ML20236X967

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Revised Regional Procedure 0514A, Plant-Specific Backfit
ML20236X967
Person / Time
Issue date: 06/22/1987
From:
NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION III)
To:
Shared Package
ML20195F761 List:
References
FOIA-87-714 0514A, 514A, NUDOCS 8712100432
Download: ML20236X967 (22)
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9 RP 0514A Region III Manual REGIONAL PROCEDURE 0514A PLANT SPECIFIC BACKFIT i A. SCOPE This paper prescribes procedures for implementation of NRC plant-specif'ic backfit policy for nuclear power reactors in accordance with draft NRC Manual Chapter 0514 dated February 1986, and 10 CFR 50.109, 10 CFR Part 50, Appendix 0, 10 CFR 50.54(f) and 10 CFR 2.204. Test and research reactors are not covered by this procedure. Users of this Regional Office Pol'-; Guide should familiarize themselves with MC 0514. Any apparent conflict between this Policy Guide and MC-0514 should be brought to the attention of appropriate managers. In addition, the Commission shall be kept advised of any issue on which the staff uses safety goals in the Plant Specific Backfit analysis.  ;

B. OBJECTIVES It is the overall objective of this instruction to assure plant-specific backfitting of nuclear power plants and requests for information under 10 CFR 50.54(f) are justified and documented and that Regional senior management has appropriate controls over the proper implementation of the backfit program. The specific objective of the backfit program is to provide for improvements in the levels of protection of public health and safety while avoiding any unwarranted burdens on licensees in implementing these backfits. We should assure to the extent possible that backfits to be issued will in fact contribute effectively and significantly to the health and safety of the public or the common defense and security.

Identified plant-specific backfits will be communicated to the licensee only after required regulatory analyses are completed and approved as described in Sections 0.4 and D.5 of this instruction. The backfit and supporting regulatory analyses shall be approved by the Regional Administrator, or Deputy Regional Administrator, and forwarded to the EDO before the backfit and supporting analysis are communicated to the l licensee.

This instruction governs those plant-specific backfits identified by the

' staff or the licensee after May 1, 1985.

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Contact:

Investigation Coordination Staff 8712100432 871204 PDR FOIA WEISS87-714 PDR g ## __ -_____--___ _ _ _ __ - _ __ - _ J

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RP 0514A C. DISCUSSION It should be clearly understood that backfits and needs for information are expected to occur and are deemed an important part of the regulatory process to provide for the safety of nuclear power plants. However, it is important that backfitting and requests for information be conducted in a controlled process in order to have effective and consistent regulation. The management of plant-specific backfitting as described in this instruction in no way is meant to relieve power reactor licensees from complying with the NRC's requirements. The provisions of this instruction are-intended to provide for a cogent regional review of new or changed positions that we may desire to impose on licensees who have already implemented previously applicable requirements or positions which were considered by the NRC to have provided acceptable levels of safety.

The plant-specific backfit process described in this instruction will enhance both regulatory stability and safety by assuring that changes in staff position do in fact provide substantial additional safety protection that is warranted prior to imposing such chariger on the licensee. This assurance will be provided through conduct of a regulatory analysis as described in Section D.4.

A plant-specific backfit is different from a generic backfit in that the former involves the imposition of a position unique to a particular plant, whereas a generic backfit involves the imposition of the same or similar position on two or more plants. Management of generic backfits is not governed by this instruction, but by the CRGR process.

Backfitting is defined as the modification of or addition to systems, structures, components, or design of a facility; or the design approval or manufacturing license for a facility; or the procedures or organization required to design, construct or operate a facility; any of which may result from a new or amended provision in the Commission rules or the-imposition of a regulatory staff position interpreting the Commission licable staff rules position that is either 1 after new certain or different specified from dates.2a previously Backfittingapp' is plant-specific" when it involves the imposition of a position that is unique to a particular plant.

Applicable regulatory staff positions are those already specifically imposed upon or committed by a licensee at the' time of the identification of plant-specific backfit, and are of several different types and sources:

  • Legal requirements such as in explicit regulations, orders, plant licenses (amendments, conditions, technical specifications). Note that some regulations have update features built in; as for example, 10 CFR 50.55a, Codes and Standards. Such update requirements are applicable as described in the regulation.

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  • Written commitments such as contained in the FSAR, LERs, and docketed correspondence, including responses to IE Bulletins, responses to Generic Letters, responses to Inspection Reports, or responses to Notice of Violations, and Confirmatory Action Letters.
  • NRC staff positions that are documented, approved, explicit interpretations of the more general regulations, and are contained in documents such as the SRP Branch Technical Positions, Regulatory Guides,GenericLettersandIEBulletinsandtowhichalicenseeor applicant has previously committed to or relied upon. Such positions as these are not considered applicable staff positions to the extent that staff has, in a previous licensing or inspection action, tacitly or explicitly excepted the licensee from part of all of the position.

Those times after which a new or revised staff position will be

. considered a backfit are as follows:

  • After the date of issuance of the construction permit for the facility (for facilities having construction permits issued after May 1, 1985); or
  • After six months before the date of docketing of the OL application for the facility (for facilities having construction permits issued before May 1, 1985); or
  • After the date of issuance of the operating license for the facility (or facilities having an operating license on May 1, 1985).
  • After the date of issuance of the design approval under 10 CFR, Appendix M, N or 0.

Working level examples of staff positions which constitute backfits and those that do not constitute backfits are discussed in Appendix A.

D. PROCEDURES The overall backfit process should be conducted in accordance with the following instructions:

1. Information Requests Pursuant to 10 CFR 50.54(f)

If a request for information made pursuant to 10 CFR 50.54(f) is not part of a routine review associated with licensing a plant or a request for information to verify compliance with current requirements or fact finding involving an accident or incident, a reason for the request must be prepared and approved by the Regional Administrator or the Deputy Regional Administrator prior to making the request.

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1 The evaluations to ;iustify the Part 50.54(f) request shall include at least the followtng elements:

a. A problem statement.that describes the need for 'the information ,

in terms of potential safety benefits. l

b. The licensee actions required and the cost to develop a response to the infomation request.
c. An anticipated schedule for NRC use of the information.
2. Regional Backfit Identification It is the responsibility of any regional staff member to be alert to the potential imposition of a new or modified staff position upon a .

licensee. This identification may be made by the staff directly or.

indirectly by persons not member of the staff. This identification includes not only those backfits. identified as needed, but any that might be or have been inadvertently imposed. The new or modified positions are to be brought to the attention of regional management.

Any Regional staff. member who identifies a backfit or the need for imposition of a potential backfit will verbally identify this to the Section Chief. The Section Chief shall initiate a Backfit Identific-i ation Form (BIF) (see Appendix B) documenting the description and substance of the issue including the reason it is or is not a backfit following the guidance of Section C above. If it is determined not to be a backfit, forward the BIF through the Division Director to Director, EICS for concurrence and then file the BIF in the Division BIF file. If the issue is determined to be a backfit candidate by the Section Chief, forward the BIF through the Branch Chief, to the Division Director for disposition.

3. Division Director Disposition Each Division Director receiving a BIF will disposition the potential backfit as follows:

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a. If the Division Director considers that the position, if imposed, '

would constitute a backfit, and that imposition of the backfit on the licensee would provide substantial additional safety protection, then the backfit will be processed by the originating Branch in accordance with Sections D.4, and D.5 ,

below. The BIF should be updated to reflect the action and l a copy forwarded to IMS, DRMA for inputting into the Plant i Specific Backfit System (PSBS) tracking. If however, the I

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RP 0514A Division Director believes that immediate imposition of the position is required to protect the public health and safety or the common defense and security, then the Immediate Im osition Procedure (IIP) of Section D.6 below should be is lemented.

b. If the Division Director determines that the position, if imposed, would not constitute a backfit, no further action under this instruction is necessary and the issue will be handled in accordance with the Division Director's-instructions. The determination, its reason and any other followup action should be documented with the BIF and BIF filed in the division's backfit file with a copy to the originator and Director, EICS. .
c. If the Division Director determines that the position if imposed, would constitute a backfit, but that imposition on the licensee would not provide substantial additional safety protection or is otherwise not necessary, then no further action on the issue should be taken beyond documentation of l this determination, its reason and any other followup action with the BIF, and copy of the BIF should be filed in the division's backfit file with a copy to the originator and  ;

Director, EICS.

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d. The Division Director's determination should be completed within two weeks after receipt of the BIF.
e. Any generic implications should be coordinated with the cognizant Program Office.
4. Regulatory Analysis (RA)
a. If the originating staff's Division Director determines that the potential that impositionbackfit constitutes will provide backfitting,ional substantial addit safetyand it appears protection, then a RA will be prepared. The Branch Chief l whose staff identified the backfit issue is responsible for l coordinating the preparation of the RA, but can seek assistance l and guidance from Operational Programs Section, DRS. (Depending upon the complexity of the backfit and RA it may be advisable to brief the Regional Administrator on the issues before proceeding). The RA shall be available for the Regional Administrator's review within four weeks.
b. The regulatory analysis shall generally conform to the directives and guidance of NUREG-0058 and NUREG-CR 3568, which are the NRC's governing documents concerning the need for and preparation of regulatory analyses. In preparing regulatory analyses, the complexity and comprehensiveness of an analysis should be 5 Revised 06/21/87

RP 0514A limited to"that necessary to provide an adequate base for decision-making among the alternatives available. The emphasis in (doing the analysis) should be simplicity, flexibility, and common sense, both in terms of the type of information supplied and in the level of detail provided. The following information and any other information relevant and material to the backfit shall be included in the regulatory analysis, as available and appropriate to the analysis.  ;

i (1) A statement of the specific objective that the proposed backfit is designed to achieve. This should also include ,

a succinct description of the backfit proposed, and how it provides a substantial increase in overall protection.

(2) A general descr:ption of the activity that would be required by the licensee to complete the backfit.

(3) The potential safety impact of changes in plant design or operational complexity, including the relationship i to proposed and existing regulatory requirements. (

(4) Whether the proposed backfit is interim or final and, if interim, the justification for imposing the proposed backfit on an interim basis.

(5) A statement that describes the benefits to be achieved and the cost to be incurred. Information should be used to the extent that it is reasonable available, and a qualitative assessment of benefits may be made in lieu of the quantitative analysis where it would provide more meaningful insights, or is the only analysis practicable.

The Commission's Safety Goal Policy Statement (August 4, )

1986) should be used, where applicable, in further support for this analysis. This statement should include  ;

consideration of at least the following listed factors:

(a) The potential change in risk to the public from the accidental offsite release of radioactive material.

(b) The potential impact on radiological exposure of (

facility employees. Also consider the effects on other onsite workers, due both to installation of procedural or hardware changes and to the effects of changes, for the remaining lifetime of the plant.

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. RP 0514A- i (c) The installation and continuinD costs associated with the backfit, including the cost of facility downtime or the cost of construction delay.

(d) The estimated resource burden on the NRC associated with the proposed backfit and the availability of such resources.

(6) A consideration of important qualitative factors bearing on the need for the backfit at the particular facility, such as, but not limited to , operational trends, significant plant events, management effectiveness, or results of performance reports such as the Systeaatic i Assessment of Licensee Performance.

(7) A statement affirming appropriate interoffice coordination related to the proposed backfit and the plant for implementation.

j (8) The basis for requiring or permitting implementation on a particular schedule, including sufficient information to "

demonstrate that the schedules are realistic and provide adequate time for in-depth engineering, evaluation, design, procurement, installation, testing, development of operating procedures, and training of operators and other  ;

plant personnel, as appropriate. For those plants with approve integrated schedules, the integrated scheduling .

I process can be used for implementing this step and the following two procedural steps.

(9) A schedule for staff actions involved in implementation and verification of implementation of the backfit, as appropriate.

(ID) Importance of the proposed backfit considered in light of other safety-related activities underway at the affected facility.

c. The completed RA and updated BIF will be forwarded for review by the cognizant Division Director, and if favorable, will be transmitted to the Regional Administrator for approval. If I

the Division Director determines further staff action is not I warranted the BIF and RA shall be filed in the divisions backfit file with a copy to the originator, Director, EICS, and Information Management Section (IMS), DRMA to update the PSBS tracking.

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5. Approval of Backfit Position
a. The Division Director whose staff has initiated the backfit issue will forward the RA and BIF to the Regional Administrator for approval within four weeks after identification. At the same time, the completed RA will be forwarded to the Division Director of the appropriate headquarters office having program responsibility for the backfit. issue (see Appendix C). The Program Office will in this manner be formally kept apprised of any backfit issues and will be given the opportunity to comment ~l on the issue prior to its imposition on the licensee. Three  !

workdays should normally be sufficient. j

b. The Regional Administrator, or the Deauty Regional Administrator will either. approve or reject the bac kfit. If approved, the Division Director will foward an ap) roved copy of the BIF ,

to the IMS, DRMA for entry into the >SBS. If not approved, the  !

I BIF and RA will be filed in the division's backfit file with a copy to the originator and Director, EICS, and IMS, DRMA for PSBS entry.

i l' c. If approved for issuance, a copy of the backfit position and ]

l RA will be forwarded to the EDO by the Regional Administrator prior to issuance to the licensee. The cogniz6nt Division Director will then forward the backfit positioh and RA to the l licensee without waiting for any feedback from the EDO, The l 1etter of transmittal should clearly identify the position as a backfit and the licensee's options. Any appeal by the licensee should be addressed to the Regional Administrator with a copy to the EDO.

6. Immediate Imposition Procedure
a. If the Division Director whose staff has originated the backfit position believes that immediate imposition of the position is necessary to protect the public health and safety or the common defense and security, then the backfit may be processed without performance of the RA. However, the Division must complete an evaluation documenting the justification for this action. Thair analysis shall as an minimum cover the safety significance and appropriateness of the action and consideration of how costs contribute to selection of the solution among various acceptable alternatives,
b. In this instance a backfit panel will convene, chaired by the Regional Administrator or Deputy Regional Administrator, attended by the Director or Deputy Director, DRP or Deputy Director and the Division Director and Branch Chief whose staff 6 Revised 06/22/87 i

RP 0514A initiated the backfit. A representative from the headquarters l office having program responsibility for the backfit requirement should attend the backfit panel meeting or participate via telecon. The headquarters representative will be designated by the Office Director. The cognizant Section Chief will be responsible for presenting the issue including the rationale for immediate imposition.

c. If the backfit panel agrees with the need for immediate imposition, the backfit will be forwarded, by the Regional Administrator, to the Office Director of.the headquarters office having program responsibility for the backfit issue. The Office i Director will be expected to act on immediate issuance of the backfit position within two working days from receipt of the request.
d. If approval for immediate imposition is given by the Office Director, then the backfit normally will be issued to the licensee by the cognizant Office Directo:. The EDO will be informed of such action by the Regional Administrator. The '

BIF will be updated to reflect the action and copy forwarded to IMS, DRMA for updating the PSBS tracking.

e. If approval for immediate issuance is not given by the Office Director, then the backfit will be processed in accordance with Sections D.4 and 5 above.
f. In either case d or e above, the PSBS will be updated by the

, originating Section Chief by the forwarding of a completed l

BIF to the IMS, DRMA through the Division Director.

7. Appeal Process 1

i A licensee may appeal an action taken by the staff which, though not identified by the staff to be a backfit, the licensee considers to be a backfit. The appeal may be to petition for withdrawal or modification of a backfit position or to consider a staff action as a backfit.

a. For positions imposed by the Regional staff, licensees will normally address appeals to the Regional Administrator and will send a copy of the appeal to the EDO.

i b. It is should be noted that the EDO may at the ED0's initiative or at the request of licensees, review and modify any plant specific backfit decision.

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c. When an be appeal is received it will normally forwarded to theinDRP the along Regional withOffice, other docket related mail.
d. When the DRP Technical staff recognizes that an appeal has been initiated by a licensee, the applicable DRP Section Chief will ensure that a copy of the appeal documentation has been forwarded by the licensee to the EDO, and will forward the appeal through the Division Director, DRP to the Division Director whose staff initiated the backfit or staff action. The initiating Division Director will return the appeal to the initiating Branch Chief for action. If it is determined that the position is a backfit, a RA will be performed within four weeks pursuant to Section D.4 above. The initiatir.g Section Chief 411 submit through the i Division Director to IMS, DRMA a BIF reflecting that the staff position has been appealed, or that a previously unidentified staff action has been identified by the licensee as a potential backfit.
e. The initiating Branch Chief will arrange and issue appropriate documentation for a first level appeals meeting with the appealing licensee in order to attempt to resolve the issue.

This meeting will be chaired by the cognizant Division Director and be attended by the applicable DRP Section Chief, and the Branch Chief and Section Chief whose staff initiated the appealed backfit position or staff action. A copy of the RA (if appropriate) will also be sent to the licensee, by the initiating Branch Chief, in preparation for the appeals meeting.

The first level meeting should normally occur within three weeks of receipt of the appeal.

f. The initiating Branch Chief will have a draft memorandum prepared by which the Regional Administrator will inform the EDO of the planned disposition of the appeal. The EDO is to be informed of the planned disposition within three weeks of receipt of the appeal. A copy of this memorandum will be also forwarded to the headquarters office having program responsibility for the backfit position or staff action and the BDB updated accordingly. This action should normally be completed within 3-working days.
g. A summary of the appeals meeting will be prepared by the initiating Section Chief and sent to the licensee by the Division Director with copies to the EDO and PDR. The result of the meeting with the licensee should take the form of one of the following:

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RP D514A (1) The licensee agrees with the NRC staff that the backfit should be implemented as imposed, or that a staff action, initially considered by the licensee to be a backfit is, in fact, not a backfit. In each of these instances, the appeal process in effect will be terminated pursuant to this instruction.

J (2) The NRC agrees with the licensee that a backfit should be withdrawn or modified or that s staff action, initially considered by the staf f to not be a backfit is, in fact, a backfit. If the backfit is to be modified, then the beckfit should be reissued in accordance with Section D.4.c above. If the staff action is now considered to be a backfit then either the procedure for imposition of a .

backfit requirement m8y be performed in accordance with j Section D.7 of this Instruction, or the Division Director l whose staff originated the staff action may determine not I to pursue the issue as a backfit (i.e., withdraw the staff I action).

(3) No agreement on the final dispositon was reached. If the licensee disagrees with the NRC that the issue is not a backfit proceed directly to the Office Director appeal level (6.j).

h. If no agreement was reached at the meeting in Section 6.f above, then the applicable initiating Branch Chief will arrange for and issue appropriate documentation for a second level meeting I with the appealing licensee in order to reattempt to resolve the j issue. Normally, it should be attemated to hold this meeting on )

the same day as the initial meeting but shall not exceed three weeks. This second meeting will be attended by the applicable DRP Section Chief, the Division Director and Section Chief whose staff initiated the appealed backfit or staff action and the DRP )

Director or Deputy Director The meeting will be chaired by the Regional Administrator or Deputy Regional Administrator. ,

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i. A summary of this second appeals meeting will be prepared by l the initiating Section Chief and sent to the licensee by the Division Director with copies to the EDO and PDR. The results of this second meeting with the licensee should take one of the l forms specified in Step D.6.f above and the PSBS tracking updated accordingly.

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j. If no agreement was reached at the meeting in Section 6.g above, then the initiating Branch Chief will arrange for and issue appropriate documentation for a third meeting with the appealing licensee in order to again attempt to resolve the I

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RP 0514A-issue. This third meeting will be held in headquarters and will be coordinated with the office having program responsibility for the backfit or staff action. This third meeting will be attended by the applicable Program Office Director or Deputy Director, the Regional Administrator or Deputy Regional Administrator, and other appropriate managers, whose staff initiated the appealed backfit position or-staff action. The meeting will be chaired by the cognizant Program Office Director or Deputy Director. The cognizant program offices are identified in Appendix C. The third level meeting'should normally be conducted within three weeks of the second level meeting.

k. A summary of this third appeals meeting will be prepared by the initiating Division and sent to the licensee by the Division Director with copies to the EDO and PDR.
1. At the conclusion of this third meeting, the appeals process will normally be considered concluded. All information regarding the appeals process will be updated in a timely manner and the results of appeals process updated in the PSBS by the initiating Section Chief using revised BIFs approved by the Division Director.
8. Backfit Imposition Following approval of the backfit position by the Regions)

Administrator, and issuance to the licensee, the licensee will either implement the backfit or appeal it. It should be noted thatOrdersmustbeimplementedbythelicensee,andarenotsubject to the backfit appeal process since the licensee may request a hearing pursuant to 10 CFR Part 2. After an appeal and subsequent final decision by the NRC, the licensee may elect to implement a position resulting from the decision. If the licensee does not elect to implement the backfit, the position may be imposed by Order of the appropriate Program Office Director.

Implementation of plant-specific backfit positions will be accomplished on a schedule negotiated between the licensee and the Director, DRP. Scheduling criteria should include the priority of the backfit relative to other safety-related activities underway or the plant construction or maintenance planned for the facility, and schedules and reasonable constraints thereon to maintain high quality construction and operations. For plants that have integrated schedules, the integrated scheduling process can be used for this purpose.

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RP 0514A A staff proposed position may be impc ed prior to completing any of the procedures set forth h this Regional Procedure provided the appropriate headquarters Office Director determines that prompt imposition is necessary to protect the health and safety or the common defense and security. In this '.7 stance, the procedures of Section D.6, above, will be followed. Ir: such cases, the EDO shall be notified promptly of th's action.

staff proposed positions If prompt imposition is not necessary, shall not be imposed, and plant operat ion shall not be interrupted during the staff's initial evaluation and transmittal process, or a subsequent appeal process, until a final action is completed by either the licensee or by the NRC staff.

E. DATA AND RECORDING REQUIREMENTS The data identified in the Backfit Identification Form shall be entered inte the Plant Specific Backfit System (PSBS) within three working days after any action which requires updating of the BIF. The cognizant Section Chief is responsible for.providing the approved updated BIF to the IMS, DRMA for PSBS entry.

F. REPORTING REQUIREMENTS On August 4,1986, the Commission issued a Safety Goal Policy Statement and approved staff use of these safety goals, recogni2ing that these safety goals would be useful tools to judge the adequacy of regulations or decisions regarding changes to the regulations.

On January 27, 1987, the Commission requested that they be kept advised of any issue where the safety goals are used in the decisionmaking process.

Regulatory Analyses made pursuant to this procedure are considered a part of this decisionmaking process.

For each Plant Specific Backfit analysis conducted within Region III, a summary report shall be provided to the Office For Analysis and Evaluation of Operational Data. This report shall try to briefly capture the following information:

1. The nature of the reactor safety issue, the decision outcome expected and whether the issue was amenable to qualitative or quantitative comparisons to the safety goals.
2. How the decision outcome was influenced through the use of safety goals; for example, whether changes in requirements for a reactor (or a group of reactors) were or were not supported by the safety goals comparisons.  !

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3. Whether the decision resulted in achieving the intent of the Commission's quantitative health effects objectives (or exceeded these objectives). This should include judgment on the magnitude of change involved and advise whether additional changes are foreseen to achieve the safety goals.
4. How the decision would result in enhancing the defense-in-depth sought by the safety goal policy through either prevention or mitigation of a severe core damage accident, including a judgment on the magnitude of change expected by the decision.
5. Whether or not the decision is expected to result in reducing the overall frequency for a large release of radioactive material to the environment and a judgment on the magnitude of change involved.
6. The overall costs (per reactor) expected to be incurred as a result of implementing the staff decision.
7. Asappropriate,anyotherfactorsjudgerelevanttotheissue,the decision and/or the use safety goals.

Enclosures:

1. Appendix A, Guidance for Backfit Determin6tions
2. Appendix B, Backfit Identification Form (BIF)
3. Appendix C, Cognizant Headquarters Program Offices

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RP 0514A APPENDIX A GUIDANCEFORJACKFITDETERMINATIONS General In this section selected regulatory activities or documents are discussed in order to enable regional staff to better understand the conditions under which

.a plant-specific backfit may be recognized. It is important to understand that the necessity for making backfit determinations should not inhibit the normal i

- informal dialogue between the inspector and the licensee. The intent of this process is to manage backfit imposition, not to quell it. The discussion in this Appendix is intended to aid in identifying backfits in accordance with the i' principles that should be implemented by all staff members. This Appendix is not intended to be an exhaustive, comprehensive workbook in which can be found a parallel example for each situation that may arise. Theri will be some judgment necessary to determine whether a staff position would cause a licensee to change the design, construction or operation of a facility. In making this determination, the fundamental question is whether the staff s action is 4 directing, telling, or coercing,,or is merely suggesting or asking the licensee to consider a statt proposea action.

Actions proposed by the licensee are not backfits when the actions result from normal discussions between staff and Ticensee concerning an issue, even though the change or additions may meet the definitions of Section C of this instruction.

Standard Review Plan (SRP)

The SRP delineates the scope and depth of staff review of licensee submittals associated with various review activities. It is a definitive NRC staff interpretation of measures which, if taken, will satisfy the requirements of the more generally stated, legally binding body of regulations, primarily found in title 10 CFR. Since October 1981, changes to the SRP are to have been reviewed and approved through a generic review process involving the Committee to Review Generic Requirements (CRGR), and the extent to which the changes apply to classes of plants is defined. Consequently, application of a current SPP in a specific operating license (0L) review generally is not a plant-specific backfit, if the SRP was effective 6 months prior to the start of the OL review (i.e., 6 months prior to docketing of the OL applications). Asking an applicant for an operating license questions to clarify staff understanding of proposed actions in order to determine whether the actions will meet the intent of the SRP is not considered a backfit.

l On the other hand, using acceptance criteria more stringent than those contained in the SRP or proposing licensee actions more stringent than or in addition to those specified in the SRP, whether in writing or orally, are plant-specific backfits. During meeting with the licensee, staff discussion or comments regarding issues and licensee actions volunteered which are in excess l

Appendix A 1 of 4 Revised 06/22/87

RP 0514A of the criteria in the SRP generally do not constitute plant-specific backfits; however, if the staff implies or suggests that a specific action in excess of already applicable staff positions is the only way for the staff to be satisfied, the action is considered a plant-specific beckfit whether or not the licensee agrees to take such action. However, the staff should recognize that a verbally implied or suggested action should not be accepted by a licensee as an NRC position of any kind, backfit or not; only written and authoritatively approved statements should be taken as NRC positions.

Application of an SRP to an operating plant after the license is granted generally is considered a backfit unless the SRP was approved specifically for operating plant implementation and is applicable to such operating plant.

Regulatory Guides As part of the generic review process pursuant to the CRGR Charter, it is decided which plants or groups of plants should be affected by new or modified Regulatory Guide provisions. Such implementation is therefore not governed by the plant-specific backfit procedures. However, any staff proposed plant-specific implementation of a Regulatory Guide provision, whether orally or in writing, for a plant not encompassed by the generic implementation determin-ation is considered a plant-specific backfit. A staff action with respect to a specific licensee that expands on, adds to, or modifier a generically approved regulatory guide, such that the position taken is more demanding than intended in the generic positions, is a plant-specific backfit Plant-Specific Orders An order issued to cause a licensee to take actions which are not otherwise applicable segulatory staff positions is a plant-specific backfit. An order effecting prompt imposition of a backfit may be issued prior to completing any of the procedures set forth in this instruction provided that the appropriate Headquarters Office Director determines that prompt imposition is necessary.

An order issueJ to confirm a licensee commitment to take specific action even if that action is in excess of previously applicable staff positions, is not a plant-specific backfit provided the commitment was not solicited by the sTiiff with the expressed or implied emphasis that such a commitment is necessary to gain acceptance in the staff review process. Discussion or comments by the NRC staff identifying deficiencies observed, whether in meetings or written reports, do not constitute backfits. Definitive statements to the licensee directing a specific action to satisfy staff positions are backfits unless the action is an explicit already applicable regulatory staff positions.

Inspections NRC inspection procedures are to govern the scope and depth of staff inspections associated with licensee activities such as design, construction and nperation. As such, they define those items the staff is to consider in its determination of whether the licensee is conducting its activities in a 4

Appendix A 2 of 4 Revised 06/22/87

- RP 0514A The conduct of inspection establishes no new .taff positions for safe manner.

the licensee and is not a plant-specific backfit.

Staff suggestions to the licensee that the contents of an NRC inspection procedures are positions that must be met by the licensee constitute a plant-specific backfit unless the item is an applicable regulatory staff 1 position. Discussion or comment by the NRC staff regarding deficiencies observed in the licensee conduct of activities, whether in meetings or in written inspection reports, do not constitute backfits, unless the staff suggests that specific corrective actions different from previous staff positions applicable to the licensee are the only way to satisfy the staff.

In the normal course of inspecting to determine whether the licensee's activities are being conducted safely, inspectors may examine and make findings in specific technical areas wherein prior NRC positions and licensee q commitments do not exist. Examination of such areas and making findinfcensees is not considered a backfit. Likewise, discussion of findings with the i f is not considered a backfit. If during such discussions, the licensee agrees  !

thaT"Tt is appropriate to take action in response to the inspector's findings, i such action is not a backfit provided the inspector does not indicate that the specific actions are the only way to satisfy the staff, and the licensee l' freely volunteers to take such action. On the other hand, if the inspector indicates that a specific action must be taken, such action is a backfit unless it constitutes an applicable regulatory staff position.

l For example, if the licensee commits to ANSI-N18.7 in the SAR and the inspector find; the licensee's impicmenting procedures do not contain all the elements required by ANSI-N18.7, telling the licensee he must take action to include all the elements in its implementing procedures is not a backfit. Likewise, if the inspector finds the licensee has included all the required elements of j ANSI-N18.7, b d has not included certain of the optional elements in its implementing procedures, inspector discussion with the licensee regarding the merits of ircluding the optional elements is not a backfit. On the other hand, if the inspector tells the licensee that the implementing procedures must include any or all of the optional elements in order to satisfy the staff, inclusion of such elements is a backfit, whether or not agreed to by the licensee.

Notice of Violations (NOV)

A NOV requesting description of a licensee's proposed corrective action is not a backfit. The licensee's commitments in the description of corrective action l are not backfits. A request by the staff for the licenseeHowever, to consider some if the staff specTTic action in response to an NOV is not a backfit.

is not satisfied with the licensee's proposed corrective actions and requests that the licensee take addition r;ctions, those additional actions (whether requested orally or in writing) are a backfit unless they are an applicable regulatory staff position.

Discussions during enforcement conferences and responses to the licensees requests for advice regarding corrective actions are not backfits; however, definitive statements to the licensee directing a speB Tic action to satisfy staff positions are backfits, unless the action is an explicit applicable regulatory staf f position.

Appendix A 3 of 4 Revised 06/22/87

RP 0514A Bulletins i i

IE Bulletins and resultant actions requested of licensees undergo the generic  !

review process pursuant to the CRGR Charter. Therefore, in general, it is not l necessary to apply the plant-specific backfit process to the actions requested  !

in a Bulletin. However, if the staff expands the actior, requested by a  !

Bulletin during its application to a specific licensee, such expansion is J considered a plant-specific backfit.

Reanalysis of Issues )

I Throughout plar,t lifetime, many inspectors have an opportunity to review the i requirements and commitments incumbent upon a licensee. Undoubtedly, there I will be occasions when an inspector concludes the previously NRC approved j licensee's program in a specific area does not satisfy a regulation, license j condition or commitment. In the case where the staff previously accepted the 4 licensee's program as adequate, any staff specified change in the program would be classified as a backfit.

t For example, in the case of an NT0L, once the SER is issued signifying staff acceptance of the program contained in the SAR, the licensee should be able to  :

conclude that his commitments in the SAR satisfy the NRC requirements for a particular area. If the staff was to subsequently require that the licensee commit to additional action other than that specified in the SAR for the particular area, such action would constitute a backfit. If there was tacit acceptance by staff, by being silent on the issue for en extended period of time, then staff action to force change would be a backfit.

Appendix A 4 of 4 Revised 06/22/87

l . RP 0514A a

APPENDIX B Backfit Identifier

  • l l l l_l_l_I_I l_I l_l_I To be filled out by HIS at time original entry is made into tracking system.

BACKFIT IDENTIFICATION FORM (And Data Base Entry)

  • Information Required for Data Base BACKFIT IDENTIFICATION
1. Office responsible for initiating backfit determination: *NRR(R),

NMSS(S), IE(E), or Region (1, 2, 3, 4, 5)

2. Who identified backfit:* NRR(R), HMSS(S), IE(E), Licensec(L), or Region (1, 2, 3, 4, 5)
3. Plant:* Name and unit , Docket No.
4. Year Initiated:*
5. Sequential number of backfit: Computer generated number made during initial entry into tracking system.

IDENTIFYING BACKFIT INFORMATION BACKFIT/ PETITION DOCUMENT DESCRIPTION * (360 characters maximum describing which requirement, position, standard, etc. is at issue with a specific licensee. Provide how or who identified, dates, any pertinent reference documents, and whether the backfit applies to construction permit, pre or post OL):

l l

Appendix B 1 of 4 Revised 06/16/87

RP 0514A 1

BACKFIl ISSUE SUBSTANCE:* (660 characters maximum describing the background, j justifications, why significant, licensee's position, why or why not a 1 backfit,etc.).  ;

i E

l 1

I BACKFIT DETERMINATION DATE (PREDICTED):"

I I 1 1 I 1 I 777777 i Cognizant HQ Program Office:

BACKFIT DETERMINATION INFORMATION Backfit Determination Date (Completed):*

1 1 1 I I I I 77 Was this determined to be a backfit:*

i l l l T lT 1 BACKFIT DETERMINATION SUBSTANCE * (360 characters maximum describing basis for determination with reference to action taken and any documentation, e.g.

immediate/ routine action, disposition plan, memo's and letters):

I l

l Appendix B l 2 of 4 Revised 04-15-87 j

RP 0514A BACKFIT DETERMINATION ORGANIZATION:* (Office / Division, e.g. RIII/DRS):

BACKFIT DETERMINATION OFFICIAL:* (Division Director, last name and 1st initial):

REGULATORY ANALYSIS COMPLETION DATE:*

TT lTlWlWlrlrl Approval for entry into tracking system:

Division Director Date Does not meet criteria for Backfit:

Division Director Date  !

APPEAL INFORMATION Note: This information is to be updated for each appeal level.

APPEAL DATE (PREDICTED):* _

TTWIWVV i

APPEAL DATE (COMPLETED)*

TTWWVV l APPEAL DESCRIPTION / STATUS * (360 characters maximum describing the licensee's basis for appeal and the appeal level with reference to any documentation received or sent).

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APPEAL ORGANIZATION * (Office / Division, e.g. , RIII/DRS):

Appendix B 3 of 4 R@eieGd_04 - 15_- 87 ______ _______ ___

r RP 0514A APPENDIX C COGNIZANT HEADQUARTER 5__ PROGRAM OFFICE CONTACTS Inspection Related Backfit Positions - Office of Inspection Nuclear Reactor Regulation, Associate Director for Inspection and Technical Assessmer.t Enforcement Related Backfit Positions - Office of Enforcement Licensing Related Backfit Positions - Office of Nuclear Reactor Regulation, Associate Director for Projects i

j l

i l

l l

i Appendix C Revised 06/22/87

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