ML19289D321

Backfitting and Forward Fitting (October 17, 2019)

ML19289D321
Person / Time
Issue date:	10/17/2019
From:	Office of Nuclear Reactor Regulation
To:
Rowley J
References
Download: ML19289D321 (11)

Text

Backfitting & Forward Fitting October 17, 2019 1

Management Directive 8.4

• September 20, 2019 (ML18093B087)

• New

Title:

Management of Backfitting, Forward Fitting, Issue Finality, and Information Requests

• Policy topics include:

- Backfitting, Forward fitting

- Risk-informing backfitting and forward fitting

- Communications

- Appeals 2

Backfitting

• Three justifications considered in the order presented:

- Adequate protection (includes imminent threat to public health & safety analysis)

- Compliance (cost & time considerations)

- Cost-justified substantial increase in overall protection (backfit analysis) 3

Compliance Backfitting

• Non-compliance caused by an omission or mistake of fact

• Conditions:

- Because of a staff, licensee, or third-party error/omission made at or before the determination in question, the staff:

• incorrectly perceived facts,

• performed or failed to recognize flawed analyses, or

• failed to draw inferences from those facts or analyses

- Issue is judged by the standards and practices that were prevailing at the time of the determination in question

- The facts, analyses, or inferences have now been properly perceived, performed, or drawn.

4

Forward Fitting

• Definition:

- Imposing certain new/revised requirements or interpretations as a condition of approval by the NRC of a licensee-initiated request for a licensing action when the underlying request did not propose to comply with the new/revised requirement or interpretation.

• Forward fitting applies to licensees within the scope of backfitting regulations 5

Forward Fitting Criteria

• Office Director approval

• Direct nexus to the request

• Essential to the staffs determination

• If the forward fit is unrelated to adequate protection, the NRC must consider cost before imposing the new or modified requirement or interpretation.

6

Risk-Informed Decision-Making

• All backfitting and forward fitting must be risk-informed

• Consideration of all available quantitative and qualitative risk information

• Risk information integrated with traditional regulatory approaches and support the defense-in-depth philosophy 7

Communications

• Any communication has potential to convey unjustified backfitting or forward fitting

- Regulatory guidance

- Inspection reports

- Generic communications

- Interactions with licensees

• NRC not to convey expectations outside the licensing basis unless supported with backfit or forward fit analysis 8

Appeals

• Licensees can appeal backfits and forward fits in writing

- NRC and licensee disagree whether action was backfitting/forward fitting

- Licensee believes backfitting/forward fitting was not properly justified

• First Appeal

- Office Director and Regional Administrator

• Second Appeal

- Executive Director for Operations - Panel 9

Next Steps

• SRM-SECY-18-0042 - Update:

- NUREG/BR-0058 - Regulatory Analyses

- NUREG-1409 - Backfitting Guidance

• Just-in-time training

• Office-level implementation procedures

• Training and qualification programs 10

NUREG-1409 Milestones

• OEDO and Commission review draft

• Publish draft in Federal Register for comment

• Public meeting

• Resolve feedback

• Provide final to OEDO and Commission

• Issue final 11