ML21109A261

NEIMA Section 103(e) Enclosure - Report to Congress

ML21109A261
Person / Time
Issue date:	07/15/2021
From:	Christopher Hanson NRC/Chairman
To:	Carper T, Pallone F US SEN, Comm on Environment & Public Works
Hoellman J
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ML21109A263	List: ML21109A261 ML21109A262
References
CORR-21-0046, SRM-OGC190122-21
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COMPLETING A RULEMAKING TOESTABLISH A TECHNOLOGY-INCLUSIVE REGULATORY FRAMEWORK FOR OPTIONAL USEBYCOMMERCIAL ADVANCED NUCLEAR REACTOR TECHNOLOGIES INNEWREACTOR LICENSEAPPLICATIONS ANDTOENHANCE COMMISSION EXPERTISE RELATING TOADVANCEDNUCLEAR REACTOR TECHNOLOGlES A Report for U.S.Senate Committee on Environment andPublic Works U.S.HouseofRepresentatives Committee on EnergyandCommerce ABREGf 4A a 09 J O

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',Y AAAY U.S.Nuclear Regulatory Commission July 2021 Enclosure

INTRODUCTION The U.S. Nuclear Regulatory Commission (NRC) developed this report asrequired by Section 103(e) of theNuclear Energy Innovation andModernization Act(NEIMA orthe Act),

which requires theNRCtosubmit tothe appropriate congressional committees a report for (1)completing a rulemaking toestablish a technology-inclusive regulatory framework for optional useby applicants inlicensing commercial advanced nuclear reactor technologies in newreactor license applications and(2) ensuring that theNRChasadequate expertise, modeling, andsimulation capabilities, oraccess tothose capabilities, tosupport theevaluation ofcommercial advanced reactor license applications, including the qualificationofadvanced nuclear reactor fuel. The Act includes requirementsfor the development ofthis report, including coordinating andseekingstakeholder input inits development, providing cost andschedule estimates, andevaluating various policy and technical issues associated with advanced nuclear reactor technologies. TheActdefines "advanced nuclear reactor" asa nuclear fission orfusion reactor, including a prototype plant, with significant improvements compared tocommercial nuclear reactors under construction as of thedate ofenactment oftheAct.

TheNRCisanindependent regulatory agency whose mission istolicense andregulate the Nation's civilian useofradioactive materials to protect public health andsafety, promote the commondefense andsecurity, andprotect theenvironment. TheNRCandtheU.S.

Department ofEnergy (DOE) have distinctroles, but have worked jointly through several memoranda ofunderstanding Status,"

(as (MOUs)described 1,2021(Ref.

in SECY-21-0010, The NRC andtheDOE's "Advanced Office Reactor ofFusion Program dated February 1)).

Energy Sciences have initiated routine interactions todevelop longer term strategies for the possible deployment ofsafe fusion energy systems.

This report addresses each oftherequirements ofNEIMASection 103(e), "ReportToComplete a Rulemaking ToEstablish a Technology-Inclusive Regulatory Framework forOptional Useby Commercial Advanced Nuclear Reactor Technologies inNewReactorLicense Applications and ToEnhance Commission Expertise Relating toAdvanced Nuclear Reactor Technologies." In July 2019, asrequired byNElMASection 103(b) andSection 103(c), theNRC sent tworeports toCongress: (1)"Approaches for Expediting andEstablishing Stages intheLicensing Process forCommercial Advanced Nuclear Reactors" and(2) "Increasing theUseofRisk-Informed and Performance-Based Evaluation Techniques andRegulatory Guidance inLicensing Commercial Advanced Nuclear Reactors" (Ref. 2). These reports provide additional detailsonspecific aspects related tothe NRC's preparation for licensing advanced nuclear reactors.

BACKGROUND TheNRC's Policy Statement ontheRegulation ofAdvanced Nuclear Power Plants, issued on July 8, 1986, inVolume 51ofthe Federal Register (FR), page 24643 (51 FR24643) (Ref. 3),

andreissued asthePolicy Statement ontheRegulation ofAdvanced Reactors onOctober 14, 2008, inVolume 73ofthe FR,page 60612 (73 FR60612) (Ref 4), provides allinterested parties, including thepublic, the Commission's views concerning thecharacteristics ofadvanced reactor designs. Thepolicy statement identifies attributes that the Commission anticipated would beconsidered inadvanced nuclear reactor designs, including highlyreliable andless complex removal heat systems, longer constants reaching time before safety system challenges, reduced potential for severe accidents andtheir consequences, anduseofthe defense-in-depth philosophy ofmaintaining multiple barriers against radiationrelease. Inthe policy statement, theCommission also encouraged theearliest possible interaction of applicants, vendors, other government agencies, andtheNRCtoprovide forthe early 1

identification ofregulatory requirements for advanced reactors. Suchinteraction provides all interested parties, including thepublic, with a timely, independent assessment ofthe safetyand security characteristics ofadvanced reactor designs. These interactions also contribute towards minimizing complexity andadding stability andpredictability inthelicensing andregulation of advancedreactors.

Following theissuance oftheadvanced reactor policystatement in1986, theNRCinteracted with theDOEandreactor developers onthepotential forreviewing andlicensing advanced reactor designs based in part ondesign information provided intheform ofa preliminary safety information document.These activities resulted inthe publication ofassessments ofpreliminary designs such asNUREG-1368, "Preapplication Safety Evaluation Reportfor thePower Reactor innovative Small Module (PRISM) Liquid-Metal Reactor," issued February 1994(Ref. 5), and NUREG-1338, "Draft Preapplication Safety EvaluationReport for theModular High-Temperature Gas-Cooled Reactor [MHTGR)," issued March 1989(Ref. 6). TheNRCstaff identified several potential policy issues during its assessments of advanced reactor designs andproposed approaches toresolve some of these issues inSECY-93-092, "Issues Pertaining tothe Advanced Reactor (PRISM, MHTGR, and PIUS[Process Inherent Ultimate Safety))and CANDU3 [Canadian Deuterium Uranium) Designs and Their Relationship toCurrent Regulatory Requirements," dated April 8,1993 (Ref. 7). The Commission approved theNRCstaff's proposed approaches ina staff requirements memorandum (SRM) datedJuly 30,1993 (Ref.8).

During the1990s, theNRCcontinued todevelop review and licensing approaches foradvanced reactors. These activities weredoneinparallel, andsometimes interwoven, with theNRC's efforts toimprove risk-informed andperformance-based approaches withintheagency (e.g.,

the Commission's policy statement, "UseofProbabilistic Risk Assessment Methods in Nuclear Regulatory Activities," published onAugust 16,1995 (60 FR42622) (Ref. 9)). TheCommission provided further clarification inthewhite paper, "Risk-Informed andPerformance-Based Regulation," dated March 1,1999 (Ref. 10). In the early2000s, theNRC continued toidentify andresolve policy andtechnical issues during pre-application activitiesonadvanced reactor designs, including the gasturbine modular helium reactorandthepebble bed modular reactor.

InAugust theNRCandthe 2008, DOEjointly "Next issued, Generation Nuclear Plant Licensing Strategy, A Report toCongress" (Ref. 11). TheNRCstaff continued related to activities advanced reactors following thespecific workrelated tothe Next Generation Nuclear Plant. In August 2012, theNRCpublished its strategy for andapproach topreparing for thelicensing of advanced reactors inits"Report toCongress: Advanced Reactor Licensing" (Ref. 12).

In2016,theNRCissued its "NRCVision andStrategy: Safely Achieving Effective andEfficient Non-Light-Water Mission Readiness" (Advanced Reactor Vision andStrategy Document)

(Ref. 13), inresponse toincreasing interest inadvanced reactor designs, including possible legislation. TheNRCconsidered theDOE's advanced reactor deployment goals developed in the2016timeframe whensetting priorities for itsreadiness activities andcontinues toreassess its activities tosupport theDOE's deployment goals.

Toachieve thegoals andobjectives stated intheNRC's Advanced ReactorVision andStrategy Document, theNRCdeveloped implementation action plans (IAPs). TheIAPs identified the specific activities theNRCwould conduct inthenear-term (within 5 years),mid-term (5to 10years), andlong-term (beyond 10years). TheNRCreleased its draft IAPs toobtain stakeholder feedback during a series ofpublic meetings held between October 2016and March 2017. TheNRCstaff also briefed theAdvisory Committee onReactor Safeguards (ACRS) onMarch 8 and9,2017. TheNRCstaff considered theACRScomments and 2

stakeholder feedback inthe final near-term IAPs (Ref. 14) andmid-term andlong-term IAPs (Ref. 15),dated July 2017.

Thenear-term IAPs address six individual strategies:

(1) Acquire/develop sufficient knowledge, technical skills, andcapacity toperform non-light water reactor (non-LWR) regulatory reviews.

(2) Acquire/develop sufficient computer codes andtools toperform non-LWR regulatory reviews.

(3) Develop guidance for a flexible non-LWR regulatory review process within the bounds ofexistingregulations, including theuseofconceptual design reviews and staged-review processes.

(4) Facilitate endorsing, asappropriate, industry codes andstandards needed tosupport thenon-LWR lifecycle (including fuels andmaterials).

(5) identify andresolve technology-inclusive policyissues (notspecific toa particular non-LWR design orcategory) that impact regulatory reviews, siting,permitting, and/or licensing ofnon-LWR nuclear power plants.

(6) Develop andimplement a structured, integrated strategy tocommunicatewith internal andexternal stakeholders having interests innon-LWR technologies.

Based oninput received from stakeholders onthedraft near-term IAPs and ACRS recommendations, theNRCassigned highest priorityexecution ofStrategies 3and5; to its however, activities areongoing insupport ofall six strategies. TheNRC staff issued SECY-21-0010, "Advanced Reactor Program Status," onFebruary 1,2021 (Ref. 1). This isthe fourth annual paper that provides thestatus oftheNRCstaff's activitiesrelated toadvanced reactors, including theprogress andpath forward oneachoftheIAPstrategies. It alsoprovides anoverview ofthevarious external factors informing theNRCstaff's activitiesto prepare for the review andpotential licensing ofadvanced reactors.

Inthe2016Advanced Reactor Vision andStrategy Document andmid-term andlong-term IAPs, theNRCidentified thepotential needtoinitiate anddevelop anewrisk-informed, performance-based, andtechnology-inclusive regulatory framework that focuses NRCstaff review effortscommensurate with therisks posed bytheadvanced nuclear reactor design under consideration. In NEIMA, Congress directed theNRCtoestablish thisnewregulatory framework; theNRCplans todevelop inTitle 10oftheCodeofFederal Regulations (10 CFR)

Part 53,"Licensing andregulation ofadvanced nuclear reactors," byOctober 2024.

COORDINATION ANDSTAKEHOLDER INPUT(NE1MA Section 103(e)(2))

TheNRCstaff coordinated with theDOEandother stakeholders indeveloping this report.

Specifically, theNRCdiscussed plans for thepreparation ofthis report with DOE representatives onOctober 23,2020, andreceived DOEinput onthe draft report inMay2021 TheNRCalso discussed plans for thepreparation ofthis report during public meetings on November 5,2020, andonApril 15,2021, toseek input from licensees, trade associations, a diverse setoftechnology developers, members vendors, ofthe public, andother stakeholders.

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The NRC staff initiated extensive stakeholder interactions ina series ofpublic meetings, aswell asregular engagement with the ACRS,andthese discussions haveinformed the development ofthis report. Aspart ofthese interactions, theNRCstaff isimplementing a novel rulemaking approach of periodically releasing preliminary proposed rule language tofacilitate public discussion. This allows for early public input astherule language isrefined. TheNRC successfully managed thechallengespresented bytheCOVID-19 public health emergency without anysignificant impact tothe development ofPart 53byquickly adapting toa virtual working environment and conducting virtual public meetings andworkshops tofully engage and encourage stakeholder participation. Stakeholders have provided diverse andsignificant input onthe preliminary proposed rule language during public meetings, with somecommenters expressing their desire tosee additional changes inresponse totheir comments. TheNRCstaff isevaluating the comments and will consider thevarying stakeholder perspectives asit continues development ofPart 53.

TheNRCwill continue tointeract with the DOE andother stakeholders togather information to inform the development ofPart 53aswellas other NRCadvanced reactor readiness activities.

TheNRCstaff updates itspublic Website and the associated docket onRegulations.gov (Docket ID NRC-2019-0062) as new information becomes available and compiles allreleased preliminary proposed rule language inonelocation (Ref. 16). TheNRCwill continue toengage withstakeholders asappropriate throughout therulemaking process.

Since July 2016, theNRChasconducted about 50publicstakeholder meetings, approximately oneevery 6 weeks, todiscuss advanced reactor topics ofinterest, including Part 53,advanced reactor content ofapplication efforts, staged licensing, advanced reactor fuel qualification,and consensus codes andstandards. TheNRChasalso conducted advanced reactor sessions at itsannual Regulatory information Conference and conducted several briefings to the v arious ACRSsubcommittees andthe ACRSfull committee, which wereopento the public. TheNRC staff will continue toconduct public meetings with stakeholders approximately every 6 weeks in addition tothe separate public meetings dedicated tothedevelopment ofPart 53. TheNRC staff also hasroutine public meetings with developers ofspecific advanced reactors related to design, review, andlicensing issues. TheNRCandtheDOE's Office ofFusion Energy Sciences have also initiatedroutine interactions toinform theNRCstaff anddevelop longer term strategies for thereview andpossible licensing offusion energy systems, andthese interactions havebeenaccelerated tosupport the development ofPart 53.

THEABILITY OFTHECOMMISSION TOCOMPLETE A RULEMAKING TOESTABLISH A TECHNOLOGYINCLUSIVE REGULATORY FRAMEWORK FORLICENSING COMMERCIAL ADVANCED NUCLEAR REACTOR TECHNLOGlES BY DECEMBER 31,2027(NEIMA Section 103(e)(4)(A))

Consistent with NElMASection 103, theNRCstaff willestablish byDecember 31,2027, a risk-informed, technology-inclusive regulatory framework for advanced reactors for optional useby applicants for newcommercial advanced nuclear reactor licenses. TheNRCstaff presented its proposed plan for this rulemaking totheCommission forapproval inSECY-20-0032, "Rulemaking Plan on'Risk-Informed, Technology-Inclusive Regulatory Framework for Advanced Reactors (RIN-3150-AK31, NRC-2019-0062)," dated April 2020(Ref.

13, 17). OnOctober 2, 2020, theCommission approved thestaff's proposed approach inSRM-SECY-20-0032 (Ref.18) anddirected the staff toaccelerate itstimeline andprovide theCommission a schedule with milestones andresource requirements toachieve publication ofthefinal ruleby October 2024. TheSRMalso directed theNRCstaff toinform theCommission ofkey 4

uncertainties impacting publication ofthefinal rulebyOctober 2024. OnNovember 2,2020, the staff provided a response toSRM-SECY-20-0032 (Ref. 19) outlining a schedule forp reparinga rulemaking package that conforms tothe Commission's direction toachieve ofthe publication final rule by October 2024.

Asdescribed in therulemaking plan, Part 53will define technology-inclusive, performance-based requirements for advanced nuclear reactors. TheNRCstaff plans tofocus the rulemaking onrisk-informed functionalrequirements bybuilding onconcepts andlanguage found inexisting NRC requirements, Commission policy statements, andrecent activities undertaken toimplement the NRC'sAdvanced Reactor Vision andStrategy. Theperformance-based requirements willsupport a risk-informed approach that will acknowledge design features that prevent adverse consequences. Thenewrule will (1) continue toprovide reasonable assurance ofadequate protection ofpublichealth andsafety andpromote thecommondefense andsecurity; (2) promote regulatory stability, predictability, and clarity; (3) theneedfor reduce exemptions from thecurrent requirements in10CFRPart 50,"Domestic licensing ofproduction andutilization facilities" (Ref. 20), and 10 CFR Part 52, "Licenses, certifications, andapprovals for nuclear power plants" (Ref. 21); (4)establish newrequirements toaddress non-LWR technologies; (5) recognize technologicaladvancements inreactor design, where appropriate; and(6) credit theresponse ofadvanced nuclear reactors topostulated accidents, where appropriate, including slower transient responsetimes andrelatively small andslow releaseof fission products.

Consistent with Commission direction inSRM-SECY-20-0032, theNRCstaff isconsidering appropriate treatment offusion energy systems intheregulatory structure. TheNRCstaff's assessments ofthepotential risks posed byvarious fusion technologies andpossible regulatory approaches forfusion energy systems will bedoneinparallel with development ofthedraft proposed rulemaking package for Part 53,andstaff will develop an options paper for Commission consideration. Thedraft proposed Part 53rule will bedeveloped with the aimof accommodating fusion technologies asmuchaspossible tomaintain flexibility forfuture Commission direction. TheNRCstaff isconsidering a separate rulemaking to address fusion energy systems that would extend beyond 2024but would becompleted before 2027, which will allow additional time toassess fusion technologies tobetter incorporate theminto a technology-inclusive regulatory framework.

THEEXTENTTOWHICHADDITIONAL LEGISLATION, ORCOMMISSION ACTIONOR MODIFICATION OFPOLICY, ISNEEDED TOIMPLEMENT ANYPARTOFTHENEW REGULATORY FRAMEWORK (NElMA Section 103(e)(4)(B))

Therequirements of10CFRPart 53will beconsistent with the framework ofthe Atomic Energy Actof1954, asamended (AEA), including promoting the commondefense andsecurity and adequately protecting public health andsafety. TheNRCstaff evaluated the AEAand determined that it provides anappropriate safetyandlegal construct tosupport theuseofrisk-informed andperformance-based evaluation techniques. TheNRCstaff iscommitted to developing a framework that achieves the goalsofthe Commission's advanced reactorpolicy statement (Ref. 4) and the NRC's p rinciples ofgood regulation (independence, openness, efficiency, clarity,andreliability). Therefore, atthistime, for nuclear fission reactors,theNRC staff hasnotidentified additional legislation, Commission action, or modification of policy needed toimplement a newregulatory framework.

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THE NEED FORADDITIONAL COMMISSION EXPERTISE, MODELING, ANDSIMULATION CAPABILITIES, ORACCESS TOTHOSE CAPABILITIES, TOSUPPORT THEEVALUATION OFLICENSING APPLICATIONS FORCOMMERCIAL ADVANCED NUCLEAR REACTORS ANDRESEARCH ANDTESTREACTORS, INCLUDING APPLICATIONS THATUSE ALTERNATIVE COOLANTS ORALTERNATIVE FUELS,OPERATE ATORNEAR ATMOSPHERIC PRESSURE, ANDUSEPASSIVE SAFETYSTRATEGlES (NEIMA Section 103(e)(4)(C))

Forthepurpose ofthis section ofthereport, theNRChasfocused onthe following technologies: light-water small modular reactors; non-LWRs, including high-temperature gas-cooled reactors (HTGRs),liquid metal fast reactors (e.g., sodium-cooled fastreactors (SFRs)),

andmolten salt reactors (MSRs); and microreactors. Aspart ofa holistic effort toensure the NRChasaccess toadequate expertise, modeling, andsimulation capabilities tosupport the NRCstaff's evaluation ofcommercial advanced reactor license applications andresearch and test reactors (RTRs), theNRChastaken steps toaugment existing capabilitiesinthe following areas:

e NRCstaff training andknowledge management e acquiring anddeveloping analytical tools Given available resources andthepotentially long lead times for adding capabilitytoexisting computer codes, theNRC's planning isbased ona current understanding ofindustry plans.

Changes inthe advanced reactor landscape ordevelopers' accelerated efforts could result ina need torevise thepriorities assigned toaugmenting analytical tools. Inparticular, the NRChas very limited expertise onfusion energy. Atpresent, theNRCstaff isworking with theDOE Office ofFusion Energy Sciences staff andinteracting withstakeholders todevelopknowledge andcapabilities.

TheNRChasadequate staffing andexpertise toaddress itscurrent advancedreactor activities anddoes notexpect staffing tobea challenge for reviewing anticipated futureadvanced reactor licensing applications. IAP Strategy 1 focuses on staff development andknowledge management andsupports theobjective ofenhancing advanced reactor technicalreadiness.

Asdescribed below, theNRChastaken substantial actions toincrease NRCstaff knowledge of advanced reactors andtheuseofrisk-informed andperformance-based licensingapproaches.

TheNRCalso hasassessed the staff's technical readiness andidentified andfilled critical skills necessary toreview advanced reactor applications. TheNRCstaff hasalso increased its capability andcapacity toaccelerate development ofregulations andguidance. These efforts willcontinue aspart ofthenormal management ofagency programs.

TheNRChascontracted with experts from national laboratories todevelop andprovide training onvarious technology types, including anMSRtraining course developed andprovided byOak Ridge National Laboratory (ORNL), SFRtraining developed andprovided byArgonne National Laboratory (ANL), andHTGRtraining developed andprovided byANL.Thetraining materials forthese courses havebeenmadepublicly available, andthetraining wasvideo recorded to training facilitate additional staffasneeded. Further, several staff members havereceived more specialized training intheuseoftheDOE's Multiphysics Object Oriented Simulation Environment (MOOSE) code, GRIFFIN neutron physics, Grizzly structural analysis code, and BISON fuel performance code. TheDOENuclear Energy Advanced ModelingandSimulation (NEAMS) project actively develops these codes.

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The NRC staff hasalso collaborated ona series ofinternal seminars onadvanced reactor technical andregulatory topics such asprobabilistic risk assessment, microreactors, and accident source terms. TheNRCstaff hasbegun leveraging NRCinternal tools torecord this information and provide it toa wider NRCstaff audience.

TheNRCstaff will continue toassess andfulfill training needs tofacilitate reviews ofanticipated technologies using a variety oflicensing processes. Inaddition tothe training available on various advancedreactor technologies, online andinstructor-led course material isavailable on RTRtechnology, oversight, andlicensing. Incoordination with its Technical Training Center, theNRCalso offers staff hands-on training onRTRoperation attheUniversity ofTexas at Austin Training, Research,Isotopes, GeneralAtomics (TRIGA) reactor. Additional training material isunder development to familiarize staff with RTRtechnology andregulation inthe event that advanced reactor developers choose topursue RTRsaspart oftheir regulatory engagement (or plans licensing project plans).

Significant information isavailable ontechnical, policy,andregulatory issues associated with reviewing andlicensing advanced reactor designs. TheNRCstaff hastaken steps toorganize andconsolidate a large number ofexisting documents andtraining materials tomakethem moreeasily accessible andsearchable andtodevelop additional knowledge management resources asneeded tosupport staff development. In March 2019, the staff completed a report, "Advanced Non-Light-Water Reactors Materials andOperational Experience" (Ref. 22),

summarizing the available domestic andinternational operational experience for both advanced power andresearch reactors with regard tomaterials andstructural performance. Thereport focuses onSFRsandHTGRsandpresents valuable knowledge tosupport NRCstaff development andreadiness activities inthis area.

Additionally, theNRCstaff contracted with Brookhaven National Laboratory todevelopa report, "NRCRegulatory History ofNon-Light Water Reactors (1950-2019)" (Ref. 23), that comprehensively describes theNRC's history with advanced reactor technology. This report hasandwill continue toassist theNRCstaff inunderstanding thehistory ofadvanced reactor technologies andwill facilitate future reviews ofthese technologies. Inaddition, the NRC has contracts inplace with manyofthenational laboratories tosupplement staff knowledge, support development ofregulatory infrastructure, andsupport future application reviews.

TheNRCentered into twoMOUswith theDOEontheproposed Versatile Test Reactor at Idaho National Laboratory andontheNuclear Energy Innovation andCapabilities Acttoshare technical expertise andknowledge andtoensure thattheNRChassufficient technical expertise toreview advanced reactor licensing applications. TheNRCplans toobserve andparticipate in theDOE's Versatile Test Reactor safety review teamtocontinue toexpand staff knowledge and capacity toconduct regulatory reviews offuture advanced reactor licensing applications. The NRCandthe DOEarealso collaborating with theU.S. Department ofDefense (DOD) on microreactor research, development, anddemonstration toguide interagency cooperation on DOD-sponsored fixed-site andmobile microreactor activities.

Currently, theNRCstaff haslimited expertise relatedtofusion energy. TheNRCexpects that manyoftheregulatory enhancements underway fornon-LWRs willinform strategies forthe licensing offusion energy systems andNRChasformed a working group toenhance its expertise inthis area. TheNRCandtheDOE's Office ofFusion Energy Sciences haveinitiated routine interactions todevelop longer termstrategies for thereview ofpossible fusion energy systems, andtheDOEisproviding expertise andadvice.addition In tothe DOE, theNRCis 7

interacting with fusion developers, theindustry-led Fusion Industry Association, andthe States through theConference ofRadiation Control Program Directors. TheNRChasheld public meetings toexchange information onits development ofa regulatory framework for the review andpossible licensing offusion energy systems. TheNRCwill need toexpand expertise in terms ofboth staff andsimulationcapabilities tosupport this regulatory framework.

Near-term IAPStrategy 2isdevoted toacquiring anddeveloping adequate computer codes and tools to perform non-LWR regulatory reviews. Modeling andsimulation ofmanynon-LWR designs involve certain physical processes andphenomena that either donotoccur inLWRsor occur inregimes outside those well understood for existing designs. Therefore, theNRCstaff hascompleted effortsto(1) identify and evaluate the existing computer codes, tools, and supporting information; (2) identify gaps in both a nalyticalcapabilities and supporting information anddata; and(3) interact with domestic andinternational organizations working on non-LWR technologies toidentify opportunities tocollaborate andcooperate in the closinggaps while avoiding conflictsofinterest. Thestaff has alsomadesignificant progress infilling these gaps.

TheNRCstaff hasdocumented itscontinuing approach for developing computer codes ina series ofrecently published reports. Theintroductory document (Ref. 24)gives an overview of andtherationale for theNRC's approach tocode development insupport ofadvanced reactor reviews. Volume 1(Ref. 25) focuses onin-reactor andplant systems analyses;Volume 2 (Ref.

26) focuses onfuel performance analyses; Volume 3 (Ref. 27) focuses onanalyses ofsevere accidents thatmaylead torelease ofradioactive materials andoffsite consequences; Volume 4 (Ref. 28) focuses on licensing and siting dose a ssessments; and Volume 5 (Ref. 29) focuses on criticality andshielding analyses forthe front andback endsofthenuclear fuelcycle.

NRCstaff effortsrelated tosafety analysis codes have concentrated onensuring the NRChas adequate capabilities toevaluate thebroad spectrum ofaccident scenarios for designs expected tobesubmitted for review, including gas-cooled, liquid metal, moltensalt, and heat pipe-cooled reactor designs. Duetothecomplexities involved inhowdifferent designs formulate their safety strategy, there isa varying emphasis oninteraction between safety analyses forplant systems, fuel performance, andconsequence analysis. Further, the technological maturity of these differs, designs andtheprojected timelines for application submittals totheNRCcontinue toevolve. TheNRCstaff hasallocated resources for modeling andsimulation capabilities based onthese factors.

Aspart oftheeffort involved inidentifying andselecting these computer codes, theNRCstaff also evaluated where existing capabilities andvalidation areneeded fornon-LWR applications.

TheNRChasanMOUwith theDOEthat provides NRCaccess toDOEcodes for regulatory purposes (Ref. 30). TheDOEhasprimary responsibility for generically applicable code development, verification, andvalidation activities for theNEAMScodes. TheNRChasthus focused itseffortsondeveloping models using DOEcodes totest their efficacy for different designs andtoidentify where additional efforts onthecodes mayberequired, aswell as augmenting NRCcodes where they areappropriate forthetask athand. Continued efforts to close technical gaps between theexisting anddesired code capabilities include areas such as augmenting material property databases, adding additional modeling toreflect options design safety solutions thatnon-LWR applicants areexpected tochoose, andvalidating the codes using test data.

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The proposed code suite for non-LWR safety analysis ofin-reactor andplant systems makes use ofexisting NRCcodes where practical andintegrates them with several codes developed through theDOE'sNEAMS program intotheComprehensive Reactor Analysis Bundle (CRAB).

Useof the NEAMS codes helps modelling fill andanalysis gaps intheNRC's codes which have beendeveloped over the decades tolargely support operating reactor fleet safety analyses.

This "BlueCRAB" codesuite consists ofaselection ofNRCcodes (e.g., SCALEreactor physics, criticality safety, radiation shielding code, P ARCS reactor core simulator code, T RACE thermal hydraulics in-reactor and plant system code, andFASTfuel performance code), updated and used within their demonstrated ranges ofapplicability,coupled with a setofDOEcodes (e.g.,

MAMMOTH reactor physics code, Pronghorn thermal hydraulics code, BISON, SAMreactor transient analysis code,and Nek5000 computational fluid dynamics code). codes These are interconnected byMOOSE, which provides a high-level interface andcoupling for computational analysis. BlueCRAB isfurther augmented byaninternationally developed cross-section and burnup code (SERPENT) anda commercial computational fluid dynamics code (FLUENT). The BlueCRAB suite ofcodes wasselected toperform analyses ona widerange ofnon-LWR designs, including SFR,HTGR,MSR, and microreactor designs. Through the establishment of a MOUbetween theNRCandtheDOE's National Reactorinnovation Center (NRIC), theNRC anticipates being able toutilize computer code models developedthrough NRICtoaugment the analytical capabilities oftheNRC's BlueCRAB suite ofcodes. This MOUresults incost savings tothe NRC.

Forfuel performance analyses, which focus onspecific phenomena that maydiffer for each fuel concept, theNRCstaff hascontinued todevelop itsownFAST code.FASTalready includes manyofthe physics models andmaterial properties needed to analyze non-LWR fuel forms.

TheNRCstaff hasidentified andundertaken effortstoclosegaps between thecode capability andtheneeded capability forreviewing non-LWR designs, focusing ontristructural isotropic (TRISO)-fuel andmetallic fueltoaccommodate near-term interestin SFRs, HTGRs,andheat pipe-cooled reactors. Additionally, theNRCstaff, working closely with the NEAMS BISONfuel performance code development team, havebecome proficient inusingBISON, andseveral BISONmodels have been incorporated intotheFASTcode. This collaboration andtheNRC staff's ability tousetheBISON code have resultedinadditional fuel performance analysis capability that will support theNRC's safety analyses foralladvanced fuel types and reactors.

Inevaluating severe accidents andoffsite consequences, theNRCstaff hasidentified areas to expand theNRC's modeling andsimulation capabilitiesforaccident progression, source term, andconsequence analysis fornon-LWR technologies. These efforts involve three NRC computer codes. Thefirst isMELCOR,theNRCcode developed bySandia National Laboratories andused foraccident progression andsource term analyses. MELCORisalso usedinternationally andthroughout thenuclear industry forcalculating source terms andiswell validated for LWRdesigns. TheNRCstaff hasdeveloped a listofspecific data andmodel needs toupdate thecode for useacross a variety ofnon-LWR designs. Thestaff hasprioritized making updates tothecodebased onthedegree ofchanges required within MELCOR coupled with thetechnological maturity ofthenon-LWR reactor designs. Thesecond codeisSCALE,a reactor physics, criticality safety, radiationshieldingcodedeveloped byORNL.MELCOR relies onthe SCALEcode toprovide fission product andradionuclide inventories aswell asreactor thermal andkinetics parameters. TheNRCstaff hasidentified additional data andvalidation tasks needed andisupdating SCALEfor useacross a spectrum ofnon-LWR technology types.

Thethird code isthe MELCOR Accident Consequence CodeSystem (MACCS). is MACCS usedtomodel atmospheric releases ofradioactivematerials into theenvironment andthe consequences ofsuchreleases. Ithasa long, active development history anda broad user base, including the NRC, the DOE, thenuclear industry, anddomestic academia, and 9

international research organizations. While MACCS islargely technology neutral inapplication, the NRC haspreviously validated its usefor large releases from largeLWRs.TheNRCstaff hasidentified andisintheprocess ofperforming evaluations ofMACCS' abilitytoaccount for smallersites andthe potential different chemical andradionuclide makeup ofnon-LWR designs.

Forthelicensing and dose assessmentcodes, theNRCstaff hasidentifiedseveral codes to support doseassessments for initiallicensing reviews, National Environmental Policy Act reviews, siting reviews, emergency response, andother health physicscalculations unique to non-LWR technologies. The NRCstaff hasdeveloped a strategy forupdating, consolidating, andapplying the suite of NRC licensing andsiting doseassessment codes inorder tobetter evaluate non-LWR designs. The strategy is generally oriented toward genericactivitiesthat benefit all non-LWRs designs; however, theNRCstaff hasidentified known issues for specific technologies andisaddressingthem. Specific tasks theNRCiscurrently undertaking include (1) codeconsolidation andmodernization; (2) source term determination accounting fornormal (routine) reactor coolant source terms, accident source terms, and transportationsource terms; (3) atmospheric transport and dispersion modeling to include near-field atmospheric transport anddispersion modeling updates; (4) selection ofdosecoefficients;and(5) aquatic pathway, environmental accumulation, andhumanand non-human biota consequence modeling, including tritium andcarbon-14 modeling.

TheNRCstaff hasdeveloped a plan toevaluate thenuclear fuel cycle (e.g.,

transportation of materials used tomanufacture fuel, fuel fabrication operations, andspent fuelstorage and transportation) for non-LWR applications. Thegoal istounderstand, control,andpredict the behavior ofsystems that contain radioactive material. accomplished using This i s neutronics andradionuclide characterization computer codes that arefast, portable, well assessed, understood, andeasy-to-use. Theplan leverages existing NRCcomputer codes(i.e., SCALE andMELCOR) andconsequence tools such asMACCStoestablishNRC non-LWR fuel cycle safety analysis capabilities.

Aspreviously discussed, theNRCstaff continues tointeract with theDOE,the Electric Power Research institute (EPRI), national laboratories, reactor developers, utilities, and the international community related tocomputer codes, analytical tools,andadvanced reactor fuel qualification. Asmentioned, theNRChasanMOUwith theDOE,andtheNRCandDOE staff collaborate extensively onthedevelopment andusage oftheNEAMSandBlueCRAB codes.

InMay2019,EPRIsubmitted a topical report tothe NRCintended toprovide a foundational basis for establishing the fuelperformance ofTRISOparticles. This report isunique inthat it provides ajustification forfuel performance independent ofthe finalfuelform orreactor design.

Thereport represents thefirst stage inqualifying fuel for a TRISO-based reactordesign and lays thegroundwork for multiple advanced reactor vendors tosupport oftheir qualification respective fuel designs. TheNRCstaff issued itsfinal safety evaluation (Ref.31) approving the topical report inAugust 2020. Topical Report EPRI-AR-1(NP)-A, "Uranium Oxycarbide (UCO)

Tristructural Isotropic (TRISO)-Coated Particle Fuel Performance," issued November 2020(Ref.

32), isnowapproved for useinfuture licensing actions.

Also, inMay2019, ANLsubmitted a topical report totheNRCdescribing thequality assurance program plan for SFRmetallic fuel data qualification. Thetopical report describes the quality assurance process(es) bywhich attributes ofhistorical, analytical, andother data associated with SFRmetallic fuel willbeevaluated. TheNRCstaff issued final its safety evaluation (Ref.

33) approving thetopical report inApril 2020. Topical Report, "QualityAssurance Program Plan 10

for SFR Metallic Fuel Data Qualification ANL/NE-16/17-NP-A," issued October 2020(Ref. 34), is now approved for useinfuture licensing actions.

Aspart of a related effort under NEIMA,theNRCstaff isintheprocess ofdeveloping guidance related to the qualification ofadvanced nuclear reactor fuel. NRCstaff efforts have been informed by interactions amonganextensive group ofexternal stakeholders, including the Working Group on theSafety ofAdvanced Reactors through theNuclear Energy Agency, ORNL,ANL,and the industry-led Accelerated Fuel Qualification Working Group, amongothers.

Fuel qualification is important indemonstrating that fuel behaves asestablished inthe applicable licensing basis, andtheNRCstaff will continue toengage external stakeholders to ensure it hasadequateexpertise tosupport the evaluation ofcommercial advanced reactorfuel.

THEBUDGETS ANDTIMEFRAMES FORAQUIRINGORACCESSING THENECESSARY EXPERTISE TOSUPPORT THE EVALUATION OFLICENSE APPLICATIONS FOR COMMERCIAL ADVANCED NUCLEAR REACTORS ANDRESEARCH ANDTEST REACTORS (NEIMA Section 103(e)(4)(D))

Asdiscussed inthe Advanced Reactor Vision and Strategy Document andIAPs, theNRCplans toachieve itsoverarching advanced reactor readiness strategic goals andobjectives bynolater than 2025, including assuring readiness toeffectively andefficiently review andregulate advanced reactors toensure safety. Aspreviously mentioned, currently theNRCstaff has limited expertise related tofusionenergy, andtheNRC has initiated routine interactions with DOE,the fusion industry, Agreement States, andotherstakeholders toexpand its expertise with fusion technologies. TheNRCstaff hasimplemented strategies forenhancing commercial advanced reactor andRTRtechnical readiness tofulfill thenear-term objectives ofidentifying work requirements, critical andstaff skills, capacity requirements; assessing theNRCstaff's current advanced reactor technicalreadiness; andclosing gapsintechnical readiness. The NRCstaff hasaccelerated readiness activities toprepare toreview potential advanced reactor applications andwill continue toassess technical readiness andidentify critical skills toexpand its capability andcapacity, asneeded.

NRCefforts arefocused ontechnology-inclusive capabilities forNRCcodes, and on enhancing understanding andregulatory readiness related totechnologies andmaterials anticipated tobe proposed for useinadvanced reactors. TheNRCexpects that itsreviews will become more effective andefficient asits codes andexpertise evolve andmature. Ifadditional fundsare needed for codedevelopment for emergent designs, such funding would besought through the budget process.

COSTESTIMATES, BUDGETS,ANDTIMEFRAMES FORDEVELOPING AND IMPLEMENTING A TECHNOLOGY-INCLUSIVE REGULATORY FRAMEWORK, INCLUDING COMPLETION OFA RULEMAKING (NEIMA Section 103(e)(3))

TheNRCstaff will develop a technology-inclusive regulatory framework andwill provide a draft Final Rule totheCommission inMarch of2024, toallow for publication ofthefinal rule by October 2024. Thestaff's timelinefor thecompletion oftherule, including specific milestones, isoutlined inthe staff response toSRM-SECY-20-0032 (Ref. 19).TheNRCexpects a consistent level ofoff-fee based funding. Those funds will beusedtocontinue efforts relatedto the development ofrisk-informed andperformance-based evaluation techniques andguidance for licensing commercial advanced nuclear reactors. If additional funds areneeded toensure publication ofthePart 53final rule byOctober 2024, such funding would besought through the budget process. Toprepare forthereview ofpotential near-term applications, theNRCstaff 11

prioritized activitiestoincrease theuseoftechnology-inclusive, risk-informed, andperformance-based licensing approacheswithin theexisting regulatory framework, andthese activities continue toinform Part 53development.

CONCLUSION TheAdvancedReactor VisionandStrategy Document hasguided thedevelopment ofIAPs that support theachievement oftheagency's overarching strategic goals andobjectives, including ensuring readiness to review and regulate advanced reactors effectively andefficiently to ensure safety. TheAdvanced Reactor Vision andStrategy Document, related IAPs, and subsequent statuspapers(e.g. SECY-21-0010) describe theobjectives, strategies, and contributing activities necessary toachieve advanced reactor mission readiness.

Theenactment ofNEIMAandsubsequent direction from theCommission have accelerated the NRCstaff's todevelop efforts thenew regulatory frameworkfor optional usebyapplicants in licensing commercial advanced nuclear reactor technologies (10 CFRPart 53). TheNRCstaff initiated extensive stakeholder interactions through the iterative release of preliminary proposed rule language anda series ofdedicated public meetings onPart 53aswell asregular engagement withthe ACRS.These interactions have informed the development ofPart53.

TheNRCwill continue tointeract with theDOEand other stakeholders togather information to inform thedevelopment ofPart 53aswell asother NRC advanced reactor readiness activities.

TheNRChasimplemented activities totrain staff, isenhancing safety analysis codes, and continues tointeract with external experts tobest facilitate access toadequate expertise, modeling, andsimulation capabilitiestosupport theNRCstaff's review oflicense applications for commercial advanced nuclear reactor designs. Asthere area wide variety ofnon-LWR designs, theNRCstaff hasprioritized itsefforts based onthe advanced reactor landscape considering anticipated licensing submittals onthe near- andlong-termhorizons. Asthis landscape evolves, theNRCstaff will continue toassess its technical readiness andaccess to expertise, modeling, andsimulation capabilities tobest position the agency to review commercial advanced reactor license applications ofnon-LWR designs.

12

ACRONYMS ACRS Advisory Committee onReactor Safeguards AEA AtomicEnergy Actof1954, asamended ANL Argonne National Laboratory CANDU Canadian Deuterium Uranium CFR Code ofFederalRegulations CRAB Comprehensive Reactor Analysis Bundle DOE U.S. Department ofEnergy EPRI Electric Power Research Institute FAST Fuel Analysis under Steady-state andTransients FR Federal Register HTGR high-temperature gas-cooled reactor IAP implementation action plan LWR light water reactor MACCS MELCOR Accident Consequence CodeSystem MHTGR modular high-temperature gas-cooled reactor MOOSE Multiphysics Object Oriented Simulation Environment MOU memorandum ofunderstanding MSR molten salt reactor NEAMS Nuclear Engineering Advanced Modeling andSimulation NElMA Nuclear Energy Innovation andModernization Act Non-LWR non-light water reactor NRC U.S. Nuclear Regulatory Commission ORNL OakRidge National Laboratory PARCS Purdue Advanced Reactor Core Simulator PIUS Process Inherent Ultimate Safety PRISM Power Reactor Innovative Small Module RTR research andtest reactor SAM System Analysis Module SCALE Standardized Computer Analyses for LicensingEvaluation SFR sodium-cooled fast reactor SRM staff requirements memorandum TRACE TRAC/RELAP Advanced Computational Engine TRIGA Training, Research, Isotopes, General Atomics TRISO tristructural isotropic 13

REFERENCES 1 SECY-21-0010, "Advanced Reactor Program Status,"February 1,2021(ADAMS Accession No.ML20345A239).

2. NRC, Letter toBarrasso& Pallone, from Chairman Svinicki, Submitting Reports Describing "Approaches forExpediting andEstablishing Stages intheLicensing Process for Commercial Advanced Nuclear Reactors" and"Increasing theUse of Risk-Informed andPerformance-Based EvaluationTechniques andRegulatory Guidance inLicensing Commercial Advanced Nuclear Reactors" asRequired byNEIMA,July 19,2019 (ADAMS Package Accession No.ML19128A289).

3. NRC,"Regulation ofAdvanced NuclearPower Plants: Statement ofPolicy," July 8, 1986(51 FR24643).

4. NRC,"Policy Statement onRegulation ofAdvanced Reactors," October 14,2008 (73 FR60612)

5. NUREG-1368, "Preapplication Safety Evaluation Report for thePower Reactor Innovative Small Module (PRISM) Liquid-Metal Reactor," February 1994 (ADAMS Accession No.ML063410561).

6. NUREG-1338, "Draft Preapplication SafetyEvaluation Report for theModular High-Temperature Gas-Cooled Reactor," March 1989 (ADAMS Accession No.ML052780497).

7. SECY-93-092, "Issues Pertaining tothe Advanced Reactor (PRISM, MHTGR,andPlUS) andCANDU 3 Designs andTheir Relationship toCurrent Regulatory Requirements,"

April 8,1993 (ADAMS Accession No.ML040210725).

8. SRM-SECY-93-092, "SECY-93-092-Issues Pertaining totheAdvanced Reactor (PRISM, MHTGR,andPIUS) andCANDU 3 Designs andTheirRelationship toCurrent Regulatory Requirements," July 30,1993 (ADAMS Accession No.ML003760774).

9. NRC,"Use ofProbabilistic Risk Assessment Methods inNuclear Regulatory Activities:

Final Policy Statement," 60FR42622, August 16,1995.

10. SRM-SECY-98-144, "StaffRequirements-SECY-98-144-White Paper on Risk-Informed andPerformance-Based Regulation," March 1,1999 (ADAMS Accession No.ML003753601).

11 NRC/DOE, "Next Generation Nuclear Plant Licensing Strategy, A Report toCongress,"

August 2008(ADAMS Accession No.ML082290017).

12. NRC,"Report toCongress: Advanced Reactor Licensing," August 2012(ADAMS Accession No.ML12153A014).

13. NRC,"NRCVision andStrategy: Safely Achieving Effective andEfficient Non-Light Water Reactor Mission Readiness," December 2016(ADAMS Accession No.ML16356A670).

14. NRC,"NRCNon-Light Water Reactor Near-Term implementation Action Plans,"

July 2017(ADAMS 12, Accession No.ML17165A069).

15. NRC,"NRCNon-Light Water Reactor Mid-Term andLong-Term Implementation Action Plans," July 12,2017(ADAMS Accession No.ML17164A173).

14

16. Preliminary Rule Language Documents for theRisk-Informed, Technology-Inclusive Regulatory Framework ForAdvanced Reactors (Part 53) Rulemaking (ADAMS Accession No.ML20289A534).

17. SECY-20-0032, Rulemaking Plan onRisk-informed, Technology-Inclusive Regulatory Framework forAdvanced Reactors (RIN-3150-AK31, NRC-2019-0062), April13,2020 (ADAMS Accession No.ML19340A056).

18. SRM-SECY-20-0032, Staff Requirements-SECY-20-0032-Rulemaking Plan onRisk-Informed, Technology-Inclusive Regulatory Framework for Advanced Reactors (RIN-3150-AK31, NRC-2019-0062), October 2,2020 (ADAMS Accession No.ML20276A293).

19. NRC,Response to Staff Requirements-SECY-20-0032, Rulemaking Plan onRisk-Informed, Technology-Inclusive Regulatory Framework for Advanced Reactors (RIN-3150-AK31, NRC-2019-0062), November 2,2020(ADAMS Accession No.

ML20288A251).

20. 10CFRPart 50,"Domestic Licensing ofProduction andUtilization Facilities."

21 10CFRPart 52,"Licenses, Certifications, andApprovals for Nuclear Power Plants."

22. NRC,TLR-RES/DE/CIB-2019-01, "Advanced Non-Light-Water Reactors Materials and Operational Experience," March 2019(ADAMS Accession No.ML18353B121).

23. BNL,BNL-211739-2019-INRE, "NRCRegulatory History ofNon-Light Water Reactors (1950-2019)" June 10, 2019 (ADAMS Accession No. ML19282B504).

24. NRC,"Approach for CodeDevelopment inSupport of NRC's Regulatory Oversight of Non-Light Water Reactors," dated January 31,2020(ADAMS Accession No. ML20030A174).

25. NRC,"NRCNon-Light Water Reactor (Non-LWR) Vision and Strategy, Volume 1-Computer CodeSuite for Non-LWR Plant Systems Analysis,"dated January 31,2020 (ADAMS Accession No.ML20030A176).

26. NRC,"NRCNon-Light Water Reactor (Non-LWR) Vision andStrategy, Volume 2-Fuel Performance Analysis for Non-LWRs," dated January 31,2020 (ADAMS Accession No.

ML20030A177).

27. NRC,"NRCNon-Light Water Reactor (Non-LWR) Vision andStrategy, Volume 3-Computer CodeDevelopment Plans for Severe Accident Progression, Source Term, and Consequence Analysis," dated January 31,2020(ADAMS Accession No.

ML20030A178).

28. NRC,"NRCNon-Light Water Reactor (Non-LWR) Vision andStrategy, Volume 4-Licensing andSiting DoseAssessment Codes," issued August 2020(ADAMS Accession No.ML20028F255).

29. NRC,"NRCNon-Light Water Reactor (Non-LWR) Vision andStrategy, Volume 5-Radionuclide Characterization, Criticality, Shielding, andTransport intheNuclear Fuel Cycle," dated November 3,2020(ADAMS Accession No.ML20308A744).

30. NRC,DOE,"Addendum toMemorandum ofUnderstanding between USNRCandDOE onCooperative UseofModeling andSimulation Tools," February 13,2018(ADAMS Accession No.ML18044A351).

31 NRC,Final Safety Evaluation, Uranium Oxycarbide (UCO) Tristructural Isotropic (TRISO) Coated Particle Fuel Performance: Topical Report EPRI-AR-1(NP), August 2020(ADAMS Accession No.ML20216A453) 15

32. EPRI,Transmittal ofPublished Topical "Uranium Report, (UCO)

Oxycarbide Tristructural Isotropic (TRISO)-Coated Particle Performance:

Fuel Topical EPRI-AR-1(NP)-A,"

Report November 23,2020 (ADAMS No.ML20336A052).

Accession

33. NRC, Final Safety Regarding Evaluation the National Argonne Laboratory "Quality Assurance Program PlanforSodiumFast Metallic Reactor Fuel Qualification Data April 29,2020 (ADAMS AccessionNo.ML20106F242).

34. ANL,"Quality Assurance Program for Plan SFRMetallic FuelData Qualification, ANL/NE-16/17-NP-A," (ADAMS October2020 No.ML20302A454).

Accession 16