ML19126A025

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Presentation for May 7, 2019 Annual Meeting on Nuclear Technology, Berlin Germany
ML19126A025
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Issue date: 05/07/2019
From: Susan Vrahoretis
NRC/OGC
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Susan Vrahoretis OGC/NRP 301-287-9190
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Flexible, Innovative Regulation of Small Modular Reactors and Other New Technologies Annual Meeting on Nuclear Technology Berlin, Germany Susan H. Vrahoretis Assistant General Counsel, New Reactor Programs Division U.S. Nuclear Regulatory Commission 7 May 2019

Flexible, Innovative Regulation of SMRs and Other New Technologies - Overview

  • Transformation at the U.S. NRC
  • Overview of U.S. NRC Statutory Authority
  • Initiatives to Modernize Large Light-Water Reactor Licensing
  • Flexible Design and Licensing Approaches for Small Modular Reactors
  • Preparing and Planning for Licensing Advanced Non-Light-Water Reactors and Micro-Reactors
  • International Activities AMNT Berlin, Germany 7 May 2019 2

Transformation at the U.S. NRC

  • In 2018, the U.S. NRC staff requested Commission approval of potential transformational changes to the agencys regulatory framework, culture, and infrastructure.
  • The purpose of this project was to increase and enhance the agencys effectiveness, efficiency, and agility and more fully enable the safe, secure use of new technology in civilian nuclear applications.
  • The staff sought a wide range of views from inside and outside the agency.
  • The Commission is considering the staffs recommendation.

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Atomic Energy Act of 1954, as amended

  • The legal standard for U.S. NRC licensing decisions is that the Commission must have reasonable assurance of adequate protection of human health and safety and common defense and security.
  • The U.S. Supreme Court has recognized that nuclear technology continues to change and advance and what constitutes reasonable assurance of adequate protection will change as the state of the art of nuclear safety advances.

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Atomic Energy Act of 1954, as amended

  • The Commission makes case-by-case determinations of what constitutes adequate protection under the AEA.
  • Adequate protection is left almost entirely to the expert scientific judgment of the U.S. NRC.
  • The courts and the Commission have repeatedly avoided defining adequate protection in concrete terms, and
  • The courts have refused to require the U.S. NRC to establish a set of universal tests, checklists, quantitative data, or objective criteria for determining what level of protection is adequate.

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U.S. NRC Regulatory Framework - Overview

  • Implements the statutory authority conveyed to U.S. NRC by the AEA
  • Developed for use in regulating large light-water reactors
  • Adaptable for use in regulating small modular light-water reactors, advanced non-light-water reactors, micro-reactors, and other new technologies AMNT Berlin, Germany 7 May 2019 6

U.S. NRC Regulation of Large Light-Water Reactors

  • The U.S. NRCs regulatory framework for large light-water reactors (LWRs) is robust, diverse, and has built-in flexibility.
  • The regulatory framework was developed primarily for use in regulating large LWRs.
  • Our processes and procedures are well-known, stable, and mature.
  • The U.S. operating fleet of reactors is safe and secure.

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Initiatives to Modernize Large Light-Water Reactor Licensing

  • New Approach to Inspections, Tests, Analyses, and Acceptance Criteria for New Reactor Licensing
  • Updating Guidance for the U.S. NRC Staff
  • Updating Guidance for Nuclear Power Reactor Design and License Applicants AMNT Berlin, Germany 7 May 2019 8

Initiatives to Modernize Large Light-Water Reactor Licensing Updating Key Guidance Documents

  • Guidance for the U.S. NRC Staff
  • Guidance for Nuclear Power Reactor Design and License Applicants

Initiatives to Modernize Large Light-Water Reactor Licensing New Approach to Inspections, Tests, Analyses, and Acceptance Criteria in Designs and Licenses

  • Section 185b. of the Atomic Energy Act of 1954, as amended, requires that the U.S. NRC identify within combined licenses the inspections, tests, analyses, and acceptance criteria (ITAAC), including those applicable to emergency planning, that the licensee must perform, and
  • Section 185b. also requires inclusion in the license of the acceptance criteria that, if met, provide reasonable assurance that the facility has been constructed and will be operated in conformity with the license, the AEA, and the Commissions rules and regulations.

AMNT Berlin, Germany 7 May 2019 10

Initiatives to Modernize Large Light-Water Reactor Licensing New Approach to Inspections, Tests, Analyses, and Acceptance Criteria in Designs and Licenses

  • When promulgating 10 C.F.R. Part 52, the Commission left to each design certification rulemaking the amount of information to be certified.
  • Each design certification rulemaking incorporates by reference a design control document with design information categorized into tiers.
  • Most previous design certification rulemakings included three tiers, Tier 1, 2*, and 2.
  • Tier 1 information has the greatest safety-significance and is certified as part of the standard design. To change this information, the Commission must approve both a license amendment and an exemption.
  • Tier 2* information requires approval of a license amendment to change.
  • Licensees may, generally, take departures from Tier 2 information without a license amendment or exemption.

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New Approach to Inspections, Tests, Analyses, and Acceptance Criteria in Designs and Licenses -continued

  • Lessons learned from construction of large LWR facilities led to innovation, efficiency, and no reduction in safety
  • Consolidation and removal of redundancy streamlines completion of construction
  • New screening process for changes to Tier 2* information focuses resources on safety-significant issues
  • APR1400 Standard Design Approval - no Tier 2* classification
  • Staff efforts to improve design certification content
  • Additional initiatives to create structure for the process of determining what information requires Tier 1 classification AMNT Berlin, Germany 7 May 2019 12

Flexible Design and Licensing Approaches for Small Modular Reactors AMNT Berlin, Germany 7 May 2019 13

What is an SMR?

  • IAEA uses SMR as an abbreviation for small and medium sized reactors.
  • Small reactor is a reactor with the equivalent electric power less than 300 Megawatts-electric (MWe).
  • Medium sized reactor is a reactor with the equivalent electric power between 300 and 700 MWe.
  • U.S. Department of Energy (DOE) has defined SMRs as those reactor designs that are 300 MWe and fabricated in modules that are transportable from the factory to the site by rail or truck.
  • U.S. NRC has not officially defined SMR but recognizes that SMRs are generally defined as reactor units with an electrical output of less than 300 MWe that are produced using modular fabrication and construction techniques.

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SMRs differ from the current operating fleet in terms of size, scalability, purpose and modularity.

  • SMRs are one category of new reactor designs.
  • They are smaller than typical current U.S. nuclear plants that may generate over 1000 MWe.
  • SMRs generate far fewer MWe per unit, many producing less than 100 MWe.
  • While SMRs are small compared to typical plants operating in the United States today, they are also scalable.
  • Multiple SMR units can be grouped at a site to meet a utilitys specific power-needs.
  • SMRs can serve purposes other than power generation, e.g., hydrogen production or process heat.

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What is modular design?

  • a nuclear power station
  • that consists of two or more essentially identical nuclear reactors (modules) and
  • each module is a separate nuclear reactor capable of being operated independent of the state of completion or operating condition of any other module co-located on the site
  • even though the nuclear power station may have some shared or common power systems.
  • Co-location is a term the U.S. NRC Staff uses to describe locating an SMR facility adjacent to another type of industrial facility, e.g., a chemical plant.

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License Structure for Small Modular and Multi-Module Reactor Facilities 10 C.F.R Part 52 features:

Standardization and Options for Licensing

  • Standardization of Designs
  • Options for Licensing
  • Standard Design Certification
  • Early Site Permit
  • Standard Design Approval
  • Combined License
  • Manufacturing License AMNT Berlin, Germany 7 May 2019 17

License Structure for Small Modular and Multi-Module Reactor Facilities

  • In 2011, the U.S. NRC Staff reviewed three potential licensing structure alternatives for multi-module SMR facilities licensed under 10 C.F.R. Part 52. The preferred approach features one application for all modules at a site with individual licenses for each module.
  • The U.S. NRC Staff will conduct additional analysis to determine how best to license common structures, systems, and components associated with the modules; the license duration of individual modules; and decommissioning.

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SMRs and Advanced Reactors Can Also Seek Construction Permits and Operating Licenses

  • General Design Criteria
  • Two Step Licensing Process
  • Construction Permit
  • Conceptual Design Information
  • May Reference a Part 52 Standard Design Certification or Standard Design Approval
  • Operating License
  • Application is submitted near completion of construction AMNT Berlin, Germany 7 May 2019 19

Control Room Staffing and Operator Licensing

  • Current U.S. NRC regulations do not address the possibility of more than three reactors at a site, or a single control room for more than two reactors.
  • SMR designers are considering how many modules can be operated and controlled using a single control room.
  • Designers are also considering whether their multi-module facilities can be operated with fewer licensed operators than U.S. NRC regulations currently permit.
  • In 2011, the U.S. NRC staff determined that existing regulations and guidance are adequate to evaluate plant-specific exemption requests in the near term.

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Emergency Preparedness

  • The U.S. NRCs current regulations permit prospective SMR applicants to propose reduced emergency planning zones based on the enhanced safety in the designs.
  • In 2015, the U.S. NRC staff recommended rulemaking to amend emergency preparedness requirements for SMRs and other new technologies.
  • The Commission approved the staffs recommendation and directed the staff to proceed with rulemaking and, in the interim, consider exemptions from the emergency preparedness requirements.
  • In 2018, the staff submitted a proposed rule, which the Commission is considering.

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Insurance and Liability

  • Section 170 of the AEA, Indemnification and Limitation of Liability (the Price-Anderson Act or Act), establishes an indemnification and public liability scheme for damages resulting from nuclear power reactor accidents.

NRC licensees.

  • In 2011, the U.S. NRC staff identified a potential inequity in its insurance and liability requirements between the insurance requirements for facilities with power reactors that produce electrical power equal or greater than 100 MWe and multi-module SMR facilities where an individual modules power does not exceed 100 MWe but, in combination, produce more than 100 MWe.
  • The U.S. NRC staff will prepare a report to Congress and an associated Commission paper with recommendations by December 31, 2021.

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Preparing and Planning for Licensing Advanced Non-Light-Water Reactors and Micro-Reactors AMNT Berlin, Germany 7 May 2019 23

What is an advanced reactor?

  • In the U.S., advanced reactor has been used to refer to those designs of commercial reactors, employing either light-water-reactor (LWR) or non-LWR technology, which incorporate the Commissions expectations set forth in the Policy Statement on the Regulation of Advanced Reactors, 73 Fed. Reg. 60612 (Oct.

14, 2008).

  • NRC has generally considered any reactor proposed to supply electricity to remote locations or to electrical grids in small increments, and those proposed to generate process heat for industrial applications, such as crude oil extraction, as advanced reactors.

AMNT Berlin, Germany 7 May 2019 24

What is a micro-reactor?

  • U.S. DOE defines a nuclear micro-reactor as one that is capable of producing 1 - 20 megawatts of thermal energy (MWT) used directly as heat or converted to electric power.
  • According to U.S. DOE, micro-reactors are not defined by the fuel form or coolant they use. Instead, they have three main features:
  • Factory-built
  • Transportable
  • Self-regulating
  • U.S. DOE has stated that American micro-reactor developers are currently focused on gas and heat-pipe cooled designs that may be ready by the mid-2020s.

AMNT Berlin, Germany 7 May 2019 25

New Legislation for Advanced Reactors

(1/14/2019)

  • Nuclear Energy Innovation Capabilities Act (NEICA)

(1/14/2019)

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NEIMA

(01/14/2019) directs the U.S. NRC to modify the licensing process for commercial advanced nuclear reactor facilities.

  • In addition, the bill amends the Omnibus Reconciliation Act of 1990 to revise how the U.S. NRC preserves budgeted funds for conducting and accelerating license reviews of commercial advanced nuclear reactor facilities.
  • The U.S. NRC must implement a licensing process that is designed to be predictable and efficient while conforming to existing regulatory guidelines.

This statute directs the U.S. NRC to develop a technology-inclusive regulatory framework by the end of 2024 that encourages greater technological innovation for the advanced nuclear reactor program.

  • This statute also directs the U.S. NRC to report to Congress on the status of the licensing process for accident tolerant fuel.

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NEICA

  • The Nuclear Energy Innovation Capabilities Act of 2017 (NEICA),

amends the Energy Policy Act of 2005 to revise the objectives of the civilian nuclear energy research, development, demonstration, and commercial application programs of the U.S. Department of Energy (DOE).

  • NEICAs purpose is to revise these U.S. DOE programs to emphasize:
  • Providing research infrastructure to promote scientific progress and enable users from academia, the U.S. DOE National Laboratories, and the private sector to make scientific discoveries relevant for nuclear, chemical, and materials science engineering, and
  • Enabling the private sector to partner with U.S. DOE National Laboratories to demonstrate novel reactor concepts and resolve technical uncertainty associated with the objectives listed above.

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Vision and Strategy and Action Plans for Licensing Advanced Reactors

  • The U.S. NRCs vision and strategy for non-LWRs has three strategic objectives: enhancing technical readiness; optimizing regulatory readiness; and optimizing communication.
  • The U.S. NRC staff has made significant progress toward achieving its goals and executing its Implementation Action Plan:
  • Strategy 1: Knowledge, Skills, and Capability
  • Strategy 2: Computer Codes and Review Tools
  • Strategy 3: Flexible Review Processes
  • Strategy 4: Consensus Codes and Standards
  • Strategy 5: Policy and Key Technical Issues
  • Strategy 6: Communication AMNT Berlin, Germany 7 May 2019 29

New Guidance for Advanced Reactors

  • Advanced Reactor Design Criteria
  • In July 2013, the U.S. NRC and DOE began developing general design criteria for advanced reactors, which is a key portion of the licensing framework and essential to advanced reactor technologies.
  • Reg. Guide 1.232, Advanced Non-LWR Design Criteria, was completed and published in the Federal Register in April 2018.
  • Industry-Led Licensing Modernization Project
  • The purpose of this project, led by industry and supported by the U.S. DOE, is to develop technology-inclusive, risk-informed, and performance-based regulatory guidance for licensing non-LWRs.
  • The U.S. NRC staff is evaluating this project and associated guidance and will provide its analysis and recommendation to the Commission for its consideration.

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Physical Security

  • In 2011, the U.S. NRC Staff submitted a paper to the Commission to convey its determination that the current regulatory framework is adequate to certify, approve, and license light-water SMRs, the manufacturing of SMR fuel, transportation of special nuclear material and irradiated fuel, and the interim storage of irradiated fuel.
  • In 2016, the Nuclear Energy Institute (NEI), proposed an approach to security that considers the safety and security features incorporated into SMRs and non-LWRs.
  • In 2018, the U.S. NRC staff provided its evaluation of this proposal to the Commission.
  • The Commission approved the staffs recommended option and directed the staff to initiate a limited-scope revision of regulations and guidance related to physical security for advanced reactors.

Susan Vrahoretis, US NRC 31 AMNT Berlin, Germany 7 May 2019

Functional Containment Performance

  • A fundamental safety function for any reactor is limiting the release of radioactive materials from the facility.
  • The U.S. NRCs existing regulations and guidance for nuclear reactors were primarily developed for LWRs and the specific events and phenomena related to zirconium clad fuel and water coolant.
  • LWRs protections against design-basis accidents feature multiple barriers to provide defense-in-depth to limit releases.
  • Non-LWRs have operating conditions, coolants, and fuel forms that differ from LWRs, and non-LWRs outside the U.S. have included different barriers.
  • Functional Containment Performance refers to a barrier or set of barriers taken together that effectively limit the physical transport of radioactive material to the environment.
  • In 2018, the U.S. NRC staff requested the Commissions approval of a methodology that could be used by non-LWR designers to define functional containment performance criteria in a manner that is technology-inclusive, risk-informed, and performance-based.
  • The Commission approved the staffs proposed methodology for establishing functional containment performance criteria for non-LWRs.
  • The staff will continue to keep the Commission informed as it develops the licensing framework for non-LWRs and notify the Commission if future policy issues arise.

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Prototype Reactors

  • The U.S. NRCs regulations include requirements for prototype reactors.
  • Confusion as to the meaning of the term prototype contributed to uncertainty about what a prototype is and how it would be licensed.
  • The U.S. NRC staff developed guidance for prototype reactors, Nuclear Power Reactor Testing Needs and Prototype Plants for Advanced Reactor Designs in 2017.
  • This guidance describes the relevant regulatory requirements and the process for determining testing needs; clarifies when a prototype might be needed and how it might differ from the proposed standard plant design, and described licensing strategies and options that include using a prototype plant to meet the U.S. NRCs testing requirements.

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Fees

  • In 2009, the U.S. NRC issued and advance notice of proposed rulemaking to review whether the existing single, annual fee structure for power reactors was appropriate for SMRs.
  • Based on public comments, the U.S. NRC staff developed a variable annual fee structure for small and medium-size reactors and a clear, reliable, and efficient method of calculating annual fees for reactor licensees based on the licensed thermal power level.
  • The Commission approved this variable fee structure in 2015 and the final rule implementing this new method for calculating fees was final in 2016.
  • The U.S. NRC is considering fees in light of the new requirements for licensee fees in NEIMA.

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International Activities

  • The U.S. NRC is actively engaged in international cooperative activities to promote enhanced safety in new reactor designs, improve the effectiveness and efficiency of inspections, and ensure that construction experience is shared internationally.
  • One of the key international activities in this area is the NRCs participation and leadership role in the Multinational Design Evaluation Program (MDEP).
  • The NRC has taken a leadership role in the development of an international regulatory forum for cooperation on SMR issues. The purpose of this forum is to identify, understand, and address key regulatory challenges that may emerge in future SMR regulatory discussions.
  • International activities associated with the development of non-LWRs provide opportunities for information exchanges between the NRC and its international counterparts about non-LWR operating experience, international codes and standards, and computer modeling techniques and programs.

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Conclusion

  • As an independent regulatory agency, the NRC is focused on the health and safety of the public and common defense and security.

The NRC does not promote any particular technology or design or the use of nuclear energy.

  • SMRs and non-LWRs can be designed and licensed under the NRCs current regulations, which have built-in flexibility.
  • To increase the efficiency of its reviews, reduce uncertainty, and focus on safety and risk-significance in new technologies, the NRC has updated its policies and procedures and is considering additional improvements through rulemaking.

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Questions?

Susan H. Vrahoretis Assistant General Counsel, U.S. NRC Susan.Vrahoretis@nrc.gov Phone: 001-301-287-9200 AMNT Berlin, Germany 7 May 2019 37

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