information in the The definition as written is None paragraph 1 UFSAR. suitable for both Part 50 and Part 52 licensees. Acknowledgement that the UFSAR includes a plant-specific DCD, if applicable, is covered in 3.5, Original FSAR.

Section 10 provides guidance for unique Part 52 considerations including the introduction of Tier 1 information.

14 Section 3.8, Why not cite Section VIII of the applicable design certification Section VIII is the change process None paragraph 1 rule for nuclear plants licensed under 10 CFR Part 52 as - 10 CFR 50.59 is not cited for well? Part 50 plants so it does not seem appropriate to cite the change process for Part 52 plants.

15 Section 5, Adding "respectively" to the end of the footnote would Incorporated footnote 2 improve clarity.

16 Section 7, Consider moving the second paragraph to become the first Incorporated paragraph 2 paragraph in Section 7, since 10 CFR 50.71(e)(3)(iii) comes before 10 CFR 50.71(e)(4).

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Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number 17 Section 7 Suggestion: NEI should address the industry practice of While we support the noted None creating interim or "mid-cycle" updates, that is, UFSAR industry practice, we recognize versions between those annual updates required by the that it is at the licensees regulations. Those interim updates should be addressed by discretion and pertains to both NEI including their role as working documents, their level of Part 50 and Part 52 licensees.

internal review and whether they are shared with NRC. The purpose of this revision is to add only that information necessary to enable Part 52 licensees to apply the existing NEI 98-03 guidance consistent with regulatory requirements.

18 Section 9, Similar to comment 11, text refers to all NPP licensed under Statement qualified as suggested. Inserted For nuclear paragraph 3 Part 52 but discussion is only for those that incorporate by power plants licensed reference a certified design and for material that is within the under 10 CFR Part 52 scope of that certified design. Please either qualify the referencing a certified statement appropriately or add additional information on COL design, that do not incorporate by reference a certified design.

19 Section 10, Does this include Tier 1? By the reasoning presented here - it The specific paragraph cited is None paragraph 2 does. DCD (as supplemented by departures and exemptions) limiting applicability and excluding becomes plant-specific DCD (as supplemented by site Tier 1. Changes to Tier 1 specific information, etc.) becomes the FSAR. Tier 1 is part of information require a license all of these. amendment request and an exemption.

20 Section 10, Title Please consider an alternate title: Treatment of FSAR We intend for NEI 98-03 to apply No change to title.

Information Unique to Combined Licenses Under Part 52 that to all Part 52 licensees. We have Opening sentence added Reference a Design Certification Rule. Note this guidance is verified that discussions of as follows, Nuclear power only for COLs that reference a DCR. referencing a design certification plants licensed under 10 rule are qualified by, as CFR Part 52 that do not applicable. We have added a reference a certified new opening sentence to further design are no different reinforce the broad applicability to from Part 50 licensees in all Part 52 licensees. terms of UFSAR update requirements and guidance.

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Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number 21 Section 1 Would recommend that document be updated to support and We believe this is unnecessary as None (general) provide information that explains to the reader each of the the document provides circumstances under 10 CFR Part 52 in which the FSAR appropriate detail for both Part 50 must be updated. and Part 52 licensees in Section 6.

22 Section 10 At the public meeting on 5/10/16, NEI suggested adding an We look forward to discussing the None at this time revised additional paragraph to section 10 via handout inspection implications the NRC (ML16166A258) (ML16166A258) as follows: "10 CFR Part 52, Design staff see at a future public Certification Rules, e.g., Appendix D,Section VIII.B.6.c, meeting.

define certain Tier 2* information that will revert to Tier 2 information after the plant achieves full power for the first time. After the plant achieves power for the first time, the UFSAR should be modified to remove brackets, remove asterisk, and change the font of the affected information. This type of reformatting change does not require a formal simplified evaluation (screening) to be performed because the change in information classification is prescribed by the design certification rule. Licensees have the flexibility to not make these changes to the UFSAR until the last unit of a multi-unit site achieves full power."

Comment: The potential for delaying FSAR updates for units entering operations and achieving of full power while other units have yet to receive the Commissions 10 CFR 52.103(g) finding has implications on inspections for the operating plants. Staff recommends further detailed discussions related to licensing, exemptions, and ability to inspect operating plants if NEI wishes to include a discussion on multi-unit phasing of Tier 2* retirement.

23 Section 10&A2 Section 10 of the proposed 98-03 revision states, As The referenced paragraph in None discussed in Section A6, voluntary modifications to Tier 2 that Section 10 is essentially repeating improve focus, clarity and maintainability of the plant-specific the requirement stated in A6. The DCD [which is the stated purpose of Appendix A] are paragraph in A6 regarding Part 52 considered departures from the generic DCD and should be plants is consistent with the reported to NRC in accordance with Section X of the design preceding paragraph regarding certification rule. However, Appendix A2 states, UFSAR Part 50 plants. The modification to modifications discussed in Sections A3 through A5 that are A2 allows applicable changes to not the result of changes to the plant or procedures do not be made without applying Section Page 7 of 12

Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number require evaluation under 10 CFR 50.59 or Section VIII.B.5.b VIII.B.5.b just as similar changes of the applicable design certification rule These may be made to a Part 50 UFSAR statements seem at tension and possibly inconsistent. NEI without applying 10 CFR 50.59.

should better explain what it intends. Although these changes do not require evaluation, they are administratively controlled (see A2) and reported (see A6).

24 Section 6.1.1 The guidance on updating UFSARs to reflect new regulations Added clarifying language to the Clarified as follows,10 focuses on general UFSAR requirements, such as 52.79(a) first paragraph in Section 5. CFR 52.47(a) and 10 CFR (Intro) and 52.79(a)(2). However, new regulations often 52.79 provide the include specific FSAR requirements in 52.47 and 52.79 that Added a footnote in Section 6.3, common baseline for must also be considered. For example, NEI 98-03 Revision 1 Case 4, to exclude the specific plants licensed under 10 states that fitness for duty (FFD) does not need to be FFD example from consideration CFR Part 52 and contain described in the FSAR and the proposed revision leaves this for Part 52 plants. requirements for FSAR unchanged. However, 10 CFR 52.79(a)(44) specifically content not required by 10 requires the FSAR to include A description of the fitness-for- CFR 50.34(b).

duty program required by 10 CFR Part 26 and its implementation. NEI should augment the document to Excluded the specific FFD provide that the information to be included in the FSAR on a example from topic may be governed by a specific provision in the consideration for Part 52 regulations, for example, 10 CFR 52.79. Further the plants via footnote, as discussion of the FFD example should be modified to reflect follows, This specific the different treatment for Part 50 and Part 52 plants. example does not apply to plants licensed under 10 CFR Part 52 because 10 CFR 52.79(a)(44) requires that a description of the fitness-for-duty program required by 10 CFR Part 26 and its implementation be included in the FSAR.

25 Section 6.1.2, The text references various reasons that would require Added reference to 10 CFR 52.98 Added reference as paragraph 1 changes to the UFSAR. Isnt citation of 52.98(c) appropriate? (c) and deleted reference to follows, The UFSAR Section VIII since 10 CFR must be updated to reflect 52.98(c) requires that changes be the following effects, as made in accordance with the applicable, of changes applicable change requirements implemented under 10 Page 8 of 12

Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number per the design certification rule, if CFR 50.12, 10 CFR referenced. 50.90, or 10 CFR 50.59, or 10 CFR 52.98(c) including supporting safety evaluations:

26 Section 6.1.2 This section should include changes associated with the Part We believe this is adequately None 52.103(g) finding and start up (e.g., cite Part 52 and add addressed in the first bullet.

bullet such as "A change in the licensing status of a facility, such as the receipt of a 52.103(g) finding, that results in the need to document the expiration of license conditions, ITAAC, and Tier 2* information in the UFSAR).

27 Appendix A, in Consider stating that whatever changes, modifications, Added to the Appendix A Reiterated and general removals as presented in Appendix A are still applicable to 10 introduction, reinforcing guidance emphasized, Due to CFR Part 52 requirements - especially when handling Tier 1, in Section 10. special change control Tier 2*, and Tier 2 information. A Licensee cannot just requirements under Part remove Tier 1 information from a 10 CFR Part 52 USFAR 52, Appendix A guidance because Appendix A allowed it. on making voluntary modifications to UFSARs Consider adding clarification to this matter. applies only to the Tier 2 and plant-specific FSAR content. For plants licensed under 10 CFR 52, Appendix A does not apply to plant-specific Tier 1 DCD information or plant-specific Tier 2* DCD information.

28 Section A1, The text refers to "reformatting, simplifying and removing Clarified in earlier sections, None paragraph 2 existing UFSAR information. For a COL application throughout, that NEI 98-03 does referencing a DCR, there is a requirement in the DCR to not apply to applicants or (Section IV.2.a) on the organization, numbering, etc. So there applications, only licensees.

are format requirements for COLAs.

29 Section A2, Shouldnt this refer to the entire Section VIII of the DCR since See comment 27 response paragraph 1 Tier 1 is part of the FSAR? Or make it more clear that this is applicable to Tier 2 changes that do not involve changes to Tier 1 or Tier 2*?

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Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number 30 Section A2, 1st The guidance says that there are no formatting requirements See comment 28 response bullet for UFSARs, but Section IV.A.2.a of the DCRs requires DC applications to include [a] plant-specific DCD containing the same type of information and using the same organization and numbering as the generic DCD for the AP1000 design, as modified and supplemented by the applicant's exemptions and departures. Several COL applicants have requested and received exemptions from this regulation to change the organization of COL applications. NEI should explain how it has considered the Section IV.A.2.a requirement. See also comment 28 on format for COLAs referencing a DCR.

31 Section A3, The use of the terms neither and nor are used for a Rewrote the first sentence to Clarified as follows,10 paragraph 1 comparison of two objects. Now that other CFR citations remove the neither/nor CFR 50.34(b), 10 CFR have been added, The neither, nor phraseology does not phraseology. 52.4752.47(a), 10 CFR work properly. 52.79, and 10 CFR 50.71(e) do not contain requirements on the format of FSARs.

32 Section A3, I34 The DCR has format requirements for COLAs referencing See comment 28 response Title that rule. See comments 28 and 30. These statements are not true to COLAs referencing a DCR.

33 Section A4, Are these statements applicable to COL FSARs? This section It is intended that the statements None general should address differences, both historical and regulatory, are applicable to plants licensed between plants licensed under Part 50 and Part 52. under either Part 52 or Part 50.

Differences are explained in other sections as applicable and certain plant-specific DCD information is excluded, i.e., Tier 1 and Tier 2*

information.

34 Section A4.1, The text states that "More recent FSARs grew to be 20 to We have deleted the sentence Guidance modified as paragraph 1 30+ volumes and may include more detail in certain respects cited in the staff comment. follows, For a variety of and in general than was absolutely necessary to support NRC safety and However, the industry does not reasons, UFSARs may licensing reviews." This statement does not ring true for believe that recent design include more detail in COLs in that the COLs were only recently issued and it certifications and COLs are certain respects than was should be understood that the information in the FSAR was immune from having excessive absolutely necessary to considered necessary for the NRC to make its safety FSAR information. Thus, we have support NRC safety and findings. There is much discussion of removing information retained the basic point that licensing reviews.

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Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number from the UFSAR that is seen as excessive, but this appears FSARs may include more detail in to be based on history for the operating fleet and NEI does certain respects than was not present a justification for applying this history to Part 52 absolutely necessary to support plants. For Part 52 plants, the Commission gave direction on NRC safety and licensing reviews.

the level of detail in the SRM on SECY-90-377. As subsequent SECY papers show, this was an area of particular focus for the first DC reviews, and the staff and applicants have occasionally had to resolve disagreements on level of detail. Also, COL FSARs were approved by the staff for a particular plant, while DCDs have been approved by Commission in a rulemaking, and the regulation requires that the DCD be incorporated by reference. Given the lack of evidence that the Commission expected COL applicants to revisit the level of detail issue for approved DCDs, the discussion should clarify its relevance to Part 52 licensed plants.

35 Section A4.3, Should this paragraph also reference "Section X of the Reference to Section X added as References added.

"Incorporation applicable design certification rule" since it is talking well as a reference to Section VIII By Reference" about record requirements? to be consistent.

2nd bullet point (page 7) 36 Section A4.3, Should this bullet point also reference "Section VIII of the See comment 35 response "Incorporation applicable design certification rule since it is talking about By Reference" change processes?

2nd paragraph (after first set of bullet points, page 7) 37 Section A4.3, Should NEI also reference 10 CFR 52.63? Not necessary - 52.63 applies to None bullet point 2 design certifications, but the and following design certification information is paragraph included in the FSAR (plant-specific DCD information) and as such it would be redundant to reference 52.63 Page 11 of 12

Attachment 2 NEI Response to NRC Comment Set 1 Comment Location NRC Comment on draft NEI 98-03, Rev. 2 NEI Response NEI Action Number 38 Section A6, Departure reports are required periodically from the moment Clarified in earlier sections, None paragraph 2 a COLA is submitted until the Commission makes its finding throughout, that NEI 98-03 applies as required by 10 CFR Part 52.103(g). Similar to comment # to licensees only - not applicants.

8, consider including a special subsection on COL updating prior to 10 CFR 52.103(g) finding.

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