ML20217H450
| ML20217H450 | |
| Person / Time | |
|---|---|
| Issue date: | 08/17/1997 |
| From: | Bateman W NRC (Affiliation Not Assigned) |
| To: | |
| References | |
| NUDOCS 9804290387 | |
| Download: ML20217H450 (18) | |
Text
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RECENT NRC EXPERIENCE AND POLICIES RELATED TO NOTICES OF ENFORCEMENT DISCRETION AND J
TECHNICAL SPECIFICATION INTERPRETATIONS ANS 1997 Utility Working Conference
" Nuclear Power is Serious Business" Amella Island, Florida, August 17-20,1997 William H. Bateman, Project Director Division of Reactor Projects ill/IV Office of Nuclear Reactor Regulation i
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NOTICE OF ENFORCEMENT DISCRETION e
APPLIES TO NON-CONFORMANCE WITH TECHNICAL SPECIFICATIONS AND OTHER LICENSE CONDITIONS Example Of License Condition: Commitment To Provide A Long Term Solution To Method Of Responding To A Degraded Switchyard Voltage Condition Does NOT Apply To items Relocated From Technical Specifications To A Licensee Controlled Document e
ALLOWS DEFERRAL OR ELIMINATION OF ENFORCEMENT ACTION AT THE DISCRETION OF THE NRC Regions Will Take Enforcement Action For The Root Causes, To The Extent Violations Were involved, That Led To The NOED e
NOEDS ARE ISSUED TO:
Avoid An Unnecessary Plant Transient (i.e., plant shutdown)
Example: GL 91-18 Operability Evaluation Concludes TDAFW Pump is Inoperable And A 24 Hour AOT Extension is Needed To Make Required Repairs Avoid Performance Of Testing, inspection, Or System Realignment That Is inappropriate With The Specific Plant Conditions, (Example: Identification Of A Missed Shutdown Surveillance While At Power)
4 Avoid Unnecessary Delays in Plant Startup Without A Corresponding Health And Safety Benefit - Higher Threshold; Must Meet 3 Criteria:
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The equipment does not perform a safety function in the mode in which operation is to occur.
ex: While coming out of a refueling outage, a component controlled by TS is determined to be inoperable. The licensee would like to continue heating up while making repairs. However, TS require the component to be operable prior to entering the subsequent mode. Upon further review, the licensee determines that the TS j
applicability for the component is overly i
conservative compared to the modes of operation assumed in the FSAR for the component. As a result, the licensee requests a NOED, followed up by a TS amendment request to correct the TS).
The safety function performed by the equipment or system is of only marginal safety benefit, and remaining in the current mode increases the likelihood of an unnecessary plant transient (e.g.,
allowing a PWR with an inoperable piece of TS required equipment, for which there is sufficient redundancy or compensatory action, to proceed from Mode 2 to Mode 1 in order to minimize the time feedwater control is required to be operated in manual); or The TS or other license conditions require a test, inspection, or system realignment that is inappropriate for the particular plant conditions, in that it does not provide a safety benefit, or may, in fact, be detrimental to safety in the particular plant condition.
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NOEDS ARE GRANTED BY:
Regions When Situation is Nonrecurring And Of A Short Duration That A License Amendment Could Not Be issued Before The Need No Longer Exists NRR When A License Amendment is Appropriate -
(Emergency Or Exigent Technical Specification Amendment) l l
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EVOLUTION OF NOED POLICY JULY 85 -
ENFORCEMENT GUIDANCE MEMO -
TEMPORARY WAIVERS OF COMPLIANCE (TWOC)
MARCH 93 -
NOTICES OF ENFORCEMENT DISCRETION (NOED) REPLACED TWOCS AND NOEDS ADDED TO ENFORCEMENT POLICY (NOW NUREG-1600, SECTION Vil c) e OGC Concerned That TWOC Was Not Appropriate Title For Process, i.e., Staff Does Not Have The Authority To Waive Compliance With TSs e
Staff Recognizes Licensee is Not In Compliance With TS e
No Significant Change in NRC Process For Handling Requests AUGUST 93 -
STAFF IMPLEMENTATION GUIDANCE -
MANUAL CHAPTER PART 9900 (NOEDS)
MAY 94 -
NRC IDENTIFIED INCONSISTENCIES IN STAFF IMPLEMENTATION OF NOED GUIDANCE EXAMPLES:
e NOEDs inappropriately Used To Grant Relief From Regulations e
NOEDs inappropriately Used For Granting Relief To Support Plant Startup
JULY 94 -
STAFF AND IG COMPLETED REVIEW OF NOED POLICY AND IMPLEMENTATION MARCH 95 -
SECY 95-078 - STAFF ACTIONS TO ADDRESS RESULTS OF REVIEW ACTIONS INCLUDED:
Allowing Enforcement Discretion During Severe Natural Events (Requires Commission Approval) e improved Coordination Between NRR And Regions To Prevent Duplication Of Work When NOEDs Affect Multiple Plants NOVEMBER 95 -
MANUAL CHAPTER 9900 (NOEDS) WAS REVISED NRC ADMINISTRATIVE LETTER 95-05,
" REVISIONS TO STAFF GUIDANCE FOR l
IMPLEMENTING NRC POLICY ON NOTICES OF ENFORCEMENT DISCRETION" WAS ISSUED
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MAJOR CHANGES / CLARIFICATIONS MADE TO hlOED IMPLEMENTATION GUIDANCE IN 11/95 AND WHERE WE STAND TODAY e
NOED MAY NOT BE JUSTIFIED IF LICENSEE CREATED NEED (i.E., POOR PLANNING, FAILURE TO TAKE TIMELY ACTION, REPEATED REQUESTS, ETC.)
e ALTHOUGH THE STAFF MAY EXERCISE DISCRETION TO NOT TAKE ENFORCEMENT ACTION FOR SHORT-TERM, NONCOMPLIANCE WITH LICENSE, ENFORCEMENT ACTION MAY STILL BE TAKEN FOR ROOT CAUSE e.g., Enforcement Action Taken As A Result Of Root Cause(s) Leading To A NOED Due To Failure To Perform A TS Surveillance o
NOED IS NOT APPROPRIATE FOR SEVERE WEATHER OR OTHER NATURAL CONDITIONS WHICH CREATE A NEED FOR OVERALL PUBLIC BENEFIT / HEALTH AND SAFETY VS.
RADIOLOGICAL HEALTH AND SAFETY EXCEPTION: Enforcement Discretion Granted in Rare Circumstances With Commission Approval e
CANNOT INVOLVE A USQ OR SIGNIFICANT HAZARDS CONSIDERATION e
NOT APPLICABLE TO NON-POWER OR PERMANENTLY SHUTDOWN REACTORS TS Amendments For NPRs Can Be Processed Quickly, Thus Eliminating The Need For A NOED Licensees Of Permanently Shutdown Reactors Normally Have Adequate Time To Anticipate And Obtain TS Amendments Appropriate To Specific Plant Conditions
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o APPLICABLE TO NONCOMPLIANCE WITH LICENSE, NOT REGULATIONS OR CODES Exemption / Relief Process is Used For Noncompliance With Regulations / Codes e
LICENSEE MUST PROVIDE AT LEAST QUALITATIVE RISK ASSESSMENT DERIVED FROM PRA i.e., A High Level Look At PRA To Determine How Situation At Plant is Associated With Primary Contributors To initiating Event For Core Damage Assessment e
NRR MUST ISSUE FOLLOWUP LICENSE AMENDMENTIN 4 WEEKS,IF APPROPRIATE
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e APPROVAL / DENIALS POSTED ON ELECTRONIC BULLETIN BOARD f)-
REQUESTS FOR ENFORCEMENT DISCRETION MUST INCLUDE THE FOLLOWING:
e THE TS OR OTHER LICENSE CONDITIONS THAT WILL BE VIOLATED e
THE CIRCUMSTANCES SURROUNDING THE SITUATION, INCLUDING ROOT CAUSES, THE NEED FOR PROMPT ACTION AND IDENTIFICATION OF ANY RELEVANT HISTORICAL EVENTS e
THE SAFETY BASIS FOR THE REQUEST, INCLUDING AN EVALUATION OF THE SAFETY SIGNIFICANCE AND POTENTIAL CONSEQUENCES OF THE PROPOSED COURSE OF ACTION. THIS EVALUATION SHOULD INCLUDE AT LEAST A QUALITATIVE RISK ASSESSMENT DERIVED FROM THE LICENSEE'S PRA e
THE BASIS FOR THE LICENSEE'S CONCLUSION THAT THE NONCOMPLIANCE WILL NOT BE OF POTENTIAL DETRIMENT TO THE PUBLIC HEALTH AND SAFETY AND THAT NEITHER AN UNREVIEWED SAFETY QUESTION NOR A SIGNIFICANT HAZARDS CONSIDERATION IS INVOLVED e
THE BASIS FOR THE LICENSEE'S CONCLUSION THAT THE NONCOMPLIANCE WILL NOT INVOLVE ADVERSE CONSEQUENCES TO THE ENVIRONMENT e
ANY PROPOSED COMPENSATORY MEASURE (S) e THE JUSTIFICATION FOR THE DURATION OF THE NONCOMPLIANCE e
A STATEMENTTHAT THE REQUEST HAS BEEN APPROVED BY THE FACILITY ORGANIZATION THAT NORMALLY REVIEWS SAFETY ISSUES (PLANT ONSITE REVIEW COMMITTEE, OR ITS EQUIVALENT)
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e THE REQUEST MUST SPECIFICALLY ADDRESS HOW ONE OF THE NOED CRITERIA FOR APPROPRIATE PLANT CONDITIONS IS SATISFIED (CRITERIA CONTAINED IN MANUAL CHAPTER 9900) e IF A FOLLOW-UP LICENSE AMENDMENTIS REQUIRED, THE NOED REQUEST MUST INCLUDE MARKED-UP TS PAGES SHOWING THE PROPOSED TS CHANGES. THE ACTUAL LICENSE AMENDMENT REQUEST MUST FOLLOW WITHIN 48 HOURS e
A STATEMENTTHAT PRIOR ADOPTION OF APPROVED LINE-ITEM IMPROVEMENTS TO THE TS OR THE ITS WOULD NOT HAVE OBVIATED THE NEED FOR THE NOED REQUEST e
ANY OTHER INFORMATION THE NRC STAFF DEEMS NECESSARY BEFORE MAKING A DECISION TO EXERCISE ENFORCEMENT DISCRETION
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NRC ACTIONS UPON RECEIPT OF A NOED REQUEST
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NOED REQUEST VERBAL L
LICENSEE'S WEATHER EEF9stBERT SAFETY CONSIDERATION RELATED 818taET185 (T0 COMMISSION)
,NON-WEATHER RELATED TS CHANGE E
REGION REQUIRED itsel 4
NRR ILEE) 1
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,,N,yg, VERIFICATION VERB LNOED :
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NOED LETTER Trum mTE LRBelf'8 4 IEB3 NEssi PEDHE r
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i RECENT NOEDS THE MAJORITY OF RECENT NOEDS WERE GRANTED FOR SITUATIONS IN WHICH THE LICENSEE OR NRC HAS DETERMINED THAT REQUIRED TS SURVEILLANCE TESTING HAS NOT BEEN PERFORMED EXAMPLES:
TS SURVEILLANCE ON CARBON SAMPLES FROM i
VENTILATION SYSTEMS FOUND NOT TO BE IN ACCORDANCE WITH TS e
NOED Granted By NRR To Avoid An Unnecessary Plant Transient (i.e, Plant Shutdown). Followed-up With TS Amendment TS SURVEILLANCE FOR ECCS SUBSYSTEM COULD NOT BE PERFORMEDWHEN REQUIRED AS A RESULT OF A DESIGN CHANGE e
NOED Granted By NRR To Avoid Performance Of Testing That Was Inappropriate With The Plant Condition (i.e. TS Required Testing That Could Cause Damage To Plant). Followed-up With TS Amendment RPS INSTRUMENT RESPONSE TIME TESTING, PREVIOUSLY RELOCATED TO THE FSAR, WAS NOT PERFORMED WHEN REQUIRED (LICENSEE INCORRECTLY DETERMINED THAT A CHANGE TO TIME LIMIT COULD BE PERFORMED UNDER 10 CFR 50.59) e NOED Granted By NRR To Avoid An Unnecessary Plant Transient (i.e., Plant Shutdown). Followed-up With TS Amendment
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OTHER NOED REQUESTS HAVE BEEN THE RESULT OF:
EQUIPMENT OPERABILITY PROBLEMS NOED Granted By A Region To Allow An Additional e
48 Hours To Complete Repairs On A Diesel Generator To Avoid Unnecessary Plant Transient (i.e., Plant Shutdown).
WEAKNESSES IN IMPLEMENTATION OF IMPROVED l
l STANDARD TECHNICAL SPECIFICATIONS I
e NOEDs Granted By NRR To Avoid An Unnecessary Plant Transient (i.e., Plant Shutdown) Due To Administrative Errors In The Implementation Of The Improved Standard Technical Specifications 1
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e EXAMPLE OF RECENT REQUEST FOR A NOED BASIS FOR REQUEST With The Plant At 100% Power, Licensee Identified A Check Valve in The TIP System That Was Not Tested During The Last Refueling Outage As Required By IST Program i
Licensee Declared Valve and TIP System inoperable
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J With Inoperable TIP System, Licensee Determined TS Surveillances Of Core Parameters Could Not Be Performed And Requested A NOED i
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I RESULTS OF REVIEW OF REQUEST A NOED Was Not Required The Licensee Utilized The Guidance Contained in GL 91-18 On Degraded And Nonconforming Conditions And Determined The Plant Could Be Operated Until The Next Outage l
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TECHNICAL SPECIFICATION INTERPRETATION e
INTERPRETATION OF A LICENSEE TECHNICAL SPECIFICATION PERFORMED BY THE TECHNICAL SPECIFICATIONS BRANCH IN NRR e
REVIEWS ARE PERFORMED UNDER THE NRC'S TASK INTERFACE AGREEMENT (TIA) PROGRAM AT THE REQUEST OF AN NRC REGION OR OTHER NRC OFFICE (NRR OFFICE LETTER NO.1201)
TIAs Are Considered A Priority 2 Review Licensee Requests For A TS Interpretation Should Be Requested Through The Applicable Regional Office e
FORMAL PROCESS WHICH INCLUDES OGC REVIEW Verbal Interpretations From NRR No Longer Provided To Prevent inconsistencies And Inaccuracies in Interpretations
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EXAMPLES OF RECENT TS INTERPRETATIONS PERFORMED BY NRR e
COMPONENT COOLING WATER FLOW THROUGH CONTAINMENT FAN COOLERS LESS THAN MINIMUM FLOW SPECIFIED IN TECHNICAL SPECIFICATION SURVEILLANCE REQUIREMENT e
OPERABILITY AND TESTING OF AUTOMATIC DEPRESSURIZATIONSYSTEM VALVES DURING A PLANT STARTUP e
ENTERING TS LCO ACTION STATEMENTS FOR SURVEILLANCE TESTING e
ENTERING TS LCO ACTION STATEMENTS DUE TO SUPPORT SYSTEMS BEING OUT OF SERVICE e
DEFINITION OF CORE ALTERATION
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EXAMPLES OF RECENT NRC INSPECTION FINDINGS OF IMPROPER TS INTERPRETATIONS PERFORMED BY LICENSEES WITHOUT NRC INVOLVEMENT e
SETTING OF TRIP SETPOINTS FOR REFUELING MACHINE e
SUBSTITUTION OF AUTOMATIC ACTUATION WITH MANUAL ACTION FOR DIESEL GENERATOR ROOM SUPPLY FANS e
OPERATION OF TWO CENTRIFUGAL CHARGING PUMPS IN MODES 4,5 AND 6 e
DAILY CONTAINMENT CLOSEOUT INSPECTIONS VS.
INSPECTIONS FOLLOWING EACH CONTAINMENT ENTRY e
SUBSTITUTION OF AUTOMATIC CONTAINMENT ISOLATION VALVES WITH MANUAL ACTION e
ELIMINATION OF REDUNDANT DIESEL GENERATOR TESTING WHEN A DIESEL GENERATORIS INOPERABLE DUE TO A SUPPORT SYSTEM FAILURE
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