ML24029A047
| ML24029A047 | |
| Person / Time | |
|---|---|
| Issue date: | 03/20/2024 |
| From: | NRC/NMSS/DFM/IOB |
| To: | Division of Fuel Management |
| Shared Package | |
| ML24029A045 | List: |
| References | |
| Download: ML24029A047 (9) | |
Text
Enclosure 1 Spent Fuel Storage and Transportation Operating Experience Report Fiscal Year 2023 1.
Introduction The objective of the U.S. Nuclear Regulatory Commission (NRC) Spent Fuel Storage and Transportation (SFST) Operating Experience (OpE) report is to provide an analysis that identifies trends in operational data and to make recommendations to improve our regulatory programs.
By systematically reviewing operational data and assessing whether or not any trends exist, the NRC is focused on providing insights that can inform future inspections and licensing reviews, provide timely and effective communication to stakeholders, and apply the lessons learned to regulatory decisions and programs.
The scope of this assessment is focused on fiscal year (FY) 2023 and includes data from FY2021 and FY2022 for trending purposes. Operating experience assessed in this report includes operational data from Part 72 certificate of compliance (CoC) holders and licensees, and Part 71 CoC holders and users inspected by the Inspection and Oversight Branch in the Division of Fuel Management.
2.
Data Assessment Reports under Title 10 of the Code of Federal Regulations Part 72 Events relating to the storage of spent fuel are reported in accordance with Title 10 of the Code of Federal Regulations (10 CFR) 72.75 Reporting Requirements for Specific Events and Conditions. In addition, reports are made under 10 CFR 72.242(d)
Recordkeeping and Reports, which requires that each certificate holder shall submit a written report to the NRC within 30 days of discovery of a design or fabrication deficiency, for any spent fuel storage cask which has been delivered to a licensee, when the design or fabrication deficiency affects the ability of structures, systems, and components important to safety to perform their intended safety function.
There were no 10 CFR 72.75 reports and two 10 CFR 72.242(d) reports submitted during FY2023. One of the 10 CFR 72.242(d) reports was for a fabrication issue, the second 10 CFR 72.242(d) report was for a licensing basis deficiency. No trends exist for submitted 10 CFR 72.242(d) reports.
Reports under 10 CFR Part 71 Events relating to the packaging and transportation of radioactive materials are reported in accordance with 10 CFR 71.95 Reports.
There were two reports under 71.95, one by the user and one by the owner of the package. Both events involved the same package, where the conditions outlined in the CoC were not followed during shipment. The NRC licensing staff deemed these events as safety significant. In response, the NRC staff evaluated and determined that, the package could be safely used for a limited number of shipments, provided they met specific acceptance criteria and remained in an unimparied physical condition. The CoC
2 holder will then submit an amendment request to revise the CoC, particularly focusing on the acceptance criteria for the operation and maintenance conditions of the package.
Users of the package will then plan to make appropriate modifications to their procedures, to capture all applicable criteria. No additional NRC action is warranted until the submission of the amendment request, anticipated to take place during the second quarter of 2024.
Figure 1 - Reports Under 10 CFR 71.95 Reports under 10 CFR Part 21 Events relating to the reporting of defects and noncompliance, as applicable to spent fuel storage and transportation, are reported in accordance with 10 CFR 21 Reporting of Defects and Noncompliance.The 10 CFR Part 21 reports received during FY2023, including those related to Counterfeit, Fraudulent, and Suspect Items, were reviewed.
There were no Part 21 reports pertaining to Part 72 or Part 71 CoCs.
Part 72 Violations During FY2023, a total of 49 inspections were performed for Part 72 CoC holders and licensees. Of those inspections, 5 were of CoC Holders and 44 were licensees. A total of 13 inspection violations were identified. This includes seven Severity Level IV Non-cited violations (NCVs), three Severity Level IV Notice of Violations (NOVs), two violations where enforcement discretion was used, and one apparent violation that is currently going through the enforcement process, the status of which shall be updated in the next operating experience report. Minor violations and observations that were discussed during these inspections were not included in this report. Enclosure 2 provides a summary table of the inspection violations for FY2023 presented in this report, and includes the relevant regulatory requirement for each violation.
0 1
2 3
4 5
6 FY21 FY22 FY23 Inadequate Procedures Human Error No Reported Cause Reports Under 10 CFR 71.95
3 Inspection violations were categorized by generic violation areas, as seen in Figure 2.
These categories were developed by identifying similar kinds of violations across multiple sites and facilities. Some of these include violations of different regulatory requirements but are all categorized under one area. For future assessments, there may be more violation categories added to address violations that may not be as common.
Figure 2-Total Number of Part 72 Violations by Category Part 72 Licensee: Number of Violations In FY2021, there were a total of 53 licensee inspections and six inspection violations identified. In FY2022, there were a total of 46 licensee inspections and 15 inspection violations identified. In FY2023, there were a total of 44 licensee inspections and five inspection violations identified. As shown below in Figure 3, the number of inspections decreased from FY2021 to FY2023 and the number of inspection violations increased from FY2021 to FY2022 and then decreased from FY2022 to FY2023. The data is limited to these 3 years; therefore, it is difficult to make any distinct conclusions as to why there was an increase and then decrease in inspection violations. One thing to note is that in FY2022 there were six instances where enforcement discretion was issued for Tornado Hazard issues identified and in FY2023 there were only two instances. So, the initial increase of violations was mostly driven by the rise of Tornado Hazards issues in FY2022. Another thing to note is that FY2022 was the last year of the first triennial period for independent spent fuel storage installation (ISFSI) inspections as designated Reporting Material Procurement General License Conditions Testing General Design Criteria Corrective Action Procedural Adherence Procedural Adequacy Design Changes Tornado Hazards 0
1 2
3 4
5 6
7 8
FY 2021 FY 2022 FY 2023 Total Number of Part 72 Violations by Category
4 in the revised IMC 2690. In January 2021, Inspection Manual Chapter 2690 was significantly updated and changed the inspection period to a triennial cycle. One of the updates included changing the frequency of inspections from every 2 years not to exceed 3 years to a triennial period. Inspectors had 2 years (FY2021 and FY2022) to complete all the inspections for the triennial period. Staff should continue to evaluate the number of violations each year to determine if any trends exist.
Figure 3-Part 72 Licensees: Number of Violations per Category Part 72 CoC Holder: Number of Violations In FY2021, there were a total of three CoC holder inspections and six inspection violations identified. In FY2022, there were a total of six CoC holder inspections and eight inspection violations identified. In FY2023, there were a total of five CoC holder inspections and eight inspection violations identified. As shown below in Figure 4, the number of inspections increased from FY2021 to FY2022 and then decreased in FY2023. In addition, no significant change in number of violations was identified for this three-year period.
5 Figure 4 - Part 72 CoC Holders: Number of Violations per Category Part 71 Violations In FY2021, there were a total of five Part 71 inspections and four inspection violations identified. In FY2022, there were a total of four Part 71 inspections and five inspection violations identified. In FY2023, there were a total of eight Part 71 inspections and 11 violations identified. Of these 11 violations, there were 10 Severity Level IV NCVs and 1 NOV. Minor violations and observations that were identified during these inspections are not included in this report.
As shown below in Figure 5, it appears the number of violations increased through the years while the number of inspections initially decreased from FY2021 to FY2022 and then increased in FY2023. It should be noted that the reason that there were more inspections in FY2023 than the previous years was due to the fact that Part 71 CoC holders and users are inspected on a 5 year basis, therefore more inspections were due to be completed in FY2023.
6 Figure 5-Part 71: Number of Violations per Category 3.
Trending and Review Part 72 Violations Related to Design Changes As previously observed in the FY2022 OpE Report (ML23030B922), 10 CFR 72.48, Changes, Tests, and Experiements, violations were the most frequently issued violation. For FY2023, under, Design Changes, there were a total of five violations, two of which were issued to licensees and three were issued to a CoC Holder. This included three violations of 10 CFR 72.48, and two violations of 10 CFR 72.146, Design Control.
Since FY2022, the total number of violations under this category has not changed.
However, there is not a clear trend that can be observed and not much to conclude due to the pending enforcement action for two of the 72.48 findings. Because of the frequency of 72.48 violations, the staff is recommending internal refresher training sessions on the requirements and implementation of 10 CFR 72.48. This refresher training will emphasize the identification of design changes and recognition of whether or not prior NRC approval is required for the change.
Part 72 Violations Related to Procedural Issues For FY2023, under, Procedural Adequacy, there were two violations of 10 CFR 72.150, Instructions Procedures, and Drawings, issued to CoC holders. The number of violations has decreased by three since FY2022. For FY2023, under, Procedural
7 Adherence, there were two violations. One violation of 10 CFR 72.150 was issued to a CoC holder and one violation of 10 CFR 72.140, Quality Assurance Requirements, was issued to a licensee. The number of violations for this category has decreased by one since FY2022. It is observed that there is a frequent occurrence of 72.150 violations (three violations in FY2023.) Similarly in the previous OpE Report, 72.150 was among the most frequent violations. However, these violations were of low safety significance, dispositioned as SL IV NCVs, and each violation was a different issue specific to the licensees and CoC holders involved. It does not appear that licensees and CoC holders are having the same procedural issues which would raise a safety concern and result in a determination of a generic issue. Therefore, there should be no action that the agency must take to address the occurrence of 72.150 violations at this time. Staff should continue to assess violations involving procedural issues to determine if a trend exists.
Tornado Hazards During ISFSI Handling Operations In FY2023, there were two inspection violations involving tornado hazard protection requirements at ISFSIs (Perry and Waterford). The NRC exercised enforcement discretion as per Enforcement Guidance Memorandum (EGM) 22-001. Compared to FY2022, there was a decrease in violations in this category. As previously mentioned in the FY2022 OpE report, approximately one third of ISFSIs had been inspected at the time the EGM was issued and it was anticipated that additional sites could be subject to enforcement discretion. The decrease of inspection findings related to tornado hazards protection and the two findings identified in FY2023 validate this assumption, demonstrating that licensees are actively meeting expectations outlined in the EGM.
Additionally, the NRC staff issued Regulatory Guide (RG) 3.77, Weather-Related Administrative Controls At Independent Spent Fuel Storage Installations, in September 2023. This RG provided an approach that is acceptable by the NRC staff for licensees of an ISFSI and CoC holders to meet regulatory requirements under 10 CFR Part 72, regarding protection against environmental conditions and natural phenomena. More specifically, the RG endorses Nuclear Energy Institute (NEI) 22-02, revision 2, with clarifications and exceptions, and explains the limited time and situations during which licensees can use administrative controls to demonstrate compliance with the requirements for structures, systems, and components that are important-to-safety and designed to withstand the effects of weather-related wind and tornado missiles without impairing their capability to perform their intended design functions during outdoor dry storage system handling activities. Given that the NRC has addressed the issue of tornado hazards generically by issuing the RG, there should be no further action needed to address the trend. It is expected that as more licensees and CoC holders adopt the RG, there should be less violations involving weather-related administrative controls.
8 Part 71 Violations For FY2023, under Audits, there were two violations of 10 CFR 71.137, Audits. Under M&TE Control, there was one violation of 10 CFR 71.125, Control of Measuring and Test Equipment. These are new violation categories determined from the data gathered for FY2023, and will be tracked for future assessments. Violations under the categories of, Procedural Adherence, Corrective Action, and Audits were the most frequent for FY2023. Compared to the past two fiscal years, the data obtained was insufficient to determine whether or not a trend exists. Procedural adherence violations were identified in FY2021 and FY2023, but not in FY2022, making it difficult to observe a consistent pattern. For corrective action violations, although they were identified in FY2021 -
FY2023, the corrective action issues were very different and specific to the CoC holders involved, so it was difficult to observe a pattern as well. For example, Part 71 violations involving audits were only identified in FY2023, unlike in FY2022 and FY2021, as seen in Figure 5. Because of this, the Audits category was established in anticipation of increased violations falling under this classification, facilitating future assessments to identify potential trends there. Therefore, with continued inspections of certificate holders under Part 71, staff recommends tracking violations under thesecategories and assessing in future years whether trends exist. Additionally, for future OpE assessments, staff recommends tracking whether all CoC holders are encountering the same challenges in correcting specific issues, regarding corrective action violations.
4.
Generic Issues For FY2023, the issuance of RG 3.77 was sought to bring closure to the generic issue related to tornado hazard protection at ISFSIs. No additional generic issues were identified during FY2023.
5.
Conclusions Based on the analysis above, the review group concludes that:
1.
As staff continues to assess OpE on an annual basis, the additional data presented in the future annual reports will aid in identifying whether trends exist. Starting from FY2021, data should be accumulated to broaden the scope of analysis. This is ongoing, as seen in this FY2023 OpE Report which retrospectively examines data from prior fiscal years. Ideally, reaching a dataset spanning at least 10 years will provide sufficient information to analyze potential trends, capturing both the three-year and five-year frequencies of Part 72 and Part 71 inspections, respectively.
Between FY2021 and FY2030, the accumulation of such data will lay the groundwork for a thorough 10-year assessment, to be completed by the FY2031 OpE Report.
Staff plans to have each subsequent OpE Report include analyses that compare operational data from previous 10 fiscal years with those of the preceding OpE Report. Meanwhile, by accumulating data now, we potentially will recognize trends early and develop recommendations to address those trends promptly.
9 2.
In FY2023, there was a decrease of violations related to the issue of tornado hazards protection. Staff anticipates that violations will continue to decline in this area as licensees apply the guidance in RG 3.77. No further action by NRC is needed to address the generic issue as licensees will continue to be inspected on a regular basis.
3.
There were no additional identifiable trends that could warrant a change in the regulations or the current regulatory processes regarding the inspection of CoC holders and licensees, in both Part 71 and Part 72 space, based on the limited analysis and comparison of inspection violations during FY2021 - FY2023.
6.
Recommendations The OpE review group recommends the following actions:
1.
The staff is recommending internal refresher training sessions on 10 CFR 72.48 2.
The staff is recommending the continued tracking of Part 71 violations under the categories of Audits and M&TE Control every fiscal year going forward.
3.
The staff is recommending the continued tracking of corrective action violations to identify commonalities among CoC Holders, regarding challenges in correcting specific issues.
4.
The staff is recommending that subsequent OpE Reports include comparative analyses across fiscal years and previous OpE Reports. Between FY2021 and FY2030, the acculumation of such data will lay the groundwork for a comprehensive 10-year assessement, to be completed by the FY2031 OpE Report. Having a dataset spanning 10 years will encompass multiple three-year and five-year cycles for Part 72 and Part 71 inspection programs, respectively.