ML14357A259

Audit of Licensee'S Management of Regulatory Commitments, Audit Performed October 14-16, 2014

ML14357A259
Person / Time
Site:	Arkansas Nuclear
Issue date:	01/15/2015
From:	Andrea George Plant Licensing Branch IV
To:	Entergy Operations
George A
References
TAC MF3467, TAC MF3468
Download: ML14357A259 (14)

Text

UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 January 15, 2015 Vice President, Operations Arkansas Nuclear One Entergy Operations, Inc.

1448 S.R. 333 Russellville, AR 72802

SUBJECT:

ARKANSAS NUCLEAR ONE, UNITS 1 AND 2 -AUDIT OF THE LICENSEE'S MANAGEMENT OF REGULATORY COMMITMENTS (TAC NOS. MF3467 AND MF3468)

Dear Sir/Madam:

In U.S. Nuclear Regulatory Commission (NRC) Regulatory Issue Summary 2000-17, "Managing Regulatory Commitments Made by Power Reactor Licensees to the NRC Staff," dated September 21, 2000, the NRC informed licensees that the Nuclear Energy Institute (NEI) document NEI 99-04, "Guidelines for Managing NRC Commitment Changes," contains acceptable guidance for controlling regulatory commitments and encouraged licensees to use the NEI guidance or similar administrative controls to ensure that regulatory commitments are implemented and that changes to the regulatory commitments are evaluated and, when appropriate, reported to the NRC.

The NRC Office of Nuclear Reactor Regulation has instructed its staff to perform an audit of licensees' commitment management programs once every 3 years to determine whether the licensees' programs are consistent with the industry guidance in NEI 99-04, and that the regulatory commitments are being effectively implemented.

An audit of Entergy Operations, Inc.'s (Entergy's, the licensee's) commitment management program for Arkansas Nuclear One, Units 1 and 2 (AN0-1 and 2) was performed at the plant site on October 14-16, 2014. Based on the audit, the NRC staff concludes that the licensee has implemented NRC commitments on a timely basis, and the licensee has implemented an effective program for managing NRC commitment changes at AN0-1 and 2. The details of the results of the audit, including the NRC staff observations and recommendations, are set forth in the enclosed audit report.

I appreciate the assistance and support provided by your licensing staff during the audit, particularly Mr. David Bice and Mr. Robert Clark.

If you have any questions, I can be contacted at (301) 415-1081 or via e-mail at andrea.george@nrc.gov.

Sincerely, Andrea E. George, Project Manager Plant Licensing Branch IV-1 Division of Operating Reactor Licensing Office of Nuclear Reactor Regulation Docket Nos. 50-313 and 50-368

Enclosure:

Audit Report cc w/encl: Distribution via Listserv

UNITED STATES NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20555-0001 AUDIT REPORT BY THE OFFICE OF NUCLEAR REACTOR REGULATION LICENSEE MANAGEMENT OF REGULATORY COMMITMENTS ENTERGY OPERATIONS. INC.

ARKANSAS NUCLEAR ONE. UNITS 1 AND 2 DOCKET NOS. 50-313 AND 50-368

1.0 INTRODUCTION AND BACKGROUND

In U.S. Nuclear Regulatory Commission (NRC) Regulatory Issue Summary 2000-17, "Managing Regulatory Commitments Made by Power Reactor Licensees to the NRC Staff," dated September 21, 2000 (Agencywide Documents Access and Management System (ADAMS)

Accession No. ML003741774), the NRC informed licensees that the Nuclear Energy Institute (NEI) document NEI 99-04, "Guidelines for Managing NRC Commitment Changes," contains acceptable guidance for controlling regulatory commitments and encouraged licensees to use the NEI guidance or similar administrative controls to ensure that regulatory commitments are implemented and that changes to the regulatory commitments are evaluated and, when appropriate, reported to the NRC.

The NRC Office of Nuclear Reactor Regulation (NRR) has instructed its staff to perform an audit of licensees' commitment management programs once every 3 years to determine whether the licensees' programs are consistent with the industry guidance in NEI 99-04, and that the regulatory commitments are being effectively implemented.

NEI 99-04 defines a regulatory commitment as an explicit statement to take a specific action agreed to, or volunteered by, a licensee and submitted in writing on the docket to the NRC.

NRR guidelines direct the NRR Project Manager to audit the licensee's commitment management program by assessing the adequacy of the licensee's implementation of a sample of commitments made to the NRC in past licensing actions (amendments, relief requests, exemptions, etc.) and licensing activities (bulletins, generic letters, etc.). The audit is to be performed every 3 years.

2.0 AUDIT PROCEDURE AND RESULTS An audit of the Entergy Operations, Inc.'s (Entergy's, the licensee's) commitment management program for Arkansas Nuclear One, Units 1 and 2 (AN0-1 and 2) was performed at the plant site on October 14-16, 2014. The audit reviewed commitments made by the licensee since the previous audit on May 3-4, 2011, which was documented in an audit report dated September 30, 2011 (ADAMS Accession No. ML111460604). The NRR Project Manager also Enclosure

reviewed the licensee's Title 10 of the Code of Federal Regulations (1 0 CFR) Section 50.59 summary reports and commitment change summary reports, dated September 16, 2011, May 3, 2012, and February 11,2014 (ADAMS Accession Nos. ML112640109, ML12129A220, and ML14042A335, respectively). The audit consisted of three major parts: (1) verification of the licensee's implementation of regulatory commitments that have been completed, (2) verification of the licensee's program for managing changes to regulatory commitments, and (3) verification that all regulatory commitments reviewed were correctly applied in NRC staff licensing action reviews.

2.1 Verification of Licensee's Implementation of Regulatory Commitments The primary focus of this part of the audit is to confirm that the licensee has implemented those commitments made to the NRC as part of past licensing actions/activities. For commitments that had not yet been implemented, the NRC staff aimed to ascertain that they have been captured in an effective program for future implementation. The audit also verifies that the licensee's commitment management system includes a mechanism to ensure traceability of commitments following initial implementation. This ensures that licensee personnel are able to recognize that future proposed changes to the affected design features or operating practices require evaluation in accordance with the commitment change control process.

2.1.1 Audit Scope The audit addressed a sample of commitments, majority of which were made during the review period of approximately the last 3 years. The audit focused on regulatory commitments made in writing to the NRC as a result of past licensing actions (amendments, exemptions, relief

.requests, etc.) and licensing activities (bulletins, generic letters, etc.). Before the audit, the NRC staff searched the ADAMS for the licensee's submittals since the last audit and selected a representative sample for verification.

The audit excluded the commitments that are internal to licensee processes such as those that are made on the licensee's own initiative among internal organizational components, those that pertain to milestones of licensing actions/activities, or those made as an internal reminder to take actions to comply with existing regulatory requirements such as regulations.

2.1.2 Audit Results Entergy has implemented Corporate Procedure EN-LI-11 0, "Commitment Management Program," which identifies the methods and site organization tools for managing development, review, and implementation of station commitments.

The NRC staff compared the licensee's process for controlling regulatory commitments to the guidelines in NEI 99-04, which the NRC has found to be an acceptable guide for licensees to follow for managing and changing commitments. The audit verified that the licensee's commitment management system includes a mechanism to ensure traceability of commitments following initial implementation. This ensures that licensee personnel are able to recognize that future proposed changes to the affected design features or operating practices require evaluation in accordance with the commitment change control process.

The documents furnished by the licensee during the audit included summary sheets providing the status of the commitments and appropriate backup documentation, as needed (i.e.,

commitment change evaluation forms, plant procedures, work orders, photographs, examination records, and/or other plant documentation). The NRC staff reviewed the documents and summarized the selected commitments information in the audit report.

The NRC staff audit confirmed that the licensee has documented its implementation of regulatory commitments made to the NRC staff as part of past licensing actions. The NRC staff audit of the licensee's commitment management program for AN0-1 and 2 did not identify any regulatory commitments that were not satisfied or incorporated into its commitment management program for implementation. Generally, the licensee's commitment tracking database was found to be well-maintained and the commitments selected for this audit were easily traceable in the database. The NRC staff did note that some administrative errors were found in the database, including an incorrect commitment closure date, and a non-trivial commitment wording change between the licensee's submittal and the entry into the tracking system. Both discrepancies were immediately corrected in the database and entered into the licensee's corrective action program (CAP).

Licensee personnel were able to demonstrate effective use of the commitment management database and provided status tracking to the applicable implementation document. The NRC staff found that generally, the selected commitments in the audit sample were effectively implemented. Using the Entergy tracking program as a starting point, the NRC staff sought to determine that commitments were implemented in documents such as plant procedures (both electronic and in paper copies, e.g. in the control room), or in appropriate engineering packages. The attached Audit Summary Table provides details of the audit and its results.

Regarding the licensee's implementation of the Entergy fleet commitment management procedure, the NRC staff observed that contrary to EN-LI-11 0, "Commitment Management Program," step 1.0[4], the licensee did not have a method to clearly distinguish regulatory commitments from other internal commitments or action items, which are tracked in the same system. The licensee entered this discrepancy into its CAP (CR-ANO-C-2014-02701) and noted that new regulatory commitments are being coded by placing "regulatory commitment" in one of the database fields, to make regulatory commitments searchable. This should be an area of focus for the next NRR DORL Project Manager regulatory commitments audit.

Based on the above, the NRC staff concludes that the licensee has implemented the regulatory commitments management program effectively in accordance with LIC-105, "Managing Regulatory Commitments Made by Licensees to the NRC," and consistent with NEI 99-04.

2.2 Verification of the Licensee's Program for Managing Regulatory Commitment Changes The primary focus of this part of the audit was to verify that the licensee has established administrative controls for satisfying, modifying, or deleting commitments made to the NRC.

The audit seeks to ensure that changes to commitments (modifications or deletions) are evaluated in accordance with the licensee's programs and procedures, that the licensee's

technical evaluations adequately justify the change, and that the NRC is informed of commitment changes that have safety or regulatory significance.

The NRC staff compared the licensee's process for controlling regulatory commitments to the guidelines in NEI 99-04, which the NRC has found to be an acceptable guide for licensees to follow for managing and changing commitments. The process used at AN0-1 and 2 is contained in the Entergy Corporate Procedure EN-LI-11 0. During the current review period, the licensee made a revision to one regulatory commitment, and this commitment was included in the audit sample.

2.2.1 Audit Results The licensee carries out its obligations under its regulatory commitments by the processes that are outlined in the procedures. Any changes to the commitments are processed through the established processes and changes are reported to the NRC in accordance with the recommendations of LIC-105. In reviewing the licensee's change process for the revised commitment, the NRC staff reviewed the supporting documentation, including the commitment change evaluation form.

The NRC staff concluded that the licensee is following NEI 99-04 guidelines for commitment tracking, commitment changes, and reporting requirements, via EN-LI-11 0. The attached Audit Summary Table provides details of this portion of the audit and its results.

Based on the results of the on-site audit, the NRC staff believes the licensee has implemented regulatory commitment changes appropriately, in accordance with LIC-1 05 and consistent with NEI 99-04.

2.3 Review to Identify Misapplied Commitments The commitments reviewed for this audit were also evaluated to determine if they had been misapplied. A commitment is considered to be misapplied if the action comprising the commitment was relied on by the NRC staff in making a regulatory decision such as a finding of public health and safety in an NRC safety evaluation associated with a licensing action.

Reliance on an action to support a regulatory decision must be elevated from a regulatory commitment to a legal obligation (e.g., license condition, condition of a relief request, regulatory exemption limitation or condition). A commitment is also considered to have been misapplied if the commitment involves actions that were safety significant (i.e., commitments used to ensure safety).

Each of the commitments selected for the audit sample were reviewed to determine if any had been misapplied. There were no misapplied commitments identified during the audit.

2.3.1 Review of Safety Evaluation Reports for Licensing Actions since the Last Audit to Determine if They Are Properly Captured as Commitments or Obligations In addition to the commitments selected for the audit sample, all license amendment, exemption, and relief request safety evaluations that have been issued for a facility since the

last audit were identified. These documents were evaluated to determine if they contained any misapplied commitments as described above. No discrepancies were found regarding the capture of regulatory commitments in any safety evaluations issued since the last regulatory commitment audit.

3.0 CONCLUSION

Based on the results of the audit, the NRC staff concludes that (1) the licensee had implemented or is tracking for future implementation regulatory commitments; and (2) the licensee had implemented an effective program to manage regulatory commitment changes, in accordance with LIC-105 and consistent with NEI 99-04.

4.0 LICENSEE PERSONNEL CONTACTED FOR THIS AUDIT Robert Clark David Bice Stephanie Pyle Principal Contributor: A. George Date: January 15, 2015

Attachment:

Summary of Audit Results

Summary of Regulatory Commitment Audit Results Performed on October 14-16, 2014 Arkansas Nuclear One, Units 1 and 2 Entergy Operations, Inc.

Docket Nos. 50-313 and 50-368 ADAMS Commitment Date of Accession No.

Licensee's Documents Status &

TAC No. Letter Subject No. Description Reviewed Comments LR-LAR-2013-Entergy will follow the guidance established in 00061-CA11 Section 11 of NUMARC 93-01, "Industry MF1182 Guidance for Monitoring the Effectiveness of 8/19/2014 ML14231A370 19265 Directive No. Open, see Note (1 ).

MF1199 Maintenance at Nuclear Power Plants," Nuclear COPD-024, "Risk Management and Resource Council, Assessment Revision 4A, April 2011.

Guidelines" Control Room Copy Entergy commits to revising the associated Closed. Verified TS

- TS Bases Technical Specification Bases consistent with Bases in Control ME4544 8/10/2010 ML102280537 18981 TSTF-312, Revision 1, during implementation of Room updated LO-LAR-2010-the amendment. (Rev. 43).

0167-CA26 Control Room Copy Entergy commits to revising the associated Closed. Verified TS

- TS Bases Technical Specification Bases consistent with Bases in Control ME6125 4/29/2011 ML 11190551 19036 TSTF-513, Revision 3, during implementation of Room updated LO-LAR-2011-the amendment. (Rev. 44).

0032-CA20 Attachment

Summary of Regulatory Commitment Audit Results Performed on October 14-16, 2014 Arkansas Nuclear One, Units 1 and 2 Entergy Operations, Inc.

Docket Nos. 50-313 and 50-368 ADAMS Commitment Date of Accession No.

Licensee's Documents Status &

TAC No. Letter Subject No. Description Reviewed Comments LO-LAR-2011-0129-CA01 Perform a code repair on Service Water line 19002 Closed.

HBD-2-18.

Work Order 00240369 CR-AN0-1-2010-02391 WT-WAN0-201 0-19003 Weekly walk down the leak location. 00019-CA071, 110, Closed.

120, 128, 134, 137, 10/26/2010 ME4942 ML100980614 Work Order 6/9/2011 00240369 Commitment closed on 5/4/11, but last LO-LAR-201 0-0304 UT was performed 8/24/11, and piping CR-AN0-1-2010-repair was Re-examine the leak location every 90 days using 2391-CA002, 013, 19004 performed in UT. 014,018,020,025 November 2011.

Licensee corrected Work Order closure date in 00240369 commitment tracking system.

Licensee letter Entergy will inform the NRC of the final plans for 12/21/2011 ML120040124 19071 dated 3/20/13 Closed.

disposition.

MC4663 (1CAN031303).

MC4664 Entergy plans to remove the insulation; or Work Order 3/20/2013 ML13080A347 19257 Entergy will document the acceptability of the as- Closed.

00300452 left condition.

Summary of Regulatory Commitment Audit Results Performed on October 14-16, 2014 Arkansas Nuclear One, Units 1 and 2 Entergy Operations, Inc.

Docket Nos. 50-313 and 50-368 ADAMS Commitment Date of Accession No.

Licensee's Documents Status &

TAC No. Letter Subject No. Description Reviewed Comments Complete bypass re-testing and incorporate LO-LAR-20 13-19283 results into Arkansas Nuclear One (ANO) Open.

0066-CA18 calculations.

Open.

Text of the commitment says Participate in Pressurized Water Reactor Owners "Participate." In its LO-LAR-2013-19284 Group in-vessel testing projects and incorporate tracking system, the 0066-CA18 results into ANO calculations as appropriate. licensee had entered "Follow."

The entry was corrected to say 5/16/2013 ML13137A126 "Participate."

Complete the necessary insulation replacements, LO-LAR-2013-19285 Open.

remediation, or model refinements. 0066-CA19 Within six months of establishing the scope of insulation replacement or remediation, or model LO-LAR-2013-19287 refinements, Entergy will submit a final updated Open.

0066-CA21 supplemental response to support closure of GL 2004-02.

Entergy will update the AN0-1 and AN0-2 Safety Analysis Reports following NRC acceptance of the updated supplemental response for AN0-1 LO-LAR-2013-19288 Open.

and AN0-2 and completion of the identified 0066-CA22 removal or modification of insulation debris sources in containment.

Summary of Regulatory Commitment Audit Results Performed on October 14-16, 2014 Arkansas Nuclear One, Units 1 and 2 Entergy Operations, Inc.

Docket Nos. 50-313 and 50-368 ADAMS Commitment Date of Accession No.

Licensee's Documents Status &

TAC No. Letter Subject No. Description Reviewed Comments Procedure EN-QV-Entergy will add a commitment to the 136, "Nuclear commitment tracking system to maintain the Open. See letter Safety Culture N/A 1/26/2012 ML120260627 19088 safety culture monitoring processes as described dated 5/6/13 Monitoring" in NEI 09-07, "Fostering a Strong Nuclear Safety (ML13126A256).

Culture."

CNR0-2013-00001 Entergy has committed to the generic schedule provided in the Industry OPC Initiative. It is Entergy's intention to meet the milestones of this LO-LAR-2012- Open. Scheduled for ME9300 ML14034A412 2/3/2014 19362? schedule; however, deviations may be required to 0248-CA017, 018, 12/31/17 ME9301 OCAN021401 accommodate outage schedules, software and 019, 020 completion.

hardware availability, manufacturer's delivery capabilities, licensing delays, etc.

LO-LAR-2008-02247-CA16 Work Order Entergy committed to the measurement of latent 52268953 Open (Revised),

MC4663 debris quantities every third refueling outage to CMS-2012-0006 MD7397 8/31/2005 ML052560230 R18833 confirm that latent debris quantities used in Operability refers. See MC4664 strainer testing and downstream effects analysis Evaluation CR- commitment change MD7398 remain bounding. AN0-1-2011-02915 report dated 5/3/12).

Commitment Change Evaluation Form 19034-Ciosed.

Entergy will implement milestones 1, 2, 3, 4, 5, 19035-0pen.

ME8909 19034 and 7 described in Attachment 4 of letter dated LO-LAR-2011- Amendment Issued 6/18/2012 ML12171A463 ME8910 19035 April 1, 2011 (OCAN0411 01 ), and the revised 0169-CA08, 019 12/8/14 extended Milestone 6 in Attachment 4 of this submittal. Milestone 8 due date.

Summary of Regulatory Commitment Audit Results Performed on October 14-16, 2014 Arkansas Nuclear One, Units 1 and 2 Entergy Operations, Inc.

Docket Nos. 50-313 and 50-368 ADAMS Commitment Date of Accession No.

Licensee's Documents Status &

TAC No. Letter Subject No. Description Reviewed Comments Full implementation of Arkansas Nuclear One Open, see Note (1).

MF3277 ML13358A304 Cyber Security Plan for all safety, security, and LO-LAR-2011- Amendment issued 12/17/2013 19346 MF3278 ML13358A305 emergency preparedness functions will be 0168-CA08 12/8/14 to extend achieved. due date to 6/30/16.

Entergy will perform this assessment as part of LO-LAR-2012-19272 Closed.

the Phase 2 staffing assessment. 089-CA164 Entergy will identify any appropriate modifications to the ANO Emergency Plan Drill LO-LAR-2012-19273 and Exercise Program upon completion of the Closed.

0089-CA164 mitigation strategies and associated guidance for NRC Order EA-12-049.

MF1512 LO-LAR-2012-4/30/2013 ML13121A431 MF1513 0089-CA162 Entergy will incorporate instructions into Flex Support applicable fleet/site guidance for ANO based 19274 Guideline No. Closed.

upon the conditions as described in NEI 12-01, CFSG-100, Revision 0, dated May 2012.

"BDBEE/ELAP Emergency Response" Enhancements identified within the assessment (Attachment 1) will be further developed as implementation progresses. Alternate LR-LAR-2012-approaches will be utilized if prudent (e.g.,

0089-CA166 alternate/new technology, improved capability, ME9991 ML12305A534 10/31/2012 19190 cost savings, etc.). These enhancement Open.

ME9992 ML13091A328 Outage Summary commitments are subject to change as a result Report 2R24 of Diverse and Flexible Coping Strategies (FLEX) developments, advances in technology, and progress in the manner of addressing the

-- _L...____ ___ need for these enhancements

Summary of Regulatory Commitment Audit Results Performed on October 14-16, 2014 Arkansas Nuclear One, Units 1 and 2 Entergy Operations, Inc.

Docket Nos. 50-313 and 50-368 ADAMS Commitment Date of Accession No.

Licensee's Documents Status &

TAC No. Letter Subject No. Description Reviewed Comments As an interim measure, instructions will be in place by startup from the Arkansas Nuclear One (ANO}, Unit-1 refueling outage 1R25 for connecting a portable diesel generator to the LR-LAR-2014-19420 Open.

285 load center should the AN0-2 286 load 0087-CA50 center not be capable of being powered for some unforeseen reason during an extended loss of alternating current power.

MF0942 4/8/2014 ML14098A114 The 285 load center modification will be the MF0943 only aspect of the AN0-1 Diverse and Flexible Coping Strategies (FLEX) that will not be in full compliance with NRC Order EA-12-049 by the LR-LAR-2014-19421 ordered schedule date of February 2015. Open.

0087-CA51 Additionally, the other aspects of compliance with NRC Order EA-12-049 will be complete by 1R25 (e.g., FLEX Support Guidelines, training, equipment staged, and modifications installed).

Notes:

(1) License amendment request still under staff review at the time of the audit.

ML14357A259 OFFICE NRR/DORULPL4-1/PM NRR/DORLILPL4-1/LA NRR/DORLILPL4-1/BC(A) NRR/DORULPL4-1/PM NAME A George JBurkhardt EOesterle AGeorge DATE 1/14/15 1/14/15 1/14/15 1/15/15