ML19310E686

Status Report on the Licensing Activities and Regulatory Duties of the U.S. Nuclear Regulatory Commission (for the Reporting Period of July Through September 2019)

ML19310E686
Person / Time
Issue date:	11/20/2019
From:	Kristine Svinicki NRC/Chairman
To:	Barrasso J, Braun M, Pallone F US Congress, US HR (House of Representatives), US HR, Comm on Energy & Commerce, US SEN (Senate), US SEN, Comm on Environment & Public Works, US SEN, Subcomm on Clean Air & Nuclear Safety
Storch, Jaclyn
Shared Package
ML19310E322	List: ML19310D829 ML19310E686
References
CORR-19-0112
Download: ML19310E686 (27)

Text

STATUS REPORT ON THE LICENSING ACTIVITIES AND REGULATORY DUTIES OF THE U.S. NUCLEAR REGULATORY COMMISSION For the Reporting Period of July through September 2019

Table of Contents High Level Summary 1 2-1. Transformation Initiative 2 2-2. Workforce Development and Management 3 2-3. Accident Tolerant Fuel 5 2-4. Digital Instrumentation and Control 6 2-5. Vogtle Electric Generating Plant Units 3 and 4 7 2-6. NuScale Small Modular Reactor Design Certification 9 2-7. Advanced Nuclear Reactor Technologies 9 2-8. Reactor Oversight Process 11 2-9. Backfit 13 2-10. Risk-Informed Activities 13 3-1. Reactor Oversight Process Findings 15 3-2. Licensing Actions 16 3-3. License Amendment Request Reviews 17 3-4. Research Activities 20 3-5. Fees Billed 20 3-6. Requests for Additional Information 22 3-7. Workforce Development and Management 23 3-8. Inspection Activities 24 3-9. Backfit 25

Enclosure 1 - High Level Summary Total Year to Date Projected End of Quarter 4 Quarter 4 YTD YTD (YTD) FTE Utilization Year Total Utilization FTE Gains FTE Losses FTE Gains FTE Losses 2,862 2,862 21 52 48 198 Total 10 CFR Part 170 Fees Billed (Dollars in Millions)

Fiscal Year 2017 Fiscal Year 2018 Fiscal Year 2019

$283.1 $265.5 $245.0 1

provides the status of specific items of interest including a summary of the item, the activities planned and accomplished under each item within the reporting period, and projected activities under each item for the next reporting period.

2-1 Transformation Initiative The U.S. Nuclear Regulatory Commissions (NRC) transformation initiative encompasses a broad set of activities intended to advance the agency towards the vision of being a modern, risk-informed regulator. There are four focus areas for transformation: (1) recruiting, developing, and retaining a strong workforce, (2) accepting risk in decisionmaking, (3) generating innovative ideas to improve the ways that the NRC works, and (4) adopting new technologies and approaches to data analytics. Supporting these four focus areas, the following seven initiatives have been identified and defined:

1) Accepting Risk in Decisionmaking:1 Developing a common understanding of what it means to accept risk, how it connects to the vision, and how risk insights can be applied to NRC activities.

2) Agency Desired Culture: Building into our culture a mindset that welcomes change while reinforcing appropriate behaviors and outcomes.

3) Career Enhancement: Clearly communicating opportunities to ensure that all staff understand the potential paths that will enable them to grow throughout their career.

4) Innovation: Finalizing and implementing the new Innovate-NRC 2.0 process and technology platform agencywide to create and sustain a culture of innovation.

5) Process Simplification: Simplifying and reinforcing our work processes to achieve greater efficiency.

6) Signposts and Markers: Identifying external signposts and markers pertinent to anticipating future agency workload and adapting the decisionmaking process to incorporate these indicators, ensuring the agency is better prepared to adapt to a changing external landscape.

7) Technology Adoption: Enabling all staff to easily and efficiently complete their work with available technology and increasing the use of new and existing technology across the agency.

1 This activity will produce a framework that gives the staff confidence in incorporating risk considerations in decisionmaking without compromising the NRCs safety and security mission. The framework will inform technical and corporate decisions ranging from reactor safety to fee revenue activities. The intent is to enhance safety and operational effectiveness by appropriately focusing resources on high-value mission priorities.

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Activities Planned and Completed for the Reporting Period (Quarter (Q)4 Fiscal Year (FY) 2019)

Planned Completion Transformation Activities Completion Date Date Identify the initiatives that will be undertaken to support the 08/19 08/19 four transformation focus areas.

Complete a Transformation Roadmap to establish 08/19 08/19 timeframes and sequences for the initiatives.

Establish working teams that will have primary responsibility for implementing the transformation 09/19 09/19 initiatives.

Launch a multimedia internal communication strategy to keep staff abreast of transformation activities and to solicit 09/19 09/19 participation in initiative working groups.

Projected Activities for the Next Quarter (Q1 FY 2020)

Projected Projected Transformation Activities Completion Date Brief the Commission on the staffs transformation activities (public 10/19 meeting).

Hold a Transformation Expo for staff to showcase the various change 10/19 initiatives that are underway at the NRC.

Establish and integrate into agency decisionmaking processes indicators to reflect future trends in the nuclear energy sector to support strategic 12/19 foresight.

Complete preparations for launch of InnovateNRC 2.0, a new process and technology platform to facilitate innovative idea generation, tracking, and 12/19 implementation.

2-2 Workforce Development and Management The NRC implements a Strategic Workforce Planning (SWP) process to improve our efforts in developing and managing the NRC workforce and to balance near-term work with long-term staffing projections. This process projects the amount and type of work anticipated in the next five years and identifies the workforce needed to perform that work. By analyzing the current workforce and comparing it to future needs, skill gaps or surpluses can be identified. In the final step of the process, both short- and long-term strategies are developed to enable the agency to recruit, retain, and develop a skilled and diverse workforce with the competencies and agility to address both current and emerging needs and workload fluctuations.

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Activities Planned and Completed for the Reporting Period (Q4 FY 2019)

Planned Completion Workforce Development and Management Activities Completion Date Date Analyze results from implementation of SWP and determine the need to develop a pipeline of future talent to fill vacant positions 08/19 07/19 anticipated due to increased attrition expected over the next five years.

Initiate plans to recruit 25 entry-level engineers and scientists to develop a pipeline of talent to fill future positions based on 08/19 08/19 results of SWP. The entry-level hires will be part of the NRCs new training program, as described in the table below.

Complete the phased approach to implementing the SWP process and kick-off agencywide implementation to include all offices that report to the Office of the Executive Director for 08/19 08/19 Operations, as well as three Commission-level offices (Office of the General Counsel, Office of the Chief Financial Officer, and Office of the Secretary).

Provide training to new office and regional participants on the 08/19 08/19 SWP process.

Begin using SWP results to inform hiring requests to ensure that hiring actions reflect the projected future needs and workload of 08/19 08/19 the agency.

Update the Agency Environmental Scan, which allows offices and regions to monitor key workload drivers and internal and 09/19 09/19 external opportunities and risks that may influence current workload, future workload, or both.

Projected Activities for the Next Quarter (Q1 FY 2020)

Projected Projected Workforce Development and Management Activities Completion Date Using the information in the Agency Environmental Scan, offices/regions complete step 1 of the SWP process, which is to develop a long-term workload forecast. The results of the workload forecast will provide strategic insights on 12/19 office/region needs and will identify potential changes to positions or the organization, as well as tactical insights on the necessary pace and direction of workforce changes.

Make offers to 25 entry-level hires who will join the agency in June 2020 as participants in the agencys new entry-level training program, the Nuclear Regulator Apprenticeship Network (NRAN). The NRAN focuses on preparing 12/19 individuals to acquire the skills needed for a variety of agency positions, which will enhance agility and our ability to respond to fluctuations in workload.

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2-3 Accident-Tolerant Fuel The NRC is preparing for the anticipated licensing and use of Accident-Tolerant Fuel (ATF) in U.S. commercial power reactors. In coordination with the Department of Energy (DOE), several fuel vendors have announced plans to develop and seek approval for various fuel designs with enhanced accident tolerance (i.e., fuels with longer coping times during loss of cooling conditions). Preparing the agency to conduct meaningful and timely reviews of these advanced fuel designs may require the expansion of the existing regulatory infrastructure, development of additional analysis capabilities, and development of unique critical skills. To increase regulatory stability and certainty, and to enhance and optimize NRC review efforts, the staff developed an ATF project plan (Agencywide Documents Access and Management (ADAMS) Accession No. ML18261A414), which includes a vision for a new paradigm for ATF licensing. The ATF project plan presents the high-level strategy that the staff will follow to ensure that it is ready to receive ATF topical reports or licensing requests for review.

Activities Planned and Completed for the Reporting Period (Q4 FY 2019)

Planned Completion ATF Activities Completion Date Date Publish an initial draft of Interim Staff Guidance (ISG),

Supplemental Guidance Regarding the Chromium-07/19 07/19 Coated Zirconium Alloy Fuel Cladding Accident Tolerant Fuel Concept (ADAMS Accession No. ML19198A306).

Conduct a public meeting to solicit comments from 08/19 08/19 stakeholders on the draft ISG.

Publish a draft Appendix A, Fuel Burnup and Enrichment Extension Preparation Strategy, to the NRCs ATF project 08/19 08/19 plan (ADAMS Accession No. ML19242E192).

Send a letter to the Nuclear Energy Institute (NEI) informing them of significant licensing milestones for fuel cycle facilities and transportation vendors seeking to 08/19 08/19 implement ATF with increased uranium enrichment (ADAMS Accession No. ML19235A265).

Conduct a public meeting to solicit feedback from 09/19 09/19 stakeholders on the draft Appendix A.

Present NRC perspectives on ATF at the DOEs Nuclear 09/19 09/19 Energy Advisory Committee meeting.

Projected Activities for the Next Quarter (Q1 FY 2020)

Projected Projected ATF Activities Completion Date Publish a notice of availability for public comment of an updated draft of the 10/19 ISG in the Federal Register for a 30-day public comment period.

Publish ATF Project Plan, Version 1.1 with the inclusion of Appendix A. 10/19 Conduct a planning meeting with Framatome on increased burnup and 10/19 increased enrichment.

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Projected Projected ATF Activities Completion Date Conduct a public meeting to discuss stakeholder comments on the draft 12/19 ISG.

2-4 Digital Instrumentation and Control Operating reactors in the United States seek to more efficiently integrate and implement digital upgrades into plant systems to address obsolescence issues with analog components and improve overall plant reliability. In addition, new reactor designs continue to employ highly integrated digital instrumentation and control (I&C) designs for safe and efficient operation of future plants. To address these industry trends, the NRC is modernizing and improving the regulatory infrastructure for digital I&C. The NRC Integrated Action Plan (IAP) for digital I&C (ADAMS Accession No. ML16126A137) defines key improvement activities and the actions for completing modernization efforts. These improvements are expected to increase the timeliness, efficiency, and effectiveness of digital I&C licensing actions. The IAP includes four modernization plans (MP): (1) Protection Against Common Cause Failure (MP1); (2)

Considering Digital I&C in Accordance with 10 CFR 50.59, Changes, Tests, and Experiments (MP2); (3) Commercial Grade Dedication of Digital Equipment (MP3); and (4) Assessment for Modernization of the I&C Regulatory Infrastructure (MP4).

Activities Planned and Completed for the Reporting Period (Q4 FY 2019)

Planned Completion Digital Instrumentation and Control Activities Completion Date Date MP1D: Update Branch Technical Position (BTP) 7-19, Guidance for Evaluation of Diversity and Defense-In-Depth in Digital Computer Based Instrumentation and Control Systems.

• Hold a public meeting 08/19 08/19 MP2: Considering Digital I&C in Accordance with 10 CFR 50.59.

• Complete inspector training 07/19 07/19

• Hold a public meeting 09/19 09/19 Projected Activities for the Next Quarter (Q1 FY 2020)

Projected Projected Digital Instrumentation and Control Activities Completion Date MP1D: BTP 7-19, Guidance for Evaluation of Diversity and Defense-In-Depth in Digital Computer Based Instrumentation and Control Systems.

• Advisory Committee on Reactor Safeguards (ACRS) 11/19 informational meeting

• Final publication of BTP 7-19 12/19 MP2A: Endorsement of NEI 96-07, Appendix D, Supplemental Guidance for Application of 10 CFR 50.59 to Digital Modifications, through an update to Regulatory Guide (RG) 1.187, Guidance for Implementation of 10 CFR 50.59, Changes, Tests, and Experiments.

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Projected Projected Digital Instrumentation and Control Activities Completion Date

• ACRS review of RG 1.187 11/19

• Final publication of RG 1.187 12/19 MP3: Endorsement of NEI 17-06, Guidance on Using IEC 61508 SIL Certification to Support the Acceptance of Commercial Grade Digital Equipment for Nuclear Safety Related Applications, through issuance of an RG.

• Hold a public meeting 10/19 MP4: Assessment for Modernization of the I&C Regulatory Infrastructure.

• Issue draft recommendations 10/19

• Hold a public meeting 11/19

• Issue the final report 12/19 2-5 Vogtle Electric Generating Plant Units 3 and 4 The NRC issued two combined licenses to Southern Nuclear Operating Company and its financial partners on February 10, 2012, for two AP1000 units at the Vogtle site, near Augusta, GA. The NRCs Vogtle Readiness Group (VRG) provides high-level assessments, coordination, oversight, and management direction of NRC activities associated with the licensing, inspection, testing, and operation of Vogtle Units 3 and 4. The VRG tracks the NRC staffs progress using an integrated project plan, that overlays key NRC activities on top of the licensees construction and start-up schedule.

Activities Planned and Completed for the Reporting Period (Q4 FY 2019)

Planned Vogtle Electric Generating Plant Units 3 and 4 Completion Completion Activities Date Date Public meeting to discuss 52.103(g) finding process and Inspections, Tests, Analyses, and Acceptance Criteria 8/13/19 8/13/19 (ITAAC).

Public meeting to discuss 52.103(g) finding process. 9/10/19 9/10/19 Projected Activities for the Next Quarter (Q1 FY 2020)

Projected Projected Vogtle Electric Generating Plant Units 3 and 4 Activities Completion Date Public meeting on ITAAC hearing process. 10/19 Issue License Amendment Requests (LAR)19-001, 19-002,19-005, 19-12/19 006,19-008, and 19-011(provided the requisite findings are made).

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NRC Inspections and ITAAC2 Reviews Inspections ITAAC Number of ITAAC Remaining Reporting Period Completed3 Inspected4 Requiring Inspection5 Q4 - FY 2019 58 31 360 ITAAC Reviews Completed (Q4 FY 2019)

The table below provides ITAAC closure notification reviews completed during the reporting period for Vogtle Units 3 and 4, including the date when the NRC received the ITAAC closure notice and the date when the review was completed.

Reporting Period Unit ITAAC ID No. Received Date Approval Date Vogtle 4 2.2.03.08d 7/25/2019 7/30/2019 Vogtle 3 2.3.03.02 7/22/2019 7/24/2019 Vogtle 3 3.3.00.06b 7/15/2019 7/17/2019 Vogtle 4 2.3.09.03.iii 6/26/2019 7/8/2019 Vogtle 3 2.3.05.03a.ii 6/28/2019 7/3/2019 Vogtle 4 2.2.03.08c.v.01 6/26/2019 7/3/2019 Vogtle 3 2.2.03.08c.iv.02 7/26/2019 8/5/2019 Vogtle 3 2.3.10.02a 7/24/2019 8/1/2019 Vogtle 3 2.3.05.03c.i 9/24/2019 9/30/2019 Q4 - FY 2019 Vogtle 3 2.3.05.03d.i 9/24/2019 9/30/2019 Vogtle 3 2.3.07.07b.vii 9/18/2019 9/20/2019 Vogtle 3 2.3.07.07b.i 9/18/2019 9/20/2019 Vogtle 4 C.2.6.12.06 8/26/2019 9/19/2019 Vogtle 3 2.2.05.07e 9/06/2019 9/16/2019 Vogtle 4 C.2.6.12.02 8/30/2019 9/5/2019 Vogtle 4 C.2.6.12.01 8/30/2019 9/5/2019 Vogtle 3 2.2.03.08c.iii 8/28/2019 9/3/2019 Vogtle 4 C.2.6.12.03 8/28/2019 9/3/2019 Vogtle 4 C.2.6.12.04 8/26/2019 9/3/2019 2 The ITAAC descriptions are available in the Vogtle Units 3 and 4 ITACC Status Report at https://www.nrc.gov/reactors/new-reactors/oversight/itaac.html.

3 This column indicates only the inspections that were completed for the reporting period. The forecast of when inspections are planned for a specific month varies due to the fluidity of the construction schedule.

4 ITAAC inspected refers to the number of ITAAC that were inspected as part of ongoing inspections and does not indicate that all inspections were completed for those ITAAC.

5 This column includes targeted ITAAC inspections.

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Vogtle Units 3 and 4 License Amendment Request Reviews Completed (Q4 FY 2019)

Number of License Number of License Amendment Request Amendment Request Reporting Period Reviews Forecast to be Reviews that were Completed in the Reporting Completed in the Reporting Period Period Q4 - FY 2019 1 26 2-6 NuScale Small Modular Reactor Design Certification On March 15, 2017, the NRC accepted the NuScale Power, LLC application for a small modular reactor (SMR) design certification review. The NRC staffs technical review is proceeding in six phases under an established public milestone schedule. The review is currently in Phase 4 (Advanced Safety Evaluation Report (SER) with no open items). During this quarter, the staff issued one request for additional information (RAI) and closed 244 RAIs. As of September 30, 2019, the staff had issued a total of 1,325 RAls, and the applicant has responded to 1,323 of them. The staff expects that it can complete the NuScale SMR design certification review within the established 42-month schedule.

Activities Planned and Completed for the Reporting Period (Q4 FY 2019)

Planned NuScale Small Modular Reactor Design Certification Completion Completion Activities Date Date Complete Phase 2 of the safety review (SER with open 05/19 07/19 items).

Complete Phase 3 of the safety review (ACRS review of 08/19 07/19 SER with open items).

Projected Activities for the Next Quarter (Q1 FY 2020)

Projected Projected NuScale Small Modular Reactor Design Certification Completion Activities Date Complete Phase 4 of the safety review (Advanced SER with no open items). 12/19 2-7 Advanced Nuclear Reactor Technologies The NRC is actively preparing for the review of non-light-water-reactor (non-LWR) designs. The agency staff has developed a vision and strategy to ensure that NRC is ready to conduct safety reviews for these technologies effectively and efficiently.7 The vision and strategy has three strategic objectives: (1) enhancing technical readiness, (2) optimizing regulatory readiness, and (3) optimizing communication. The NRC staff has identified specific activities that it plans to 6 A license amendment request review that was not due to be completed until November 2019 was completed early and is counted in the above table for Q4 FY 2019.

7 NRC Vision and Strategy: Safely Achieving Effective and Efficient Non-Light-Water Reactor Mission Readiness (ADAMS Accession No. ML16356A670).

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conduct in the near-term (0-5 years), mid-term (5-10 years), and long-term (beyond 10 years) timeframes to achieve non-LWR review readiness.

The NRCs public website lists the open and resolved technical and policy issues related to SMRs and non-LWRs (https://www.nrc.gov/reactors/new-reactors/smr.html#techPolicyIssues).

This list is updated periodically to show the status of the issues.

Activities Planned and Completed for the Reporting Period (Q4 FY 2019)

Planned Completion Advanced Nuclear Reactor Technologies Activities Completion Date Date As required by Section 103(b) of the Nuclear Energy Innovation and Modernization Act (NEIMA), prepare a report to Congress on expediting and establishing stages 07/19 07/19 in the licensing process for commercial advanced nuclear reactors (ADAMS Accession No. ML19128A319).

As required by Section 103(c) of NEIMA, prepare a report to Congress on increasing the use of risk-informed and performance-based evaluation techniques and regulatory 07/19 07/19 guidance in licensing commercial advanced nuclear reactors within the existing regulatory framework (ADAMS Accession No. ML19128A324).

Issue a draft policy paper entitled Population-Related Siting Considerations for Advanced Reactors (ADAMS Accession No. ML19203A219) to support ongoing public 07/19 07/19 discussions, including an NRC staff meeting with the ACRS.

Publish the regulatory basis for the Physical Security for Advanced Reactors rulemaking (ADAMS Accession No. 07/19 07/19 ML19099A017).

Provide staff training on high-temperature gas-cooled 07/19 07/19 reactors.

Hold a public meeting to discuss the regulatory basis on 08/19 08/19 physical security for advanced reactors.

Hold a public meeting on possible regulatory process improvements for advanced reactor designs, including the first public outreach on the scope of the rulemaking to 08/19 08/19 establish a regulatory framework for advanced reactors in accordance with section 103(a)(4) of NEIMA.

Brief the ACRS Future Plant Design Subcommittee on 08/19 08/19 micro-reactor technical and policy issues.

Issue draft report on the NRCs non-LWR analytical code strategy and brief the ACRS (ADAMS Accession Nos.

09/19 09/19 ML19093B424 (Volumes 1 and 3) and ML19246C319 (Volume 2)).

Brief the ACRS Future Plant Design Subcommittee and Full Committee on Population-Related Siting 09/19 09/19 Considerations for Advanced Reactors.

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Planned Completion Advanced Nuclear Reactor Technologies Activities Completion Date Date Establish a memorandum of understanding (MOU) with DOE regarding Versatile Test Reactor Engagement 09/19 09/19 (ADAMS Accession No. ML19266A003).

Issue draft Non-LWR Review Strategy that provides NRC staff guidance for reviewing non-LWR applications 09/19 09/19 submitted before 2027 (ADAMS Accession No. ML19275E869).

Projected Activities for the Next Quarter (Q1 FY 2020)

Projected Projected Advanced Nuclear Reactor Technologies Activities Completion Date Enter into an MOU with DOE to implement provisions of the Nuclear Energy Innovation Capabilities Act of 2017 relating to sharing technical expertise 10/19 and knowledge on advanced nuclear reactor technologies and nuclear energy innovation.

Hold a public meeting with stakeholders on non-LWR topics. 10/19 Hold a public meeting with stakeholders on micro-reactor technical and 10/19 policy issues.

Chair a meeting of the Nuclear Energy Agencys Working Group on the 10/19 Safety of Advanced Reactors.

Issue a knowledge management report on the NRC Regulatory History of 10/19 Non-Light Water Reactors.

Hold a public meeting with stakeholders on non-LWR topics. 12/19 Provide a policy paper to the Commission on Technology-Inclusive, Risk-Informed, and Performance Based Methodology to Inform the Licensing 12/19 Basis and Content of Applications for Licenses, Certifications, and Approvals for Non-Light-Water Reactors.

Issue final reports on the NRCs non-LWR analytical code strategy. 12/19 2-8 Reactor Oversight Process The NRC developed the Reactor Oversight Process (ROP) as a risk-informed, performance-based oversight program. Risk-informed is defined as an approach to regulatory decisionmaking that considers both quantitative and qualitative risk insights and other relevant information, as appropriate. The staff developed recommendations to enhance the ROP, those recommendations are provided in SECY-19-0067, Recommendations for Enhancing the Reactor Oversight Process, (ADAMS Accession No. ML19070A050) and are being considered by the Commission. The staffs recommendations resulted from NRCs Transformation Initiative, stakeholder correspondence, feedback from ROP public meetings, and the annual ROP self-assessment program. In August, the staff sought public comment on its recommendations and the ROP generally and the public comments received will be shared with the Commission for consideration. The goal of this ROP improvement effort is to focus the NRCs inspection and oversight resources on the most safety significant issues.

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Activities Planned and Completed for the Reporting Period (Q4 FY 2019)

Planned Completion Reactor Oversight Process Activities Completion Date Date Commence working group for review of the problem 07/19 07/19 identification and resolution inspection program.

Commence working group for effectiveness review of the 07/19 07/19 cross-cutting issues process.

Issue revision to inspection procedure (IP) 71111.05, Fire Protection, adding guidance to include fire areas with equipment categorized as Regulatory Treatment of Non- 08/19 08/19 Safety Systems for the AP1000 (ADAMS Accession No. ML19170A368).

Publish a Federal Register Notice (84 FR 38675) to offer a 60-day comment period for the public to provide comments on

• the staffs recommended changes in SECY 0067, Recommendations for Enhancing the Reactor Oversight Process, dated June 28, 2019; and 08/19 08/19

• additional ROP enhancement topics, including the problem identification and resolution inspection program, the cross-cutting issues process, radiation protection inspection procedures, the inspection program for Independent Spent Fuel Storage Installation (ISFSI), and the Significance Determination Process.

Projected Activities for the Next Quarter (Q1 FY 2020)

Projected Projected Reactor Oversight Process Activities Completion Date Complete effectiveness review of the cross-cutting issues process. 10/19 Issue report of the cross-cutting issues process effectiveness review. 12/19 Issue revisions to IP 71111.12, Maintenance Effectiveness; IP 71111.13, Maintenance Risk Assessments and Emergent Work Control; IP 71111.18, Plant Modifications; IP 71111.22, Surveillance Testing; and IP 71153, Follow-up of Events and Notices of Enforcement Discretion. These 12/19 revised documents will provide additional guidance for oversight of risk-informed initiatives and will also incorporate new guidance for inspecting the AP1000 reactor design.

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2-9 Backfit Backfitting is the imposition of a new or amended regulatory requirement or staff position on certain licensees after issuance of an NRC regulatory approval (e.g., a license or license amendment). The NRCs backfitting rules are codified in 10 CFR 50.109, 70.76, 72.62, and 76.76. The backfitting provisions require, in the absence of an applicable exception, an analysis showing that the backfit would result in a substantial increase in the overall protection of the public health and safety or the common defense and security and that the direct and indirect costs of implementation are justified in view of this increased protection. There are similar requirements, referred to as issue finality, that apply when the NRC imposes new or amended requirements on licenses, permits, and design certifications issued under 10 CFR Part 52. The Commission recently clarified its backfitting and issue finality policy in NRC Management Directive (MD) 8.4, Management of Backfitting, Forward Fitting, Issue Finality, and Information Requests. The NRC staff is currently revising its guidance for implementing the revised policy in MD 8.4 and preparing a draft for public comment (NUREG-1409).

Activities Planned and Completed for the Reporting Period (Q4 FY 2019)

Planned Completion Backfit Activities Completion Date Date No activities to report for Q4 FY 2019 -- --

Projected Activities for the Next Quarter (Q1 FY 2020)

Projected Projected Backfit Activities Completion Date Publish the revised MD 8.4. 10/19 Provide draft NUREG-1409, Revision 1 to the Commission for information prior to issuing it for public comment. 12/19 2-10 Risk-Informed Activities The agency is transforming to enable staff to use risk insights more broadly in decisionmaking.

The intent is to enhance safety and operational effectiveness by appropriately focusing resources on the most important activities. There are numerous activities ranging from overarching (e.g., the risk acceptance transformation initiative mentioned in section 2-1 of this enclosure) to individual undertakings throughout program and corporate offices. Some notable specific undertakings are listed below. Under the same tasking, the staff is identifying challenges to promulgating risk-informed thinking throughout agency activities. The risk acceptance initiative will then devise strategies for overcoming these challenges.

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Activities Planned and Completed for the Reporting Period (Q4 FY 2019)

Planned Completion Risk-Informed Activities Completion Date Date Issue NUREG-2178, Refining and Characterizing Heat Release Rates from Electrical Enclosures During Fire, 07/19 07/19 Vol. 2 for public comment (ADAMS Accession No. ML19162A406).

Issue NUREG-2230, Methodology for Modeling Fire Growth and Suppression for Electrical Cabinet Fires in 07/19 07/19 Nuclear Power Plants, for public comment (ADAMS Accession No. ML19087A215).

Conduct training on the use of risk information during 08/19 08/19 licensing reviews.

Hold public meetings to discuss the closure of fire probabilistic risk assessment (PRA) frequently asked 09/19 09/19 questions and the progress on addressing fire PRA realism topics.

Hold public meetings related to building a smarter fuel 09/19 09/19 cycle inspection and licensing programs.

Complete an assessment of the current ISFSI Inspection Program to determine how to make the program more 09/19 09/19 risk-informed.

Projected Activities for the Next Quarter (Q1 FY 2020)

Projected Projected Risk-Informed Activities Completion Date Issue NUREG/CR-2233, Methodology for Modeling Transient Fires in Nuclear Power Plant Fire Probabilistic Risk Assessments, for public 12/19 comment.

Publish a draft report on initiative related to building a smarter fuel cycle 12/19 inspection and licensing programs.

Evaluate the recommendations made by the ISFSI Inspection Program working group to determine which recommendations will make a more 12/19 effective inspection program that is focused on the most risk-significant activities.

14 3-1 Reactor Oversight Process Findings The table below provides the calendar year (CY) ROP findings for the year-to-date and 3-year rolling metrics.

Number of Location CY 2016 CY 2017 CY 2018 CY 2019 Findings Nationally Total 704 560 478 244 Office of Nuclear Security and Incident Response 19 N/A8 N/A N/A (all regions)

Green 155 126 107 66 White 2 2 1 0 RI Yellow 0 0 0 0 Red 0 0 0 0 Greater than 0 0 0 0 green Security Total 157 128 108 66 No. of units operating during 25 25 25 249 the CY Green 151 119 113 68 White 0 3 0 1 RII Yellow 0 0 0 0 Red 0 0 0 0 Greater than 1 2 0 0 green Security Total 152 124 113 69 No. of units operating during 33 33 33 33 the CY Green 177 133 110 39 White 1 4 2 1 RIII Yellow 0 0 0 0 Red 0 0 0 0 Greater than 1 0 0 0 green Security Total 179 137 112 40 8 Starting in FY 2017, these findings are included in the findings for each region.

9 The reduction of one unit from CY 2018 reflects the permanent shutdown of Oyster Creek on September 17, 2018.

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Number of Location CY 2016 CY 2017 CY 2018 CY 2019 Findings No. of units operating during 23 23 23 23 the CY Green 196 167 145 69 White 1 2 0 0 RIV Yellow 0 0 0 0 Red 0 0 0 0 Greater than 0 2 0 0 green Security Total 197 171 145 69 No. of units operating during 19 1810 18 18 the CY 3-2 Licensing Actions The tables below provide the status of licensing actions organized by licensing program.

Consistent with Section 102(c) of NEIMA, the licensing actions referenced in this section include requested activities of the Commission for which the NRC staff issues a final safety evaluation.

These totals do not include license amendment requests, as they are addressed separately in section 3-3 below. The inventory of licensing actions is the total number open at the end of the quarter.

Operating Reactors Percentage Percentage Licensing Licensing of Licensing of Actions Actions Actions Licensing Completed Reporting Total Initiated Completed Actions During the Period Inventory During the Prior to the Completed Reporting Reporting Generic Prior to the Period Period Milestone Established Schedule11 Schedule12 Q1 FY 2019 176 55 98 100% 92%

Q2 FY 2019 215 97 66 88% 60%

Q3 FY 2019 204 67 83 100% 95%

Q4 FY 2019 160 72 120 100% 96%

10 The reduction of one unit from CY 2016 to CY 2017 reflects the permanent shutdown of Fort Calhoun on October 24, 2016.

11 Excludes unusually complex and Fukushima-related licensing actions accepted or initiated prior to July 13, 2019 (consistent with previous monthly reports).

12 The established scheduled is the schedule communicated to the licensee at the completion of the acceptance review.

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New Reactors Percentage Percentage Licensing Licensing of Licensing of Actions Actions Actions Licensing Reporting Total Initiated Completed Completed Actions Period Inventory During the During the Prior to the Completed Reporting Reporting Generic Prior to the Period Period Milestone Established Schedule Schedule Q1 FY 2019 10 0 0 N/A N/A Q2 FY 2019 10 0 0 N/A N/A Q3 FY 2019 9 0 1 100% 100%

Q4 FY 2019 7 0 2 100% 100%

Fuel Facilities Percentage Percentage Licensing Licensing of Licensing of Actions Actions actions Licensing Reporting Total Submitted in Completed Completed Actions period Inventory the in the Prior to the Completed Reporting Reporting Generic Prior to the Period Period Milestone Established Schedule Schedule Q1 FY 2019 1 2 3 100% 100%

Q2 FY 2019 3 3 1 100% 100%

Q3 FY 2019 1 1 3 100% 100%

Q4 FY 2019 2 1 0 N/A N/A No licensing actions have extended 180 days beyond the generic milestone (if received after July 13, 2019) or the established schedule.

3-3 License Amendment Request Reviews The tables below provide the following information: the status of license amendment request reviews for the licensing programs including total inventory; license amendment requests submitted during the quarter; and reviews completed during the quarter. The percentage of reviews completed prior to the respective generic milestone and the percentage of reviews completed prior to the respective established schedule are also presented. These tables exclude unusually complex license amendments accepted prior to July 13, 2019. License amendment request reviews are included in the total inventory after they have been accepted by the NRC (the acceptance review period is generally 30 days after the application is submitted). In many cases, requests submitted during a reporting period are not included in the total inventory until the following reporting period.

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Operating Reactors Reporting Total LARs LAR Percentage of Percentage Period Inventory Submitted Reviews LAR Reviews of LAR During the Completed Completed Reviews Reporting During the Prior to the Completed Period Reporting Generic Prior to the Period Milestone Established Schedule Schedule Q1 FY 2019 341 101 109 100% 60%

Q2 FY 2019 342 147 106 100% 72%

Q3 FY 2019 394 140 89 100% 71%

Q4 FY 2019 400 129 123 100% 86%

New Reactors Reporting Total LARs LAR Percentage of Percentage Period Inventory Submitted Reviews LAR Reviews of LAR During the Completed Completed Reviews Reporting During the Prior to the Completed Period Reporting Generic Prior to the Period Milestone Established Schedule Schedule Q1 FY 2019 18 5 5 100% 100%

Q2 FY 2019 16 3 7 100% 100%

Q3 FY 2019 13 5 6 100% 100%

Q4 FY 2019 16 8 2 100% 100%

Fuel Facilities Percentage of Percentage LAR LARs LAR Reviews of LAR Reviews Submitted Completed Reviews Reporting Total Completed During the Prior to the Completed period Inventory During the Reporting Generic Prior to the Reporting Period Milestone Established Period Schedule Schedule Q1 FY 2019 8 5 2 100% 100%

Q2 FY 2019 8 6 6 100% 83%

Q3 FY 2019 8 3 3 100% 100%

Q4 FY 2019 6 1 3 100% 100%

Unusually Complex License Amendment Requests The staff has identified certain license amendment requests (accepted for review prior to July 13, 2019), as unusually complex. Consistent with the previous monthly reports, these unusually complex submittals are not included in the internal performance measures as they do not lend themselves to realistic schedule forecasting. Rather, they are given escalated management attention to ensure progress is made toward resolving outstanding issues and completing the 18

reviews in a timely manner. There are currently no such reviews ongoing that have exceeded their original schedule by more than 180 days.

Operating Reactors Exclusion Age Unusually Complex LAR Description Justification (Months)

The licensee plans to Sequoyah Units 1 and 2Updated Final Safety withdraw this LAR and Analysis Reports Regarding Changes to Hydrologic 85 submit a new LAR by the Analysis end of 2019.

MELLLA+ reviews are Browns Ferry 1, 2, and 3MELLLA+ Core Flow unusually complex due to 17 Operating Range Expansion their technical nature.

NFPA-805 reviews are HatchNational Fire Protection Association unusually complex due to 15 (NFPA) 805 Review the complicated nature of the subject matter.

HatchAdopt 10 CFR 50.69, Risk-Informed This review is tied to the Categorization and Treatment of Structures, review of the Hatch NFPA- 14 Systems, and Components for Nuclear Power 805 application.

Reactors North Anna Units 1 and 2Revision of the Small Involves multiple plant-Break Loss of Coolant Accident (SBLOCA) specific SBLOCA 13 Analytical Methodologies methodologies.

Involves multiple plant-Surry Units 1 and 2Revision of Analytical specific SBLOCA 13 Methodologies for SBLOCA methodologies.

Palo Verde Units 1, 2, and 3Framatome High First-of-a-kind review. 10 Thermal Performance Fuel Brunswick Units 1 and 2ATRIUM 11 Advanced First-of-a-kind review. 10 Fuel Transition NFPA-805 reviews are Virgil C. Summer Unit 1Request to Revise the unusually complex due to 12 Approved NFPA-805 Program the complicated nature of the subject matter.

Calvert Cliffs Units 1 and 2Adopt 10 CFR 50.69, Risk-Informed Categorization and Treatment of First-of-a-kind seismic risk-8 Structures, Systems and Components for Nuclear informed review.

Power Reactors New Reactors None Fuel Facilities None 19

3-4 Research Activities Summary of New Research Projects13 During the reporting period, the Office of Nuclear Regulatory Research initiated research on or substantially revised the following projects:

Requesting Estimated Name of New or Revised Project Business Line Completion Regulatory Research Supporting Dry Cask Storage Thermal Performance Spent Fuel Storage FY 2022 This research will support evaluation of advances in dry and Transportation cask configurations and benchmarking experiments to validate new computational fluid dynamics models.

Human Factors Engineering User Needs Operating Reactors FY 2025 This research will support operating, new, and advanced reactor licensing review guidance development.

Summary of Completed Research Projects14 During the reporting period, the Office of Nuclear Regulatory Research completed or terminated the following activities:

Estimate of Name and Purpose of Duration of the Project Research Research Completed Project Project Results or Findings Resources No research projects were closed during the reporting period.

3-5 Fees Billed The tables below provide information on Part 170 fees billed for each fee class. For each fee class, the staff compared the fees billed to the receipts estimated in the annual fee rule.

FY 2019 Part 170 Part 170 Part 170 Receipts Estimated Billed in FY Fee Class Billed in FY Annual Fee Rule 2019 Q4 2019 Q1-4 ($M)

($M) ($M)

Fuel Facilities $7.3 $1.6 $6.8 13 Provides information about projects that were reviewed and approved during the reporting period and exceeded 300 staff hours or $500K of program support for the duration of the project (consistent with previous monthly reports).

14 Provides information about projects that were completed or terminated during the reporting period and exceeded 300 staff hours or $500K of program support for the duration of the project. The research project resources are estimates of staff hours and program support costs based on inspection of project records, including staffing plans and contract spending plans.

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FY 2019 Part 170 Part 170 Part 170 Receipts Estimated Billed in FY Fee Class Billed in FY Annual Fee Rule 2019 Q4 2019 Q1-4 ($M)

($M) ($M)

Generic Decommissioning $3.2 $1.2 $4.1 Materials Users15 $1.1 $0.1 $0.8 Operating Power Reactors $217.7 $49.6 $212.9 Research and Test Reactors $0.5 $0.0 $0.3 Spent Fuel Storage/Reactor

$17.8 $3.3 $16.0 Decommissioning Transportation $3.7 $0.7 $3.4 Uranium Recovery $0.8 $0.0 $0.8 Significant Ongoing Licensing Actions The table below includes a comparison of the fees billed to projected resources for the NuScale SMR design certification review and subsequent license renewal application reviews.

Significant Ongoing Licensing Actions Projected Fees Billed to Docket Project Name Resources Date ($M)

($M)16 NuScale Power NuScale SMR Design Reactor $51.0 Certification Application Review 05200048 NuScale SMR Topical Report $66.017 NuScale Power Reviews (only those that directly Reactor $7.1 support the design certification 99902043 review)

Turkey Point Units 3 Turkey Point Units 3 and 4 and 4 Subsequent License Renewal $5.2 $4.9 05000250/05000251 ApplicationSafety Review 15 Materials UsersBilled as flat fee applications and included in the estimates and billed.

16 Projected resources are calculated based on the full-time equivalent (FTE) estimates provided to applicants in the acceptance letters. Dollar amounts are obtained by multiplying the hours estimate by $275/hour.

17 When the NuScale design certification application was submitted, it was not the NRCs practice to provide projected resources to applicants. This number was calculated for this report using fees billed to date (for the NuScale design certification application and supporting topical reports - $58.1M) plus a projection of the fees that the NRC staff expects to bill through the end of the technical review in September 2020 ($7.9M). This estimate is based on critical assumptions such as high quality and timely submittals by NuScale for the remainder of the review. Costs associated with pre-application activities are not included.

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Projected Fees Billed to Docket Project Name Resources Date ($M)

($M)16 Turkey Point Units 3 and 4 Turkey Point Units 3 Subsequent License Renewal and 4 $3.6 $2.6 ApplicationEnvironmental 05000250/05000251 Review Peach Bottom Units 2 Peach Bottom Units 2 and 3 and 3 Subsequent License Renewal $4.3 $3.3 05000277/05000278 ApplicationSafety Review Peach Bottom Units 2 and 3 Peach Bottom Units 2 Subsequent License Renewal and 3 $1.5 $1.2 ApplicationEnvironmental 05000277/05000278 Review Surry Units 1 and 2 Subsequent Surry Units 1 and 2 License Renewal Application $4.9 $3.2 05000280/05000281 Safety Review Surry Units 1 and 2 Subsequent Surry Units 1 and 2 License Renewal Application $1.4 $1.1 05000280/05000281 Environmental Review 3-6 Requests for Additional Information The table below provides information on RAIs for the Q4 FY 2019 associated with licensing actions that were accepted for review after July 13, 2019. Consistent with Section 102(c) of NEIMA, the licensing actions referenced in this section include requested activities of the Commission for which the NRC staff issues a final safety evaluation. The number of RAIs issued and responded to will increase in future reports, as most of these reviews have just started. Several licensing actions are under review that were accepted prior to July 13, 2019, the staff continues to issue and close RAIs on these actions. The staff is collecting information on the RAIs for licensing actions accepted prior to July 13, 2019, and will provide a total inventory of open RAIs in future reports.

Number of RAIs Number of RAIs Responded to by Type of Facility or Activity Type Issued in Q418 Licensees/ Applicants and Closed19 in Q4 Operating Reactors 9 8 Research and Test Reactors 0 0 Design Certifications for New Reactors20 N/A N/A 18 The RAIs reported in this table do not include draft RAIs that may be sent to a licensee or applicant to foster discussion about the application.

19 For the purpose of this report, RAIs are considered closed when they are responded to by licensees/applicants.

20 The active design certification reviews were all accepted for review prior to July 13, 2019, and are not reported in this table. Information on the NuScale SMR design certification review is reported in section 2-6 of this report. The staff completed the advanced final safety evaluation report for GE-Hitachi Nuclear Energys Advanced 22

Number of RAIs Number of RAIs Responded to by Type of Facility or Activity Type Issued in Q418 Licensees/ Applicants and Closed19 in Q4 Early Site Permits for New Reactors21 N/A N/A Combined Licenses for New Reactors21 N/A N/A Fuel Facilities 0 0 Decommissioning 0 0 Spent Fuel 0 0 Materials22 0 0 3-7 Workforce Development and Management The table below provides information on staffing by office for the reporting period. The budgeted amount for each office is the budget for the fiscal year.

FY 2019 Staffing by Office (As of 9/28/2019)

EOY FTE Projection Utilization w/

FY 2019 as of Delta Personnel Delta Budget 9/28/2019 Actions TOTALS 3,114.4 2,848.6 -265.8 2,920.5 -193.9 TOTALS NON-IG 3,051.4 2,790.3 -261.1 2,862.0 -189.4 COMM 45.0 28.0 -17.0 30.0 -15.0 TOTALS OTHER 3,006.4 2,762.3 -244.1 2,832.0 -174.4 OFCS OCFO 99.0 91.7 -7.3 95.1 -3.9 OGC 102.0 96.6 -5.4 97.1 -4.9 OCA 11.0 11.0 0.0 10.3 -0.7 OCAA 8.0 6.7 -1.3 5.9 -2.1 OPA 15.0 14.0 -1.0 14.4 -0.6 SECY 18.0 15.0 -3.0 16.1 -1.9 OIP 36.0 33.4 -2.6 34.6 -1.4 ASLBP 28.0 21.7 -6.3 22.3 -5.7 Boiling-Water Reactor design certification renewal in June 2019; there are no open RAIs, and no additional RAIs are expected to be issued. The staff is performing a review of the U.S. Advanced Pressurized-Water Reactor application at a reduced pace with a minimal number of RAIs being issued per quarter. At the beginning of Q4 FY 2019, the inventory of open RAIs on this review was 149.

21 There are currently no early site permit applications or combined license applications under review by the NRC; therefore, there will be no RAI data to report until an application is submitted and accepted by the NRC for review.

22 This section covers complex materials sites. It does not include nuclear material user licensing actions because those actions (e.g., portable gauges, industrial radiography, medical use licensees, etc.) do not result in issuance of a safety evaluation and thus are not within the scope of section 102(c) of NEIMA.

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FY 2019 Staffing by Office (As of 9/28/2019)

EOY FTE Projection Utilization w/

FY 2019 as of Delta Personnel Delta Budget 9/28/2019 Actions ACRS 26.0 27.1 1.1 26.9 0.9 OEDO 23.0 21.4 -1.6 20.8 -2.2 NRR 445.7 455.4 9.7 449.2 3.5 NRO 249.5 169.5 -80.0 201.7 -47.8 NMSS 287.9 274.6 -13.3 281.7 -6.2 RES 208.2 192.1 -16.1 196.3 -11.9 NSIR 166.3 159.4 -6.9 161.2 -5.1 R-I 194.6 173.5 -21.1 182.6 -12.0 R-II 244.8 218.9 -25.9 228.2 -16.6 R-III 183.8 174.1 -9.7 174.4 -9.4 R-IV 169.3 159.2 -10.1 161.3 -8.0 OE 33.3 30.4 -2.9 32.7 -0.6 OI 42.0 40.9 -1.1 37.8 -4.2 OCIO 171.0 159.8 -11.2 160.3 -10.7 ADM 132.0 117.2 -14.8 117.1 -14.9 SBCR 13.0 10.6 -2.4 11.9 -1.1 OCHCO 98.0 86.1 -11.9 90.1 -7.9 CSU 1.0 2.0 1.0 2.0 1.0 OIG 63.0 58.2 -4.8 58.5 -4.5 Note: Some numbers might not add due to rounding.

3-8 Inspection Activities The table below shows the average number of hours of direct inspection per plant in FY 2019.

Average Reactor Oversight Process Direct Inspection Hours Nationwide per Column 1 of Column 2 of Column 3 of Column 4 of plant (unit) ROP Action ROP Action ROP Action ROP Action Matrix Matrix Matrix Matrix 1,379 Hours 1,365 Hours 1,605 Hours23 No Plants in No Plants in Column 3 Column 4 The table below shows the staff hours expended for inspection-related effort at operating power reactor sites by calendar year.

23 Grand Gulf, Watts Bar Units 1 and 2, and Brunswick Unit 1 were in Column 2 of the ROP Action Matrix during Q4 FY 2019.

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Calendar Year 2019 Calendar Year 2018 Items Description (YTD)

(Hours)

(Hours)

i. Baseline Inspection24 261,691 192,678 ii. Plant-specific inspections 14,788 7,605 iii. Generic safety issue inspections 5,471 2,169 iv. Performance Assessment 1,783 1,374

v. Other Activities 70,288 77,99425 vi. Total staff effort 354,021 281,820 vii. Total staff effort per operating site 6,10426 4,94427 3-9 Backfit Facility-Specific Backfits There were no facility-specific backfits issued during the reporting period.

Generic Backfits There were no generic backfits issued during the reporting period.

24 Baseline inspection hours includes inspection preparation and documentation hours, which are approximately 70 percent of the direct inspection effort.

25 The increase in Other Activities was anticipated and can be attributed, in large part, to the change in the FY 2019 fee rule that retired the previous 6 percent surcharge on Part 170 fees to recover costs for senior resident inspectors (SRIs) and resident inspectors (RIs) indirect time (in an official duty status but not related to a specific inspection).

This surcharge was used to recover the full cost of each SRI and RI assigned to a specific plant, which is required by 10 CFR 170.12(c)(1). In the FY 2019 fee rule, the NRC made this fee recovery effort more transparent by retiring the 6 percent surcharge and replacing it with SRIs and RIs charging indirect time to docket-specific cost accounting codes that align to Other Activities.

26 This total is divided by 58 sites operating in calendar year 2018 (including Oyster Creek, which permanently ceased operations on September 17, 2018).

27 This total is divided by 57 sites operating in calendar year 2019 (decrease due to Oyster Creek). This number includes Pilgrim Nuclear Power Station, which permanently ceased operations on June 1, 2019, and Three Mile Island Unit 1, which permanently ceased operations on September 20, 2019.

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