ML17353A224

Status Report on the Licensing Activities and Regulatory Duties of the U.S. Nuclear Regulatory Commission (for the Reporting Period Through November 2017) (Enclosure 1)

ML17353A224
Person / Time
Issue date:	01/09/2018
From:	NRC/Chairman
To:	US SEN, Comm on Environment & Public Works, US SEN, Subcomm on Clean Air & Nuclear Safety
R. Rihm, EDO
Shared Package
ML17305A020	List: ML17353A171 ML17353A224 ML17353A235 ML17353A246 ML18025A901 ML18025B318
References
CORR-17-0098, LTR-17-0416
Download: ML17353A224 (112)

Text

STATUS REPORT ON THE LICENSING ACTIVITIES AND REGULATORY DUTIES OF THE U.S. NUCLEAR REGULATORY COMMISSION For the Reporting Period through November 2017 Enclosure

Table of Contents RESOURCES

1. Status of Project Aim and additional activities 1

2. Incorporation of five-year workload planning into policies and procedures 2

3. Staffing 3

4. Actions taken or planned to reduce corporate support costs, including efforts to reduce office space 16

5. Status of efforts to provide greater transparency, timeliness, and itemization in invoices to applicants and licensees, including any progress toward electronic invoicing and payment 18

6. Research activities initiated during the reporting period 19 URANIUM RECOVERY

7. Information regarding major uranium recovery licensing application reviews 21

8. Status of major uranium recovery licensing actions 23

9. Status of minor uranium recovery licensing actions 27

10. Status of Wyoming Agreement State application 27

11. Specific actions planned to improve the efficiency of reviews conducted for compliance with the National Historic Preservation Act 28

12. Progress of the pilot project on flat fees for uranium recovery licensees 29 LICENSING

13. Information regarding license amendment reviews for operating reactors, new reactors, and uranium recovery licensees 31

14. Information regarding decommissioning transition reviews 40

15. List of Technical Specifications Task Force travelers under review 40

16. Actions planned and/or taken to ensure that the Technical Specifications Task Force traveler process achieves the regulatory efficiencies that were initially projected 40

17. Information regarding license renewal review applications 41

18. Status of ongoing license renewal reviews 46 i

19. Status of NRCs readiness to review applications for subsequent license renewal 47

20. Status of subsequent license renewal reviews 48

21. Information regarding power uprate application reviews 48

22. Status of power uprate application reviews 48

23. Information regarding requests for additional information (RAIs) issued by various offices/programs 49

24. Status of specific actions taken or planned to ensure greater discipline, management oversight, and transparency in the RAI process 54

25. Actions taken to enhance the integration of risk information across the agencys activities to improve the technical basis for regulatory activities, to increase efficiency, and to improve effectiveness 56

26. Status of power reactor transition from analog to digital instrumentation 60

27. Actions taken and planned to prepare to review industry requests to use accident tolerant fuel in existing reactors 62

28. Actions taken and planned to improve the quality of cost benefit analyses conducted in association with new requirements, backfit analyses, or rulemaking 63

29. Status of the revised guidance to clarify the use of qualitative factors 64

30. List of all final generic regulatory actions issued in the last three years 66

31. List and brief description of all facility-specific backfits issued during the reporting period 75

32. Twelve-month and three-year rolling averages for CRGR formal and informal reviews 75

33. Status of the application of the backfit rule in licensing and inspection programs across the agency 75

34. Actions taken and planned to address recommendations made by the CRGR in its report U.S. Nuclear Regulatory Commissions Implementation of Backfitting and Issue Finality Requirements 78 REACTOR INSPECTION

35. Reactor Oversight Process findings for year-to-date and three-year rolling metrics 80 ii

36. Percentage of Final Significance Determinations made within 90 days for all potentially greater-than-green findings, monthly for one-year rolling metrics and annually for the past 10 years 81

37. Instances where Inspection Manual Chapter 609, Appendix M, Significance Determination Process Using Qualitative Criteria, has been applied in the Reactor Oversight Process Significance Determination Process 81

38. Status of potential changes to the Reactor Oversight Process and identification 81 of any changes that may require Commission approval prior to implementation

39. Progress toward utilizing an industry consensus document as a means of accomplishing predictability and consistency in operability determinations 82

40. Information regarding Design Basis Assurance Inspections completed in the last three years 82

41. Status of the holistic review of engineering inspection procedures and any actions taken and/or planned because of the review 86 NEW REACTORS

42. Funds budgeted, resources spent, and total Part 170 fees billed each year for the past ten years for the Office of New Reactors 87

43. Information regarding each design certification, combined license, and early site permit application reviewed since 2007 87

44. Summary of the status of ongoing design certification, combined license, and early site permit application reviews 94

45. Information on ITAAC reviews for reactors under construction 97

46. License amendments for reactors under construction 99

47. Budgeted resources and actual expenditures each month for the past 24 months for reactors under construction 100

48. Summary of the status of licensing and inspection for Vogtle Units 3 and 4 101

49. Actions taken in the past three years or planned to improve the efficiency of new plant reviews 101

50. Unresolved policy issues regarding the licensing of small modular light-water reactors 102

51. Unresolved policy issues regarding the licensing of advanced non-light water reactors 107

52. Status of preparations to review non-light water reactor applications 107 iii

RESOURCES

1. Will Project Aim 2020 conclude in early 2018, or will it continue pursuing additional improvements? If Project Aim will continue, please describe any new or additional actions taken or planned, including milestones for completion of such actions.

In June 2015, the Commission approved 19 discrete Project Aim tasks intended to improve NRCs efficiency and agility, as well as right size the agencys workforce to its workload, while retaining employees with the skills necessary to accomplish its safety and security mission and streamline processes. In 2017, the NRC completed the major deliverables for each of the 19 Project Aim tasks. The deliverables for some of the tasks entailed full implementation of the task, while others included detailed proposals and implementation plans for activities to be implemented in the future. The NRC staff is completing follow-on actions to implement recommendations, which will continue to affect and shape NRCs line organizations going forward. The NRC staff continues to provide a quarterly Project Aim status report to the Commission (attached as Appendix A).

The NRC Chairmans June 29, 2017, and October 25, 2017, letters to Senators Cochran and Leahy, on the progress of certain licensing actions and right-sizing commitments indicated that one of the 19 completed tasks implemented a re-baselining effort, which identified 150 activities to be shed, deferred, or performed with fewer resources.

The NRC continues to institutionalize the actions related to Project Aim and pursue additional activities. The table below describes two such activities that continue the objectives of Project Aim and demonstrate the NRCs continued commitment to effectiveness and efficiency. These and other Project Aim initiatives are now integrated with the NRC agency reform plan, developed in response to OMB requirements.

Initiative Milestones Notes Develop an agency-level Project initiation: April 20, 2017 Idea Greenhouse program and Innovation Forum to January 26, 2018: Develop Draft capture and refine staff Communication Strategy recommendations to improve NRC operations February 2, 2018: Launch SharePoint site for idea submittals for evaluation and tracking the status of the ideas February 23, 2018: Implement Communications Strategy on Agency-wide Implementation of Innovation Programs March 30, 2018: Operation of Office/Region-Level Innovation Program 1

Initiative Milestones Notes March 30, 2018: Finalize Processes for Agency Innovation Forum to evaluate ideas and present recommendations to Senior Leadership Implement an enhanced Project initiation 7/29/2017 Piloting the process with strategic workforce planning three offices to test a (SWP) process that will variety of guidance, improve workforce templates, and tools, and management by focusing on to refine the process strategic human capital before launching management and longer- agencywide.

term planning Train supervisors in SWP concepts and process 10/11/17 Completed Pilot offices deliver workload forecast (execution year+1 and execution year+5) 12/12/17 Completed Deliverable: Workforce Demand Analysis 1/31/18 Deliverable: Workforce Supply Analysis 3/9/18 Deliverable: Prioritized list of gaps and surpluses 5/7/18 Deliverable: Strategies to address gaps and surpluses 6/22/18 Pilot Report to the Executive Final report will include a Director for Operations (EDO) determination of 7/13/18 strengths, challenges, and scalability of the process.

2. Consistent with the workload forecast done under Project Aim 2020, to what extent has the NRC incorporated five-year workload planning into its policies and procedures, e.g.,

strategic planning and budget formulation? Please describe the actions taken or planned.

On July 5, 2017, the NRCs EDO initiated a three-office pilot of an enhanced SWP process that better integrates workload projection, skills identification, human capital management, individual development, and workforce management activities (Agencywide Documents Access and Management System (ADAMS) Accession No. ML17178A284). The pilot implements the process described in an April 19, 2017, memo, Proposed Enhancements to NRCS Strategic Workforce Planning (ADAMS Accession No. ML17109A319). As currently envisioned, the enhanced SWP has an annual cycle that ensures the insights from both one-year and five-year workload forecasts are considered in NRC strategic planning, human capital management, and 2

budget formulation activities. The actions taken and planned for the SWP pilot are outlined in the table in the response to Question 1, above. Depending on the results of the pilot, the agency expects to adopt the enhanced strategic workforce planning process agencywide in 2018, which will fully incorporate five-year workload planning into other established processes.

3. Please provide the total number of staff and corporate support staff (FTE), budgeted vs actual, for the agency and in each of the following offices: Nuclear Reactor Regulation, New Reactors, Nuclear Material Safety and Safeguards, Nuclear Security and Incident Response, Nuclear Regulatory Research, Uranium Recovery, Decommissioning, and each regional office. Please provide this information for the current month, each of the previous eleven months, and projections for each of the twelve months going forward. Please do not divide by twelve.

U.S. Nuclear Regulatory Commission Agency Level FTE Actuals and Projections 11 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 12/25/2016 - 01/21/2017 252.7 1019.3 01/22/2017 - 02/18/2017 251.5 1270.8 02/19/2017 - 03/18/2017 251.0 1521.8 03/19/2017 - 04/15/2017 250.3 1772.1 04/16/2017 - 05/13/2017 247.9 2020.0 05/14/2017 - 06/10/2017 245.6 2265.6 06/11/2017 - 07/08/2017 245.1 2510.7 07/09/2017 - 08/05/2017 244.2 2754.9 08/06/2017 - 09/02/2017 243.2 2998.1 09/03/2017 - 09/30/2017 242.8 3240.9 3405 FY 2017 10/01/2017 - 10/28/2017 241.3 241.3 10/29/2017 - 11/25/2017 240.8 482.1 11/26/2017 - 12/23/2017 240.7 722.8 12/24/2017 - 01/20/2018 239.9 962.7 01/21/2018 - 02/17/2018 239.1 1201.8 02/18/2018 - 03/17/2018 239.0 1440.8 03/18/2018 - 04/14/2018 238.8 1679.6 04/15/2018 - 05/12/2018 239.1 1918.7 05/13/2018 - 06/09/2018 239.1 2157.8 06/10/2018 - 07/07/2018 239.3 2397.1 07/08/2018 - 08/04/2018 239.3 2636.4 08/05/2018 - 09/01/2018 239.3 2875.7 09/02/2018 - 09/29/2018 239.3 3115.0 3293 FY 2018 3

Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes staff in the Office of the Inspector General.

U.S. Nuclear Regulatory Commission Office of Nuclear Reactor Regulation FTE Actuals and Projections 11 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 12/25/2016 - 01/21/2017 38.2 153.2 01/22/2017 - 02/18/2017 37.8 191.0 02/19/2017 - 03/18/2017 37.6 228.6 03/19/2017 - 04/15/2017 37.5 266.1 04/16/2017 - 05/13/2017 37.2 303.3 05/14/2017 - 06/10/2017 36.6 339.9 06/11/2017 - 07/08/2017 36.5 376.4 07/09/2017 - 08/05/2017 36.4 412.8 08/06/2017 - 09/02/2017 36.4 449.2 09/03/2017 - 09/30/2017 36.1 485.3 488 FY 2017 10/01/2017 - 10/28/2017 35.9 35.9 10/29/2017 - 11/25/2017 34.7 70.6 11/26/2017 - 12/23/2017 34.8 105.4 12/24/2017 - 01/20/2018 34.6 140.0 01/21/2018 - 02/17/2018 34.6 174.6 02/18/2018 - 03/17/2018 34.6 209.2 03/18/2018 - 04/14/2018 34.6 243.8 04/15/2018 - 05/12/2018 34.6 278.4 05/13/2018 - 06/09/2018 34.6 313.0 06/10/2018 - 07/07/2018 34.6 347.6 07/08/2018 - 08/04/2018 34.6 382.2 08/05/2018 - 09/01/2018 34.6 416.8 09/02/2018 - 09/29/2018 34.6 451.4 461 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes all staff in NRR.

4

U.S. Nuclear Regulatory Commission Office of New Reactors FTE Actuals and Projections 12 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 11/27/2016 - 12/24/2016 23.5 71.2 12/25/2016 - 01/21/2017 23.0 94.2 01/22/2017 - 02/18/2017 22.7 116.9 02/19/2017 - 03/18/2017 22.5 139.4 03/19/2017 - 04/15/2017 22.7 162.1 04/16/2017 - 05/13/2017 22.4 184.5 05/14/2017 - 06/10/2017 22.3 206.8 06/11/2017 - 07/08/2017 22.4 229.2 07/09/2017 - 08/05/2017 22.2 251.4 08/06/2017 - 09/02/2017 22.1 273.5 09/03/2017 - 09/30/2017 22.0 295.5 313 FY 2017 10/01/2017 - 10/28/2017 22.0 22.0 10/29/2017 - 11/25/2017 21.9 43.9 11/26/2017 - 12/23/2017 21.8 65.7 12/24/2017 - 01/20/2018 21.8 87.5 01/21/2018 - 02/17/2018 21.7 109.2 02/18/2018 - 03/17/2018 21.7 130.9 03/18/2018 - 04/14/2018 21.6 152.5 04/15/2018 - 05/12/2018 21.6 174.1 05/13/2018 - 06/09/2018 21.6 195.7 06/10/2018 - 07/07/2018 21.6 217.3 07/08/2018 - 08/04/2018 21.6 238.9 08/05/2018 - 09/01/2018 21.6 260.5 09/02/2018 - 09/29/2018 21.6 282.1 303 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes all staff in NRO.

5

U.S. Nuclear Regulatory Commission Office of Nuclear Materials Safety and Safeguards FTE Actuals and Projections 11 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 12/25/2016 - 01/21/2017 22.2 90.3 01/22/2017 - 02/18/2017 22.2 112.5 02/19/2017 - 03/18/2017 22.2 134.7 03/19/2017 - 04/15/2017 22.1 156.8 04/16/2017 - 05/13/2017 21.9 178.7 05/14/2017 - 06/10/2017 21.7 200.4 06/11/2017 - 07/08/2017 22.0 222.4 07/09/2017 - 08/05/2017 21.9 244.3 08/06/2017 - 09/02/2017 21.9 266.2 09/03/2017 - 09/30/2017 21.9 288.1 297 FY 2017 10/01/2017 - 10/28/2017 21.5 21.5 10/29/2017 - 11/25/2017 23.1 44.6 11/26/2017 - 12/23/2017 23.1 67.7 12/24/2017 - 01/20/2018 23.0 90.7 01/21/2018 - 02/17/2018 22.9 113.6 02/18/2018 - 03/17/2018 22.9 136.5 03/18/2018 - 04/14/2018 22.9 159.4 04/15/2018 - 05/12/2018 23.0 182.4 05/13/2018 - 06/09/2018 23.0 205.4 06/10/2018 - 07/07/2018 23.0 228.4 07/08/2018 - 08/04/2018 23.0 251.4 08/05/2018 - 09/01/2018 23.0 274.4 09/02/2018 - 09/29/2018 23.0 297.4 295 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Provides all staff in NMSS, including FTE for Uranium Recovery and Reactor Decommissioning.

6

U.S. Nuclear Regulatory Commission Office of Nuclear Regulatory Research FTE Actuals and Projections 11 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 12/25/2016 - 01/21/2017 16.0 64.7 01/22/2017 - 02/18/2017 15.9 80.6 02/19/2017 - 03/18/2017 15.8 96.4 03/19/2017 - 04/15/2017 15.6 112.0 04/16/2017 - 05/13/2017 15.4 127.4 05/14/2017 - 06/10/2017 15.3 142.7 06/11/2017 - 07/08/2017 15.3 158.0 07/09/2017 - 08/05/2017 15.3 173.3 08/06/2017 - 09/02/2017 15.3 188.6 09/03/2017 - 09/30/2017 15.1 203.7 197 FY 2017 10/01/2017 - 10/28/2017 15.0 15.0 10/29/2017 - 11/25/2017 14.9 29.9 11/26/2017 - 12/23/2017 15.0 44.9 12/24/2017 - 01/20/2018 15.1 60.0 01/21/2018 - 02/17/2018 15.2 75.2 02/18/2018 - 03/17/2018 15.1 90.3 03/18/2018 - 04/14/2018 15.2 105.5 04/15/2018 - 05/12/2018 15.3 120.8 05/13/2018 - 06/09/2018 15.3 136.1 06/10/2018 - 07/07/2018 15.3 151.4 07/08/2018 - 08/04/2018 15.3 166.7 08/05/2018 - 09/01/2018 15.3 182.0 09/02/2018 - 09/29/2018 15.3 197.3 197 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes all staff in RES.

7

U.S. Nuclear Regulatory Commission Office of Nuclear Security and Incident Response FTE Actuals and Projections 11 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 12/25/2016 - 01/21/2017 13.7 55.0 01/22/2017 - 02/18/2017 13.5 68.5 02/19/2017 - 03/18/2017 13.5 82.0 03/19/2017 - 04/15/2017 13.6 95.6 04/16/2017 - 05/13/2017 13.4 109.0 05/14/2017 - 06/10/2017 13.3 122.3 06/11/2017 - 07/08/2017 13.0 135.3 07/09/2017 - 08/05/2017 12.9 148.2 08/06/2017 - 09/02/2017 12.9 161.1 09/03/2017 - 09/30/2017 12.9 174.0 182 FY 2017 10/01/2017 - 10/28/2017 13.0 13.0 10/29/2017 - 11/25/2017 13.1 26.1 11/26/2017 - 12/23/2017 13.2 39.3 12/24/2017 - 01/20/2018 13.2 52.5 01/21/2018 - 02/17/2018 13.2 65.7 02/18/2018 - 03/17/2018 13.2 78.9 03/18/2018 - 04/14/2018 13.1 92.0 04/15/2018 - 05/12/2018 13.1 105.1 05/13/2018 - 06/09/2018 13.1 118.2 06/10/2018 - 07/07/2018 13.2 131.4 07/08/2018 - 08/04/2018 13.2 144.6 08/05/2018 - 09/01/2018 13.2 157.8 09/02/2018 - 09/29/2018 13.2 171.0 176 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes all staff in NSIR.

8

U.S. Nuclear Regulatory Commission Uranium Recovery FTE Actuals and Projections 11 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 12/25/2016 - 01/21/2017 1.7 6.8 01/22/2017 - 02/18/2017 1.7 8.5 02/19/2017 - 03/18/2017 1.7 10.2 03/19/2017 - 04/15/2017 1.7 11.9 04/16/2017 - 05/13/2017 1.7 13.6 05/14/2017 - 06/10/2017 1.7 15.3 06/11/2017 - 07/08/2017 1.7 17.0 07/09/2017 - 08/05/2017 1.7 18.7 08/06/2017 - 09/02/2017 1.7 20.4 09/03/2017 - 09/30/2017 1.6 22.0 31 FY 2017 10/01/2017 - 10/28/2017 1.6 1.6 10/29/2017 - 11/25/2017 1.6 3.2 11/26/2017 - 12/23/2017 1.6 4.8 12/24/2017 - 01/20/2018 1.6 6.4 01/21/2018 - 02/17/2018 1.6 8.0 02/18/2018 - 03/17/2018 1.6 9.6 03/18/2018 - 04/14/2018 1.6 11.2 04/15/2018 - 05/12/2018 1.6 12.8 05/13/2018 - 06/09/2018 1.6 14.4 06/10/2018 - 07/07/2018 1.6 16.0 07/08/2018 - 08/04/2018 1.6 17.6 08/05/2018 - 09/01/2018 1.6 19.2 09/02/2018 - 09/29/2018 1.6 20.8 30 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes all staff in the Uranium Recovery Branch of the Office of Nuclear Material Safety and Safeguards (NMSS), and relevant staff in the following:

Environmental Review Branch, NMSS; Division of Materials Safety, State, Tribal, and Rulemaking Programs, NMSS; Fuel Cycle and Decommissioning Branch, Region IV; Office of General Counsel (OGC); and Atomic Safety Licensing Board Panel (ASLB).

9

U.S. Nuclear Regulatory Commission Decommissioning FTE Actuals and Projections 11 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 12/25/2016 - 01/21/2017 3.1 13.3 01/22/2017 - 02/18/2017 3.1 16.6 02/19/2017 - 03/18/2017 3.1 19.9 03/19/2017 - 04/15/2017 3.2 23.2 04/16/2017 - 05/13/2017 3.2 26.5 05/14/2017 - 06/10/2017 3.2 29.9 06/11/2017 - 07/08/2017 3.2 33.3 07/09/2017 - 08/05/2017 3.3 36.8 08/06/2017 - 09/02/2017 3.3 40.3 09/03/2017 - 09/30/2017 3.3 43.8 37 FY 2017 10/01/2017 - 10/28/2017 3.3 3.5 10/29/2017 - 11/25/2017 3.3 7.0 11/26/2017 - 12/23/2017 3.3 10.5 12/24/2017 - 01/20/2018 3.3 14.0 01/21/2018 - 02/17/2018 3.3 17.5 02/18/2018 - 03/17/2018 3.3 20.9 03/18/2018 - 04/14/2018 3.3 24.3 04/15/2018 - 05/12/2018 3.3 27.7 05/13/2018 - 06/09/2018 3.3 31.1 06/10/2018 - 07/07/2018 3.3 34.5 07/08/2018 - 08/04/2018 3.3 37.9 08/05/2018 - 09/01/2018 3.3 41.3 09/02/2018 - 09/29/2018 3.3 44.7 37 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes all staff in the Reactor and Materials Decommissioning Branches of NMSS, plus relevant contributions from staff in OGC, R-I, and R-III. No mission support staff, second level and above supervisory staff, or staff support from other offices is included.

10

U.S. Nuclear Regulatory Commission Region I FTE Actuals and Projections 11 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 12/25/2016 - 01/21/2017 15.7 63.5 01/22/2017 - 02/18/2017 15.6 79.1 02/19/2017 - 03/18/2017 15.4 94.5 03/19/2017 - 04/15/2017 15.4 109.9 04/16/2017 - 05/13/2017 15.2 125.1 05/14/2017 - 06/10/2017 15.3 140.4 06/11/2017 - 07/08/2017 15.5 155.9 07/09/2017 - 08/05/2017 15.7 171.6 08/06/2017 - 09/02/2017 15.6 187.2 09/03/2017 - 09/30/2017 15.5 202.7 209 FY 2017 10/01/2017 - 10/28/2017 15.4 15.4 10/29/2017 - 11/25/2017 15.5 30.9 11/26/2017 - 12/23/2017 15.3 46.2 12/24/2017 - 01/20/2018 15.0 61.2 01/21/2018 - 02/17/2018 14.8 76.0 02/18/2018 - 03/17/2018 14.8 90.8 03/18/2018 - 04/14/2018 14.8 105.6 04/15/2018 - 05/12/2018 14.9 120.5 05/13/2018 - 06/09/2018 14.9 135.4 06/10/2018 - 07/07/2018 14.9 150.3 07/08/2018 - 08/04/2018 14.9 165.2 08/05/2018 - 09/01/2018 14.9 180.1 09/02/2018 - 09/29/2018 14.9 195.0 198 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes all staff in R-I.

11

U.S. Nuclear Regulatory Commission Region II FTE Actuals and Projections 11 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 12/25/2016 - 01/21/2017 20.2 80.6 01/22/2017 - 02/18/2017 20.2 100.8 02/19/2017 - 03/18/2017 20.3 121.1 03/19/2017 - 04/15/2017 20.3 141.4 04/16/2017 - 05/13/2017 20.2 161.6 05/14/2017 - 06/10/2017 20.3 181.9 06/11/2017 - 07/08/2017 20.0 201.9 07/09/2017 - 08/05/2017 19.9 221.8 08/06/2017 - 09/02/2017 19.8 241.6 09/03/2017 - 09/30/2017 19.8 261.4 274 FY 2017 10/01/2017 - 10/28/2017 19.7 19.7 10/29/2017 - 11/25/2017 19.6 39.3 11/26/2017 - 12/23/2017 19.7 59.0 12/24/2017 - 01/20/2018 19.7 78.7 01/21/2018 - 02/17/2018 19.7 98.4 02/18/2018 - 03/17/2018 19.8 118.2 03/18/2018 - 04/14/2018 19.8 138.0 04/15/2018 - 05/12/2018 19.8 157.8 05/13/2018 - 06/09/2018 19.8 177.6 06/10/2018 - 07/07/2018 19.8 197.4 07/08/2018 - 08/04/2018 19.8 217.2 08/05/2018 - 09/01/2018 19.8 237.0 09/02/2018 - 09/29/2018 19.8 256.8 272 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes all staff in R-II.

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U.S. Nuclear Regulatory Commission Region III FTE Actuals and Projections 11 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 12/25/2016 - 01/21/2017 14.2 56.8 01/22/2017 - 02/18/2017 14.3 71.1 02/19/2017 - 03/18/2017 14.3 85.4 03/19/2017 - 04/15/2017 14.3 99.7 04/16/2017 - 05/13/2017 14.3 114.0 05/14/2017 - 06/10/2017 14.3 128.3 06/11/2017 - 07/08/2017 14.5 142.8 07/09/2017 - 08/05/2017 14.4 157.2 08/06/2017 - 09/02/2017 14.2 171.4 09/03/2017 - 09/30/2017 14.2 185.6 197 FY 2017 10/01/2017 - 10/28/2017 14.3 14.3 10/29/2017 - 11/25/2017 14.3 28.6 11/26/2017 - 12/23/2017 14.4 43.0 12/24/2017 - 01/20/2018 14.3 57.3 01/21/2018 - 02/17/2018 14.1 71.4 02/18/2018 - 03/17/2018 14.1 85.5 03/18/2018 - 04/14/2018 14.1 99.6 04/15/2018 - 05/12/2018 14.1 113.7 05/13/2018 - 06/09/2018 14.1 127.8 06/10/2018 - 07/07/2018 14.1 141.9 07/08/2018 - 08/04/2018 14.1 156.0 08/05/2018 - 09/01/2018 14.1 170.1 09/02/2018 - 09/29/2018 14.1 184.2 184 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes all staff in R-III.

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U.S. Nuclear Regulatory Commission Region IV FTE Actuals and Projections 11 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Annual Period Year to Date FTE for the Budget FTE Period 12/25/2016 - 01/21/2017 13.9 56.1 01/22/2017 - 02/18/2017 13.6 69.7 02/19/2017 - 03/18/2017 13.5 83.2 03/19/2017 - 04/15/2017 13.4 96.6 04/16/2017 - 05/13/2017 13.2 109.8 05/14/2017 - 06/10/2017 13.0 122.8 06/11/2017 - 07/08/2017 13.0 135.8 07/09/2017 - 08/05/2017 13.0 148.8 08/06/2017 - 09/02/2017 13.0 161.8 09/03/2017 - 09/30/2017 12.8 174.6 187 FY 2017 10/01/2017 - 10/28/2017 12.6 12.6 10/29/2017 - 11/25/2017 12.6 25.2 11/26/2017 - 12/23/2017 12.8 38.0 12/24/2017 - 01/20/2018 12.9 50.9 01/21/2018 - 02/17/2018 12.8 63.7 02/18/2018 - 03/17/2018 12.8 76.5 03/18/2018 - 04/14/2018 12.9 89.4 04/15/2018 - 05/12/2018 12.9 102.3 05/13/2018 - 06/09/2018 12.9 115.2 06/10/2018 - 07/07/2018 12.9 128.1 07/08/2018 - 08/04/2018 12.9 141.0 08/05/2018 - 09/01/2018 12.9 153.9 09/02/2018 - 09/29/2018 12.9 166.8 175 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes all staff in R-IV.

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U.S. Nuclear Regulatory Commission Corporate Support Functions FTE Actuals and Projections 12 Months Prior and 12 Months Future Data as of 11/25/2017 Actual/

Fiscal Projected Period Year to Date FTE for the FTE Period 11/27/2016 - 12/24/2016 40.9 123.5 12/25/2016 - 01/21/2017 40.8 164.3 01/22/2017 - 02/18/2017 40.5 204.8 02/19/2017 - 03/18/2017 40.4 245.2 03/19/2017 - 04/15/2017 40.1 285.3 04/16/2017 - 05/13/2017 39.3 324.6 05/14/2017 - 06/10/2017 38.4 363.0 06/11/2017 - 07/08/2017 38.2 401.2 07/09/2017 - 08/05/2017 37.9 439.1 08/06/2017 - 09/02/2017 37.4 476.5 09/03/2017 - 09/30/2017 37.3 513.8 594 FY 2017 10/01/2017 - 10/28/2017 36.9 36.9 10/29/2017 - 11/25/2017 36.0 72.9 11/26/2017 - 12/23/2017 35.9 108.8 12/24/2017 - 01/20/2018 35.7 144.5 01/21/2018 - 02/17/2018 35.6 180.1 02/18/2018 - 03/17/2018 35.6 215.7 03/18/2018 - 04/14/2018 35.6 251.3 04/15/2018 - 05/12/2018 35.6 286.9 05/13/2018 - 06/09/2018 35.6 322.5 06/10/2018 - 07/07/2018 35.7 358.2 07/08/2018 - 08/04/2018 35.7 393.9 08/05/2018 - 09/01/2018 35.7 429.6 09/02/2018 - 09/29/2018 35.7 465.3 510 FY 2018 Notes: 1 Data are reported in two-pay-period groups because of the biweekly payroll cycle.

2 Actual/projected FTE for the period reflects FTE utilization (or projected utilization).

3 Projection is approximately 1/12th of total year FTE expenditures, adjusted for known future gains and losses through the end of the fiscal year.

4 Includes all staff in the following corporate support offices: Office of the Chief Financial Officer, Office of the Chief Information Officer, Office of Administration, Office of Small Business and Civil Rights, and Office of the Chief Human Capital Officer.

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4. Please describe the status of actions taken or planned to reduce corporate support costs, including efforts to reduce office space in the Three While Flint North building and in the regional offices. Please include goals for space reductions and cost savings, as well as the estimated date to achieve those goals.

The NRC remains committed to identifying and achieving efficiencies in the corporate support area. The agencys FY 2017 enacted budget for corporate support activities was $300.1 million.

The FY 2017 enacted budget included resources for the following five overhead activities:

acquisitions, real property, human capital, financial management, and information technology.

Additionally, the corporate support budget includes the NRCs small business outreach efforts, as well as resources to support the Commission offices.

In the SRM to the Project Aim Report, the Commission directed the staff to re-baseline the agencys workloadfocusing on statutory mandates, as well as work pertaining to the agencys safety and security mission. In SRM-SECY-16-0009, Recommendations Resulting from the Integrated Prioritization and Re-baselining of Agency Activities, the Commission subsequently approved a total of $8.4 million, including 24.3 FTE, in reductions from the corporate support area by the end of FY 2017. Re-baselining reductions totaling $4.8 million, including 13.0 FTE, were taken from corporate support in the FY 2017 request, as detailed in the FY 2017 Congressional Budget Justification (CBJ). The agencys FY 2017 enacted budget reflected the balance of $3.6 million in re-baselining savings, including 11.3 FTE.

In addition to the above re-baselining reductions, in SECY-16-0035, Additional Re-baselining Items, the NRC staff identified other actions that could provide additional efficiencies in the long-term. For example, efforts to reduce office space in NRC headquarters and the regional offices will continue. A detailed discussion of these activities follows the summary table below.

Consistent with the SECY-16-0035 additional re-baselining item entitled Review of Corporate Offices Full-Time Equivalent (FTE) Utilization and Workload, the agency identified additional ways to reduce costs associated with the delivery of corporate support services in FY 2018. To reduce the corporate support staff size to match the decrease in workload and budget, the NRC used tools such as voluntary early retirement authority and voluntary separation incentive pay programs. Although these voluntary efforts moved the agency significantly closer to its human capital goals, we recognized that voluntary actions alone may not be adequate, and the NRC prepared for a reduction in force (RIF) to right-size corporate resources. In September 2017, the agency issued RIF notices to 11 individuals in the corporate support area and indicated that to the extent feasible, we would continue our efforts to place the impacted individuals into vacant positions within the agency that required additional resources to meet workload demands. As a result of these efforts, as well as the willingness of affected individuals to accept these new positions and take on new and different responsibilities, it was not necessary to issue any involuntary separations.

The NRC remains committed to identifying and achieving efficiencies in the corporate support area that will lead to cost savings, such as the following:

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Product Line Total $ Fiscal Description FTE Status (M)* Year Additional Re-baselining Items (SECY-16-0035)

Administrative Reduce Office Space in Three White Flint North -4.0 0 In process FY 2018 -

Services FY 2021 Administrative Reduce Office Space in the Regions -1.2 0 In process FY 2018 -

Services FY 2021 Financial Standardize Budget Formulation and Execution TBD TBD In process FY 2019 Management across Business Lines Financial Use a Federal Shared Service Provider for TBD TBD In process FY 2019 Management Accounts Payable Administrative Workstation Efficiencies TBD TBD In process FY 2019 Services and Information Technology Subtotal - Additional Re-baselining Savings -$5.2 TBD Other Corporate Support Savings Information IT Infrastructure Support - the agency expects to -3.6 0 In process FY 2018 Technology realize a 10 to 15 percent drop in contract expenses resulting from a new acquisition strategy.

Subtotal - Other Corporate Support -$3.6 0 Total -$8.8 0

• Total includes any FTE cost.

Reduction of Office Space.

NRC office space is currently comprised of a Headquarters Campus in Rockville, MD (One White Flint North (OWFN), Two White Flint North (TWFN), and partial space in 3 White Flint North (3WFN)), a warehouse, four regional office buildings, and a technical training center.

From FY 2013 through FY 2015, NRC relinquished a net total of 364,997 useable square feet (USF) at its headquarters by shedding a total of eight floors in the 3WFN building and four temporary satellite locations. As a result, the agencys headquarters now consists of OWFN, TWFN, and five floors and the B1 level of 3WFN. NRC plans to relinquish an additional 139,244 USF of office space at its headquarters location and four regional office locations, from FY 2018 through FY 2021. This space consists of four floors in 3WFN totaling 93,244 USF, and approximately 46,000 USF at the regional locations, by consolidating at headquarters and within each regional office location. NRCs proposed agency-wide total space reduction goals by fiscal year are shown in the table below.

NRC Square Foot Reduction Goals FY 2018 - FY 2021 FY 2018 FY 2019 FY 2020 FY 2021 Office Target (Net SF Reduction) 33,561 42,561 29,561 33,561 Significantly reducing costs by releasing the space will be a challenge due to the non-cancelable terms of many of the occupancy agreements and leases, including the terms of 17

3WFN. However, NRC is working with the General Services Administration (GSA) to identify potential tenants for both 3WFN and the regional office locations. The Food and Drug Administration has expressed an interest in acquiring an additional floor in 3WFN in FY 2018 and the National Institutes of Health (NIH) has expressed an interest in acquiring the remaining three floors as NRC continues to consolidate at headquarters and the space becomes available in the FY 2019 through FY 2021 timeframe. Regional office space reductions can be achieved by reconfiguring the existing space to use fewer square feet, thereby allowing for unused blocks of space to be released. However, with the exception of NRCs Region III office in Lisle, IL, rent savings will not be achieved until GSA identifies and places a new tenant into the released space, or until such time as the terms of the NRCs current leases allow. The timing and scope of the regional reductions are as follows: Region III, Lisle, IL, 11,000 USF in FY 2018; Region II, Atlanta, GA,17,000 USF in FY 2019; Region I, King of Prussia, PA, 7,000 USF in FY 2020; and Region IV, Arlington, TX, 11,000 USF in FY 2021.

At headquarters, the amount and timing of rent reductions for 3WFN are contingent upon GSAs ability to identify and place a new tenant into the relinquished floors; however, NRC anticipates an annual reduction of $1 million per floor for each floor relinquished upon a new tenant taking the space. The agency anticipates rent costs to begin decreasing in July 2018 when FDA has agreed to occupy the 2nd floor of 3WFN, and again by early FY 2020 as NIH begins to occupy the remaining three floors. Once the release of NRCs space is complete in FY 2021, the agency will realize a total reduction of $4 million in office space costs going forward. Cost reductions for the regional locations are likewise dependent upon successful and timely leasing of the space to new tenants. The annual reduction in costs for the regional office space is anticipated to average approximately $300,000 per regional office. As a result of the planned space reductions, NRC anticipates an annual total rent reduction of $5.2 million from FY 2022 forward, as compared to FY 2018.

5. Please describe the status of efforts to provide greater transparency, timeliness, and itemization in invoices to applicants and licensees, including any progress toward electronic invoicing and payment. Please include near-term (within 6 months), medium-term (6 to 12 months), and long-term (greater than 12 months) milestones.

Improvements to invoices showing itemized charges by standard codes for greater transparency and timeliness.

Near-Term:

• On October 1, 2017, the NRC implemented a new Cost Activity Code (CAC) System for labor reporting. The system is managed by the Office of the Chief Financial Officer (OCFO) and is the single source for creating and managing CACs for the agency.

• With the implementation of the new CAC system, the NRC also established a standard project-activity coding structure, or Enterprise Project Identifier (EPID) codes, for standard types of licensing and inspection projects performed for a licensee. Invoices will continue to be similar to the invoices provided in the past in that each Licensee Facility will have its own invoice number. For greater transparency, starting with the January 2018 invoices, charges will be grouped by project (EPID) and for each EPID, a further itemized breakdown of charges by CAC (Activity). In addition, CAC titles will be standardized to provide consistent descriptions for the same type of work performed for all projects.

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• Finally, NRC staff names and contractor company names will appear on the invoice for each itemized CAC.

Medium-Term:

• To improve the efficiency of the billing process, the OCFO will work with an intra-agency working group during FY 2018 to implement a standardized Part 170 (fees for service) fee billing validation process, and establish standardized roles and responsibilities. The working group will develop, pilot, and finalize the process. OCFO will provide training to all staff involved in the billing process. The estimated completion date is October 1, 2018.

Progress towards electronic invoicing and payment.

The NRC is currently in the planning phase of the electronic invoicing (eBilling) project, which includes the following tasks:

Near-Term:

• Document the current "as-is" fee billing processes and fee billing information technology systems.

• Continue to perform requirements analysis on items that may impact the fee billing process and systems.

• Interview other Federal agencies who recently implemented electronic invoicing for lessons-learned opportunities.

Medium-Term:

• Select an eBilling tool.

• Establish the initial eBilling solution based on the eBilling tool selected, outreach activities, lesson learned opportunities, and a requirements analysis.

• Reach out to stakeholders for input on the initial eBilling proposed solution and to identify licensees to participate in phased-approach implementation pilot.

• Develop a phased-approach and corresponding project plan to implement the eBilling solution based on stakeholder feedback.

Long-Term:

• Execute the eBilling solution. The initial phased approach deployment is planned to occur on or about October 2019.

• Continue to perform outreach activities with stakeholders.

6. Please provide a list of alI new research initiated during the reporting period. For each new project, please provide the estimated timeframe and resources necessary for completion, and a description of the safety significance of the research.

During the month of November 2017, the Office of Nuclear Regulatory Research (RES) initiated research on or substantially revised the following research:

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Estimated Estimated Safety Significance of Name of New or Revised Project Completion Resources Research Activity Research Assistance on Potential Medium - This research Significant Technical Issues consolidates analytical during the Subsequent Period of methods, tools, and expertise 4.95 FTE and Extended Operation developed as part of ongoing September $455K for research programs to 2021 program specifically address aging-support related materials degradation issues for subsequent plant license renewal.

Assessment of Methods to Medium - This research Monitor Condition of Electrical assesses 1) the effectiveness Cables 5.25 FTE and of cable condition monitoring September $4.1 million methods to detect aging 2020 for program degradation in insulation support materials and 2) qualified life predictions of cable up to 80 years of operation.

Comments:

The list above provides projects that were reviewed and approved during the monthly reporting period. This list includes research projects that exceed 300 staff hours or $500k of program support.

Additional, background on research internal controls and safety priorities is discussed in Appendix B.

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URANIUM RECOVERY

7. For major uranium recovery licensing actions, please provide a table including the date the application was filed, the duration of the application review, the originally forecasted completion date, the currently forecasted completion date, and the total current amount of fees billed to the licensee/applicant for the review.

Item 7 - Major Uranium Recovery Licensing Actions (1)

Total Current Originally Currently Fees Billed Licensing Duration of Forecasted Forecasted (through Site/Facility Action Date of Review (2) Completion Completion September Licensee Name Type Submittal (months) Date Date 30, 2017)

Uranium One (3) Ludeman Expansion 12/06/2011 67.0 08/14/2013 08/31/2018 $1,856,673.84 Kennecott Sweetwater Renewal 09/08/2014 36.5 12/31/2016 08/31/2018 $1,639,607.25 Crow Butte Resources (4) Marsland Expansion 06/20/2012 62.0 02/14/2015 05/25/2018 $3,629,909.27 Cameco Smith Resources (5) Ranch Renewal 02/01/2012 65.0 7/5/2015 09/27/2018 $2,440,182.24 KM Horizon/LC Lost Creek, ISR (6) East Expansion 02/27/2017 7.0 08/07/2018 08/07/2018 $1,297,561.70 Notes:

1. NRC staff completed a self-assessment of the uranium recovery licensing process in 2017. The review compared the uranium recovery licensing process to other licensing groups within the NRC to identify best practices. The review identified several recommendations for improvements to the uranium recovery licensing process. A number of these recommendations, such as the use of schedule letters to communicate changes in review schedules and developing tools to better track project status have already been implemented. In addition, in 2016, the uranium recovery program established 21

an agency metric that tracks the percentage of major milestones completed on schedule. The uranium recovery staff anticipates that implementing these changes will result in future efficiencies in the uranium recovery licensing process.

2. The duration of review is the total amount of time the application has been under consideration, starting when the application was accepted for review by the NRC staff. The NRCs goal is to complete major reviews within 36 months from acceptance of the application. The duration of review includes periods of delay that could be attributed to the NRC staff, the licensee, or both.

3. The duration of review has been primarily impacted by the applicants change in the design of the facility during the review process. The duration of review has also been impacted by a prior limited availability of health physics reviewers.

4. The duration review has been impacted by the applicants timeliness in responding to NRC staffs RAI.

5. The duration review has been primarily impacted by delays in applicant providing adequate responses to NRC staffs RAI.

6. Currently forecasted completion date represents completion of NRC safety evaluation report. The NRC staff continues to coordinate with the U.S. Bureau of Land Management (BLM) in its preparation of the environmental impact statement (EIS) in accordance with the BLM/NRC Memorandum of Understanding (MOU) and the letter of December 4, 2014, designating BLM as the lead agency and the NRC as a cooperating agency. The BLM is scheduled to publish the final EIS in December 2018.

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8. For major uranium recovery licensing actions, please provide a brief description of the status of each review, including* projected budget and timeline for both the environmental impact statement and the safety evaluation report.

The table below provides the status of major uranium recovery licensing actions currently under review, the timeline for completing the associated EISs and SERs, and the total projected budget per project.

The NRC does not formulate its budget at the project level. The budget for the Uranium Recovery Program is formulated at a higher level using budget models for the number, type, and complexity of reviews anticipated. The projected budget information reported below includes the program staff and contract support resource estimates to perform the safety and environmental reviews from submittal to licensing decision, excluding resources for OGCs reviews, hearings, mission support, supervisory support, travel, and allocated agency corporate support resources. The estimates are based on budget models for different types (such as expansions, renewals, and new licenses) and complexities of major licensing action reviews.

The NRC staffs goal is to complete the review of major licensing actions within 3 years; however, the staff estimates that smaller, less complex applications may be reviewed in 2 years, while larger, more complex, applications may require up to 4 years to review.

Uranium Application Review Status and Projected Budget Recovery Accepted Applicant for Review Cameco North 08/28/07 The licensee requested the NRC staff to stop its review of Trend the North Trend application and to instead focus its efforts Expansion on the review of the Marsland expansion. The SER for the North Trend expansion was completed in July 2013.

The NRC staff has suspended its work related to the development of the draft Environmental Assessment (EA) and conduct of Section 106 consultations pursuant to the National Historic Preservation Act. In addition, the hearing to address contentions related to groundwater is on hold, pending completion of the NRC staffs environmental review. The current schedule for remaining milestones will be determined after the NRC staff has completed its review for the Marsland expansion.

The projected total budget to conduct the review is 3.0 FTE and $600K.

Uranium One 05/16/12 NRC environmental and safety reviews are in progress for Ludeman this expansion of the existing Willow Creek project. The Expansion licensee is resolving safety and environmental issues.

NRC met with the licensee on February 22, 2017, to discuss these issues and the licensees plan to submit an amended application that addresses a major change of design. On March 28, 2017, the NRC staff issued a letter to the licensee requesting an updated schedule of when it would submit the required information necessary for the staff to complete its review. In April 2017, the licensee provided all information except for the amended application. The staff received the amended technical 23

Uranium Application Review Status and Projected Budget Recovery Accepted Applicant for Review report in June 2017, and the amended environmental report in August 2017. The NRC staff is on schedule to complete the SER by March 2018. Based on the amended environmental report, the cultural resources review can now be completed. The NRC staff is on schedule to issue the final EA by August 3, 2018, and reach a decision on the license amendment on August 31, 2018.

The projected total budget to conduct the review is 3.0 FTE and $600K.

Cameco 07/05/12 Environmental and safety reviews are in progress. Open Smith Ranch issues are currently being addressed. On May 2, 2013, License the NRC staff issued an RAI on safety and environmental Renewal aspects of the renewal request. On April 21, 2015, the licensee submitted its responses to the RAI. The NRC staff is working with the licensee to close remaining open issues. On May 2, 2016, the staff communicated to the licensee that its responses to the RAIs were incomplete. In December 2016 the staff requested the licensee to provide a schedule for completing its response to the remaining aspects of the RAI. On January 10, 2017, the licensee provided an update on when it expects to respond to part, but not all, of the NRC staffs RAI. The NRC staff responded to Camecos letter on April 14, 2017.

The NRC staff and Cameco also held the first of several public meetings to address Camecos development of sufficient RAI responses. The NRC staffs SER and EA completion dates of September 2018 are based on receipt of Camecos RAI responses by January 19, 2018.

The projected total budget to conduct the review is 3.5 FTE.

Crow Butte 10/05/12 Environmental and safety reviews are in progress. The Marsland NRC staff issued RAIs in July 2013. The licensee Expansion responded in November 2015. After reviewing the responses, the NRC determined that additional information was required to resolve the RAIs. Cameco submitted responses to the open issues in June and August 2017. At this time, the NRC staff is proceeding with its review and is on schedule to complete the SER in January 2018, complete the final EA in April 2018, and make a final licensing decision in May 2018. The Marsland expansion review has an admitted contention that will go to hearing after completion of the NRC staffs review.

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Uranium Application Review Status and Projected Budget Recovery Accepted Applicant for Review The projected total budget to conduct the review is 3.0 FTE and $600K.

Hydro 06/24/13 The sites, located very close to Navajo Nation lands, were Resources, licensed in 1998. Construction has not yet commenced.

Inc. (HRI) The license renewal review was placed in abeyance on License November 13, 2014, while HRI continues its work with the Renewal Navajo Nation Council. In March 2016 the NRC approved the transfer of control of the license from the HRI parent company, Uranium Resources, Inc., to Laramide Resources. The parties finalized the transaction in January 2017. The schedule for remaining milestones associated with the licensing review is to be determined.

The projected total budget to conduct the review is 2.6 FTE.

Kennecott 11/25/14 The licensee has maintained the facility in stand-by since Sweetwater 1983, waiting on better market conditions to resume License operations. Environmental and safety reviews are in Renewal progress. On October 18, 2016, the licensee submitted supplemental information related to groundwater detection monitoring. On November 14, 2016, the licensee submitted revised environmental information. The NRC staff issued RAIs to Kennecott on June 29, 2017, and received the licensees response on October 2, 2017.

The staff plans to complete its SER and final EA in February 2018, and is on schedule to reach a licensing decision in August 2018.

The projected total budget to conduct the review is 0.5 FTE.

Strata 01/14/16 On May 27, 2016, and September 14, 2016, the NRC staff Kendrick issued RAIs for the environmental review and for the Expansion safety review, respectively. On December 15, 2016, the licensee requested that the NRC cease all activities related to this review. As a result of the licensees request, the NRC staff is no longer reviewing this licensing action. The staffs safety and environmental reviews, including development of the Supplemental EIS, are on hold.

The projected total budget to conduct the review is 3.5 FTE and $1500K, which includes completing the EIS.

Lost Creek 05/02/17 By letter dated February 27, 2017, the licensee KM resubmitted a revised application. The NRC staff has accepted the application for review on May 2, 2017. The 25

Uranium Application Review Status and Projected Budget Recovery Accepted Applicant for Review Horizon/East NRC staff continues to coordinate with the BLM in its Expansion preparation of the EIS in accordance with the BLM/NRC MOU and the letter of December 4, 2014, designating BLM as the lead agency and NRC as a cooperating agency. BLM is scheduled to publish the final EIS in December 2018. The NRC staff is submitting its RAIs in batches in order to support BLMs schedule for issuing the EIS. The NRC staff issued its initial set of RAIs on July 27, 2017, its second set of RAIs on August 28, 2017, and its third set of RAIs on October 30, 2017. The final safety evaluation report is scheduled to be completed in August 2018.

The projected total budget to conduct the review is 3.0 FTE.

Cameco Three Crow is an expansion of the operating Crow Butte Three Crow facility located in Crawford, NE. The NRC staff started its Expansion acceptance review on August 3, 2010, and was waiting for the licensee to complete changes in its design prior to acceptance. However, in November 2014, the licensee requested that the NRC staff place the review on hold and instead focus efforts on the review of the Marsland expansion.

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9. For minor uranium recovery licensing actions, please provide the following information each reporting period, including any months previously reported, in this format:

a. Size of inventory;

b. Number of acceptance reviews completed on time;

c. The number of items completed in the period being reported; and

d. Of the items completed in the reporting period, the number completed within the forecasted schedule.

e. Please identify any unusually complex items omitted from the inventory and provide the age of the item, a brief description of the item, the justification for omitting it from the inventory size, and an explanation for any review exceeding its original schedule by 125 percent.

Number of Unusually Number of Number of Items Complex Acceptance Items Completed Items Reviews Completed Within Omitted Size of Completed During Forecasted from Month/Year Inventory on Time(1) Month Schedule(2) Inventory Nov-2017 21 NA 2 1 0 Notes:

1. NA means no acceptance reviews were due.

2. This column represents the total number of minor licensing actions completed within the staffs forecasted schedule in a particular month. At times, the uranium recovery staff has to divert resources from minor licensing actions to address oversight of operating sites, emergent issues, and major licensing actions. When this occurs, the NRC staff tries to accommodate the licensees priorities for completion of minor licensing actions.

However, this has impacted the staffs ability to complete minor licensing actions within the forecasted schedule.

10. Please provide a concise summary of the status of the process for the State of Wyoming to become an Agreement State.

On February 27, 2015, the Governor of Wyoming submitted a letter of intent for the State of Wyoming to become an Agreement State, under a limited agreement to regulate source and byproduct material (as defined in § 11e.(2) of the Atomic Energy Act (AEA). A limited agreement is an agreement where a State assumes regulatory authority for a subset of the types and quantities of radioactive material that a State could assume authority for under the AEA. This agreement would authorize the State of Wyoming to assume regulatory authority over uranium and thorium milling (e.g., conventional and in-situ uranium recovery activities), the possession and use of source material involved in the extraction and concentration of uranium and thorium in source material and ores at milling facilities, and the management and disposal of byproduct material as defined in Section 11e.(2) of the AEA.

The NRC and the Wyoming Department of Environmental Quality (DEQ) have worked closely to facilitate the timely completion of the Agreement through biweekly conference calls, in-person meetings, emails, and letters. As an interim step, the NRC staff, on July 5, 2016, requested Commission approval of the State of Wyomings proposed approach to submit a draft application for a limited agreement. Under this approach six Uranium Mill Tailings Radiation 27

Control Act (UMTRCA) sites would have been transferred to Wyoming under the Agreement.

On August 3, 2016, the Commission approved this approach in SRM-SECY-16-0084.

On October 28, 2016, the State of Wyoming submitted a draft application for a limited agreement. The draft application proposed that the NRC retain jurisdiction over the six UMTRCA sites. In response to the draft application, the NRC staff had lengthy discussions with the State of Wyoming, after which the State of Wyoming proposed to include five of UMTRCA sites in its final application. On August 16, 2017, the NRC staff recommended that the Commission approve the retention of NRCs regulatory authority over one of the six UMTRCA sites excluded in the State of Wyomings draft application (i.e., the American Nuclear Corporation (ANC) site in Gas Hills, Wyoming). On October 4, 2017, the Commission approved the staffs proposal in SRM-SECY-17-0081.

In parallel with resolving the jurisdiction of the six UMTRCA sites, the NRC staff provided comments to Wyoming DEQ on the draft application in an April 20, 2017, letter. On June 22, July 17, and August 16, 2017, Wyoming DEQ provided written responses to address NRCs comments.

On November 14, 2017, the State of Wyoming submitted its formal request for an Agreement.

The NRC staff continues to work with Wyoming DEQ to resolve the remaining issues related to the overall compatibility of the proposed program, and will request Commission approval to publish the staffs assessment of the Wyoming request, including the resolution of any remaining issues, and the draft Agreement for public comment in early spring 2018.

11. Please provide a concise summary of the specific actions planned to improve the efficiency of reviews conducted for compliance with the National Historic Preservation Act, including implementation dates for completion. Please describe any progress made during the reporting period.

The Section 106 process under the National Historic Preservation Act (NHPA) requires Federal agencies to take into account the effects of their undertakings on historic properties and afford the Advisory Council on Historic Preservation (ACHP) a reasonable opportunity to comment.

Based on lessons learned in the uranium recovery licensing functional area, the NRC has taken a number of actions to facilitate and enhance its Section 106 reviews. Because each licensing or regulatory action differs in scope, the specific activities identified to carry out NRCs obligations under NHPA differ from one licensing or regulatory action to another. The following specific actions have been identified and are being carried out to improve and facilitate compliance with the Section 106 process of the NHPA.

For efficiency, the NRC conducts the Section 106 process in coordination with the National Environmental Policy Act (NEPA) review process. To the extent possible, the NRCs completion date for its NHPA Section 106 review for a specific licensing action aligns with the date for publishing the final NEPA environmental review document In fiscal year 2013, the NRC entered into an interagency agreement with the ACHP, under which the ACHP established a dedicated liaison to provide the NRC with technical assistance with Section 106 reviews of specific licensing actions, as well as relevant training and guidance.

In June 2014, the NRC published its draft Interim Staff Guidance (ISG) for conducting the Section 106 process specific to uranium recovery licensing actions, Guidance for Conducting the Section 106 Process of the National Historic Preservation Act for Uranium Recovery 28

Licensing Actions (FSME-ISG-02). Due to workload, resources, and other priorities, the NRC has had to delay completion of the ISG until calendar year 2018.

The NRC staff continues to attend and participate in the National Mining Associations (NMAs) annual uranium recovery workshops. The NRC staffs participation includes presentations or panel discussions of the NRCs activities to carry out its NHPA Section 106 obligations, including challenges and potential solutions related to the NHPA Section 106 reviews.

To further improve the agencys NHPA and NEPA processes for licensing activities, the NRC has updated several documents regarding tribal consultation. The NRC published the final Tribal Policy Statement in the Federal Register on January 9, 2017 (82 FR 2402), and revised its Tribal Protocol Manual. The Tribal Protocol Manual is intended to facilitate effective consultations and interactions between the NRC and Tribes.

Consistent with NRCs MOU with BLM, in FY 2017, the NRC staff continued its coordination of NEPA and NHPA Section 106 reviews related to such facilities that require an NRC license to possess and use source and byproduct materials, and are located on public lands under BLMs regulatory authority. The goal of the MOU is to limit, to the extent possible, duplication of consultation, review, and evaluation efforts on a project.

In the past few years, the number of uranium recovery licensing reviews has increased. In addition, the complexity of the Section 106 reviews associated with these licensing actions has grown significantly and, as a result, NRCs consultation efforts with respect to its obligations under Section 106 process have also increased. The NRC acknowledges that implementation of the Section 106 process continues to be a challenge affecting the licensing review schedule.

The NRC staff will continue to evaluate the Section 106 process to identify additional activities that could be taken to continue to facilitate the process.

12. Please provide a concise summary of the progress of the pilot project to establish flat fees for uranium recovery licensees, including specific near-term (6 months), medium-term (6 - 12 months), and long-term (greater than 10 months) milestones necessary to complete the pilot program.

As directed by the Commission, the NRC staff will conduct a flat fee pilot program for routine uranium recovery licensing actions. As described in the staff paper SECY-16-0097, Fee Setting Improvements and Fiscal Year 2017 Proposed Fee Rule, this pilot will involve evaluation of data to collect a representative sample of the costs for various licensing reviews. The staff believes that using data from the previous data recording structure that had less granularity could result in a proposed flat fee that is skewed either high or low for the work delivered. Collecting representative sample of data under the new data recording structure, described in the response to question 5, will allow NRC to determine a flat fee that is fair and equitable.

As of June 30, 2017, the agency completed development of a new data recording structure. By September 30, 2017, the NRC trained staff to record the data using the new structure.

Concurrently, the staff began outreach to Agreement States with uranium recovery licensees to understand their fee schedule development process. The new data structure was deployed on October 1, 2017.

Near-Term:

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• The NRC staff will record time and attendance, which indicates the hours spend on specific work products, using the new data structure.

Medium-Term:

• After a year of recording data using the new data structure, by November 1, 2018, the staff will begin analysis of the data to develop recommendations.

Long-Term:

• Beginning in January 2019, the staff will engage with stakeholders to solicit for comments and concerns. The analysis and draft recommendations will be completed by the end of April 2019. The recommendations will be included in the FY 2020 fee rule SECY paper due to the Commission on August 15, 2019. These recommendations will continue to address requirements under the Omnibus Budget Reconciliation Act of 1990 to collect approximately 90 percent of the NRCs annual budget through fees, and under the Independent Offices Appropriation Act, 1952 to assess user fees that are fair and based on the costs to the government and certain other factors. The Commission is expected to report its decision to Congress by the end of December 2019. The FY 2020 proposed fee rule is expected to be published in January 2020. The FY 2020 final fee rule is expected to be published by May 2020 and would be effective 60 days thereafter.

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LICENSING

13. For operating reactors, new reactors, and uranium recovery licensees, please provide the following information regarding license amendment reviews:

13.a Please provide the following information for the current reporting period, including any information previously reported in the last six months:

i. Size of inventory; ii. The number of items completed in the period being reported; iii. Percentage of acceptance reviews completed on time; iv. The percentage of these items completed within the forecasted schedule;

v. The percentage of these items completed within 125 percent of the forecasted schedule; vi. The percentage of items completed within ten months; vii. The average age for items completed during the month being reported; viii. The ages of the quickest three items completed; and ix. The ages of the slowest three items completed.

Operating Reactors Month/Year Size of No. of Percentage Percentage Percentage Percentage Average Ages of the Ages of the Inventory Items of of Items of Items of Items Age for Quickest Slowest (Note 1) Completed Acceptance Completed Completed Completed Items Three Items Three Items in the Reviews within the within 125% within 10 Completed Completed Completed Report Completed Forecasted of Months During (months) (months)

Period on Time Schedule Forecasted Report (Note 2) Schedule Period (Note 3) (months)

Nov-17 588 46 100% 94% Note 4 85% 6.9 <1 <1 <1 21 21 21 Note 1: Similar to the licensing actions reported in the yearly CBJ, the inventory does not include unusually complex or Fukushima related licensing actions.

Note 2: Internal processes track licensing action completions within forecasted scheduled (+ 1 month) [this percentage does not include unusually complex or Fukushima related licensing actions].

Note 3: Internal processes track licensing action completions within 125 percent of the forecasted schedule [this percentage does not include unusually complex or Fukushima related licensing actions].

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Note 4: System upgrades currently being implemented are causing challenges with total project hours. We will begin reporting this information once the issue is resolved.

New Reactors Percentage Average Age No. of Percentage Percentage of Items Percentage for Items Ages of the Ages of the Items of of Items Completed of Items Completed Quickest Slowest Size of Completed Acceptance Completed Month/Year within 125% Completed During Three Items Three Items Inventory in the Reviews within the of within 10 Report Completed Completed Report Completed Forecasted Forecasted Months Period (months) (months)

Period on Time Schedule Schedule (months)

Nov-17 38 7 100% 86% 100% 100% 6.4 5 5 5 6 7 8 Office of Nuclear Material Safety and Safeguards Average Percentage Number of Percentage Percentage Age for of Items Percentage Ages of the Ages of the Items of of Items Items Completed of Items Quickest Three Slowest Three Size of Completed Acceptance Completed Completed Month/Year within Completed Items Items Inventory in the Reviews within during 125% of within 10 Completed Completed Report Completed Forecasted Report Forecasted Months (months) (months)

Period on Time Schedule Period Schedule (months)(1)

Nov-17 24 2 N/A 50% 50% 50% 24.5 48(2) 1 N/A 48(2) 1 N/A Note 1: The uranium recovery staffs goal is to complete major licensing actions within 36 months of acceptance and minor licensing actions within 12 months of acceptance. At times, the uranium recovery staff has to divert resources from minor licensing actions to address oversight of operating sites, emergent issues, and major licensing actions. When this occurs, the NRC staff tries to accommodate the licensees priorities when determining which minor licensing actions to complete first.

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Note 2: One review of a minor licensing action completed in November 2017 required 48 months to complete. This review was low priority for the licensee; therefore, the uranium recovery staff focused on higher priority work until sufficient resources were available to complete the review.

13.b For the reporting period, please also provide the following for license amendment requests:

i. The number not accepted for review; and ii. A list of the requests that were withdrawn or denied after being accepted for review including the age of the request at the time it was withdrawn or denied.

Operating Reactors No. of License Age of the List the Requests that were Amendment Request at the Month/Year Withdrawn or Denied after Requests Not Time it was Being Accepted for Review Accepted for Review Withdrawn or Denied (months)

Nov-17 0 Withdrawn: McGuire Nuclear 5 Station, Units 1 and 2; H. B.

Robinson Steam Electric Plant, Unit No. 2; and Shearon Harris Nuclear Power Plant, Unit 1 - Request for Relief from the Requirements of the American Society of Mechanical Engineers (ASME) Operations and Maintenance (OM) Code Case OMN-20 (EPID: L-2017-LLR-0028) 33

New Reactors No. of License List the Requests that were Age of the Request at the Amendment Requests Month/Year Withdrawn or Denied after Time it was Withdrawn or Not Accepted for Being Accepted for Review Denied Review (months)

Nov-17 0 None N/A Uranium Recovery Licensees Number of Amendment List of the Requests that were Age of the Request at the Month/Year Requests Not Accepted Withdrawn or Denied after Time it was Withdrawn or for Review being Accepted for Review Denied (months)

Nov-17 0 None N/A 13.c Please identify items considered unusually complex items (e.g. criticality reviews, NFPA 805 reviews) and omitted from the

[licensing amendment] inventory including: the age of the item, a brief description of the item, the justification for omitting it from the inventory size and an explanation for any review exceeding its original schedule by 125 percent.

Operating Reactors Note: Unusually complex license amendments are not included in the internal performance measures and their nature does not allow for realistic forecasted schedule development. Rather, they are given escalated management attention to ensure progress is being made towards resolving outstanding issues and completing the reviews in a timely manner.

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• Technical Specification Task Force (TSTF)-505 Reviews o

Description:

These submittals request changes to Technical Specifications (TSs) for the adoption of Risk-Informed Technical Specification Task Force (RITSTF) Initiative 4b, specifically "TSTF-505 Revision 1, Provide Risk-Informed Extended Completion Times." This effort is associated with NEI 06-09, "Risk-Informed Technical Specifications Initiative 4b, Risk-Managed Technical Specifications Guidelines,"

o Justification: During review of the Vogtle pilot license amendment requests (LAR) for a risk-informed TS Completion time (RICT) program, a number of issues were raised by NRC staff. These issues resulted in the suspension of TSTF-505 to allow necessary revisions to the process. The NRC has been working with the TSTF group and other stakeholders to resolve the issues and lift the suspension. The five LARs currently under review are being reviewed on a plant-specific basis in parallel with revision of TSTF-505. Four of the five LARs have been supplemented to address the issues raised with TSTF-505. The supplements represent significant additional information and modifications to the licensee implementation of a RICT program. Although not a complete reset of the review, the additional information and changes to the LARs have added time to the review schedule and may result in the need for additional clarification requests. One licensee (Diablo Canyon) has yet to supplement its submittals to address the issues.

Current Reviews Age (Months)

Turkey Point Units 3 & 4 36 Saint Lucie Units 1 & 2 36 Calvert Cliffs Unit 1 & 2 22 Palo Verde Units 1, 2, & 3 29 Diablo Canyon Units 1 & 2 49

• National Fire Protection Association (NFPA) 805 Reviews o

Description:

NFPA Standards Council approved NFPA Standard 805, "Performance-Based Standard for Fire Protection for Light-Water Reactor Electric Generating Plants, 2001 Edition," on January 13, 2001, as a risk-informed, performance-based standard for existing light-water nuclear power plants. The NRC staff cooperatively participated in the development of NFPA 805 as an alternative to the rules in Title 10 of the Code of Federal Regulations (10 CFR) Part 50, Appendix R.

Each submittal requesting implementation of NFPA 805 is over 1000 pages, requires five different technical disciplines to review, and has reviews staggered in an overlapping fashion. At any one time, 30 technical reviewers are active in the NFPA 805 LAR review process. Each NFPA 805 LAR requires at least one regulatory on-site audit; some required return regulatory audits to review on-site documentation and walk-down plant fire areas.

o Justification: The NFPA 805 reviews are voluminous and technically challenging, have unique site-specific issues, have utilized unreviewed analysis methods (UAMs), and required additional response time for RAIs. Some licensees used UAMs that deviated from the acceptable NUREG/CR-6850 methods, and had to be reviewed in-depth by the staff for the first time. To resolve these UAMs, the licensees either perform a sensitivity analysis or redo their fire probabilistic risk 35

assessment (PRA). Due to the complexity of these methods, a great deal of time is required for the staff to prepare initial RAIs, significant time may be required for licensees to provide responses, and several rounds of RAIs may be needed to resolve issues. In some cases, licensees required up to 180 days to respond to the more complex RAIs. This complexity adds greatly to the length of the review.

Current Reviews Age (Months)

Beaver Valley Units 1 & 2 48 Davis-Besse Unit 1 24 Calvert Cliffs Unit 1 & 2 22 Palo Verde Units 1, 2, & 3 29 Diablo Canyon Units 1 & 2 49

• Sequoyah Units 1 & 2 - Updated Final Safety Analysis Reports (UFSARs) Regarding Changes to Hydrologic Analysis o

Description:

Tennessee Valley Authority (TVA or the licensee) submitted LARs on July 19, 2012, for Watts Bar, Unit 1, and August 10, 2012, for Sequoyah, Units 1 and 2, that proposed to revise the respective UFSAR, Section 2.4, Hydrologic Engineering, to reflect new probable maximum flood (PMF) levels and the associated changes.

o Justification: The schedule has been challenged by issues with analysis and calculations, or reference to industry standards (e.g., Federal Energy Regulatory Commission, United States Army Corps of Engineers, and TVA River Operations), that support the UFSAR changes using a factor of safety greater than 1.0 for sliding. The licensee has not resolved dam stability issues associated with these LARs. The LAR cannot be withdrawn since it is tied to a plant confirmatory action.

o Current Age: 64 months

• Saint Lucie Units 1 & 2 - Reactor Vessel Internals (RVI) Aging Management Plan License Renewal Commitment o

Description:

Materials Reliability Program: Pressurized Water Reactor Internals Inspection and Evaluation Guidelines, MRP-227-A, provides a generic program for aging management of pressurized water reactor (PWR) RVI. Many applicants made commitments during the license renewal process to implement the industry program (which became MRP-227-A) when it was completed. During calendar year 2012, the owners of seven PWRs, as part of their license renewal commitments, submitted Aging Management Programs (AMP) consistent with the MRP-227-A guidelines for RVI components and/or inspection plans.

o Justification: Since 2013, considerable progress has been made towards resolving technical issues related to the NRC review of the plant-specific MRP-227-A inspection plans. However, responding to the RAIs related to such items as cold-worked components and core design/fuel management requires review of the fabrication records, which are usually held by the original equipment manufacturer (OEM). There is a backlog of licensee requests for the OEM to provide this information, resulting in delays of several months to a year.

o Current Age: 27 months 36

• Palo Verde Units 1, 2 & 3 - Implementation of Next Generation Fuel (NGF) License Amendment Review and Exemption o

Description:

The licensee is requesting exemption from certain requirements of 10 CFR 50.46, Acceptance Criteria for Emergency Core Cooling Systems [ECCS] for Light-Water Nuclear Power Reactors, and 10 CFR Part 50, Appendix K, ECCS Evaluation Models, for the use of Optimized ZIRLOTM cladding.

o Justification: The review is an extensive first-of-a-kind review of the application of several analysis methodologies that have not been previously approved by NRC staff. The verification of the analyses for full cores of NGF, and transition cores of NGF and existing fuel is a significantly time-consuming complex review.

o Current Age: 17 months

• Columbia Generating Station - Reclassification of Portions of Reactor Water Cleanup System o

Description:

The licensee is requesting approval to revise the Quality Group designation for the piping, valves, pumps, and mechanical modules located in low temperature portions of the reactor water cleanup (RWCU) system, which is located in the radwaste building, from Quality Group C to Quality Group D.

o Justification: No previous boiling-water reactor license amendment precedent exists for this reclassification; therefore, regulatory documentation and a basis from which to review and consider this amendment are not readily available.

Collecting this documentation will take significant effort.

o Current Age: 16 months

• Seabrook - Alkali-Silica Reaction (ASR) Licensing Basis Amendment o

Description:

The licensee is requesting revising the current licensing basis to adopt a methodology for the analysis of seismic Category I structures with concrete affected by ASR.

o Justification: Seabrook is the first US nuclear facility to exhibit ASR in concrete structures. As such, this LAR is a first-of-a-kind amendment to a plants licensing basis to include the effects of ASR. In addition, the LAR references licensee conducted research to justify an analysis methodology that has never been used before.

o Current Age: 16 months 37

• Brunswick Units 1 & 2 - Maximum Extended Load Line Limit Analysis Plus (MELLLA)+ Core Flow Operating Range Expansion o

Description:

The licensee is requesting to revise its technical specifications to allow operation in the MELLLA+ expanded operating domain. This domain increases operating flexibility by allowing control of reactivity at maximum power by changing flow, rather than by control rod insertion and withdrawal.

o Justification: Due to the complexity of the subject, the review involves eight technical branches, and conducting Advisory Committee on Reactor Safeguards (ACRS) subcommittee and full committee meetings. The current proposed schedule for completing the review is approximately 18 to 20 months. The Monticello Nuclear Generating Plant was the first commercial plant to submit an LAR to adopt the MELLLA+ operating domain and required more than 4 years to complete.

Based on the considerations above, the Brunswick MELLLA+ LAR is especially voluminous.

o Current Age: 15 months New Reactors

• None.

Uranium Recovery Licensees

• None.

13.d Please describe any steps taken to provide transparency into the progress of license amendment reviews, such as publicly available, real-time tracking of the completion of review schedule milestones.

Operating Reactors The routine interactions between licensees/applicants and the NRC project manager provide the same information, and possibly more insights, to a licensee regarding the status of an individual licensing review than would a tracking system. Therefore, the NRC does not consider such a tracking system necessary to facilitate these communications with licensees. The cost and resources needed to develop and maintain such as system are not warranted.

Project managers and licensees have routine communications regarding the status and schedules of licensing actions. During these conversations, the schedules for each licensing action are discussed, including schedule expectations, when to expect requests for additional information, and when to expect the safety evaluation, if approved. In addition, the project managers and their direct supervisors are accessible to the licensees by phone or e-mail if any other issues arise.

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New Reactors For NRO license amendment reviews, only the final safety evaluation report (FSER) completion date is tracked as a milestone. In the amendment request, the licensee provides a date by which the amendment would need to be issued in order to facilitate the desired construction schedule. Occasionally, the staff works with the licensee to identify an alternate agreed-upon date, which is provided in a supplement or revision to the amendment request. These letters containing the requested or alternate agreed-upon date for the license amendment issuance are publicly available.

Uranium Recovery Licensees To ensure transparency in the process of licensing reviews, the NRCs uranium recovery staff posts its schedules for completing major licensing actions on the agencys public web page. For minor licensing actions, staff discusses these schedules during phone calls with licensees. In addition, for major licensing action reviews, the uranium recovery staff issues schedule letters at the beginning of each review and subsequent letters are issued, if the schedule changes.

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14. For decommissioning transition reviews, please provide the following information for the reporting period, including any months previously reported:

a. Size of inventory;

b. The number of items completed in the reporting period;

c. Of the items completed in the reporting period, the number completed within the originally forecasted schedule;

d. The number of items completed within 125 percent of the forecasted schedule;

e. Please identify any unusually complex items omitted from the inventory including:

the age of the item, a brief description of the item, the justification for omitting it from the inventory size and an explanation for any review exceeding its original schedule by 125 percent.

Decommissioning Transition Open Inventory and Closed Reviews Month Open Inventory Total Closed Reviews Total (Note 1)

November 2017 19 1 Note 1: The inventory includes licensing actions and other licensing tasks specifically related to an operating reactor plant transitioning into a decommissioning plant.

Information responsive to #14c-e is included in the response to #13 above.

15. Please provide a list of Technical Specifications Task Force (TSTF) "travelers" under review, including the date filed, the milestone schedule for completing the review, and the estimated date for final agency action. Please provide an explanation for any review exceeding the original schedule by 125 percent.

Traveler Under Review Date Filed Milestone Estimated Schedule Completion (Draft SE) (Final SE)

TSTF-567, Add Containment Sump TS to 03/30/2017 02/2/2018 04/04/2018 Address GSI-191 Issues TSTF-541. Add Exceptions to Surveillance 09/10/2013* 01/31/2019 07/31/2019 Requirements When the Safety Function is Being Performed TSTF-563, Revise Instrument Testing 05/10/2017 03/03/2018 5/17/2018 Definitions to Incorporate the Surveillance Frequency Control Program TSTF-565, Clarify the Term Operational 05/10/2017 04/23/2018 07/31/2018 Convenience in the LCO 3.0.2 Bases TSTF-564, Safety Limit MCPR 08/28/2017 05/30/2018 07/31/2018

• Industry is currently drafting a revision for NRC review following a recent public meeting.

None of the reviews exceeded the original schedule by 125 percent.

16. Please describe the actions planned and/or taken to ensure that the TSTF traveler process achieves the regulatory efficiencies that were initially projected. Please include progress reports with regard to any TSTF travelers adopted by the industry.

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Industry, through the TSTF, proposes changes to the Standard Technical Specifications (STS) via a traveler submitted for NRC review and approval. The traveler process was collaboratively developed between NRC and the nuclear industry 20 years ago as a means to revise the STS to gain regulatory efficiencies and enhance safety. Since then, the NRC has approved over 340 travelers, and has a mature process for review and approval of plant-specific license amendment requests to adopt approved STS changes.

Over the last several years NRC introduced two enhancements to the traveler review process:

(1) increased transparency and documentation through publication of safety evaluations; and (2) ensuring that all appropriate technical branches are involved early and working as a team to ensure consistency. More recently, NRC and the TSTF adopted two additional best practices to make reviews more efficient and effective: (1) establishing teams of reviewers who develop expertise on a given traveler; and (2) leveraging the staff expertise on a particular traveler through timely submission of plant specific requests for adoption. The NRC is seeing early successes from these enhancements in the reviews of licensees adoption of TSTF-542, Reactor Pressure Vessel Water Inventory Control. Average review times for recent traveler adoptions have dropped to 10 months, in part as a result of these above efficiencies.

The NRC will continue working with the TSTF to make improvements to the STS. In recent years, requested changes from industry have become more complex (e.g., risk-informed STS changes). To ensure the traveler process achieves the regulatory efficiencies that were initially intended, and to align on priorities, the NRC holds quarterly public meetings and monthly status calls with the TSTF. Additionally, the status of travelers is discussed by both NRC and industry senior management at the quarterly Regulatory Issues Task Force meeting.

In 2016, three travelers were approved by the NRC. Currently five travelers are under review by the NRC staff. The latest status report of travelers currently under review is available (ADAMS Accession No. ML17317A424).

17. For each ongoing license renewal review, please provide the date each application was filed, the duration of the review, the original milestone schedule based on 22 months for uncontested applications and 30 months for contested applications, the actual completion dates for milestones, and the scheduled date for completion of the review. Please provide an explanation for any review exceeding the original schedule by 125 percent.

Indian Point 2&3 Application Review Time from Acceptance Review Date (Months) 124 Original Current Completion Milestone Schedule Schedule Date License Renewal Application Receipt 04/30/2007 04/30/2007 Publish FRN-Acceptance/rejection and opportunity 08/01/2007 08/01/2007 for hearing Public Meeting - Environmental Scoping 09/19/2007 09/19/2007 Issue draft Supplemental Environmental Impact 07/25/2008 12/22/2008 Statement (SEIS)

Issue SER with open items 09/05/2008 01/15/2009 1st ACRS Subcommittee meeting 10/2008 03/18/2009 Issue final SER 03/27/2009 08/11/2009 ACRS Full Committee meeting 05/2009 09/10/2009 41

Indian Point 2&3 Application Review Time from Acceptance Review Date (Months) 124 Original Current Completion Milestone Schedule Schedule Date Issue final SEIS 04/03/2009 12/03/2010 1 Supplement to SER st N/A* 08/30/2011 Issue Draft 1st Supplement to final SEIS N/A* 06/26/2012 Issue Final 1st Supplement to final SEIS N/A* 06/13/2013 FRN - Notice of Intent to Prepare Supplemental N/A* 09/04/2014 Environmental Impact Statement 2nd ACRS Subcommittee meeting N/A* 04/23/2015 Issue 2 Supplement to SER nd N/A* 07/07/2015 Issue Draft 2nd Supplement to final SEIS N/A* 01/2016 12/22/2015 End of Comment Period for Draft 2nd Supplement to final supplemental environmental impact N/A* 03/2016 03/04/2016 statement (FSEIS)

Issue Final 2nd Supplement to FSEIS N/A* 01/2018 Issue 3rd Supplement to SER N/A* 02/2018 ACRS Full Committee Meeting N/A 04/19/2018 Decision-Director, NRR (no hearing) 07/2009 09/2018 Commission decision (if hearing is granted) TBD N/A

• The NRC did not issue an official schedule for the first supplement to the final SEIS.

The Indian Point License Renewal Application schedule letters are publicly available in ADAMS at Accession Nos. ML071900365, ML080230115, ML081000441, ML082400214, ML100110063, ML101260536, ML102300092, ML14254A207, ML15147A199 and ML16153A351.

The delays in the review of the Indian Point application were associated with complex adjudicatory issues, audits, reviews of substantial new information submitted by the licensee, review of the severe accident mitigation alternatives (SAMA) analyses and review of extensive public comments on NRC staff environmental review documents. In 2012, the issuance of renewed licenses was suspended pending completion of the continued storage rulemaking; the licensing reviews continued to move forward. On August 26, 2014, the Continued Storage rule was approved and the Commission lifted the suspension on issuing renewed licenses. The parties to the legal proceedings reached an agreement that resulted in the withdrawal of all contentions on the license renewal application. Thus on March 13, 2017, all pending adjudicatory actions were voluntarily dismissed. A decision regarding the renewal of the operating licenses for both units is expected to be issued in the 4th quarter of FY 2018.

Diablo Canyon 1 & 2 Application Review Time from Acceptance Review Date (Months) 77 Original Completion Milestone Schedule Date License Renewal Application Receipt 11/23/2009 11/23/2009 Publish FRN-Acceptance/rejection and opportunity for hearing 01/21/2010 01/21/2010 Public Meeting- Environmental Scoping meeting 03/03/2010 03/03/2010 Deadline for filing hearing requests and petitions for intervention 03/22/2010 03/22/2010 Issue draft SEIS 10/15/2010 Issue SER with Open Items 12/10/10 01/10/2011 42

Diablo Canyon 1 & 2 Application Review Time from Acceptance Review Date (Months) 77 Original Completion Milestone Schedule Date ACRS Subcommittee meeting 02/2011 02/09/2011 Request by applicant for delay in final processing of the license 04/10/2011 renewal review Issue final SER 05/23/2011 06/02/2011 ACRS Full Committee meeting 07/2011 Issue final SEIS 08/12/2011 NRR Director Decision (no hearing) 09/26/2011 Commission Decision (if hearing is granted) 05/25/2012 NRC Letter to Pacific Gas and Electric (PG&E) regarding information to be submitted if the license renewal review process 05/02/2014 where to restart PG&E letter to NRC to inform that PG&E will provide some information in December 2014 and will coordinate with NRC later to 06/04/2014 discuss a schedule for providing additional information.

PG&E submitted an annual update for the license renewal 12/22/2014 application PG&E submits a revised Environmental Report 02/25/2015 Publish FRN-of Notice of Intent to reinitiate the Scoping Process 07/2015 7/2015 and Prepare an Environmental Impact Statement Public Meeting-Environmental Scoping meeting 08/2015 8/05/2015 PG&E letter to NRC request to suspend NRC review 6/21/2016 NRC letter to PG&E, response to request to suspend license 7/18/2016 renewal application review After the California Public Utility Commission issues the decision on the PG&E Diablo Canyon closure proposal, PG&E will notify the Early 2018 NRC The Diablo Canyon license renewal application schedule letters are publicly available in ADAMS at Accession Nos. ML093631560, ML102700490, ML110140904, ML11138A315, ML15104A509, and ML16193A599.

In October 2010, the schedule was updated to allow the staff additional time to complete a thorough review of the SAMA analyses and of the effects to marine ecology. In April 2011, PG&E requested the deferral of a final decision on the license renewal application until seismic studies were completed. In 2012, the issuance of renewed licenses was suspended pending completion of the continued storage rulemaking. On August 26, 2014, the Continued Storage rule was approved and the Commission lifted the suspension on issuing renewed licenses. The NRC staff resumed the review after PG&E submitted the annual update for the application in December 2014. Subsequently in June 2016, PG&E requested the NRC suspend the review and also requested approval from the California Public Utilities Commission (CPUC) not to proceed with license renewal. In July 2016, the NRC suspended the license renewal review.

The CPUC decision is expected early in 2018.

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Seabrook 1 Application Review Time from Acceptance Review Date (Months) 89 Original Current Completion Milestone Schedule Schedule Date License Renewal Application Receipt 06/01/10 06/01/10 Publish FRN-Acceptance/rejection and 07/23/10 07/21/10 opportunity for hearing Public Meeting- Environmental Scoping 08/19/10 08/19/10 meeting Deadline for filing hearing requests and 09/21/10 10/20/10 petitions for intervention Issue draft SEIS 05/13/11 08/01/2011 Issue SER with open items 07/2011 06/08/2012 1st ACRS Subcommittee meeting 09/2011 07/10/2012 Issue 2nd draft SEIS 12/2012 04/22/2013 Issue final SEIS 01/07/2012 07/29/2015 2nd ACRS Subcommittee meeting N/A TBD Issue final SER 01/2012 TBD ACRS full committee meeting 02/2012 TBD NRR Director Decision (no hearing) 04/02/2012 TBD Commission Decision (if hearing is granted) 12/03/2012 TBD The Seabrook LRA schedule letters are publicly available in ADAMS at Accession Nos.

ML101690417, ML110890319, ML11178A365, ML12074A096, ML12109A427, ML12352A075, ML13298A091, ML14148A218, ML14223B144, ML15041A449, ML15107A300, ML15293A157 and ML16074A246.

In 2011, the Seabrook schedule was updated to ensure that the applicant properly addressed SAMA analysis and technical issues related to the alkali silica reaction (ASR) of concrete. In 2012, subsequent to the NRC staff issuing the draft SEIS, the applicant made significant changes to the SAMA. Additional, in 2012, the issuance of new licenses was suspended pending completion of the Continued Storage rulemaking; the licensing reviews continued to move forward. The second draft SEIS was issued in April 2013 and in August 2013 an agreement regarding a contention associated with the SEIS was reached. On August 26, 2014, the Continued Storage rule was approved and the Commission lifted the suspension on issuing renewed licenses. The NRC staff issued the final SEIS in 2015.

In August 2016, NextEra submitted a LAR to the current license to adopt a methodology for the analysis of seismic Category I structures with concrete affected by ASR. This methodology is the basis for the aging management program being evaluated for the license renewal application review. On October 6, 2017, the ASLB admitted a contention on the ASR LAR. The review of this amendment has a direct impact on the schedule for the license renewal review and a decision is currently projected to be made by December 2018. Therefore, the schedule for remaining license renewal milestones are to be determined.

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Waterford 3 Application Review Time from Acceptance Review Date (Months) 18 Original Current Completion Milestone Schedule Schedule Date License Renewal Application Receipt 03/23/2016 03/23/2016 Publish FRN-Acceptance/rejection and 05/20/2016 05/20/2016 opportunity for hearing Public Meeting- Environmental Scoping 06/08/2016 06/08/2016 meeting Deadline for filing hearing requests and 08/01/2016 08/01/2016 petitions for intervention Issue draft SEIS 05/2017 02/2018 Issue SER with open-items 06/2017 09/2018 ACRS Subcommittee meeting 07/2017 10/2018 Issue final SEIS 03/2018 05/2018 Issue final SER 01/2018 03/2019 ACRS full committee meeting 03/2018 04/2019 NRR Director Decision (no hearing) 04/2018 06/2019 Commission Decision (if hearing is granted) TBD N/A The Waterford License Renewal Application schedule letters are publicly available in ADAMS at Accession Nos. ML16130A023 and ML17131A194.

The NRC staff continues work on the Waterford safety and environmental reviews. The applicant submitted an LAR in November 2017 that requests approval of their plant-specific neutron fluence methodology that is applied to the reactor vessel neutron fluence embrittlement analysis referred to in the license renewal application. The LAR acceptance review is underway.

Upon completion of the LAR acceptance review and the application being accepted, the review of the LAR will take approximately 1 year. The license renewal application fluence methodology review is dependent on the approval of the LAR. Therefore, the decision regarding the renewal of the operating license is expected to be issued in 3rd quarter of FY 2019.

River Bend Application Review Time from Acceptance Review Date (Months) 4 Original Completion Milestone Schedule Date License Renewal Application Receipt 05/31/2017 05/31/2017 Publish FRN-Acceptance/rejection and opportunity for 08/2017 08/17/2017 hearing Public Meeting- Environmental Scoping meeting 09/2017 09/19/2017 Deadline for filing hearing requests and petitions for 10/2017 10/13/2017 intervention Issue draft SEIS 04/2018 Issue final SER 07/2018 ACRS Subcommittee meeting 10/2018 Issue final SEIS 11/2018 ACRS full committee meeting 12/2018 NRR Director Decision (no hearing) 02/2019 Commission Decision (if hearing is granted) TBD 45

The River Bend license renewal application review schedule is available in ADAMS at Accession No. ML17187A035.

18. Please provide the status of ongoing license renewal reviews.

Application Accepted Applicant Review Status for Long-Term Application Reviews for Review Indian Point 08/01/2007 The NRC staff is addressing public comments received on its draft 2&3* second supplement to the FSEIS, which was issued for comment in December 2015. The staffs response to the public comments will be documented in the FSEIS supplement, which is currently under final review. The initial SER was issued in November 2009, with supplements issued in August 2011 and July 2015. A third SER supplement will be issued in the second quarter of FY 2018 to address new information received by the staff concerning safety issues. In January 2017, the parties to the legal proceedings reached an agreement that resulted in the withdrawal of all contentions on the license renewal application. Under the agreement, Units 2 & 3 will cease operations in April 2020 and 2021, respectively, with possible extensions to operate until April 2024 and 2025, respectively. On February 8, 2017, the State of New York Department of Environmental Conservation (NYDEC) and Riverkeeper filed an unopposed motion to the ASLB to withdraw their contentions and terminate the adjudicatory proceeding. The Licensing Board granted that motion and terminated the adjudicatory proceeding on March 13, 2017. Recently the National Marine Fisheries Service (NMFS) designated critical habitat in the Hudson River for Atlantic Sturgeon. Ongoing interactions between the NRC staff, NMFS, NYDEC, and Entergy regarding this new designation and Entergys monitoring plan for sturgeon are expected to be completed in the second quarter of FY 2018. Resolution of this issue will be documented in the Record of Decision issued in conjunction with the renewed operating licenses for the units. A decision on the renewed operating licenses for both units is expected to be issued in the 4th quarter of FY 2018.

Diablo 01/21/2010 In June 2016, Pacific Gas and Electric requested a suspension of Canyon 1&2 the license renewal review to allow it to seek approval from the CPUC of an agreement in principle not to proceed with license renewal for Diablo Canyon. In July 2016, the NRC suspended the license renewal review. The CPUC decision is expected early in 2018.

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Application Accepted Applicant Review Status for Long-Term Application Reviews for Review Seabrook 1 07/21/2010 The NRC staff continues discussions with NextEra to ensure that technical issues related to the ASR open item in the SER are properly addressed. In August 2016, NextEra submitted a LAR to the current license to adopt a methodology for the analysis of seismic Category I structures with concrete affected by ASR. This methodology is the basis for the aging management program being evaluated under the license renewal application review. On October 6, 2017, the ASLB admitted a contention on the ASR LAR.

The review of this amendment has a direct impact on the schedule for the license renewal review and is currently scheduled to be issued by December 2018. Therefore, the current schedule for remaining license renewal milestones is to be determined.

Waterford 05/31/2016 The NRC staff continues their safety and environmental reviews, including the resolution of specific questions regarding the Waterford neutron fluence time-limited aging analysis. The applicant submitted a LAR in November 2017 that will request approval of their plant-specific neutron fluence methodology which is applied to the reactor vessel neutron fluence embrittlement analysis referred to in the license renewal application. The review of the LAR will take approximately 1 year. The license renewal application fluence methodology review is dependent on the approval of the LAR.

Therefore, the decision on the renewed operating license is expected to be issued in the 3rd quarter of FY 2019.

River Bend 08/07/2017 The staff continues the safety and environmental reviews, which are expected to take approximately 18 months. A petition to intervene and request for hearing has been filed. A Licensing Board has been established to rule on the petition and to preside over any hearing that may be held. A telephonic oral argument concerning standing and contention admissibility was held on November 30, 2017. The review is expected to be completed by March 2019.

19. Please provide the status of the NRCs readiness to review applications for Subsequent License Renewal (SLR).

In August 2014, the Commission affirmed that no revisions to either the safety or environmental regulations are needed to support the assessment of a SLR application. However, the Commission directed the staff to update license renewal guidance, as needed, to provide additional clarity on the implementation of the license renewal regulatory framework. The main guidance documents for initial license renewal are:

• Standard Review Plan for Review of License Renewal Applications for Nuclear Power Plants (SRP-LR), Revision 2;

• Generic Aging Lessons Learned (GALL) Report, Revision 2; and

• Standard Review Plan for Environmental Reviews for Nuclear Power Plants, Supplement 1:

Operating License Renewal (Revision 1).

The guidance in these documents is based on plant operation up to 60 years. The staff evaluated this guidance to determine what, if any, revisions were necessary to address issues 47

for plant operations up to 80 years under SLR. The staff determined that no revisions were needed to the NRC guidance document entitled, Standard Review Plans for Environmental Reviews for Nuclear Power Plants, to support environmental reviews from 60 to 80 years.

However, the staff determined that the GALL Report and the SRP-LR should be updated to facilitate more effective and efficient reviews of SLR applications.

On July 14, 2017, the NRC published Generic Aging Lessons Learned for Subsequent License Renewal (GALL-SLR) Report (NUREG-2191, Volumes 1 and 2), and Standard Review Plan for Review of Subsequent License Renewal Applications for Nuclear Power Plants (SRP-SLR)

(NUREG-2192).

On November 6, 2015, Dominion Virginia Power notified the NRC of its intent to submit an SLR application in the first quarter of 2019 for Surry Power Station. On June 7, 2016, Exelon Generation Company, LLC notified the NRC of its intent to submit an application for Peach Bottom Atomic Power Station in the third quarter of 2018. On May 17, 2017, an unnamed licensee submitted a proprietary letter of intent to submit a SLR application by the end of 2017.

On November 9, 2017, Dominion Energy Virginia notified the NRC of its intent to pursue subsequent license renewal for North Anna Power Station Units 1 and 2 in the 4th quarter of 2020.

20. Once Subsequent License Renewal reviews begin, please report progress similarly to current license renewal reviews, including: the date each application was filed, the duration of the review, the original milestone schedule based on an 18-month review, the actual completion dates for milestones, and the scheduled date for completion of the review.

As of November 2017, no subsequent license renewal applications were submitted for NRC review.

21. For each ongoing power uprate review, please provide:

a. The date the application was filed;

b. The duration of the review;

c. The original milestone schedule;

d. The actual completion dates for the milestones; and

e. The scheduled date for completion of the review based on the metrics in SECY-13-0070.

Plant Name Uprate Date Planned Actual Planned Actual Notes Type Filed Issue Issue Review Review (Note 1) Date Date Duration Duration (Months) (Months)

(Note 2)

Hope Creek MUR 7/12/17 4/30/18 9 Generating Station Note 1: MUR = measurement uncertainty recapture power uprate, EPU = extended power uprate.

Note 2: For licensing actions, with an application date of October 1, 2016, or later, the duration of the review of the licensing action will be measured starting when the acceptance review is complete.

22. Please provide a brief status of power uprate application reviews.

The NRC staff is reviewing one power uprate application.

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The Hope Creek Generating Station measurement uncertainty recapture uprate application was accepted for review on August 9, 2017.

23. Please provide the following information below regarding Requests for Additional Information (RAI) issued by each of the following offices: Nuclear Reactor Regulation, New Reactors, Nuclear Security and Incident Response, Uranium Recovery, and Decommissioning. The number of RAIs includes the total number of questions or requests contained in a letter or email. For example, if a letter requests five items, the number of RAIs is five. For each office and for the period being reported, please provide:

a. Number of RAIs issued;

b. The number of RAIs issued prior to preparation of a draft safety evaluation with open items;

c. The number of RAIs issued in an additional round, subsequent to previous RAIs, in specific technical area or by a technical branch;

d. The percentage of RAI responses provided by licensees within 30 days of the date mutually agreed upon;

e. The number of RAIs prepared or responses reviewed by contractors; and

f. The number of RAIs prepared or responses reviewed by NRC staff.

g. Once sufficient date becomes available please provide 12-month rolling average number of RAIs issued by each office.

NOTE: Information for the Office of Nuclear Security and Incident Response is included within each of the other entities or programs reporting below.

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Office of Nuclear Reactor Regulation Number of The RAI's Percentage Number of Issued in of RAI RAI's an 12 Month Responses The Issued Additional The Rolling Provided Number of Prior to the Round, Number Average, Number by RAI Preparation Subsequent of RAIs Number Month/Year of RAI's Licensees Responses of a Draft to Previous prepared of RAI's Issued within 30 Reviewed Safety RAI's in by NRC Issued by Days or by NRC Evaluation Specific staff Each the Date Staff with Open Technical Office Mutually Items Area or by Agreed a Technical Upon Branch 217 Nov 2017 217 Note 1 1 99% Note 2 152 Note 3 Note 1: The database systems do not have readily available information that distinguishes between item 23a and 23b. Accurately compiling the number of RAI questions issued prior to preparation of a draft safety evaluation with open items would require extensive manual document searches and analysis to cover the significant volume of project reviews. The count of RAIs is presented collectively under Item 23a.

Note 2: The NRC employs contractors to supplement the staff in selected critical skill areas; however, all RAIs identified by contractors are evaluated by NRC staff to verify that they are necessary to support a regulatory finding. If the RAIs are necessary, they are formally prepared and issued by NRC staff. The NRC does not track the number of draft RAIs prepared by contractors. In addition, the NRC staff is responsible for making the final determination on the acceptability of all RAI responses.

Note 3: A 12-month rolling average will not be available until November 2018.

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Office of New Reactors Number of Number of RAIs Number of Percentage of RAIs Number of RAIs Issued Issued in an RAIs Responses RAIs Prior to Additional Round, Prepared or Number of Provided by the Prepared or Preparation Subsequent to Responses RAIs Applicant/Licensee Responses 12-Month of a Draft Previous RAIs, in Reviewed Project Name Issued in within 30 Days or Reviewed by Rolling SER with Specific Technical by NRC November the Date Mutually Contractors Average Open Items Area or by Staff in 2017 Agreed Upon in in November (Note 3) in Technical Branch November November 2017 2017 November in November 2017 2017 (Note 2) 2017 (Note 1) (Note 2)

APR1400 0 0 N/A N/A 0 0 N/A Design Certification (DC)

Advanced 0 0 N/A N/A 0 0 N/A Boiling Water Reactor (ABWR) DC Renewal (General Electric Hitachi (GEH))

Clinch River 5 0 N/A N/A 0 5 N/A Early Site Permit (ESP)

NuScale Small 37 37 N/A 72% 0 37 N/A Modular Reactor (SMR)

DC NuScale 5 0 N/A 100% 0 5 N/A Topical Reports Vogtle LARs 6 4 N/A 100% 0 6 N/A Note 1: NRO does not currently have an electronic system to track how many RAIs are issued in an additional round as a subsequent RAI to a previous RAI issued. To develop this capability within the current electronic system used to track RAIs would be 51

labor and resource intensive.

Note 2: The NRC employs contractors to supplement the staff in selected critical skill areas; however, all RAIs identified by contractors are evaluated by NRC staff to verify that they are necessary to support a regulatory finding. If the RAIs are necessary, they are formally prepared and issued by NRC staff. The NRC does not track the number of draft RAIs prepared by contractors. In addition, the NRC staff is responsible for making the final determination on the acceptability of all RAI responses.

Note 3: A 12-month rolling average will not be available until November 2018.

Office of Nuclear Material Safety and Safeguards Uranium Recovery Number of The RAIs Percentage Number of Issued in of RAI RAIs an 12 Month Responses The The Issued Additional The The Rolling Provided Number of Number of Prior to the Round, Number of Number Average, Number by RAI RAI Preparation Subsequent RAIs of RAIs Number Month/Year of RAIs Licensees Responses Responses of a Draft to Previous prepared prepared of RAIs Issued within 30 Reviewed Reviewed Safety RAIs in by by NRC Issued by Days or by by NRC Evaluation Specific Contractors staff Each the Date Contractors Staff with Open Technical Office Mutually Items Area or by Agreed a Technical Upon Branch Nov-17 0 0 0 0 0 0 0 0 N/A 52

Reactor Decommissioning Number of The RAIs Percentage Number of Issued in of RAI RAIs an 12 Month Responses The The Issued Additional The The Rolling Provided Number of Number of Prior to the Round, Number of Number Average, Number of by RAI RAI Preparation Subsequent RAIs of RAIs Number of Month/Year RAIs Licensees Responses Responses of a Draft to Previous prepared prepared RAIs Issued within 30 Reviewed Reviewed Safety RAIs in by by NRC Issued by Days or by by NRC Evaluation Specific Contractors staff Each the Date Contractors Staff with Open Technical Office Mutually Items Area or by Agreed a Technical Upon Branch Nov-17 5 5 0 0 0 0 0 0 N/A 53

24. Please provide the status of specific actions taken or planned to ensure greater discipline, management oversight, and transparency in the use of the RAI process and to limit RAIs to those necessary for making regulatory decisions. The description should include:

management oversight and accountability, the training necessary to provide consistency and sustainable improvement across the applicable program business lines, efforts to establish consistent procedures in relevant offices, and any gaps or trends identified by management or through internal reviews including periodic internal RAI audits.

Efforts to establish consistent procedures throughout the agency are being initiated by the establishment of a working group to align, where appropriate, licensing strategies across the agency including the RAI process. This effort, which is in the initial stages, will include representatives from NMSS, NRR, NRO, the Office of Nuclear Security and Incident Response (NSIR), and the Office of General Counsel (OGC).

NRR Activities NRR made great strides in reducing the backlog of licensing actions by reducing the inventory of licensing actions greater than one year old from 139 in September 2014, to 11 in October 2017. Through the use of strict controls and metrics, this inventory remains below 15 at any given time. This improvement has been possible, in large part, due to the office specific RAI-related improvements implemented over the last several years.

NRR launched several initiatives and to focus on leveraging or revising existing licensing processes to enhance agency efficiency, effectiveness, and predictability, while maintaining a continued strong safety focus. These initiatives have analyzed the issues that caused the previous licensing action backlog, including the RAI process, and recommended enhancements to the licensing review process. NRR management issued interim guidance to the staff in January 2015, and updated interim guidance in April 2016, providing expectations to help enhance consistency of the licensing review process, sound decision-making, and discipline of schedule. In January 2017, this interim guidance was incorporated into NRR procedures.

Some of the key items that have added discipline and management oversight to the RAI process include the following:

• NRR staff review of an application will be limited to the scope of the licensing action and RAIs should only request information that is required to make a safety determination.

• At the point when RAIs are transmitted from the technical staff to the NRR project manager, the technical staff is expected to have developed a draft safety evaluation (SE). In addition to ensuring that the RAIs contain a sound technical and regulatory basis, the technical staff should be able to correlate each RAI to a hole in the draft SE that the licensee response is expected to fill.

• Prior to sending a second (and any subsequent) round of RAIs in a specific technical area, NRR division-level management will apply additional oversight to discuss the need for the RAIs and whether alternative methods, such as a public meeting or audit, may be more effective and efficient for obtaining the necessary information.

• NRR project managers track licensee timeliness and adherence to RAI response schedules. Any significant delays in licensee responses will be brought to NRR management attention.

Training sessions were held with the technical and project management staff on RAI quality and the RAI process. Following the issuance of the finalized NRR guidance in this area in January 2017, online training was developed and provided to the NRR staff. This training covered expectations regarding added discipline and management oversight of the RAI process.

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Other actions that provide a stable and sustainable improvement in the RAI process and add accountability to the process include the following:

• In November 2014, NRR management began holding periodic meetings to discuss open licensing actions, develop alignment on the best approaches for completing those actions, and monitor licensing performance.

• In October 2016, NRR replaced the existing software used to manage and monitor licensing reviews with a newly developed software package called the Reactor Program System - Licensing/Workload Management software. This system has the capability to better track RAI issuance and status.

• NRR performed an internal audit of a sample of RAIs issued between April and December 2016 and found that the overall adherence to quality, timeliness, and process expectations was satisfactory. The audit team identified areas for continued improvement and recommended increased staff training on the RAI guidance, development of staff job aids, and consideration of modifications to staff guidance to better reflect the reactor license renewal and non-power utilization facilities licensing processes.

NRO Actvities NRO has taken several steps to ensure that its RAIs are consistently of high quality and are necessary to make a safety finding. In 2016, senior managers in NRO undertook initiatives to examine licensing activities with a goal of promoting a continued strong safety focus, consistency, efficiency, and clarity in our reviews of new reactor licensing applications. These initiatives included revising the RAI process to promote the consistent generation of high quality RAIs.

In October 2016, the NRO RAI process was revised (ADAMS Accession No. ML16280A389) to include a new quality check audit process where, in addition to the technical branchs supervisor, the division management of both the technical and project management organizations review an RAI before it is issued to the applicant or licensee. In addition, the Office Director reviews a sample of RAIs to keep abreast of high-priority issues identified in reviews and to support NROs emphasis on effectiveness and efficiency as it focuses on safety, security, and environmentally significant matters.

On October 7, 2016, the NRO Office Director issued a memorandum titled Effective Use of Request for Additional Information, Audit, and Confirmatory Analysis in New Reactor Licensing Review, to all NRO staff, which emphasized the goals of the RAI process, described the revised process, and included a job aid that contains best practices for preparing RAIs.

The staff has incorporated many lessons-learned into its review of the active DC and ESP applications. The 2016 initiative to improve the focus of RAIs has improved the quality and safety focus of these requests. The staff is also using the regulatory audit tool earlier in the process to better inform the staff about the bases supporting the applications and therefore, better focus the staffs RAIs on information that directly relates to the staff reaching safety findings.

In FY 2018, the staff plans to conduct an audit to assess the effectiveness of the revised NRO RAI process. The audit is expected to evaluate whether the revised RAI process has yielded tangible improvements to NROs licensing process; and if the revised RAI process should be maintained, modified or eliminated.

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NMSS Activities In NMSS, internal guidance for uranium recovery and waste program reviews includes the expectation that RAIs will be developed in conjunction with the draft SER to ensure that each RAI is necessary to reach a safety finding. In addition, the guidance contains the expectation to include a reference in the RAI to the specific relevant requirement and encourages staff to conduct telephone conferences with licensees and applicants to efficiently resolve technical issues on RAIs. The NRC staff recently finalized an internal self-assessment that identifies possible efficiency improvements within the Uranium Recovery Program. The self-assessment includes recommendations for improving the efficiency of the RAI process, such as issuing RAIs as they are written rather than as a group, and reemphasizing the expectation that staff develop the draft safety evaluation and RAIs in concert.

NMSS is also in the process of studying RAI approaches used by other offices at the NRC, developing office procedures, revising guidance, and evaluating the development of job aids to incorporate applicable RAI approaches from other NRC branches, divisions and offices.

Following completion of this effort, NMSS will develop a training plan, as needed, to implement the resulting RAI process products.

In addition, NMSS is revising NUREG-1556, Volume 20, Guidance about Administrative Licensing Procedures. Information in this NUREG regarding requests for additional information for materials licensing actions is being updated to improve consistency and management oversight between NRC headquarters and regional materials licensing staff.

In August 2016, NMSSs Division of Spent Fuel Management (DSFM) issued Division Instruction (DI) 26, DSFM-26, Rev., 0, which provided management expectations and guidance to employees with regard to meeting division and business line goals of being an independent, transparent, and effective regulator. In DSFM-26, management has specifically indicated that DSFMs goal is one round of RAIs for a typical review and a maximum of two rounds of RAIs. RAIs and the applicants responses need to converge on the information needed for making a regulatory finding. As part of the management oversight process, the staff has been seeking concurrence by the division-level management, in-addition to branch-level, when a second round of RAIs is being considered during the review of an application. In addition, the staff has developed further guidance on preparing RAIs that are clear, complete, and specific with respect to the requested information, the justification for the request, and the associated regulatory basis. This guidance has been discussed with all the reviewers as part of continuous training, supplemented by a desk guide and a quick reference card. The division also is of preparing for a self-assessment on RAIs during FY 18 - FY 19 time frame.

Efforts to establish consistent procedures throughout the agency are being initiated by the establishment of a working group to align, where appropriate, licensing strategies across the agency including the RAI process. This effort, which is in the initial stages, will include representatives from NMSS, NRR, NRO, NSIR, and the Office of the General Counsel (OGC).

25. In keeping with the Commissions policy statement on the use of probabilistic risk assessment (PRA), please describe the agencys actions to enhance the integration of risk information across the agencys activities to improve the technical basis for regulatory activities, to increase efficiency, and to improve effectiveness. Please include actions taken or planned (including milestones, where appropriate) for improving the realism of PRA information used in regulatory decision-making, for training staff to more effectively apply risk information, for updating agency processes and procedures accordingly, and for improving consistency among NRC offices and regions.

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As directed by the Commission in SRM-M170511, the staff recently issued SECY-17-0112, which summarizes its plans to increase staff capabilities to use risk information in decision-making activities. The paper describes five overarching strategies and summarizes associated staff actions and plans. Strategy I evaluates and updates risk-informed decision-making (RIDM) guidance to foster a collaborative review process and a broadened understanding of risk and risk insights. Strategy II develops a graded approach for using risk information in licensing reviews. Strategy III enhances training requirements related to RIDM for managers and staff.

Strategy IV advances NRC and industry risk-informed initiatives, and Strategy V enhances communication on risk-informed activities. To implement overarching strategies at a tactical level, the staff is also developing a detailed action plan for the reactor program. As directed by SRM-M170511, the staff will provide periodic updates to the Commission on its progress.

Each strategy with examples of specific actions taken or planned (including milestones, where appropriate) is summarized in the table below. Additional details are available in SECY-17-0112 and in an action plan that leverages best practices in RIDM from the operating and new reactor programs (initial issuance at ADAMS Accession No. ML17219A375). Though strategies and actions mainly focus on the reactor program, Strategies III and V will be coordinated across all agency offices and the regions, as appropriate. In addition, risk-informed approaches as applied in the materials safety and waste management arenas are described, along with reactor safety and cross cutting activities, on the Risk-Informed Activities page on the NRC public Web site (https://www.nrc.gov/about-nrc/regulatory/risk-informed/rpp.html).

Strategy Actions/Milestones Description/Background I. Evaluate and Update

• A new revision to NUREG-1855, Treatment of Uncertainties Guidance Associated with PRAs in Risk-Informed Decision Making was published in March 2017 (ADAMS Accession Updated or new guidance No. ML17062A466).

will be developed to more

• A new revision to Regulatory Guide 1.174 An Approach for fully equip staff with the Using Probabilistic Risk Assessment in Risk-Informed tools necessary to use Decisions on Plant-Specific Changes to The Licensing Basis quantitative or qualitative is nearing completion. Milestone: RG 1.174 is scheduled for risk information in both March 2018 publication.

traditionally deterministic

• New and revised inspection procedures and field guides are and formal risk-informed being developed for risk-informed initiatives.

reactor licensing reviews.

• Action plan task 2 seeks to broaden the definition of risk [the understanding of risk and risk insights] beyond just a Importantly, all other quantitative value.

strategies also involve

• Action plan task 4 includes a review of branch technical guidance development position (BTP) 8-8, Onsite (Emergency Diesel Generators) activities. and Offsite Power Sources Allowed Outage Time Extensions, to determine if clarification is needed for use of a 14-day backstop for deterministic evaluations; applicability of the guidance to one-time and permanent extensions; and defense-in-depth considerations, particularly with respect to mitigating the consequences of a loss of offsite power coincident with a loss-of-coolant accident with a single failure.

Milestone: The staff will provide findings and recommended changes to office management by June 2018.

II. Develop a Graded

• The staff created a tool to guide technical reviewers to Approach for Using Risk consider plant design features when formulating the scope and depth of new reactor review activities. This tool was 57

Strategy Actions/Milestones Description/Background Information in Licensing successfully applied to the NuScale design certification review Reviews and is a critical element of the ongoing enhanced safety-focused review of this design.

A graded approach seeks

• Action plan task 3 involves developing a graded approach for to leverage risk insights using risk information more broadly in operating reactor across the spectrum of licensing reviews. As part of this task, the staff is developing, licensing review types (i.e., assessing, and piloting a risk-screening tool to help determine deterministic and formal the appropriate level of its review using risk insights with other risk-informed submittals). A relevant factors. Action plan task 1 seeks to expand the use framework that supports a of license review teams with enhanced collaboration between graded risk-informed review the engineering staff and the PRA practitioners.

approach is already described in NUREG-0800 (ADAMS Accession Nos.

ML070630046 and ML13207A315).

III. Enhance Training

• A new course for NRC managers (Perspectives on Requirements Related to Risk-Informed Decision-Making for NRC Managers) is being Risk-Informed Decision- developed that will focus on practical applications of PRA and Making for Managers describe how risk insights can inform decision-making. If and Staff successfully piloted, the course will be made mandatory for all supervisors and senior managers in the reactor program.

The NRC provides over 30 Milestone: Conduct pilot course by spring 2018.

formal staff training courses

• The staff continues to offer the newly developed Risk-on technical and regulatory Informed Thinking Workshop that provides participants with aspects associated with hands-on experience in applying RIDM using scenarios of RIDM. Courses are practical agency work.

available to all staff

• The staff plans to update position-specific qualification members; however, requirements to include the newly developed Risk-Informed currently, only some NRC Thinking Workshop for reactor program staff.

employees are required to

• The staff is evaluating whether aspects of the Risk-Informed take these courses. Thinking Workshop could be integrated with appropriate Furthermore, many courses modules of the Fundamentals of Reactor Licensing Workshop focus on the technical for Technical Reviewers. Milestone: Complete evaluation by aspects of PRA as opposed June 30, 2018.

to describing how risk information can be used to inform regulatory decisions.

IV. Advance Risk-Informed

• Fire PRA realism: The staff is discussing with industry Initiatives concerns related to fire PRA realism and potential updates to the fire PRA methods, where appropriate. In recent public The NRC primarily uses the meetings, industry representatives indicated that, if approved Risk Informed Steering and implemented, some new methods will potentially reduce Committee (RISC) to the calculated risk level at nuclear plant sites. Existing advance risk-informed processes allow licensees to propose method improvements initiatives. RISC is a senior through the frequently asked question (FAQ) process, by management committee submitting a license amendment request, or by a topical with members from each of report. Following a recent workshop and meeting with the program offices. The industry stakeholders to discuss additional FAQs and industry also has a RISC 58

Strategy Actions/Milestones Description/Background composed of senior research activities with the potential to affect Fire PRA realism managers. Since inception (additional details at ADAMS Accession No. ML17312B370),

in 2014, the NRC and the staff proposed additional FAQs and research activities.

industry RISCs meet

• Realism in the Reactor Oversight Process (ROP): The NRC quarterly. The NRC RISCs continuously maintains and improves guidance documents objectives include the and NRC risk tools used to support ROP activities. One such following: engage industry tool is the Risk Assessment Standardization Project and listen to concerns Handbook (RASP Handbook). In March 2017 the staff relative to the use of PRA to transmitted plans to discuss industry concerns associated support regulatory decision- with the RASP Handbook. As a result of public meetings, making; communicate NRC industry proposed pursuing the issue on common cause actions in the area of risk- failure as the highest priority and discussed alternatives.

informed decision-making; Industry provided a document regarding common cause discuss what initiative can failure (CCF) modeling for staff review on December 8, 2017.

be taken by the NRC to Following this review, the staff plans to develop additional incentivize industry to guidance for addressing CCF for the Significance continue to develop PRAs Determination Process.

to help both reduce

• Credit for Diverse and Flexible Coping Strategies (FLEX) in uncertainty and provide a RIDM: FLEX is currently being credited in multiple risk-framework to make informed applications. The NRC staff has developed several decisions in light of guidance documents to promote consistency and efficiency in uncertainty; and discuss applications in these areas. The staff is continuing to monitor industry actions necessary the licensees use of FLEX and is evaluating the need for to achieve the vision for additional guidance changes.

future use of PRA to support regulatory Additional activities that advance risk-informed initiatives outside decisions. the RISC include:

• Cooperative Research Activities with the Electric Power A brief summary of RISC Research Institute (EPRI). To conserve resources and to actions to improve the avoid unnecessary duplication of effort, both the NRC and realism of PRA information EPRI have agreed to cooperate in selected research efforts used in regulatory decision- and to share information and/or costs whenever such making are provided cooperation and cost sharing is appropriate and mutually here. SECY 17-0112 beneficial. A Memorandum of Understanding with EPRI provides (ADAMS ML16223A497) currently covers a number of risk-additional information on all related topics, including fire, seismic, PRA methods, and active RISC initiatives flooding.

including TS Initiative 4b,

• Update to RG 1.200, An Approach for Determining the The Peer Review Facts and Technical Adequacy of Probabilistic Risk Assessment Results Observations Closure for Risk-Informed Activities. RG 1.200 is the agencys Process, 10 CFR 50.69, vehicle for endorsing the industry consensus PRA standards PRA Methods Vetting and related PRA peer review guidance. RG 1.200 will be Process, and Risk revised to reflect the NRCs endorsement of pertinent industry Aggregation. documents.

• Consensus Standards Development: The NRC actively Activities supplemental to participates in the development and maintenance of the RISC that also advance consensus standards for all levels of PRA, reactor operating risk-informed initiatives are modes, and hazards. This effort ensures NRC staff considers also briefly described here. a range of industry views when developing regulatory 59

Strategy Actions/Milestones Description/Background guidance and industry stakeholders are kept informed of regulatory perspectives.

V. Enhance Communication

• Staff with risk/PRA expertise are sharing knowledge and on Risk-Informed experience through presentations at branch and division Activities meetings across the offices on topics such as risk-informed screening tools for operating and new reactor reviews.

The NRC is enhancing Seminars on RIDM for NRC inspectors and enhanced communication to ensure inclusion of RIDM topics at regional and senior reactor analyst that its stakeholders are counterpart meetings are planned.

aware of new and enhanced risk training courses and guidance, ongoing RIDM initiatives, and plans and experience using risk information.

26. The NRC has a long-standing effort to establish an efficient, reliable, and predictable licensing process for power reactors to transition from analog to digital instrumentation and control systems for safety-related applications. Please provide the date this effort began, a milestone schedule for implementation of the licensing process including the actual milestone completion dates, and the scheduled date for completion.

The NRC is implementing an integrated strategy plan to modernize the NRC regulatory infrastructure for digital instrumentation and controls (I&C), through strategic and tactical modernization plans (MPs). The plans focus on topics identified by industry that will provide confidence in transitioning from analog to digital control systems (Integrated Action Plan - ADAMS Accession No. ML17102B307)

MP #1A: Develop guidance for near-term implementation of digital upgrades without prior NRC approval under 10 CFR 50.59 for limited scope of systems. This action involves clarification of the endorsement of NEI 01-01 via a Regulatory Issue Summary (RIS) supplement Activity Actual or Projected Completion Date NRC begins effort: March 2017 Prepare preliminary drafts of RIS 2002-22, Supplement 1, clarifying the staffs previous endorsement of NEI 01-01 Issue Draft RIS for Public Comment July 2017 Anticipate issuing the final RIS February 2018 MP #1B: NRC review and endorsement, as appropriate, of industry technical guidance for addressing common cause failure in digital I&C (NEI 16-16)

Activity Completion Date NRC begins effort: December 2016 Begin staff evaluation of the partial draft of NEI 16-16 received December 22, 2016, and develop staff comments and gap analysis.

NEI submittal of complete NEI 16-16 to the NRC for review February 2018 NRC decision on technical adequacy and whether to issue March 2018 a potential interim endorsement letter 60

NRC endorsement of NEI 16-16 via Regulatory Guide (if February 2019 decision is made to endorse)

MP #1C: Modernize NRCs current position on defense against potential common cause failure in I&C systems and components Activity Completion Date NRC efforts begin: July 2017 Begin staff review to identify any policy issues requiring Commission direction Provide SECY to Commission for consideration June 2018 Begin implementing Commission direction September 2018 MP #2: Issue durable guidance for implementation of digital upgrades without NRC approval under 10 CFR 50.59 to address the full scope of systems

- Endorsement review of NEI 96-07, Appendix D Activity Completion Date NRC efforts begin: April 2016 Initiate review and stakeholder interactions of NEI guidance document, NEI 96-07, Appendix D, Guidelines for 10 CFR 50.59 Evaluations.

NRC makes decision on technical adequacy of NEI 96-07, June 2018 Appendix D and decides whether to issue a potential interim endorsement letter NRC formally enters NEI 96-07 Appendix D into the December 2018 Regulatory Guide development process (if decision is made to endorse)

MP #3: Review Industrys process for using commercially available digital equipment Activity Completion Date NRC efforts begin: April 2016 Public Meeting to discuss resolution of RIS 2016-05 public comments.

EPRI publishes research results March 2018 NEI Submits NEI 17-06 for NRC Review June 2018 NRC makes decision on technical adequacy September 2018 NRC staff completes audits of Safety Integrity Level November 2019 certification organizations and accrediting entities NRC formally enters NEI 17-06 into the Regulatory Guide December 2019 development process (if decision is made to endorse) 61

MP #4A: The action is to streamline the licensing process guidance - update to Interim Staff Guidance ISG-06 Activity Completion Date NRC begins effort: February 2017 Conduct a series of public stakeholder meetings (e.g.,

public workshops) for additional feedback.

Issue final Draft revision of ISG-06 for public comment April 2018 Issue final revision of ISG-06 December 2018 MP #4B: The action is to develop strategic activities for long-term improvements to the regulatory infrastructure NRC begins effort to develop strategic plan to modernize October 2017 overall regulatory infrastructure Consider evaluation of lessons learned from MP 1-4A April 2018 progress Coordinate with stake holders to identify potential June 2018 regulatory gaps and potential options for improving the regulatory infrastructure 27.

Develop additional detailed modernization plan for August 2018 implementing tactical and strategic improvements to the regulatory infrastructure

27. Please describe actions taken and/or planned to prepare to review industry requests to use Accident Tolerant Fuel in existing reactors, including but not limited to actions taken and/or planned for lead test assemblies and fuel loads. Please include a milestone schedule and brief project plan for both evolutionary and revolutionary designs.

On December 14, 2017, the staff issued a draft project plan that outlines the strategy for preparing the agency to efficiently and effectively license evolutionary and revolutionary accident tolerant fuel (ATF) designs. The plan covers all aspects of ATF, including fabrication, transportation, storage, and the regulatory framework for in-reactor performance (i.e., 10 CFR Parts 50, 70, 71, 72, and 100). The plan contains tasks covering regulatory and infrastructure needs (regulations and guidance), and tools and methods for safety evaluations. The plan accounts for interactions with both industry and the U.S. Department of Energy (DOE) regarding requisite experimental data and code capabilities. The outline of the plan (ADAMS Accession ML17248A449) was shared with stakeholders and discussed at a September 7, 2017, public meeting. A complete draft version was made available for public comment in December 2017.

The staff anticipates finalizing the plan by April 2018.

Regarding lead test assemblies (LTAs), the NRC has recently communicated its position on the use of ATF LTAs at Hatch Unit 1 (the first plant to insert ATF LTAs) planned for the spring of 2018 (ML17150A443). The NRC found that no exemption from the NRC regulations would be necessary for the plant; the NRCs interpretation of the plants technical specifications would allow the use of LTAs and that the licensees intent to conduct a full evaluation of the activity in accordance with 10 CFR 50.59 would be appropriate.

The staff is exploring generically applicable guidance for the insertion of LTAs and plans to communicate its position by early 2018.

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28. Please describe actions taken and/or planned to improve the quality of cost benefit analyses conducted in association with new requirements, backfit analyses, or rulemaking, including the development of metrics for assessing the quality of cost-benefit analyses. Please include milestones for completing these actions and the guidance that is currently under revision.

The NRC has taken specific actions to improve the quality of cost-benefit analyses conducted in association with new requirements, backfit analyses, or rulemaking. The key milestones for these actions are described below.

On March 19, 2013, the Commission issued a staff requirements memorandum (SRM) regarding SECY-12-0157, Consideration of Additional Requirements for Containment Venting Systems for Boiling Water Reactors with Mark I and Mark II Containments (ADAMS Accession No. ML13078A017). The SRM directed the staff to seek detailed Commission guidance on the use of qualitative factors.

On March 20, 2013, the Commission issued SRM-SECY-12-0110, Staff Requirements -

SECY-12-0110 - Consideration of Economic Consequences within the U.S. Nuclear Regulatory Commissions Regulatory Framework, directing the staff to identify potential changes to current methodologies and tools to perform cost-benefit analysis in support of regulatory, backfit, and environmental analyses. The Commission also directed the staff to provide a regulatory gap analysis before developing new cost-benefit guidance.

On January 2, 2014, in response to SRM-SECY-12-0110, the staff submitted SECY-14-0002, Plan for Updating the U.S. Nuclear Regulatory Commissions Cost-Benefit Guidance. In SECY-14-0002, the staff identified potential changes to current methodologies and tools related to performing cost-benefit analysis in support of regulatory, backfit, and environmental analyses.

The staff informed the Commission of its planned two-phase approach for revising the content and structure of cost-benefit guidance documents. Phase 1 aligns regulatory guidance across NRCs business lines by restructuring and incorporating non-policy revisions to NRC cost-benefit guidance. This phase is underway, as described below. In Phase 2, staff will identify and analyze potential policy issues that could affect the NRCs cost-benefit guidance and present these issues to the Commission for consideration and approval. The staff then will incorporate final updates to guidance for conducting cost-benefit analyses that support backfitting decisions.

On August 14, 2014, in response to SRM-SECY-12-0157, the staff submitted SECY-14-0087, Qualitative Consideration of Factors in the Development of Regulatory Analyses and Backfit Analyses. In SECY-14-0087, the staff proposed updating the cost-benefit guidance to include a set of methods that could be used for the consideration of qualitative factors within a cost-benefit analysis for regulatory and backfit analyses.

On December 16, 2014, in response to Commission direction to provide a regulatory gap analysis before developing new cost-benefit guidance, the staff submitted SECY-14-0143, Regulatory Gap Analysis of the Nuclear Regulatory Commissions Cost Benefit Regulations, Guidance and Practices. In SECY-14-0143, the staff described the review of current NRC guidance, methodologies, and tools used for cost-benefit determinations. The staff also described the results of its review of the NRC regulatory analyses that had been completed and identified differences across NRC business lines (e.g., material users, fuel cycle facilities, new and operating reactors) and procedures (i.e., regulatory analyses, backfit analyses). Finally, SECY-14-0143 included staffs gap analysis, and identified where additional guidance is needed to ensure consistency across the agency.

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On March 4, 2015, the Commission issued SRM-SECY-14-0087. The Commission approved the staffs plans for updating guidance regarding the use of qualitative factors, including the treatment of uncertainties, and directed the staff to focus the update on capturing best practices for the consideration of qualitative factors. The Commission also directed the staff to provide a toolkit for analysts regarding the consideration of qualitative factors.

In July 2015 and May 2017, the staff held two public meetings on the proposed cost-benefit guidance updates. The staff also held a public workshop in March 2016 to discuss proposed changes to the cost-benefit guidance. Meeting participants included industry representatives, government and nongovernment organizations, and other interested parties.

The Phase 1 update identified in SECY-14-0002 and described above is underway. In April 2017, the NRC issued draft NUREG/BR-0058, Revision 5, Regulatory Analysis Guidelines of the U.S. Nuclear Regulatory Commission, and published a notice requesting public comment in the Federal Register (82 FR 18163; April 17, 2017). The staff received three comment submissions with a total of 58 individual comments from industry and members of the public.

The NRC staff considered this input when revising the NUREG, which is under review by agency management.

The staff will submit NUREG/BR-0058, Revision 5, and five appendices to the Commission via a notation vote paper in early 2018 after completing management review. The following appendices will be included in this update:

• Appendix A, Qualitative Factors Assessment Tools

• Appendix B, Cost Estimating and Best Practices

• Appendix C, Treatment of Uncertainty

• Appendix D, Guidance on Regulatory Analysis Related to ASME Rules

• Appendix E, Special Circumstances and Relationship to Other Procedural Requirements Metrics for assessing the quality of cost-benefit analyses are contained in NUREG/BR-0058, Appendix B. Enclosure B-4 to Appendix B discusses the expectations for quality cost estimates and details the steps to ensure high-quality cost-benefit analyses are developed and presented to agency management. Additionally, the enclosure describes the steps to verify the quality of a cost-benefit analysis through various techniques for checking accuracy.

Following Commission review and approval of Revision 5 of NUREG/BR-0058, the staff will publish this updated final guidance. The staff will also conduct Phase 2 of the activity, as described in SECY-14-0002.

29. Please provide the status of the revised guidance currently under development to clarify the use of qualitative factors, including milestones and the projected date for completion. In addition to this revised guidance, please list and briefly describe any actions taken and/or planned to improve the use of quantitative factors in regulatory analyses required for rulemaking, in the regulatory analyses required under the Backfit Rule, and in the Reactor Oversight Process Significance Determination Process.

NUREG/BR-0058, Revision 5, and five supporting appendices are under final review by agency management. The staff is scheduled to submit these documents to the Commission via a notation vote paper in early 2018.

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Following Commission review and approval of Revision 5 of NUREG/BR-0058, the staff will publish this updated final guidance. A draft of the NUREG was issued for public comment and is available for interim staff use. In conducting its regulatory analyses, the staff is implementing the best practices and lessons learned that are contained within this draft revision of NUREG/BR-0058.

In revising this cost-benefit guidance, the staff focused on improving methods for quantitative analyses, including the treatment of uncertainty and the development of realistic estimates of the cost of implementing proposed requirements. Specifically, the staff developed two appendices to NUREG/BR-0058, Revision 5 to guide the staff in these areas.

• Appendix B, Cost Estimating and Best Practices, provides expanded guidance on incorporating cost-estimating best practices, including estimating life-cycle costs.

• Appendix C, The Treatment of Uncertainty, expands on the existing guidance for performing uncertainty and sensitivity analyses for cost-benefit analyses.

In addition to the improved methods for quantitative analyses, the revised cost-benefit guidance directs the staff to quantify the estimates of costs and benefits to the extent possible. However, the staff acknowledges that some attributes in regulatory analyses are difficult to quantify, and require additional resources to develop a strictly quantitative analysis. To address this gap, staff developed a toolkit to enable analysts to clearly present analyses of qualitative results in a transparent way that decision makers, and stakeholders can understand.

• Appendix A, Qualitative Factors Assessment Tools, identifies best practices for the consideration of qualitative factors and describes a number of methods that can be used to support the NRCs evidence-based, quantitative, and analytical approach to decision-making. The guidance clearly states that these methods (1) should only be used when quantification may not be practical, (2) are not a substitute for collecting accurate information to develop realistic cost estimates, and (3) do not constitute an expansion of the consideration of qualitative factors in regulatory, backfit, or environmental analyses.

Revision 5 of NUREG/BR-0058 is intended to meet the following objectives:

• Refocus and expand guidance on cost-benefit analysis across the agency

• Emphasize quantification and provides methods for creating realistic estimates

• Provide methods for assessing factors that are difficult to quantify

• Incorporate cost estimating best practices identified in U.S. Government Accountability Office (GAO) guidance and in recommendations from GAO in GAO-15-98, Nuclear Regulatory Commission: NRC Needs to Improve Its Cost Estimates by Incorporating More Best Practices, dated December 12, 2014

• Expand guidance on the treatment of uncertainties

• Enhance transparency of analysis for the decision-maker With regard to the use of qualitative factors in the Reactor Oversight Process Significance Determination Process (SDP), the SRM for SECY-13-0137 directed the staff, in part, to evaluate the need to provide additional clarity on the use of qualitative factors for operating reactors to provide more transparency and predictability to the process. The staff expects to respond to this direction by mid-2018.

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30. Please provide a list of all final generic regulatory actions issued in the last 3 years. Please include:

a. Whether the item was reviewed by Committee for the Review of Generic Requirements (CRGR);

b. Whether the CRGR review was formal or informal;

c. The CRGR recommendation; and

d. The NRCs conclusions with respect to compliance with the Backfitting Rule (i.e., no backfitting, cost-justified substantial increase, compliance exception, adequate protection exception).

The majority of the final generic regulatory actions that the NRC issues do not lead to backfitting. In addition, as discussed in response #34, the agency is working to enhance oversight to prevent unintended and unsupported backfits. The NRC issues many types of final generic regulatory actions, such as rules, orders, bulletins, generic letters (GLs), regulatory information summaries (RISs), regulatory guides (RGs), standard review plans (SRPs), and ISGs.

The CRGR Charter, Revision 8 clarifies which issues should be forwarded to the Committee for review where new or revised generic requirements could propose backfits or new staff positions.

Items for CRGR review are forwarded by the agencys program offices or are directed for review by the EDO. The table below illustrates that only a few final generic agency actions are reviewed by the CRGR to assess if generic backfitting concerns exist. Most backfitting issues are resolved during management review and legal review, or identified during interactions with external stakeholders.

Rules, orders, bulletins, GLs, and RISs are final generic regulatory actions that are reviewed and evaluated to screen for potential backfitting concerns and new staff positions. CRGR reviews these items when certain criteria are met, including:

• Stakeholders or NRC staff identify concerns regarding backfitting or regulatory analysis

• The EDO directs the review or an office director requests review

• Use of the compliance exception or the adequate protection exceptions to justify backfitting

• For rulemaking, if there are finality concerns or possible backfitting qualitative factors were used to justify a rulemaking with significant costs, or substantial statistical uncertainty exists in the qualitative benefit determination in the backfit analysis.

For rulemaking, over the last 3-years CRGR reviews were not conducted because the criteria for requiring CRGR review were not met for any of the rulemakings listed in the table. However, under the revised criteria, the CRGR is now more actively reviewing rulemaking activities. For example, in June 2017, the CRGR reviewed a draft proposed rule on cybersecurity at fuel cycle facilities. This marked the first CRGR review using the new criteria and guidance. The draft proposed rule is currently with the Commission for its consideration. Also, on October 25, 2017, the CRGR reviewed the draft final rule on enhanced weapons, firearms background checks, and security event notifications. In reviewing both of these packages, the CRGR requested additional information to ensure that the staff was not unnecessarily imposing backfits on the licensees.

Regulatory guides, standard review plans, and interim staff guidance, are only reviewed by CRGR when concerns are raised during staff review regarding potential generic backfitting.

These documents are intended to provide acceptable approaches for licensees or applicants to meet NRC requirements, or for the NRC staff to confirm the adequacy of proposed approaches.

Additionally, adopting new regulatory guides is intended to be voluntary for licensees and 66

applicants. For limited instances where regulatory guides may result in potential backfits or new staff positions, the CRGR conducts a review. For example, in November 2017, the CRGR reviewed revisions to RG 5.69, Guidance for the Application of the Radiological Sabotage Design-Basis Threat in the Design, Development and Implementation of a Physical Security Program, to assess potential backfitting implications.

The table below provides NRC final generic regulatory actions issued within the last 3 years.

For the response, the staff has included final rules, orders, bulletins, RISs, and GLs.

Summary of Final Generic Regulatory Actions over the Last 3 Years CRGR NRC Issuance CRGR1 Item # Title Recommen Backfitting Date Review dation Review NRC Policy on Use of Combination Dosimetry RIS-17-06 09/19/17 None NA No Backfitting Devices During Industrial Radiographic Operations Administration of 10 CFR Part 72 Certificate of RIS-17-05 09/13/17 None NA No Backfitting Compliance Corrections and Revisions Clarification on the Implementation of Compensatory Measures for Protective Strategy Informal RIS-17-04 08/30/17 NA No Backfitting Deficiencies or Degraded Review or Inoperable Security Systems, Equipment, or Components Two changes resulted in an adequate American Society of 07/18/17; protection 10 CFR Mechanical Engineers 82 FR None NA backfit Part 50 Codes and Code Cases 329034 exception (Code Case N-729-4 and Code Case N-770-2) 10 CFR 06/30/17; Fee Recovery for Fiscal Parts 170 82 FR None NA No Backfitting Year 2017 and 171 30682 1

None - indicates that the item was administrative in nature or did not meet thresholds for CRGR backfitting review, Informal Reviews - were conducted by the members without a meeting. Formal Reviews - are these items that a meeting was conducted to assess potential backfitting concerns.

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Summary of Final Generic Regulatory Actions over the Last 3 Years CRGR NRC Issuance CRGR1 Item # Title Recommen Backfitting Date Review dation Review Preparation and RIS-17-03 Scheduling of Operator 04/05/17 None NA No Backfitting Licensing Examinations Applicability of Title 10 of the Code of Federal Regulations Part 37 to RIS-17-02 02/08/17 None NA No Backfitting Non-Manufacturing and Distribution Service Provider Licensees Human Reliability and RIS-17-01 Human Performance 02/02/17 None NA No Backfitting Database 10 CFR Adjustment of Civil 01/24/17; Parts 2 None NA No Backfitting Penalties for Inflation 82 FR 8133 and 13 Published 6 Certificate of 10 CFR List of Approved Spent Compliance None NA No Backfitting Part 72 Fuel Storage Casks (COC) rules in 2017 Increase in the Maximum 12/30/16; 10 CFR Amount of Primary 81 FR None NA No Backfitting Part 140 Nuclear Liability 96347 Insurance Update to Incorporate 10 CFR 12/30/16; Freedom of Information Parts 2 81 FR None NA No Backfitting Act Improvement Act of and 9 96344 2016 Requirements NRC Employee Access RIS-16-12 to Switchyards at 11/22/16 None NA No Backfitting Licensee Facilities Requests to Dispose of Very Low-Level Informal RIS-16-11 Radioactive Waste 11/13/16 Endorsed No Backfitting Review Pursuant to 10 CFR 20.2002 68

Summary of Final Generic Regulatory Actions over the Last 3 Years CRGR NRC Issuance CRGR1 Item # Title Recommen Backfitting Date Review dation Review Decommissioning Timeliness Rule RIS Implementation and 09/27/16 None NA No Backfitting 19, Rev 1 Associated Regulatory Relief License Amendment Requests for Changes to Informal RIS-16-10 Emergency Response 08/05/16 Endorsed No Backfitting Review Organization Staffing and Augmentation 07/20/16; 10 CFR Update to Transcript 81 FR None NA No Backfitting Part 2 Correction Procedures 47005 10 CFR 07/01/16; Adjustment of Civil Parts 2 81 FR None NA No Backfitting Penalties for Inflation and 13 43019 10 CFR 06/24/16; Parts 9, Fee Recovery for Fiscal 81 FR None NA No Backfitting 170, and Year 2016 41171 171 Preparation and RIS-16-09 Scheduling of Operator 06/16/16 None NA No Backfitting Licensing Examinations Process for Scheduling and Allocating Resources in Fiscal Year 2019 for the Review of RIS-16-08 New Licensing 06/07/16 None NA No Backfitting Applications for Light-Water Reactors and Non-Light-Water Reactors 10 CFR Variable Annual Fee 05/24/16; Parts 170 Structure for Small 81 FR None NA No Backfitting and 171 Modular Reactors 32617 Containment Shell or Informal RIS-16-07 Liner Moisture Barrier 05/09/16 Endorsed No Backfitting Review Inspection 69

Summary of Final Generic Regulatory Actions over the Last 3 Years CRGR NRC Issuance CRGR1 Item # Title Recommen Backfitting Date Review dation Review NRC Regulation of Radium-226 Under Military Control and for Coordination on the Comprehensive Environmental RIS-16-06 Response, 05/09/16 None NA No Backfitting Compensation, and Liability Act (CERCLA)

Response Actions at Department of Defense Sites with Radioactive Materials Embedded Digital Informal RIS-16-05 Devices in Safety- 04/29/16 Endorsed No Backfitting Review Related Systems Clarification of 10 CFR 50.46 Reporting Requirements and Informal RIS-16-04 04/19/16 Endorsed No Backfitting Recent Issues with Review Related Guidance Not Approved for Use 10 CFR 50.59 Issues Identified in NRC's San RIS-16-03 Onofre Steam Generator 04/13/16 None NA No Backfitting Tube Degradation Lessons Learned Report Monitoring of Neutron-GL-16-01 Absorbing Materials in 04/07/16 Formal Endorsed No Backfitting Spent Fuels Pools Design Basis Issues Related to Tube-to-Tubesheet Joints in RIS-16-02 03/23/16 None NA No Backfitting Pressurized-Water Reactor Steam Generators Nuclear Energy Institute Guidance for the Use of Informal RIS-16-01 Accreditation in Lieu of 03/16/16 Endorsed No Backfitting Review Commercial Grade Surveys for Procurement 70

Summary of Final Generic Regulatory Actions over the Last 3 Years CRGR NRC Issuance CRGR1 Item # Title Recommen Backfitting Date Review dation Review of Laboratory Calibration and Test Services Planned Licensing Action RIS Submittals for All Power 01/15/16 None NA No Backfitting 16, Rev 1 Reactor Licensees Published 5 10 CFR List of Approved Spent COC rules None NA No Backfitting Part 72 Fuel Storage Casks in 2016 Review and Submission of Updates to Final Safety Analysis Reports, RIS-15-17 Emergency 12/23/15 None NA No Backfitting Preparedness Documents, and Fire Protection Documents Decommissioning Timeliness Rule RIS Implementation and 12/21/15 None NA No Backfitting 19, Rev 0 Associated Regulatory Relief Sodium Iodide-131 (I-RIS-15-18 131) Patient Release 12/14/15 None NA No Backfitting Information Collection Information Regarding a Specific Exemption in the Requirements for the Informal RIS-15-15 Physical Protection of 12/04/15 Endorsed No Backfitting Review Category 1 and Category 2 Quantities of Radioactive Material Planned Licensing Action RIS Submittals for All Power 11/25/15 None NA No Backfitting 16, Rev 0 Reactor Licensees Seismic Stability Analysis RIS-15-13 Methodologies for Spent 11/12/15 None NA No Backfitting Fuel Dry Cask Protective Action Informal RIS-15-11 11/05/15 Endorsed No Backfitting Recommendations for Review 71

Summary of Final Generic Regulatory Actions over the Last 3 Years CRGR NRC Issuance CRGR1 Item # Title Recommen Backfitting Date Review dation Review Members of the Public on Bodies of Water 11/02/15; 10 CFR Cyber Security Event 80 FR None NA No Backfitting Part 73 Notifications 67264 Issuance of Enforcement Guidance Memorandum

- Emergency Plan and RIS-15-14 10/30/15 None NA No Backfitting Emergency Plan Implementing Procedure Updates 10 CFR Hearings on Challenges 10/20/15; Parts 2 to the Immediate 80 FR None NA No Backfitting and 150 Effectiveness of Orders 63409 10/07/15; 10 CFR Revisions to the Petition 80 FR None NA No Backfitting Part 2 for Rulemaking Process 60513 List of Approved Spent Fuel Storage Casks:

Holtec international HI-08/18/15; 10 CFR STORM 100 Cask 80 FR None NA No Backfitting Part 72 System, Certificate of 49887 Compliance No. 1014, Amendment No. 8, Revision 1 Applicability of ASME Code Case N-770-1 As Conditioned in 10 CFR RIS-15-10 07/16/15 Formal Endorsed No Backfitting 50.55a, "Code and Standards," to Branch Connection Butt Welds Implementation of Fingerprinting RIS-15-09 07/09/15 None NA No Backfitting Requirements for Non-Power Reactors 10 CFR 06/30/15; Fee Recovery for Fiscal Parts 170 80 FR None NA No Backfitting Year 2015 and 171 37431 72

Summary of Final Generic Regulatory Actions over the Last 3 Years CRGR NRC Issuance CRGR1 Item # Title Recommen Backfitting Date Review dation Review Oversight of Counterfeit, Fraudulent and Suspect RIS-15-08 06/24/15 None NA No Backfitting Items in the Nuclear Industry Treatment of Natural GL-15-01 Phenomena Hazards in 06/22/15 Formal Endorsed No Backfitting Fuel Cycle Facilities Transportation Safety Requirements and Harmonization with 06/12/15; 10 CFR International Atomic 80 FR None NA No Backfitting Part 71 Energy Agency 33987 Transportation Requirements; Revisions Tornado Missile RIS-15-06 06/10/15 Formal Endorsed No Backfitting Protection Process for Scheduling and Allocating Resources in FY 2017 for the Review of New RIS-15-07 05/11/15 None NA No Backfitting Licensing Applications for Large Light-Water Reactors and Small Modular Reactors Preparation and RIS-15-05 Scheduling of Operator 04/20/15 None NA No Backfitting Licensing Examinations Withdrawal of RIS-15-04 Administrative Letter 93- 04/14/15 None NA No Backfitting 01 List of Approved Spent Fuel Storage Casks:

Holtec international HI-03/06/15; 10 CFR STORM Underground 80 FR None NA No Backfitting Part 72 Maximum Capacity 12073 Canister Storage System, Certificate of Compliance No. 1040 73

Summary of Final Generic Regulatory Actions over the Last 3 Years CRGR NRC Issuance CRGR1 Item # Title Recommen Backfitting Date Review dation Review Identifying and Reporting RIS-15-03 Security Incidents Under 02/24/15 None NA No Backfitting 10CFR Part 37 Reporting of H-3, C-14, RIS-15-02 Tc-99, and I-129 on the 02/18/15 None NA No Backfitting Uniform Waste Manifest Qualification Requirements for Bolt Informal RIS-15-01 01/29/15 Endorsed No Backfitting and Stud Non- Review Destructive Examinations Safeguards informationModified 10 CFR Handling Categorization; Parts 30, Change for Materials 01/26/15; None NA No Backfitting 37, 73, Facilities (Direct Final 80 FR 3865 and 150 Rule; confirmation of effective date, NUREG issuance, and correction)

List of Approved Spent Fuel Storage Casks:

Transnuclear, Inc.

Standardized Advanced 10 CFR 01/22/15; NUHOMS Horizontal None NA No Backfitting Part 72 80 FR 3147 Modular Storage System; Certificate of Compliance No. 1029, Amendment No. 3 Domestic Licensing of Special Nuclear Material Written Reports and 10 CFR 01/05/15; Clarifying Amendments None NA No Backfitting Part 70 80 FR 143 (Direct Final Rule; confirmation of effective date)

Published 6 10 CFR List of Approved Spent COC rules None NA No Backfitting Part 72 Fuel Storage Casks in 2015 74

31. Please provide a list and brief description of all facility specific backfits issued in the reporting period.

None.

32. For matters reviewed by the CRGR, please provide 12-month and 3-year rolling averages for the following metrics:

a. For the number of issues reviewed formally: the percentage accepted for imposition on industry and the percentage rejected based on cost-benefit or Backfit concerns; and

b. For the number of issues reviewed informally: the percentage accepted for imposition on industry and the percentage rejected based on cost-benefit or Backfit concerns.

12-Month Summary of CRGR Reviews Decisions of Potential Backfit Issues Percentage Accepted or Percentage Rejected Percentage Review Type & Endorsed with Based on Backfit Endorsed without Outcome Backfitting Concerns Backfitting Informal Reviews 0.0% 0.0% 100.0%

Formal Reviews 20.0% 20.0% 60.0%

3-Year Summary of CRGR Review Decisions of Potential Backfit Issues Percentage Accepted or Percentage Rejected Percentage Review Type & Endorsed with Based on Backfit Endorsed without Outcome Backfitting Concerns Backfitting Informal Reviews 0.0% 0.0% 100.0%

Formal Reviews 20.0% 10.0% 70.0%

Comments:

1. As of November 30, 2017, for the rolling 3-year period, the CRGR has completed 25 reviews for potential backfits. Completed reviews include 15 informal reviews and 10 formal reviews.

These percentages omit ongoing CRGR reviews.

2. These tables provide summaries of CRGR review results for the rolling 3-year and 12-month periods. The percentage accepted includes CRGR endorsements of generic documents that may lead to licensee backfits, the percentage rejected are reviews in which the CRGR disapproved documents due to backfit concerns, and the percentage endorsed were reviews in which the CRGR found no backfit implications.

33. Please provide the status of the application of the Backfit Rule in the licensing and inspection programs across the agency, including:

a. The need for training on the requirements and application of 10 CFR 50.109;

b. The need for a process, training, and/or oversight in addressing inspection issues that may redefine or reinterpret the original licensing basis (e.g., unresolved issues, task interface agreements, disputed violations) to ensure that new requirements are not imposed through the inspection program; 75

c. A review of proposed regulatory changes that are currently in process to ensure that regulatory actions are appropriately informed by the requirements of 10 CFR 50.109.

Examples of such actions could include but are not limited to the following:

i. The Draft Regulatory Issue Summary on Service Life addressing the treatment of vendor recommendations within the regulatory framework; ii. 10 CFR 50.46(c) rulemaking for which the justification utilizes the adequate protection provisions of the backfit rule to obviate the need to compare the benefits of public health and safety with the cost of compliance for the three major portions of the rule; iii. Use of the compliance exception backfit as proposed by the NRC staff to address the "open phase condition (OPC)" issue; and iv. Possible alteration of the risk reduction credit given for Incipient Fire Protection after the modifications have been installed and received approval from the NRC crediting the technology.

d. Please describe the progress made during each reporting period.

a, b, & d. Consistent with the EDO approved milestones in Response 34, the agency is currently developing and deploying enhanced backfit training. As of November 30, 2017, training was completed for NRC senior managers. Backfit reset training for the NRC staff is scheduled to be completed by February 28, 2018. More detailed backfitting guidance and procedures will be developed throughout FY 2018 and discussed in this report.

c. The agency has incorporated the recent lessons learned from the Exelon backfit appeal decision and the Commissions direction in SRM-COMSECY-16-0020 into its reviews of proposed regulatory changes and decision making.

The table below provides a summary of the status of regulatory changes and issues as of November 30, 2017.

Status of Select Regulatory Activities Title Status of Regulatory Change Backfitting Considerations RIS on Service Life - RIS (ADAMS Accession No. ML17177A060) While the CRGR found Disposition of was issued for public comment and the public that the draft RIS did not Information Related comments have been dispositioned. contain any specific to the Time Period backfits or new staff That Safety-Related positions, it did not Structures, Systems, endorse the RIS in its or Components are RIS was reviewed by CRGR on September current form. The CRGR Installed 12 and 14, 2017. CRGR Meeting Nos. #446, indicated that a RIS may

1. 447(ADAMS Accession No. not be appropriate for ML17276B156). addressing these issues.

Currently, the staff is discussing its next steps forward.

10 CFR 50.46(c) The NRC staff prepared a regulatory analysis Based on established Rulemaking for the 10 CFR 50.46c draft final rule criteria at the time, the (ADAMS Accession No. ML15323A122) to CRGR was not required identify the benefits and costs of the to review the rulemaking 76

Status of Select Regulatory Activities Title Status of Regulatory Change Backfitting Considerations particular regulatory approach for addressing to assess potential emergency core cooling system backfits. The rulemaking performance. The regulatory analysis is currently with the focuses on the marginal difference in benefits Commission for its and costs for each alternative relative to the consideration.

no action baseline alternative for the three major portions of the rule, which is consistent with the requirements of the backfit rule (10 CFR 50.109), Commission direction, and the ongoing revisions to the agencys cost-benefit guidance (e.g., NUREG/BR-0058, Revision 5).

Alteration of Credit This action is for licensees that have This item is being closed for Incipient Fire implemented risk-informed fire protection as part of this monthly Detection in Prior standard NFPA-8052 and use incipient fire report. The staff did not Approvals detection. The program obligates licensees identify a backfitting.

to maintain PRA models to consider updated information on the performance and reliability of plant systems periodically and update accordingly.

RIS on AP1000 The purpose of this RIS is to provide This item is being closed Certified Design guidance, to present and future applicants for as part of this monthly Information Errors a Combined License (COL) or COL renewal report. Staff no longer Discovered During referencing the AP1000 DC, regarding plans to issue the subject Design Finalization previous applicant-identified errors contained RIS.

and Construction in the AP1000 DC (DCD Revision 19) and Activities how these errors may be addressed by current and future applicants.

Proposed Rule, 10 The proposed rule (ADAMS Accession No. CRGR completed its CFR 73.53, ML17145A342), if approved, would require review in two meetings, Requirements for certain Fuel Cycle Facility licensees to June 27 and July 12, Cyber Security at establish, implement, and maintain a cyber 2017. This rule contained Nuclear Fuel Cycle security program that can detect, protect backfitting and was Facilities and against, and respond to a cyber-attack endorsed by the CRGR.

associated draft capable of causing one or more of the This rulemaking is regulatory guidance, consequences of concern as defined in the currently with the DG-5062 Cyber proposed rule. Commission for its Security Programs consideration.

for Nuclear Fuel Cycle Facilities 2

NFPA 805 Performance-Based Standard for Fire Protection for Light Water Reactor Electric Generating Plants.

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Status of Select Regulatory Activities Title Status of Regulatory Change Backfitting Considerations Regulatory Guide This regulatory guide describes an approach This item is being closed 5.77, Revision 1, that the NRC staff considers acceptable for as part of this monthly Insider Mitigation an insider mitigation program for nuclear report. The staff did not Program power reactors that contain protected or vital identify a backfitting. This areas. RG is currently being reviewed by the Commission.

34. Please provide a description of actions taken and/or planned to address recommendations made by the CRGR in their report "U.S. Nuclear Regulatory Commission's Implementation of Backfitting and Issue Finality Requirements," dated June 27, 2017. Please include a milestone schedule for completing action on each recommendation.

The actions identified in the CRGR Review Report and approved by the EDO in a memo dated July 19, 2017, have been organized into the following activities:

Backfitting Enhancement Tasks from the June 27, 2017 CRGR Review Report Item Task Lead Due Date Status 1 Update agency-level guidance on backfitting and NRR 05/02/2018 On track issue finality to reflect Commission direction on the use of the compliance exception to the backfit rule and submit for Commission approval.

2 Update office-level implementing guidance on NRR, NMSS, 02/21/2019 On track backfitting and issue finality, and the Enforcement NRO, NSIR, Manual to reflect Commission-approved RES, all agencywide guidance. Regions, OE 3 Develop and conduct "reset" training for managers CRGR 02/28/2018 On track; and staff on backfitting and issue finality. Senior Staff Managers training completed on 11/09/17; training for other managers and staff in progress 4 Update initial training on backfitting and issue CRGR 06/31/2018 On track finality for use in office and regional qualification programs.

5 Develop or update refresher training and CRGR, NRR, 09/31/2018 On track developmental activities on backfitting and issue NMSS, NRO, finality, and revise office qualification procedures to NSIR, RES, 78

Backfitting Enhancement Tasks from the June 27, 2017 CRGR Review Report Item Task Lead Due Date Status require such training and developmental activities. all Regions 6 Make available "just-in-time" training and CRGR 10/31/2018 On track references on backfitting and issue finality.

7 Add backfitting information to agency knowledge CRGR 09/18/2017 Completed management Web site.

8 Prepare a NUREG/Knowledge Management report CRGR 08/31/2019 On track on the history and activities of the Committee to Review Generic Requirements.

9 Create a backfitting Community of Practice with CRGR 08/31/2017 Completed office points of contact.

10 Conduct an effectiveness review of actions taken CRGR 07/27/2020 On track in response to the June 27, 2017, CRGR report.

11 Propose a revision to the charter for the CRGR to CRGR 03/19/2018 On track reflect rulemaking criteria, incorporate recent Commission direction, and enhance rigor of CRGR assessments.

12 Report on the availability of key docketed OCIO 02/28/2018 On track information categories and the resources needed to make information more readily retrievable.

13 Report on the resources needed to implement the CRGR 10/02/2017 Completed actions in the July 19, 2017, EDO tasking on backfitting.

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REACTOR INSPECTION

35. Please provide the Reactor Oversight Process findings for year-to-date and 3-year rolling metrics, including the total number and for each region for green, white, yellow, and red findings.

Location # of Findings 2014 2015 2016 2017 YTD (Note 1)

Nationally Total 824 821 704 288 NSIR (all regions) 18 26 19 N/A (Note 2)

Green 167 169 155 59 White 3 4 2 2 Yellow 0 1 0 0 RI Red 0 0 0 0 GTG Security 1 1 0 0 Total 171 175 157 61

1. OP Units 26 25 25 25 Green 148 159 151 51 White 4 1 0 3 Yellow 0 0 0 0 R2 Red 0 0 0 0 GTG Security 0 0 1 1 Total 152 160 152 55

1. OP Units 32 32 33 33 Green 221 202 177 69 White 4 5 1 4 Yellow 0 0 0 0 R3 Red 0 0 0 0 GTG Security 1 1 1 0 Total 226 208 179 73

1. OP Units 23 23 23 23 Green 249 248 196 96 White 5 2 1 2 Yellow 2 1 0 0 R4 Red 0 0 0 0 GTG Security 1 1 0 1 Total 257 252 197 99

1. OP Units 19 19 19 19 NSIR: Office of Nuclear Security and Incident Response*

GTG Security: Greater-than-green security;

1. OP Units: Number of operating units; Notes:

1. Data is presented by calendar year. The 2017 year to date (YTD) data is for the first two quarters of 2017.

2. Starting in CY 2017, these finding are included in the findings for each region.

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36. Please provide the percentage of Final Significance Determinations made within 90 Days for all potentially Greater-Than-Green findings, monthly for one-year rolling metrics and annually for the past 10 years.

1-Year Rolling Metric Month Percent Met December 2016 100 January 2017 N/A February 2017 100 March 2017 N/A April 2017 100 May 2017 100 June 2017 N/A July 2017 100 August 2017 100 September 2017 N/A October 2017 100 November 2017 N/A 10-Year Annual Determinations Within 90 Days Year Percent Met 2008 100 2009 100 2010 93 2011 100 2012 100 2013 100 2014 86 2015 88 2016 100 2017 100 Comments:

This metric, reported in the NRCs CBJ, measures the time from the issuance date of the first official correspondence that describes the inspection finding, until the final significance determination letter is sent to the licensee, which is expected to be 90 days or less.

37. For each reporting period, please describe each instance where Inspection Manual Chapter 609 Appendix M, "Significance Determination Process Using Qualitative Criteria," has been applied in the Reactor Oversight Process Significance Determination Process, including the justification for doing so.

Appendix M was not used to disposition any inspection findings in November 2017.

38. Please provide the status of potential changes to the Reactor Oversight Process, and identify any changes that may require Commission approval prior to implementation.

Significant potential changes to the ROP include the following:

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• Changes to the structure of inspection reports. The staff is revising Inspection Manual Chapter (IMC) 0611, Power Reactor Inspection Reports, to improve clarity of inspection reports, to eliminate redundant or unnecessary language and to streamline the report writing process for the staff.

• IMC 0609, Significance Determination Process, Appendix M, Significance Determination Process Using Qualitative Criteria. Having received stakeholder feedback on its initially proposed changes to Appendix M, the NRC staff is preparing a revised approach, and will re-engage with stakeholders in the coming months to review the changes and next steps.

39. Please describe the progress toward utilizing an industry consensus document as a means of accomplishing predictability and consistency in operability determinations.

The NRC is engaged with the nuclear industry on its effort to develop a consensus document for operability determinations. The agency held a public meeting on June 1, 2017, to discuss the fundamental concepts used to make operability determinations. The staff also participated in an operability panel at the NEI Licensing Forum on August 23, 2017. NRC expects to receive the industrys draft guidance in early 2018. The NRC anticipates that this effort will inform a future revision of IMC 0326, Operability Determinations & Functionality Assessments for Conditions Adverse to Quality or Safety.

40. For each Design Bases Assurance Inspection (formerly known as the Component Design Basis Inspection) completed in the last three years, please list the duration, amount of fees billed, and percentage of fees used to reimburse contractors.

The fees are grouped per Design Bases Assurance (DBA) inspection in order to allow easier review by the reader and facilitate comparison between the costs of DBA inspections performed at each site. Monthly comparison of DBA inspection fees will not provide an accurate representation of each licensees charges due to the fact that the DBA inspections span 2 months.

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41. Please provide the status of the holistic review of engineering inspection procedures and any actions taken and/or planned because of the review.

The NRC recently made changes to its design bases inspection to focus on current design changes and review of key engineering programs. These changes are reflected in our current design bases inspection procedures, (IP) 71111.21M (Triennial Design Bases Assurance inspection - Team) and IP 71111.21N (Triennial Design Bases Assurance inspection - EQ program). These inspections became effective in calendar year 2017 after conducting a two year pilot program. The NRC also achieved an annual cost reduction of one million dollars by limiting the use of contractors. Additionally, the NRC is currently performing a comprehensive review of a suite of NRC baseline engineering inspections which include the following:

• IP 71111.05T (Triennial Team Fire Protection)

• IP 71111.07 (Annual/Triennial Heat Sink Inspection)

• IP 71111.08 (ISI inspection every RFO)

• IP 71111.21M (Triennial Design Bases Assurance inspection - Team)

• IP 71111.21N (Triennial Design Bases Assurance inspection - EQ program)

• IP 71111.17T (Triennial Evaluation of Changes, Tests and Experiments The purpose of this review is to identify and implement short-term program changes that will make our engineering inspection program more effective and efficient by performing the following activities:

• Eliminating inspection overlap areas

• Increasing focus on current engineering performance

• Discussing other efficiency or effectiveness program changes that could be implemented on a longer timeline NRC held a public meeting on October 11, 2017, on the use of licensee self-assessments in the NRCs Baseline Inspection program. We are currently evaluating the feedback received from this meeting. Additionally, NRC plans to hold a two-day public meeting in January 2018 to share with stakeholders its recommended options for improving the effectiveness and efficiency of NRC engineering inspections.

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NEW REACTORS

42. Please provide a table showing the funds budgeted, the resources spent, and the total Part 170 fees billed each year for the last ten years for the Office of New Reactors.

FY 08 FY 09 FY 10 FY 11 FY 12 FY 13 FY 14 FY 15 FY 16 FY17 FY 18PB Enacted ($M) 137.08 110.46 109.81 110.71 102.53 100.87 112.61 96.08 91.63 72.03 76.49 Expended ($M) 82.57 81.16 90.55 89.75 76.06 89.16 67.03 61.46 62.63 51.99 Part 170 Billed ($M) 75.73 74.65 60.28 60.18 59.62 60.12 55.59 Enacted: Beginning in FY 2018, the NRC eliminated the allocation of mission indirect resources in the agency's budget request to increase transparency (see NRC FY 2018 Congressional Budget Justification page 161 for detailed explanation). To allow for comparison of historical budget data, FY 2008-FY 2017 are presented in a consistent manner.

Part 170 Billed: For FY 2008 - FY 2010, the data in the legacy billing system is not available at the office level.

43. For each design certification, Construction and Operating License (COL), and Early Site Permit (ESP) application reviewed since 2007, please provide:

a. The date of the first pre-application meeting;

b. The date the application was filed;

c. Whether the acceptance review was completed in 60 days;

d. The originally scheduled dates for completion of the safety evaluation report and environmental impact statement;

e. The actual dates for completion of the safety evaluation report and environmental impact statement;

f. For ongoing reviews, the projected date for final agency action;

g. For terminated or suspended reviews, the dates of the termination or suspension; and

h. The total fees billed for each review.

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Original Date of Acceptance Review Actual FSER Date of Withdrawal or Date the Review Schedule and FEIS (or Projected Total Fees First Pre- Suspension Project Name Application Completed Dates for EA) Date for Billed for Each Application Request (for was Filed in 60 Days FSER and Completion Final NRC Review Meeting terminated (Note 1) FEIS (or EA) Dates Action projects only)

Completion U.S. Advanced 05/12/2006 12/31/2007 Yes FSER: 6/2012 Application is Not N/A $77,832,301 Pressurized FEIS: N/A currently under Scheduled Water Reactor review (Note 2)

(APWR) DC APR1400 DC 11/05/2009 12/23/2014 Yes FSER: Application is 09/2019 N/A $51,633,035 09/2018 currently under FEIS: N/A review ABWR DC 02/23/2010 12/07/2010 Yes FSER: Application is Schedule N/A $4,797,734 Renewal (GEH) 03/2018 currently under currently FEIS: N/A review under review Turkey Point 02/10/2009 06/30/2009 Yes FSER: FSER: 04/2018 N/A $34,519,191 COL 12/2012 12/2016 FEIS: 10/2012 FEIS: 10/2016 Clinch River 12/14/2010 05/12/2016 No FSER: Application is 02/2020 N/A $3,921,646 ESP (Note 3) 08/2019 currently under FEIS: 06/2019 review NuScale SMR 07/09/2008 01/06/2017 Yes FSER: Application is 01/2021 N/A $11,879,191 DC 09/2020 currently under FEIS: N/A review North Anna Information 09/25/2003 Yes FSER: 6/2005 FSER: ESP N/A $8,579,177 ESP not known FEIS: 6/2005 08/2006 issued on FEIS: 12/2006 11/27/2007 Vogtle ESP Information 08/15/2006 Yes FSER: FSER: ESP N/A $11,680,269 not known 05/2008 02/2009 issued on FEIS: 05/2008 FEIS: 08/2008 08/26/2009 South Texas Information 09/20/2007 Yes FSER: FSER: COL $58,463,244 Project COL not known 09/2011 09/2015 issued on FEIS: 03/2011 FEIS: 02/2011 02/12/2016 88

Original Date of Acceptance Review Actual FSER Date of Withdrawal or Date the Review Schedule and FEIS (or Projected Total Fees First Pre- Suspension Project Name Application Completed Dates for EA) Date for Billed for Each Application Request (for was Filed in 60 Days FSER and Completion Final NRC Review Meeting terminated (Note 1) FEIS (or EA) Dates Action projects only)

Completion Bellefonte COL Information 10/30/2007 Yes FSER: Application N/A 03/28/2016 $21,916,556 not known 02/2011 withdrawn by FEIS: 01/2010 the applicant North Anna Information 11/26/2007 Yes FSER: FSER: COL N/A $33,032,175 COL not known 08/2010 01/2017 issued on FEIS: 12/2009 FSEIS: 06/02/2017 02/2010 Lee COL Information 12/12/2007 Yes FSER: FSER: COL N/A $22,762,364 not known 02/2011 08/2016 issued on FEIS: 03/2010 FEIS: 12/2013 12/19/2016 U.S. EPR DC 2/8/05 12/11/2007 Yes FSER: Application N/A 02/25/2015 $82,585,674 05/2011 review is FEIS: N/A suspended at the applicants request Shearon Harris Information 02/18/2008 Yes FSER: Application N/A 05/02/2013 $10,106,258 COL not known 04/2011 review is FEIS: 05/2010 suspended at the applicants request Vogtle COL Information 03/28/2008 Yes FSER: FSER: COL N/A $29,770,625 not known 12/2010 08/2011 issued on FEIS: 01/2010 FEIS: 04/2011 02/10/2012 V.C. Summer Information 03/27/2008 Yes FSER: FSER: COL N/A $28,057,913 COL not known 02/2011 08/2011 issued on FEIS: 02/2011 FEIS: 04/2011 03/30/2012 Levy COL Information 07/30/2008 Yes FSER: FSER: COL N/A $27,398,694 not known 05/2011 05/2016 issued on FEIS: 09/2010 FEIS: 04/2012 10/26/2016 89

Original Date of Acceptance Review Actual FSER Date of Withdrawal or Date the Review Schedule and FEIS (or Projected Total Fees First Pre- Suspension Project Name Application Completed Dates for EA) Date for Billed for Each Application Request (for was Filed in 60 Days FSER and Completion Final NRC Review Meeting terminated (Note 1) FEIS (or EA) Dates Action projects only)

Completion Fermi COL Information 09/18/2008 Yes FSER: FSER: COL N/A $26,413,206 not known 03/2012 11/2014 issued on FEIS: 08/2011 FEIS: 01/2013 05/01/2015 Comanche Information 09/18/2008 Yes FSER: 12/11 FSER: N/A N/A 11/07/2013 $23,278,377 Peak COL not known FEIS: 01/2011 FEIS: 05/2011 Application review is suspended at the applicants request River Bend Information 09/25/2008 Yes A review Application N/A 01/09/2009 $1,350,316 COL not known schedule was withdrawn by (suspension not developed the applicant request) for this application 12/04/2015 (withdrawal request)

Callaway COL Information 07/24/2008 No A review Application N/A 06/23/2009 $4,066,138 not known schedule was withdrawn by (suspension not developed the applicant request) for this application 08/12/2015 (withdrawal request) 90

Original Date of Acceptance Review Actual FSER Date of Withdrawal or Date the Review Schedule and FEIS (or Projected Total Fees First Pre- Suspension Project Name Application Completed Dates for EA) Date for Billed for Each Application Request (for was Filed in 60 Days FSER and Completion Final NRC Review Meeting terminated (Note 1) FEIS (or EA) Dates Action projects only)

Completion Bell Bend COL Information 10/10/2008 Yes FSER: FSER: N/A N/A 02/25/2015 $20,026,574 not known 03/2012 FEIS: 04/2016 (suspension FEIS: 03/2011 Application request) withdrawn by the applicant 08/30/2016 (withdrawal request)

PSEG ESP Information 05/25/2010 Yes FSER: FSER: ESP N/A $17,917,093 not known 07/2013 09/2015 issued on FEIS: 03/2013 FEIS: 11/2015 05/05/2016 ABWR DC Information 10/27/2010 Yes A review Application N/A 06/09/2016 $686,911 Renewal not known schedule was withdrawn by (Toshiba) not developed the applicant for this application Victoria County Information 03/25/2010 Yes FSER: Application N/A 08/28/2010 $6,146,248 ESP not known 04/2013 withdrawn by FEIS: 08/2013 the applicant Calvert Cliffs Information 07/13/2007 No FSER: FSER: N/A N/A 02/27/2015 $31,400,772 COL not known (Part 1 of 07/2012 FEIS: 05/2011 (suspension application) FEIS: 03/2010 Application request) withdrawn by 03/14/2008 Yes the applicant 06/08/2015 (Part 2 of (withdrawal application) request)

Nine Mile Point Information 09/30/2008 Yes A review Application N/A 12/01/2009 $2,687,822 COL not known schedule was withdrawn by (suspension not developed the applicant request) for this 91

Original Date of Acceptance Review Actual FSER Date of Withdrawal or Date the Review Schedule and FEIS (or Projected Total Fees First Pre- Suspension Project Name Application Completed Dates for EA) Date for Billed for Each Application Request (for was Filed in 60 Days FSER and Completion Final NRC Review Meeting terminated (Note 1) FEIS (or EA) Dates Action projects only)

Completion application 11/26/2013 (withdrawal request)

Grand Gulf Information 02/27/2008 Yes FSER: Application N/A 2/9/2015 $4,719,505 COL not known 03/2011 withdrawn by FEIS: 05/2010 the applicant Grand Gulf ESP Information 10/21/2003 Yes FSER: FSER: ESP N/A $5,352,875 not known 10/2005 10/2005 issued on FEIS: 10/2005 FEIS: 04/2006 04/05/2007 Clinton ESP Information 09/25/2003 Yes FSER: FSER: ESP N/A $5,186,587 not known 08/2005 02/2006 issued on FEIS: 08/2005 FEIS: 07/2006 3/15/2007 AP1000 DC Information 05/26/2007 Yes FSER: FSER: Final Rule N/A $33,036,394 Amendment not known 08/2010 08/2011 published FEIS: N/A FEIS: N/A on 12/30/2011 Economic 6/20-21/2002 08/24/2005 No FSER: FSER: Final Rule N/A $68,153,802 Simplified 06/2009 03/2011 published Boiling Water FEIS: N/A Supplement on Reactor FSER: 9/2014 10/15/2014 (ESBWR) DC FEIS: N/A ABWR DC Information 06/30/2009 Yes FSER: FSER: Final Rule N/A $1,145,852 Amendment not known 04/2010 10/2010 published FEIS: N/A FEIS: N/A on 12/16/2011 Victoria County Information 09/03/2008 Yes A review Application N/A 06/11/2010 $1,493,183 COL not known schedule was withdrawn by not developed the applicant for this application 92

Note 1: NROs acceptance review metric is to complete the acceptance review within 60 days and to issue a letter to the applicant documenting the staffs findings on acceptability within 75 days.

Note 2: The NRC is performing the review of the US APWR at a very reduced pace at the request of the applicant and will continue at this pace until notified by the applicant of a change in its plans. Therefore, no completion date has been established.

Note 3: The acceptance review for the Clinch River ESP application was extended at the request of the applicant, TVA, by letter dated August 19, 2016.

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44. Please provide a concise summary of the status of ongoing design certification, COL, and ESP application reviews. Please include a discussion of the issuance of RAls and receipt of responses.

In addition to the updates provided here, each of the DC, COL, and ESP milestone schedules that are under review are publicly available on the NRC website.

DC Applications The NRC employs a 6 Phase schedule to monitor progress towards completion of the safety review. These phases are:

• Phase 1 - Preliminary SER with RAIs issued to applicant

• Phase 2 - SER with Open Items issued

• Phase 3 - Response to ACRS regarding SER with Open Items issued

• Phase 4 - Advanced SER with no Open Items issued

• Phase 5 - Response to ACRS regarding SER with no Open Items issued

• Phase 6 - Final SER issued US-APWR Mitsubishi Heavy Industries (MHI) submitted its US-APWR DC application on December 31, 2007. The staff is currently in Phase 2 of the review. By letter dated November 5, 2013, MHI initiated a coordinated slowdown of NRC licensing activities in order to focus its resources towards supporting the restart of the Mitsubishi-designed reactors in Japan following the Fukushima event. The NRC staff has been performing the review of the US-APWR DC application at a very reduced pace and will continue at this reduced pace until further notice from the applicant. As of November 30, 2017, the staff has issued 5680 RAIs and the applicant has responded to 5532 of them.

APR1400 On December 23, 2014, Korea Electric Power Corp. and Korea Hydro & Nuclear Power Co.,

Ltd. (KHNP), submitted to the NRC its application for the certification of the APR1400 standard plant design for use in the U.S. domestic energy market. The NRC completed the Phase 2 review for all chapters of the application in May 2017 and completed the Phase 3 review in June 2017. The staff is currently in Phases 4 and 5 of its review. As of November 21, 2017, the staff had issued 2,199 RAIs and the applicant has responded to 2,195 of them. Of the RAIs issued, 99% are closed or are considered confirmatory actions that the staff will verify, upon receipt of the updated final safety analysis report, that the applicant has incorporated all changes in accordance with the response approved by the staff.

On October 31, 2017, the staff issued an updated schedule letter to KHNP explaining that, although the NRC staff has made substantial progress toward completing both the remaining Phase 4 and Phase 5 reviews, issues related to the technical quality, completeness, or timeliness of the applicants submittals have resulted in delays that affected the milestone dates for completion of Phase 4 and Phase 5. Therefore, the staff revised the Phase 4 public milestone date from December 2017 to March 2018. While no change was made to the Phase 5 or Phase 6 milestone dates, the Phase 4 delay may also impact the completion of the review schedule within the 42 month schedule.

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NuScale On January 6, 2017, NuScale submitted the first SMR DC application for review by the NRC.

On March 15, 2017, the NRC completed its acceptance review and docketed the application.

The staff issued the acceptance review letter to NuScale on March 23, 2017, and developed a full review schedule with public milestones that was transmitted to NuScale on May 22, 2017.

The staffs review is currently in Phase 1 and Phase 2. To date the NRC has identified 23 critical issues requiring resolution and that have the potential to adversely affect the review schedule. As of November 30, 2017, the staff has issued 851 RAIs and the applicant has responded to 547 RAIs. Of the RAIs issued, 46% are closed.

DC Renewal Applications ABWR Renewal (General Electric-Hitachi (GEH))

On December 7, 2010, GEH submitted an application for renewal of the ABWR DC. The review is currently in Phase 2, safety evaluation with open items. The NRC staff issued a letter to GEH on July 20, 2012, describing 28 design changes that GEH should have included in the application. By letter dated September 17, 2012, GEH stated it planned to address the 28 items in its Revision 6 of the ABWR DCD. By letter dated February 19, 2016, GEH submitted its revised application incorporating the changes to the ABWR DCD. On August 30, 2016, the staff issued a schedule letter to GEH based on resolving all open items by January 2017. However, some open items associated with the review of the application remain unresolved. On August 3, 2017, the staff issued a letter to GEH stating that the NRC will not be able to meet the original schedule outlined in the August 30, 2016, letter due to unresolved issues with the application. The letter also stated that the NRC will issue a revised schedule letter to GEH after additional interactions with the applicant are held to resolve these issues and the staff receives complete responses to the NRCs RAIs. As of November 30, 2017, the staff has issued 37 RAIs and the applicant has responded to all of them.

COL Applications Turkey Point Units 6 and 7 On June 30, 2009, Florida Power & Light Company (FPL) submitted a COL application for two AP1000 units at the existing Turkey Point Nuclear Generating Station site in Miami-Dade County, FL. On September 4, 2009, the NRC staff issued a letter to FPL indicating the Turkey Point COL application was acceptable for docketing The NRC staff completed its safety review and presented the final SER to ACRS on August 19, 2016. The final SER for Turkey Point was issued on November 10, 2016. The NRC issued the final EIS on October 28, 2016. The Commission held the mandatory hearing on December 12, 2017.

On May 2-3, 2017, the ASLB conducted an evidentiary hearing in Homestead, FL, for the contested proceeding involving the Southern Alliance for Clean Energy, National Parks Conservation Association, and other joint intervenors. On July 10, 2017, the ASLB ruled in favor of the NRC staff and terminated the contested proceeding. No appeal was filed within the appeal deadline. On April 18, 2017, the City of Miami, City of South Miami, and Village of Pinecrest (petitioners) filed a new petition seeking a hearing. On July 31, 2017, the ASLB rejected the pending contention and terminated the contested proceeding involving those 95

petitioners. The Commission denied the petitioners appeal from that decision on December 11, 2017 (CLI-17-12).

ESP Applications The NRC employs a 4 Phase schedule to monitor the progress towards completion of the safety review. These phases are:

• Phase A - Preliminary SER and RAIs issued to the applicant

• Phase B - Advanced SER with No Open Items Developed

• Phase C - ACRS meeting on Advanced SER

• Phase D - Final SER issued The NRC also employs a 4 Phase schedule to monitor completion of the environmental impact statement. These phases are:

• Phase 1 - Scoping Summary Report issued

• Phase 2 - Draft EIS issued to the U.S. Environmental Protection Agency (EPA)

• Phase 3 - Responses to DEIS comments completed

• Phase 4 - Final EIS issued to EPA Clinch River On May 12, 2016, TVA submitted an ESP application for the Clinch River Nuclear Site located in Oak Ridge, Tennessee. By letter dated August 11, 2016, TVA identified certain aspects of the application for which it intended to provide supplemental information. The NRC responded to TVA in a letter dated August 19, 2016, and informed TVA that its application would remain in a tendered but not docketed status until all of the supplemental information was provided to NRC. By December 15, 2016, TVA had provided the supplemental information in support of its application, and by letter dated January 5, 2017, the NRC staff informed TVA that its application, as supplemented, was acceptable for docketing and detailed technical review.

NRC staff began its detailed technical review of the ESP application in January 2017 and developed a full review schedule with public milestones that was transmitted to TVA on March 17, 2017. The Phase A review for all chapters of the application was completed by the staff on August 4, 2017 (consistent with the established schedule). The staff is currently in Phase B of its review, which is scheduled to conclude on October 29, 2018. As of November 30, 2017, the staff has issued 39 RAIs and the applicant has responded to 34 RAIs. Of the RAIs issued, 85% are closed or are considered confirmatory items. The final SER is projected to be issued in August 2019.

On June 12, 2017, the Southern Alliance for Clean Energy (SACE), Tennessee Environmental Coalition (TEC), and Blue Ridge Environmental Defense League filed petitions seeking a hearing. On September 12, 2017, the ASLB conducted oral argument on these petitions. On October 10, 2017, the Licensing Board issued a decision that denied the Blue Ridge Environmental Defense Leagues petition to intervene and granted the SACE and the TECs joint petition to intervene and admitted two contentions. SACE/TEC filed a motion for reconsideration of the Boards dismissal of the third contention and the motion was dismissed.

Separately, TVA appealed the admission of the two contentions to the Commission and that appeal is currently pending before the Commission. The Board is working to schedule the contested hearing for the two admitted contentions.

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45. For reactors under construction, please provide:

Project Name Project Type Licensing Status Vogtle Unit 3 COL Holder COL issued on 02/10/2012 Vogtle Unit 4 COL Holder COL issued on 02/10/2012

a. The number of NRC inspections and ITAAC reviews forecast to be completed per month versus the number completed each month; NRC Inspections Test Analyses and Acceptance Criteria (ITAAC) Inspections:

Forecasted ICN Submittals Versus 5

Completed and Forecasted ITAAC Inspections Vogtle 3 & 4 ITAAC Inspections Forecasted to be Complete Vogtle 3 & 4 ITAAC Inspections Completed 4

Projected ITAAC Closure Notification (ICN) Submittals 4 3

3 2

2 2 2 2 2 1

1 Nov-17 Dec-17 Jan-18 (a) Feb-18 NOTE: For each monthly forecasted ITAAC ICN submittal (blue right column), the total monthly ITAAC inspection status associated with the ICN can be found by adding the two columns together, Forecasted Inspections (left yellow column) and Completed Inspections (middle checkered column)

(a) A month with no data indicates that at this time, no ICNs are forecasted to be submitted for that month.

Comments:

For each ITAAC, there are predetermined inspections to be completed in order to provide assurance that the licensee has met the design commitments and the ITAAC acceptance criteria are met. Based upon NRC coordination with the licensees construction schedule, the majority of the required inspections are scheduled and completed prior to the ITAAC Closure Notifications (ICN) submittal.

This graph represents the comparison of the number of ITAAC inspections required for the forecasted ICN as projected by the licensees schedule with the number of ITAAC inspections already completed and those still needing to be completed. The completion of these ITAAC-related inspections closely mirrors the completion status of the licensees (Southern Nuclear Operating Company) work activities associated with the ITAAC. The licensees construction schedule can have impacts due to weather conditions, construction equipment performance, etc.

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ITAAC Closure Notifications Reviews:

The NRCs goal is to complete 90% of ICN reviews within 60 days. However, some ICN reviews may be completed in significantly less time. Conversely, complex ICN reviews may require more than 60 days to complete. For this reason, it is difficult for the NRC to forecast in which month a specific ICN review will be completed based on its submittal date. Therefore, the NRC relies on the metrics reported in its response to question 45.b.

b. The percentage of NRC inspections and the percentage of ITAAC reviews completed within 30 days and within two months; New Reactor Inspection Status:

AP1000 Construction Inspection Completion Progress 50%

45%

40% 35.6% 36.9% 37.0%

35% 30.7%

30%

25% 20.8% 20.8% 20.8% 20.8%

20%

15%

10%

5%

0%

Aug-17(a) Sep-17 Oct-17 Nov-17 Vogtle 3 & 4 Program Inspections Completed Vogtle 3 & 4 ITAAC Inspections Completed (a) On August 24, 2017, the NRC Issued Amendment Nos. 85 and 84 to Vogtle Units 3 and 4 which consolidated a number of ITAAC. Re-baseline of ITAAC inspection completion status is in progress.

Comments:

This graph represents the percentage of NRC inspections associated with ITAAC that have been completed since the start of construction with respect to the total number of inspections required for the Vogtle facility.

The ITAAC completion status is updated once inspections are completed, approved, and are documented in publicly-available inspection reports. Planned inspection activities are evaluated and updated to ensure they align with licensees work activities. On August 24, 2017, the NRC issued Amendment Nos. 85 and 84 to Vogtle Units 3 & 4, respectively. The amendments changed the COL Appendix C (and plant-specific design control document Tier

1) to consolidate a number of ITAAC to improve the efficiency of the ITAAC completion and closure process. As a result, a re-baseline of ITAAC inspection completion status is in progress.

This graph also reports the percentage of completed program inspections since the start of construction for these facilities, which include both programs required for construction and programs required for operation of the facilities. There are a total of five construction 98

programs, which include Quality Assurance, Fitness for Duty, and ITAAC Management. In addition, there are a total of 20 operational programs, which include Fire Protection, Emergency Preparedness, Reactor Operator Training, and Security. The graph depicts the percentage of planned inspections that are completed, and does not account for the level of effort required for inspections.

Timeliness of ITAAC Closure Notification Reviews:

Comments:

This bar chart shows the percentage of ICNs reviews completed each month within 30 days and within 60 days. Some of the months shown on the bar chart reflect that the ICN reviews are not meeting the review metric of 90% complete within 60 days. The majority of the delays in these reviews were due to coordination issues between the NRC and the licensee resulting in equipment or activities not being available for scheduled inspections. We are engaging with the licensee to bring attention to those ICNs that require inspection accessibility for timely closure of the ICNs.

c. For ITAAC reviews completed during the reporting period, please provide the date when the NRC received the ITAAC closure notice and the date when the review was completed.

For the current reporting period of November 2017, no ICNs were completed.

46. For reactors under construction, please provide:

a. The number of license amendment reviews forecast to be completed in the reporting period;

b. The number completed in the reporting period; and

c. The number of those that were completed within 30 days.

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Number of License Amendment Reviews Number of Those that Reporting Number Completed in the Forecast to be were Completed Period Reporting Period Completed in the within 30 Days Reporting Period November 2017 7 4 2

47. For reactors under construction, please provide the budgeted resources versus actual expenditures each month for the last 24 months.

The NRC does not formulate the budget on a monthly basis. The annual budget for construction resources is provided below. The monthly budgeted resources provided below are calculated as 1/12th of the annual budgeted construction resources.

FY 2016 Enacted Budget ($K) $17,169 FY 2017 Enacted Budget ($K) $14,191 FY 2018 Estimated Budget ($K) $15,526 Budgeted Total Month Resources Expended

($K) ($K)

Dec-15 $1431 $969 Jan-16 $1431 $844 Feb-16 $1431 $750 Mar-16 $1431 $823 Apr-16 $1431 $764 May-16 $1431 $844 Jun-16 $1431 $857 Jul-16 $1431 $946 Aug-16 $1431 $1,005 Sep-16 $1431 $921 Oct-16 $1183 $829 Nov-16 $1183 $882 Dec-16 $1183 $935 Jan-17 $1183 $983 Feb-17 $1183 $845 Mar-17 $1183 $1,048 Apr-17 $1183 $859 May-17 $1183 $990 Jun-17 $1183 $1,058 Jul-17 $1183 $1,129 Aug-17 $1183 $886 Sep-17 $1183 $808 Oct-17 $1294 $837 Nov-17 $1294 $926 100

48. Please provide a concise summary of the status of licensing and inspection for Vogtle 3 & 4, including any challenges to the timely resolution of: licensing issues, 10 CFR Part 52 interpretations, completion of inspections, or completion of ITAAC reviews.

The NRC issued COLs to SNC and several co-owners on February 10, 2012, for two AP1000 units at the Vogtle site near Augusta, GA. As construction progresses, the NRC has increased the pace of construction inspections to verify compliance with the agencys regulations and to ensure that the new plants are constructed in accordance with their COLs. A summary of the license amendment inventory for Vogtle 3 & 4 is included in response to question 13. There are currently no challenges with timely resolution of licensing issues for Vogtle 3&4.

The graphs provided in Item 45 of this report represent forecasted and completed NRC inspections and ITAAC reviews. The completion of these ITAAC-related inspections closely mirrors the completion status of the licensees work activities associated with the ITAAC. The graphs also display the percentage of completed program inspections, which are separate from the ITAAC-related inspections, and include both construction and operational programs. For ITAAC reviews, the NRC tracks the ITAAC closure notifications (ICNs) received for review versus the number of ICNs closed per month. In the past year the NRC has increased communication with the licensee and other external stakeholders through various public meetings and workshops to improve processes that support ICN closure, including inspection related activities. With the improvements identified to the processes and increased communication with the licensee, the staff does not foresee any major challenges for 2018.

49. Please describe any actions taken in the past 3 years or planned to improve the efficiency of new plant reviews, including milestone schedules to implement efficiency improvements.

Please include any concerns arising from review experience in the past 3 years.

The NRC proactively identifies ways to increase the effectiveness and efficiency of its new reactor reviews. For oversight of licensing activities at the Vogtle site, NRO senior managers have established quarterly meetings with the licensee executives to monitor progress of licensing activities supporting construction at the site. The Licensing Activities Readiness Meetings provide an opportunity for both the NRC and SNC to be strategic in identifying and resolving topics that are needed to support construction.

Similarly, for the NuScale review, the NRC senior managers meet with NuScale executives quarterly. These meetings provide executives from both organizations the opportunity to discuss progress on known review challenges, to identify emerging issues, and to establish timelines for resolving these emerging issues to keep the project review on schedule.

Starting in mid-2017, the NRO management team developed and implemented new internal metrics to better track the timeliness related to the review of license amendment requests supporting Vogtle licensing efforts. These metrics have identified license amendments that have been under lengthy reviews and have focused managements attention on the actions necessary to complete these reviews. The management and project managers meet biweekly to identify amendment requests that may require elevated management attention and to track the progress of license amendments, with particular attention to amendment requests that have been in review for 120 days or longer. NRO management has set an internal goal of completing all license amendment reviews within 180 days of their acceptance. With additional management attention and better use of pre-application meetings, NRO has been able to improve the timeliness of reviews.

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NRO has also incorporated many of the lessons-learned from previous new reactor reviews into its review activities for the active DC and ESP applications. As described in response to question 24, NRO implemented an initiative in 2016 to improve the focus of RAIs, which has improved the quality and safety focus of information requests. The staff is also enhancing use of the regulatory audit tool.

NRO has instituted an Enhanced Safety Focus Review initiative for the NuScale design certification review. This initiative focuses the staffs review on first-of-a-kind or high safety, high risk areas of the design, and simplifies the review of lower safety or risk significant areas.

In addition, the NRC has made significant progress on initiatives to enhance the regulatory framework for non-light water reactors (non-LWRs). For example, in October 2016, the NRC issued a draft Regulatory Review Roadmap for Non-Light Water Reactors, which described flexible review options including the use of a staged-review process and the use of conceptual design assessments during the pre-application period. The actions for advanced reactor reviews are described more fully in response to question 52.

50. Please provide a list of any unresolved policy issues with regard to the licensing of small modular light-water reactors (SMRs). Please include an approximate date for when each issue was first raised, any actions taken or planned to resolve the issue, the milestone scheduled for resolution, and the projected date for resolution.

Issue Title/Applicability Status References I. Appropriate Source In the December 29, 2011, memorandum to the SECY-16-0012 Term, Dose Commission, the staff stated it would remain (02/07/16)

Calculations, and engaged with SMR stakeholders regarding Commission Siting for SMRs applications of mechanistic source term (MST) Memo methods, review of pre-application white papers (06/20/14)

Applicability: SMRs and and topical reports it receives from potential Commission non-LWRs SMR applicants concerning source term issues Memo that discuss design-specific proposals to (05/30/13) address MST, and considerations of research Commission and development in this area. If necessary, the Memo staff would propose revised review guidance or (12/29/11) regulations, or propose new guidance to support reviews of SMRs.

In Commission Memoranda dated May 30, 2013, and June 20, 2014, the staff provided updates on interactions with DOE and nuclear industry organizations regarding MST. On February 7, 2016, the staff provided the Commission SECY 16-0012, which addressed this item. The paper concluded that (1) SMR and non-light water reactor (non-LWR) applicants can employ modern analysis tools to demonstrate quantitatively the safety features of those designs, (2) MST analysis methods can also be used by applicants to demonstrate the ability of the enhanced safety features of plant 102

Issue Title/Applicability Status References designs to mitigate accident releases, allow future COL applicants to consider reduced distances to Exclusion Area Boundaries and Low Population Zones and potentially increase proximity to population centers.

Disposition: The staff has engaged with interested stakeholders on this issue in 2017 and will inform the Commission, as necessary.

II. Offsite Emergency In SECY-11-0152, staff identified a possible SRM-SECY Planning (EP) approach for a scalable emergency planning 0069 (06/22/16)

Requirements for zone for SMRs. The NRO staff is working with SECY-16-0069 SMRs and other new NSIR and NRR on an internal working group to (05/31/16) technology. review these issues further. As part of the SRM-SECY approach, the staff would liaise with other 0077 (08/04/15)

Applicability: SMRs and stakeholders (Department of Homeland SECY-15-0077 non-LWRs Security/Federal Emergency Management (05/29/15)

Agency, the Environmental Protection Agency, NEI Response to NRC Department of State, Department of Commerce, Questions on NEI, American Nuclear Society, and the public),

White Paper consider industry position papers on this topic (11/19/14) and develop recommendations. NRC Letter to NEI (R. Bell)

In a May 30, 2013, Commission Memorandum, (06/11/14) the staff provided updates on its EP activities. NEI White Paper The staff stated that it would not propose new (12/23/13) policy or revise guidance for specific changes to Commission EP requirements absent specific proposals from Memo the industry. (05/30/13)

SECY-11-0152 On December 23, 2013, NEI submitted a white (10/28/11) paper on this topic. The staff conducted a public meeting to discuss the white paper on April 8, 2014, issued follow-up questions to NEI on June 11, 2014, and received NEI responses in November 2014. On May 29, 2015, staff issued SECY-15-0077 regarding EP for SMRs and non-LWRs. On August 4, 2015, the Commission approved the staff's recommendation to initiate a rulemaking. Staff developed SECY-16-0069, which discussed the rulemaking plan and schedule. On June 22, 2016, the Commission approved the staff's plan and schedule for the rulemaking.

Disposition: The rulemaking will address EP issues for future SMRs, non-LWR, and other new design technologies such as isotope producing facilities. The Commission directed the staff to utilize exemptions in the interim (e.g.,

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Issue Title/Applicability Status References for the TVA ESP) until completion of the EP rulemaking. The draft regulatory basis was published for public comment in the Federal Register on April 13, 2017. A public meeting was held May 10, 2017, to discuss the draft regulatory basis. The public comment period closed on June 27, 2017. After considering the public comments, the staff issued the final regulatory basis on October 16, 2017. The proposed rule is scheduled to be provided to the Commission for its consideration in October 2018.

III. Insurance and In SECY-11-0178, the staff identified a potential SECY-11-0178 Liability for SMRs inequity between the insurance requirements for (12/22/11) power reactors producing electrical power equal Applicability: SMRs and or greater than 100 MWe per unit and those non-LWRs SMR designs with individual modules producing less than 100 MWe. Specifically, staff raised the question of whether there would be insurance and indemnity coverage sufficient to pay all public claims in the case of an insurable event for an SMR with an individual module sized at less than 100 MWe under the current Price-Anderson Act and associated regulatory language.

Since completing that paper, staff prepared a comparative analysis of different SMR designs to further explore the potential inequity. Staff is using this analysis, and other inputs, to develop a SECY paper for this topic. In the paper, staff will identify whether rulemaking or a change to the current interpretation of the definitions given in the Price-Anderson Act is recommended.

Disposition: This is a narrowly focused issue yet is related to other multi-module issues, such as the multi-module licensing process, and differences in potential consequences from non-LWR designs. Staff engaged stakeholders on this topic during a November 2, 2017, public meeting and is awaiting feedback. The staff will then assess the need for continuation or modification of the Price-Anderson provisions.

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Issue Title/Applicability Status References IV. Security and In SECY-11-0184, staff informed the NEI White Safeguards Commission of its determination that the current Paper Requirements for regulatory framework is adequate to certify, (12/14/16)

SMRs approve, and license light-water SMRs, the manufacturing of SMR fuel, transportation of SECY-11-0184 Applicability: SMRs and special nuclear material and irradiated fuel, and (12/29/11) non-LWRs the interim storage of irradiated fuel proposed for light-water SMRs under 10 CFR Parts 50, 52, 70, 71, and 72, respectively. The staff also determined that security and material control and accounting requirements in 10 CFR Parts 72, 73, and 74, respectively, are also adequate.

In the case of non-LWRs, the staff's preliminary conclusion is that the current security regulatory framework is comprehensive and sufficiently robust to certify, approve, and license non-LWRs. Sufficient provisions are available to provide flexibility for designers and applicants to meet performance-based and prescriptive security requirements and to apply methods or approaches to achieve the objective of high assurance that activities involving special nuclear materials are not inimical to the common defense and security and do not constitute an unreasonable risk to public health. On December 14, 2016, NEI submitted a white paper on a "Proposed Consequence-Based Physical Security Framework for Small Modular Reactors and Other New Technologies." This paper "... proposes an approach to security that considers the enhanced safety and security incorporated into these designs and provides a more effective and efficient means to protect the public health and safety." In the transmittal letter, NEI requests that "... the NRC establish regulatory positions on this approach and the associated policy and technical issues." NEI submitted a fee waiver request for NRCs review of this white paper.

Disposition: The NRC has approved NEI's fee waiver request and met with NEI on May 3, 2017, to discuss the review of their submittal.

The NRC provided feedback on NEIs white paper in July 2017, and met with NEI again on October 12, 2017. The staff met with NEI on December 13, 2017, to discuss the staffs plan to prepare a Commission paper in FY 2018 to address this issue.

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Issue Title/Applicability Status References V. Functional In SECY-93-0092, Issues Pertaining to the SECY-93-092 Containment Advanced Reactor (PRISM, MHGTR, and PIUS) dated 04/08/93 Performance and Candu 3 Designs and their Relationship to Current Regulatory Requirements, the staff SRM-SECY Applicability: Non-LWRs proposed to evaluate the acceptability of 092, dated proposed designs using a standard based upon 07/30/93 containment functional performance rather than to rely exclusively on prescriptive containment design criteria. The staff also informed the SECY-03-0047, Commission that it intended to approach this by dated 03/28/03 comparing containment performance with the accident evaluation criteria. In SRM-SECY SMR-SECY 0092, the Commission approved the staff's 0047, dated recommendation. 06/26/03 Subsequently, in SECY-03-0047, the staff SECY-05-0006, recommended that the Commission approve the dated 01/07/05 use of functional performance requirements to establish the acceptability of a containment or confinement structure (i.e., a non-pressure retaining building may be acceptable provided the performance requirements can be met) and the staff proposed that functional performance requirements be developed. In SMR-SECY 0047, the Commission disapproved the staffs recommendation stating that there was insufficient information at the time for the Commission to prejudge the best options and make a decision on the viability of a confinement building. The Commission directed the staff to develop performance requirements and criteria working closely with industry experts (e.g.,

designers, EPRI, etc.) and other stakeholders regarding options in this area, taking into account such features as core, fuel, and cooling systems design. The Commission also directed the staff to pursue the development of functional performance standards and then submit options and recommendations to the Commission.

In SECY-05-0006, the staff discussed many of the concepts developed in previous communications between the staff and Commission on the topic of functional containment performance and, as directed in SRM-SECY-03-0047, outlined the attributes for a functional containment. The topic of functional containment was also addressed as part of the next-generation nuclear plant (NGNP) project in 106

Issue Title/Applicability Status References the context of high-temperature gas-cooled reactors. More recently, in light of the broad range of non-light water designs under consideration, the staff has determined that it would be beneficial to seek Commission direction to support development and possible deployment of advanced reactor technologies.

The staff plans to engage the Commission to confirm whether the Commission direction in SRM-93-0092 should be applied more broadly to additional advanced reactor designs and to propose a risk-informed, performance-based approach to establishing performance criteria for structures, systems, and components and corresponding programs to limit the release of radioactive materials from advanced reactors.

Disposition: The staff has engaged stakeholders on this topic at several public meetings, including a meeting on December 14, 2017. The staff plans to prepare a draft Commission paper and to issue a final SECY paper in FY 18.

51. Please provide a list of any unresolved policy issues with regard to the licensing of advanced non-light water reactors. Please include an approximate date for when each issue was first raised, any actions taken or planned to resolve the issue, the milestone schedule, and the projected date for resolution.

See response to question 50. All of the SMR policy issues listed in that response are also applicable to non-light water designs. In addition, there is one additional non-light water specific issue included on that list: functional containment performance.

52. Please describe the status of preparations to review non-light water reactor applications including a milestone schedule and completion dates.

The agency has developed a vision and strategy to assure NRC readiness to conduct its mission for these technologies effectively and efficiently as described in NRC Vision and Strategy: Safely Achieving Effective and Efficient Non-Light Water Reactor Mission Readiness, which was published in the Federal Register on July 21, 2016, for stakeholder input. The NRC updated this document (ADAMS Accession No. ML16356A670) to reflect stakeholder feedback and made it publicly available in December of 2016.

The NRCs non- LWR vision and strategy has three strategic objectivesenhancing technical readiness, optimizing regulatory readiness, and optimizing communication. The NRC has developed implementation action plans (IAPs) to identify the specific activities the NRC will conduct in the near-term (0-5 years), mid-term (5-10 years), and long-term (beyond 10 years) timeframes to achieve non-LWR readiness. In the fall of 2016, the NRC released its draft near-term IAPs to obtain stakeholder feedback. The staff also developed draft mid- and long-term IAPs, which were released to the public in February of 2017. The staff updated its IAPs to 107

reflect stakeholder feedback in July of 2017 (ADAMS Accession Nos. ML17165A069 and ML17164A173).

There are 6 individual strategies addressed in the near-term IAPs. These strategies, and the activities in support of each strategy, are discussed below.

Strategy Activities in support of the strategy

1) Acquire/develop

• NRC contracted with the Oak Ridge National sufficient knowledge, Laboratory to develop a 12-module training course technical skills, and on Molten Salt Reactors (MSRs). The course capacity to perform provided background on various MSR concepts non-LWR regulatory presently under development, including history of activities earlier MSR projects, descriptions of conceptual designs, and expected technical and regulatory challenges. About 90 NRC staff attended the training along with several DOE staff in three separate 2-day sessions in May, August, and November 2017.

• NRC developed models of the competencies required for reviewing advanced reactor designs.

Project managers and technical reviewers in NRO are currently in the process of assessing their skills against the models. Supervisors will also be able to complete an independent assessment of their employees skills. Based on assessment results, any skill gaps that may exist can be identified and the system will help the employee identify developmental activities and create an individual development plan to close those gaps.

2) Acquire/develop sufficient

• Staff attended DOE and NRC-sponsored workshops computer codes and tools and technology working groups, sought additional to perform non-LWR information through pre-application interactions, and regulatory reviews focused its training efforts to better understand the reactor systems under development. In the near-term, these efforts are focused on the following areas: Reactor Kinetics and Criticality, Fuel Performance, Thermal-Fluid Phenomena, Severe Accident Phenomena, Offsite Consequence Analysis, Materials and Component Integrity, and PRA.

• An initial screening of analysis codes for design-basis and beyond-design-basis event simulation was completed, and a suite of tools for further examination and consideration has been identified.

The code suite comprises both NRC-developed and DOE-developed codes. Future efforts will evaluate codes in the code suite against analysis requirements.

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Strategy Activities in support of the strategy

• A Phenomena Identification and Ranking Table (PIRT) exercise was conducted for molten salt reactors. The PIRT focused attention on fuel salt MSRs due to their novel and unique feature of fuel being part of the coolant. The PIRT is considered preliminary in that design specifics are not available, but it is useful in that several phenomena requiring simulation could be identified based on existing information.

• Staff completed a PRA report that summarizes previous work and issues for non-LWRs and identifies several policy decisions that may need to be made for non-LWRs.

3) Develop guidance for a

• In October 2017, the staff issued A Regulatory flexible non-LWR Review Roadmap for Non-Light Water Reactors regulatory review process (ADAMS Accession No. ML17279B177) and within the bounds of discussed the revised draft with stakeholders on existing regulations, November 2, 2017. The NRC issued the final including the use of regulatory review roadmap on December 26, 2017.

conceptual design reviews and staged-review

• In June 2017, the NRC issued a preliminary draft processes document, "Nuclear Power Reactor Testing Needs and Prototype Plants for Advanced Reactor Designs," to solicit stakeholder feedback (ADAMS Accession No. ML17025A353). This document describes the relevant regulations governing the testing requirements for advanced reactors, describes the process for determining testing needs to meet the NRC's regulatory requirements, clarifies when a prototype plant might be needed and how it might differ from the proposed standard plant design, and describes licensing strategies and options that include the use of a prototype plant to meet the NRC's testing requirements.

• On February 3, 2017, the NRC issued draft regulatory guide DG-1330, "Guidance for Developing Principal Design Criteria for Non-Light Water Reactors" for formal public comment. The NRC plans to issue the final regulatory guide in the spring of 2018.

• The NRC is supporting activities related to the Licensing Modernization Project (LMP) being led by Southern Company, coordinated by the NEI, and cost-shared by DOE. The LMP's objective is to develop technology-inclusive, risk-informed, and performance based regulatory guidance for licensing 109

Strategy Activities in support of the strategy non-LWRs for the NRCs consideration and possible endorsement. The NRC is currently reviewing three LMP white papers: Modernization of Technical Requirements for Licensing of Advanced Non-Light Water Reactors - Selection of Licensing Basis Events (ADAMS Accession No. ML17104A254),

Modernization of Technical Requirements for Licensing of Advanced Non-Light Water Reactors -

Probabilistic Risk Assessment Approach (ADAMS Accession No. ML17158B543), and Modernization of Technical Requirements for Licensing of Advanced Non-Light Water Reactors: Safety Classification and Performance Criteria for Structures, Systems, and Components (ADAMS Accession No. ML17290A463). An additional LMP white paper regarding defense-in-depth was received in December 2017.

4) Facilitate industry codes

• The NRC staff is actively participating in subgroups and standards needed to and working groups associated with the development support the non-LWR life of ASME Boiler and Pressure Vessel (B&PV) Code, cycle (including fuels and Section III, Division 5. NRC staff is also participating materials) in the Task Group on ASME/NRC Liaison for Division 5 that seeks NRC, DOE, and industry input in identifying gaps in ASME B&PV Code Section III, Division 5, which need to be resolved prior to considering endorsement in 10 CFR 50.55a. The staff discussed this topic during a public meeting on December 14, 2017.

• The staff is actively participating on several American Nuclear Society (ANS) standards working groups and consensus committees related to non-LWR safety standards and the joint ASME/ANS non-LWR PRA standard.

• On September 26, 2017, the NRC held the second annual NRC Standards Forum, which was attended by representatives from many standards development organizations, representatives from industry (NEI, the Electric Power Research Institute, and Technology Working Groups for non-LWRs),

and representatives from DOE and DOE national labs. A portion of this years standards forum was devoted to non-LWRs with the intent of working with stakeholders to identify new codes and standards needed for non-LWR development and to facilitate the codes and standards development and eventual endorsement by the NRC, as appropriate.

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Strategy Activities in support of the strategy

5) Identify and resolve The NRCs key activities related to the resolution of policy technology-inclusive (not issues in support of near-term IAP strategy 5 are discussed specific to a particular non- in response to questions 50 and 51 above.

LWR design or category) policy issues that impact regulatory reviews, siting, permitting, and/or licensing of non-LWR nuclear power plants

6) Develop and implement a

• The NRC is conducting public meetings with structured, integrated stakeholders every 4 to 6 weeks. The NRC uses strategy to communicate these stakeholder meetings to solicit input on policy with internal and external and process issues related to the possible licensing stakeholders having and regulation of non-LWR technologies.

interests in non-LWR technologies

• The NRC and DOE also hosted a series of three Advanced Non-LWR Workshops. The most recent workshop was held on April 25 and 26, 2017. This series of workshops focused on opening a dialogue between key stakeholders to discuss challenges in the commercialization of non-LWR technologies and to discuss possible solutions.

• On November 10, 2016, the NRC and DOE signed a MOU (ADAMS Accession No. ML16215A382) on the Gateway for Accelerated Innovation in Nuclear (GAIN) Initiative. GAIN is an initiative that is intended to provide the nuclear energy community with increased access to the technical, regulatory, and financial support necessary to move new or advanced nuclear reactor designs toward commercialization while ensuring the continued safe, reliable, and economic operation of the existing nuclear fleet. As described in the MOU, the NRC is responsible for providing DOE and the nuclear energy community with accurate, current information on the NRCs regulations and licensing processes.

• The NRC will continue to share information with various international groups, including the Organization for Economic Co-operation and Developments Nuclear Energy Agency (NEA), the International Atomic Energy Agency, the Generation IV International Forum, and the NRCs international regulatory counterparts. The NRC chairs NEAs ad hoc group for international regulators of non-LWRs known as the Group on the Safety of Advanced Reactors. The purpose of the group is to bring interested regulators together to 111

Strategy Activities in support of the strategy discuss common interests, practices, and problems, and address both the regulatory interests and research needs.

112