ML20105A493

Status Report on the Licensing Activities and Regulatory Duties of the U.S. NRC - Enclosure

ML20105A493
Person / Time
Issue date:	05/18/2020
From:	Kristine Svinicki NRC/Chairman
To:	Barrasso J, Braun M, Pallone F US Congress, US HR (House of Representatives), US SEN (Senate)
Meyer M
Shared Package
ML20105A489	List: ML20105A492 ML20105A493
References
CORR-20-0040
Download: ML20105A493 (32)

Text

STATUS REPORT ON THE LICENSING ACTIVITIES AND REGULATORY DUTIES OF THE U.S. NUCLEAR REGULATORY COMMISSION For the Reporting Period of January 1 through March 31, 2020

Table of Contents High Level Summary 1 2-1. Transformation 4 2-2. Workforce Development and Management 5 2-3. Accident Tolerant Fuel 6 2-4. Digital Instrumentation and Control 7 2-5. Vogtle Electric Generating Plant Units 3 and 4 8 2-6. NuScale Small Modular Reactor Design Certification 10 2-7. Advanced Nuclear Reactor Technologies 12 Oklo Power LLC (Oklo) Combined Operating License 2-8. 14 Application for the Aurora Compact Fast Reactor 2-9. Reactor Oversight Process 15 2-10. Backfit 16 2-11. Risk-Informed Activities 17 3-1. Reactor Oversight Process Findings 18 3-2. Licensing Actions 20 3-3. License Amendment Request Reviews 21 3-4. Research Activities 23 3-5. Fees Billed 25 3-6. Requests for Additional Information 27 3-7. Workforce Development and Management 28 3-8. Inspection Activities 29 3-9. Backfit 30

Enclosure 1 - High Level Summary 123 1 Timeliness data are not available for Fuel Facilities in Fiscal Year (FY) 2018 Quarter (Q)3.

2 Prior results were corrected to remove actions inadvertently included that are not requested activities of the Commission consistent with the Nuclear Energy Innovation and Modernization Act (NEIMA) Section 102(c).

3 The FY 2020 Q1 data for Fuel Facilities has been updated to include two additional data points not previously recorded. A majority of the licensing actions for Fuel Facilities were completed well ahead of the generic milestone schedule during the reporting period.

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1-4 NRC FY 2020 Budget Authority - Mar. 31, 2020 (Dollars in Thousands)

Fund Sources FY 2020 Budget4 Percent Obligated Percent Expended Advanced Reactor $15,844 38% 28%

Commission Funds $11,953 24% 24%

Fee-Based Funds $825,430 45% 35%

General Funds $1,303 10% 10%

International Activities $14,500 47% 32%

Integrated University Program $16,000 0% 0%

Official Representation $25 49% 19%

Total $885,055 44% 34%

NRC Control Points FY 2020 Budget4 Percent Obligated Percent Expended Nuclear Reactor Safety $447,940 47% 40%

Nuclear Materials and Waste Safety $103,191 44% 37%

Decommissioning and Low-Level Waste $22,891 47% 40%

Corporate Support $295,033 42% 24%

Integrated University Program $16,000 0% 0%

Total $885,055 44% 34%

4 FY 2020 budget includes the enacted and carryover budget.

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Total Year to Date Projected End of Year Quarter 2 Quarter 2 YTD YTD (YTD) FTE Utilization FTE Total Utilization Hiring Attrition Hiring Attrition 1397.4 2809.8 19 85 41 119 5

Total 10 CFR Part 170 Fees Billed (Dollars in Millions)

FY 2018 FY 2019 FY 2020 (Q1 - Q2)

$266.0 $245.3 $109.6 On January 31, 2020, the U.S. Department of Health and Human Services declared a public health emergency (PHE) for the United States to aid the nations healthcare community in responding to the Coronavirus Disease 2019 (COVID-19). On March 11, 2020, the COVID-19 outbreak was characterized as a pandemic by the World Health Organization. Shortly before the completion date for this reporting period, NRC began taking precautionary measures in response to COVID-19 PHE to ensure the health and safety of our workforce in accordance with guidance provided by the Federal Government, including the Centers for Disease Control and Prevention, as well as State and local authorities. Impacts to NRC activities during this reporting period were minimal and, where appropriate, are noted in this report. Future reports will also include additional impacts resulting from NRCs response to COVID-19 PHE.

5 In order to temporarily mitigate the financial impacts and economic disruptions caused by the COVID-19 PHE for licensees, the NRC has deferred all invoices scheduled to be issued in April, May, and June 2020 until July 22, 2020.

3 provides the status of specific items of interest including a summary of the item, the activities planned and accomplished under each item within the quarter, and projected activities under each item for the next two quarters.

2-1 Transformation The U.S. Nuclear Regulatory Commissions (NRC) transformation initiative currently encompasses a broad set of activities intended to advance the agency towards the vision of being a more modern, risk-informed regulator. There are four focus areas: (1) recruiting, developing, and retaining a strong workforce; (2) improving decisionmaking through the acceptance of an appropriate level of risk without compromising the NRCs mission; (3) establishing a culture that embraces innovation; and (4) adopting new and existing information technology resources. The NRC staff has launched seven initiatives that support these four focus areas:

1) Be riskSMART:6 Developing a common understanding of risk and implementing a framework that supports consistent processes and guidance that give staff confidence in considering risk information as part of decisionmaking without compromising the NRCs safety mission.

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 careers.

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 processes to achieve greater efficiency.

6) Signposts and Markers: Identifying key signposts and markers pertinent to anticipating future agency workload and adapting our decisionmaking processes to incorporate these indicators to ensure 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.

Activities Planned and Completed for the Reporting Period (Q2 FY 2020)

Projected Transformation Activities Completion Date Completion Date Complete the first session in a series of interactive staff 01/06/20 01/06/20 learning sessions on the use of Microsoft Office 365 6 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 purpose is to enhance safety and operational effectiveness by appropriately focusing resources on high-value mission priorities.

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Projected Transformation Activities Completion Date Completion Date productivity tools that the agency recently acquired. A total of 31 sessions have been conducted through the end of March. This effort was key in the success of the mandatory full-time telework during the agency pandemic response.

Launch Be riskSMART as an agencywide framework for the consideration of risk information in decisionmaking across technical, corporate support, and 01/17/20 01/17/20 legal portfolios without compromising NRCs safety mission.

Synthesize information about staff training and human capital initiatives into a single user-friendly infographic to 04/15/20 03/31/20 highlight opportunities for enhanced professional development.

Projected Activities for the Next Two Quarters (Q3 and Q4 FY 2020)

Projected Projected Transformation Activities Completion Date Conduct a staff survey to identify elements of the agency culture that should 04/03/207 be addressed to enhance the acceptance of transformation.

Brief the Commission on staffs transformation activities (public meeting). 05/18/208 Implement a new process to recognize staff who contribute innovative ideas 05/31/20 for improving the work of the agency.

Launch the Innovate NRC 2.0 technology platform and begin agencywide 06/20/209 training to facilitate innovation, such as anticipated crowdsourcing.

Complete training of senior leaders to better understand behavior and how to 07/31/20 effect cultural change as a part of the transformation initiative.

Conduct seminar for all agency staff on strategic and managerial aspects of 09/01/20 risk-informed decisionmaking.

Develop the first iteration of the initial nuclear energy sector indicators to pilot in decisionmaking processes, such as workforce planning and the agency 09/30/20 environmental scan development.

Complete pilot of a streamlined process for preparing Commission papers. 09/30/20 2-2 Workforce Development and Management The NRC implemented a Strategic Workforce Planning (SWP) process to improve workforce development to meet its near- and long-term work demands. This process projects the amount and type of work anticipated in the next 5 years and identifies the workforce needed to perform 7 Completion of the survey was previously scheduled for March 31, 2020. The survey completion date was extended to April 3, 2020, to accommodate work schedule disruptions associated with the COVID-19 PHE.

8 The Commission briefing on the staffs transformation activities has been postponed due to circumstances surrounding the COVID-19 PHE. A revised date will be provided once the meeting can be rescheduled.

9 Launch of the Innovate NRC 2.0 technology platform was previously scheduled for March 31, 2020. The launch date is delayed to conduct additional pilot testing and to accommodate work schedule disruptions associated with the COVID-19 PHE.

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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.

Activities Planned and Completed for the Reporting Period (Q2 FY 2020)

Projected Workforce Development and Management Activities Completion Date Completion Date Continue SWP agencywide implementation by developing a workforce demand and conducting a supply analysis of the current workforce. The information collected during these steps will support 03/16/20 03/16/20 development of strategies to ensure the agency has the workforce it needs to achieve its mission now and in the future.

Projected Activities for the Next Two Quarters (Q3 and Q4 FY 2020)

Projected Projected Workforce Development and Management Activities Completion Date Onboard entry-level hires for NRCs new training program, the Nuclear Regulator Apprenticeship Network, and begin 14 weeks of initial training in 06/22/20 areas such as regulatory and technical fundamentals.

Continue SWP agencywide implementation by developing a workforce supply 06/27/20 analysis and a prioritized list of workforce gaps and surpluses.

2-3 Accident-Tolerant Fuel The NRC is making significant progress in its preparation for licensing reviews of Accident-Tolerant Fuel (ATF) designs for use in U.S. commercial power reactors. The NRC staff is currently executing the ATF project plan (Agencywide Documents Access and Management System (ADAMS) Accession No. ML19301B166), and is preparing for imminent ATF submittals from fuel vendors in fall 2020. The NRC staff remains prepared to begin reviews of coated cladding and doped fuel technologies upon submission to the NRC. On the front-end of the fuel cycle, the NRC is currently reviewing ATF-related requests to allow: an enrichment facility to enrich fuel above 5 percent; a fuel fabrication facility to manufacture fuel above 5 percent enrichment; and the transportation of fuel rods with different cladding and fuel enriched to up to 7 percent. Additionally, the NRC is updating its computational analysis tools for ATF using data from public literature and nuclear fuel vendors. The NRC staff continues to participate in international research programs to obtain data for code validation and to enhance its understanding of ATF and high burnup behavior under normal and accident conditions.

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Activities Planned and Completed for the Reporting Period (Q2 FY 2020)

Projected ATF Activities Completion Date Completion Date Publish notice of availability of the final Interim Staff Guidance on chromium-coated cladding in the Federal 01/17/20 01/09/20 Register.

Conduct ATF Commission Meeting (ADAMS Accession 02/25/20 02/25/20 No. ML20058F069).

Projected Activities for the Next Two Quarters (Q3 and Q4 FY 2020)

Projected Projected ATF Activities Completion Date Complete a revision to a certificate of compliance (CoC) from GE Hitachi Nuclear Energy to allow transport of irradiated BWR ATF fuel including 04/30/20 FeCrAl cladding.10 Complete safety evaluation regarding URENCO Louisiana Energy Services 05/21/20 license amendment request to allow enrichment up to 5.5 percent.

Conduct a pre-application meeting for a new UF6 transportation package with 06/10/20 up to 10 percent enrichment (ADAMS Accession No. ML20118C770).

Update of ATF website on NRC.gov. 07/31/20 Conduct high burnup public workshop to clarify the path forward for high 08/31/20 burnup submittals.

2-4 Digital Instrumentation and Control The NRC Integrated Action Plan (IAP) for digital instrumentation and control (I&C) (ADAMS Accession No. ML16126A137) defined key improvement activities and the actions for completing modernization efforts. The IAP includes four modernization plans (MPs):

(1) Protection Against Common Cause Failure (MP1); (2) Considering Digital l&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 l&C Regulatory Infrastructure (MP4). The NRC staff is now preparing for anticipated license amendment requests, including pre-application activities with potential applicants. Specifically, five pre-application meetings were held with Entergy between August 29, 2019, and March 19, 2020, in anticipation of an application being submitted in July 2020 for Waterford Steam Electric Station, Unit 3, and the staff anticipates having a pre-application meeting with the licensee in June 2020. The staff also has monthly meetings with the U.S. Department of Energy, which is providing support for an additional application The NRC will manage the remaining infrastructure activities described below through routine internal processes, as described in SECY-19-0112, Annual Update on the Integrated Strategy to Modernize the U.S. Nuclear Regulatory Commission's Digital Instrumentation and Control Regulatory Infrastructure (ADAMS Accession No. ML19261B629). The NRC staff has not scheduled further updates to the IAP.

10 The revision to a certificate of compliance (CoC) from GE Hitachi Nuclear Energy to allow transport of irradiated BWR ATF fuel including FeCrAl cladding was completed on April 23, 2020 (ADAMS Accession No. ML20108F573),

and will be reflected in next quarters report.

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Activities Planned and Completed for the Reporting Period (Q2 FY 2020)

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

• Publish BTP 7-19 for public comment (ADAMS 12/31/19 01/14/2011 Accession Nos. ML19256B502).

• Hold a public meeting (ADAMS Accession No.

02/11/20 02/11/20 ML20037A165).

Projected Activities for the Next Two Quarters (Q3 and Q4 FY 2020)

Projected Projected Digital Instrumentation and Control Activities Completion Date 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.12

• Hold a public meeting (ADAMS Accession No. ML20105A363). 04/27/20

• The Advisory Committee on Reactor Safeguards (ACRS) review of 06/30/20 RG 1.187.

• Final publication of RG 1.187. 07/31/20 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 RG13.

• Hold a public meeting to discuss NRC comments on pre-endorsement 04/01/20 draft NEI 17-06 Revision B.

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 to be built and operated at the Vogtle site near Augusta, GA. The NRCs Vogtle Readiness Group (VRG) provides assessments, coordination, oversight, and management direction of NRC activities associated with the licensing, inspection, testing, and operational readiness of Vogtle Units 3 and 4. The 11 While the draft BTP 7-19 was publicly available in ADAMS for stakeholders review. The staff delayed the start of the formal public comment period to January 14, 2020, to coincide with the publication of the associated Federal Register notification.

12 MP2A - Completion of the revision to RG 1.187, which endorses Appendix D, was delayed due to follow-on discussions with stakeholders regarding the revised digital I&C upgrade examples in Appendix D that highlight compliance with the 10 CFR 50.59 rule.

13 NEI provided pre-endorsement draft NEI 17-06 Revision B on September 30, 2020 for NRC comment. Staff provided comments to NEI on December 19, 2019, and provided supplemental comments on the certification process as a result of the April 1, 2020, public meeting. NEI is currently addressing staff comments and developing a checklist to support industry observation of a third-party certifier. NEI has stated there is no set date for providing a revised version of the document for NRC endorsement review. Staff generally anticipates receiving a revised version in fall 2020. Upon receipt of the revised version, NRC will begin the formal endorsement review of NEI 17-06.

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VRG tracks the NRC staffs progress using an integrated project plan that considers the licensees construction and planned start-up schedule.

Activities Planned and Completed for the Reporting Period (Q2 FY 2020)

Vogtle Electric Generating Plant Units 3 and 4 Projected Completion Date Activities Completion Date Conduct a public meeting on the NRC plans for inspecting the AP1000 units under the Reactor 01/14/20 01/14/20 Oversight Process (ROP) (ADAMS Accession No. ML19364A000).

Conduct a public meeting to discuss ROP topics, which include the inspection of the AP1000 design (ADAMS 01/22/20 01/22/20 Accession No. ML20015A446).

Issue amendments for license amendment requests (LARs)19-003, 19-009,19-012, 19-015,19-016, 19-017, 03/31/20 03/19/20 and 19-018.

Projected Activities for the Next Two Quarters (Q3 and Q4 FY 2020)

Projected Projected Vogtle Electric Generating Plant Units 3 and 4 Activities Completion Date Issue amendments for LARs19-010, 19-014,19-019, and 19-020 (provided 06/30/20 the requisite findings are made).

Issue amendments for LARs20-001 and 20-002 (provided the requisite 09/30/20 findings are made).

Issue memorandum to inform the Commission of the status of inspections, tests, analyses, and acceptance criteria (ITAAC) completion, inspection 09/30/20 activities (including construction and operational programs), licensing activities, and any current challenges.

Public meeting to discuss VRG activities. 09/30/20 NRC Inspections and ITAAC14 Reviews Inspections Number of ITAAC Remaining Reporting Period ITAAC Inspected16 Completed15 Requiring Inspection Q2 - FY 2020 81 41 267 ITAAC Reviews Completed (Q2 FY 2020)

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 14 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.

15 This column indicates only the inspections that were completed for the reporting period. The forecast of when inspections are planned for a specific month can vary due to the fluidity of the construction schedule and what may be available for inspection as a result.

16 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.

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notice and the date when the review was completed.

Reporting Unit ITAAC ID No. Received Date Approval Date Period Vogtle 3 E.3.9.05.01.07 12/19/2019 01/13/2020 Vogtle 3 2.2.03.08c.xii 12/19/2019 01/13/2020 Vogtle 4 2.5.02.10 12/26/2019 01/09/2020 Vogtle 3 2.5.02.10 12/26/2019 01/09/2020 Vogtle 3 2.5.02.08b.i 12/20/2019 01/08/2020 Vogtle 3 3.3.00.04b 12/27/2019 01/08/2020 Vogtle 4 3.3.00.04b 12/27/2019 01/08/2020 Q2 - FY 2020 Vogtle 3 2.2.03.09a.ii 12/19/2019 01/06/2020 Vogtle 3 2.1.02.08d.ii 01/31/2020 02/07/2020 Vogtle 3 2.5.02.11 01/31/2020 02/07/2020 Vogtle 3 2.5.02.12 12/19/2019 02/03/2020 Vogtle 4 2.5.02.12 12/19/2019 02/03/2020 Vogtle 4 2.2.05.07e 03/16/2020 03/20/2020 Vogtle 4 2.5.02.11 03/06/2020 03/16/2020 Vogtle 3 3.3.00.02a.ii.f 02/21/2020 03/03/2020 Vogtle Units 3 and 4 License Amendment Request Reviews Completed (Q2 FY 2020)

Number of License Number of License Amendment Amendment Request Request Reviews that were Reporting Period Reviews Forecast to be Completed in the Reporting Completed in the Reporting Period Period Q2 - FY 2020 8 8 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 schedule of milestones. The review is currently in Phase 5 (ACRS Review of Advanced Safety Evaluation Report (SER) with No Open Items) and proceeding concurrently with Phase 6 (Final SER with No Open Items). In February 2020, NuScale informed the NRC that NuScale had identified an issue with the emergency core cooling system (ECCS) actuating later than expected and resulting in higher containment water level accumulation than previously determined. Consequently, NuScale is implementing design changes affecting the ECCS actuation timing, and addressing concerns related to containment water level accumulation and boron dilution in the downcomer. The proposed design changes will require NuScale to revise parts of its Final Safety Analysis Report (FSAR) and associated technical and topical reports, which will require further NRC review. NuScale has stated that all 10

of the final design changes and supporting information will be submitted to the NRC by May 20, 2020. On May 1, 2020, the NRC issued a letter to NuScale (ADAMS Accession No. ML20112F455) updating the status and schedule for the NuScale review. Under the updated schedule, following the submittal of the final design information to the NRC, the staff will complete its analyses and engage with the ACRS in June and July 2020, respectively. As a result, Phase 5 is anticipated to be completed by July 31, 2020, rather than by June 23, 2020.

The staff will assess future schedule impacts of any NuScale design changes once the changes are submitted for NRC review. As of March 31, 2020, the staff had issued a total of 1,333 requests for additional information (RAIs), and the applicant has responded to all of them.

During this reporting period, the NRC staff has completed Phase 5 engagement with ACRS for several of the chapters and initiated an audit to begin the review of the design changes in anticipation of the May 20, 2020, submittal.

Activities Planned and Completed for the Reporting Period (Q2 FY 2020)

NuScale Small Modular Reactor Design Certification Projected Completion Date Activities Completion Date ACRS Subcommittee (SC) Meeting on NuScales Steam Generator Design, Turbine Missiles, Inadvertent 02/04/20 02/04/20 Actuation Block (IAB) Valve Design, and Electrical System (ADAMS Accession No. ML20008D564).

ACRS Full Committee (FC) Meeting on NuScale Chapters 12, 15, and 19 (ADAMS Accession No. 02/07/20 02/07/20 ML20008D577).

ACRS SC Meeting on NuScales Rod Ejection, Loss of Coolant Accident (LOCA), and non-LOCA 02/19/20 02/19/20 Methodologies Topical Reports (ADAMS Accession No. ML20028E934).

ACRS SC Meeting on NuScales Chapters 9, 15, 19, and 20 in the areas of Auxiliary Systems and Hydrogen and Oxygen Monitoring, Emergency Core Cooling System 03/04/20 03/04/20 (ECCS), Probabilistic Risk Assessment (PRA), and Mitigation of Beyond-Design-Basis Events (ADAMS Accession No. ML20049A069).

ACRS FC Meeting on NuScales Steam Generator Design, Hydrogen and Oxygen Monitoring, Containment Evacuation; and LOCA, Non-LOCA, and Rod Ejection 03/05/20 03/05/20 Topical Reports (ADAMS Accession No. ML20054B674).

Projected Activities for the Next Two Quarters (Q3 and Q4 FY 2020)

Projected Projected NuScale Small Modular Reactor Design Certification Activities Completion Date ACRS FC Meeting on NuScales Boron Dilution, Return to Criticality, PRA, 04/08/20 and Hydrogen and Oxygen Monitoring ACRS FC Meeting on NuScales Boron Dilution and Technical Specifications 06/04/20 (presentation by NuScale) 11

Projected Projected NuScale Small Modular Reactor Design Certification Activities Completion Date ACRS FC Meeting on NuScales Boron Dilution and Technical Specifications 07/08/20 (presentation by NRC staff)

Complete Phase 5 of the safety review (ACRS Review of Advanced SER with 07/31/2017 No Open Items).

Complete Phase 6 of the safety review (Final SER with No Open Items). TBD18 2-7 Advanced Nuclear Reactor Technologies The NRC is actively preparing for the review of non-light-water-reactor (non-LWR) designs, consistent with the staffs vision and strategy. The vision and strategy has three objectives:

(1) enhancing technical readiness, (2) optimizing regulatory readiness, and (3) optimizing communication. The NRC staff has identified specific activities that it plans to conduct in the near-term (0-5 years), mid-term (5-10 years), and long-term (beyond 10 years) timeframes to achieve non-LWR safety review readiness.

The NRCs public Web site lists the open and resolved technical and policy issues related to SMRs and non-LWRs and is updated periodically to show the status of the issues (https://www.nrc.gov/reactors/new-reactors/smr.html#techPolicyIssues). The NRC holds periodic stakeholder meetings to discuss non-LWR topics of interest. A list of the meetings that the NRC has conducted to date can be found on the NRCs public Web site (https://www.nrc.gov/reactors/new-reactors/advanced.html#stakeholder).

Activities Planned and Completed for the Reporting Period (Q2 FY 2020)

Projected Advanced Nuclear Reactor Technologies Activities Completion Date Completion Date Issue Annual Advanced Reactor Program SECY-20-0010, Advanced Reactor Program Status 02/15/20 01/30/20 (ADAMS Accession No. ML19331A034).

Issue final reports on the NRCs non-LWR analytical 03/27/20 01/30/20 code strategy (ADAMS Accession No. ML20030A171).

Complete scoping evaluation of non-LWR source term and release mitigation (See Sandia National Laboratory (SNL) report Simplified Approach for Scoping 01/30/20 01/30/20 Assessment of Non-LWR Source Terms, (ADAMS Accession No. ML20052D133)

Host a public meeting on Generic Environmental Impact Statement (GEIS) workshop for advanced reactors 01/31/20 01/31/20 (ADAMS Accession No. ML19347A733).

17 The original projected date of June 23, 2020, has been updated to reflect staff review of NuScales design changes.

18 The projected date will be reassessed to determine whether the Phase 6 milestone can be maintained after receiving NuScales design changes.

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Projected Advanced Nuclear Reactor Technologies Activities Completion Date Completion Date Complete evaluation of technical and regulatory issues associated with micro-reactor licensing (see Brookhaven National Laboratory report Regulatory Review of Micro- 02/05/20 02/05/20 Reactors - Initial Considerations, (ADAMS Accession No. ML20044E249)

Hold a public meeting on non-LWR topics (ADAMS 02/28/20 02/20/20 Accession No. ML20050E155).

Complete exploratory process regarding and begin preparation of advanced reactor GEIS (SECY-20-0020, Results of Exploratory Process for Developing a 02/28/20 02/28/20 Generic Environmental Impact Statement for the Construction and Operation of Advanced Nuclear Reactors, (ADAMS Accession No. ML20052D175)).

Participate in a meeting of the Advanced Reactor Technologies and SMR Subcommittee under the NRC-03/31/20 03/12/20 Canadian Nuclear Safety Commission memorandum of cooperation.

Complete assessment of material control and accounting program features and measures for a pebble bed reactor (See Oakridge National Laboratory (ORNL) report 03/31/20 03/31/20 Model Materials Controls and Accounting Plan for Pebble Bed Reactors, (ADAMS Accession No. ML20112F355)).

Projected Activities for the Next Two Quarters (Q3 and Q4 FY 2020)

Projected Projected Advanced Nuclear Reactor Technologies Activities Completion Date Complete draft safety evaluation (SE) for Tristructural Isotropic (TRISO) 04/30/20 topical report to support ACRS meeting.

Issue draft technology-inclusive, risk-informed, and performance-based 04/30/20 design review guide for I&C for advanced reactors.

Issue rulemaking plan for technology-inclusive regulatory framework for 04/30/20 optional use by applicants for new commercial advanced reactor licenses.

Publish emergency preparedness (EP) for SMRs and other new technologies 05/30/2019 proposed rule.

Develop proposed policy on population-related siting considerations for 05/30/20 advanced reactors and issue SECY paper for Commission consideration.

Issue SECY paper on micro-reactors. The SECY paper will discuss potential 07/30/20 licensing and policy issues specific to micro-reactors.

Develop report on technical and licensing considerations for micro-reactors 08/31/20 by SNL.

Issue report on non-LWR source terms guidance in "Risk-Informed, 09/30/20 Performance-Based, Technology-Inclusive Regulatory Infrastructure:

19 Publication of the EP rule has been delayed from the original projected date of March 31, 2020, to allow sequencing of the Office of Management and Budget clearance review for rulemakings impacting 10 CFR Part 50.

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Projected Projected Advanced Nuclear Reactor Technologies Activities Completion Date Technology-Inclusive Determination of Mechanistic Source Terms for Offsite Dose-Related Assessments for Advanced Nuclear Reactor Facilities" prepared by Idaho National Laboratory (INL).

Develop guidance for the assessment of tritium and strategies for its detection and control in molten salt reactors (MSRs) and fluoride salt-cooled 09/30/20 high temperature reactors (FHRs) prepared by Argonne National Laboratory (ANL).

Develop guidance on fuel qualification criteria for MSRs by ORNL. 09/30/20 Issue four technical input reports for NRCs review of ASME Section III Division 5 by Pacific Northwest National Laboratory (PNNL), ORNL, ANL, and 09/30/20 NUMARK.

Develop report on remote and autonomous operations of advanced reactors 09/30/20 by SNL.

Issue Final RG 1.233, Guidance for a Technology-Inclusive, Risk-Informed, and Performance-Based Methodology To Inform the Licensing Basis and 09/30/20 Content of Applications for Licenses, Certifications, and Approvals for Non-Light- Water Reactors.

2-8 Oklo Power LLC (Oklo) Combined Operating License Application for the Aurora Compact Fast Reactor The NRC began pre-application discussions with Oklo in November 2016 on an advanced reactor design that uses liquid metal for heat transport. The proposed Aurora design would use heat pipes to transport heat from the reactor core to a power conversion system, which then would be used to generate electricity. On March 11, 2020, Oklo submitted a combined license (COL) application for the Aurora reactor to the NRC (ADAMS Accession No. ML20075A000).

The NRC staff is currently performing a review to determine the acceptability for docketing the application and proceeding with the safety and environmental reviews. As part of the acceptance review, the staff is conducting a virtual audit (ADAMS Accession No. ML20079L202). The NRC staff will audit the supporting information for the application to ensure sufficient information is presented to support the custom COL application and that the information provides the level of detail necessary for the staff to conduct an efficient and risk-informed review. If the Aurora application is accepted for docketing, the staff will establish a detailed review schedule, including interim milestones and a proposed level of resources needed to complete the reviews. Once accepted, the staff will initiate a detailed technical review of safety and environmental aspects. The detailed review would include at least one public meeting and possibly additional audits within the next two quarters.

Activities Planned and Completed for the Reporting Period (Q2 FY 2020)

Projected Oklo Combined Operating License Review Activities Completion Date Completion Date There were no activities planned during the reporting N/A N/A period.

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Projected Activities for the Next Two Quarters (Q3 and Q4 FY 2020)

Projected Oklo Combined Operating License Review Activities Completion Date Complete audit of application supporting information.20 05/22/20 Determination on acceptability for docketing of the Oklo combined license 06/05/20 application for the Aurora reactor.

2-9 Reactor Oversight Process The NRC developed the ROP as a risk-informed, performance-based oversight program. The staff developed recommendations to enhance the ROP in 2019. 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 staff continues to assess and improve the ROP as part of its normal work practices through the NRCs Transformation activities, stakeholder correspondence, feedback from ROP public meetings, and the annual ROP self-assessment program.

Activities Planned and Completed for the Reporting Period (Q2 FY 2020)

Projected Reactor Oversight Process Activities Completion Date Completion Date Issue revised Inspection Procedure (IP) 71111.12 to provide additional guidance for oversight of risk-informed 01/31/20 01/07/20 initiatives (ADAMS Accession No. ML19353C418).

Issue revisions to IP 71124, Radiation Safety - Public and Occupational (ADAMS Accession No. 04/30/20 03/04/20 ML17286A597).

Issue revisions21 to Inspection Manual Chapter (IMC) 0609, Significance Determination Process and IMC 0609, Appendix H, Containment Integrity Significance 04/30/20 03/23/20 Determination Process (ADAMS Accession Nos.

ML20013D868 and ML20078L336).

Issue revised IMC 2515, Appendix E - ROP Oversight during Pandemics, Epidemics, or Other Widespread 03/27/20 03/27/20 Illnesses or Diseases (ADAMS Accession No. ML20079E700).

20 As part of the acceptance review, the staff is conducting a virtual audit (ADAMS Accession No. ML20079L202).

The NRC staff will audit the supporting information for the application to ensure sufficient information is presented to support the custom COL application and that the information provides the level of detail necessary for the staff to conduct an efficient and risk-informed review.

21 These revised documents incorporate new guidance for inspecting the AP1000 reactor design.

15

Projected Activities for the Next Two Quarters (Q3 and Q4 FY 2020)

Projected Projected Reactor Oversight Process Activities Completion Date Define the problem statement and revise the charter for a comprehensive 04/30/2022 review of problem identification and resolution inspection program.

Complete effectiveness review of the cross-cutting issues process and issue 06/30/2023 report.

Complete comprehensive review of problem identification and resolution 09/30/20 program.

2-10 Backfit 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 increased protection warrants the direct and indirect costs of implementation. There are similar requirements, referred to as issue finality, that apply when there are new or amended requirements for licenses, permits, and design certifications issued under 10 CFR Part 52. The Commission recently clarified its backfitting and issue finality policy as well as its policy on forward fits, requirements imposed as a condition of agency approval of a licensee request, in NRC Management Directive 8.4, Management of Backfitting, Forward Fitting, Issue Finality, and Information Requests.

Activities Planned and Completed for the Reporting Period (Q2 FY 2020)

Projected Backfit Activities Completion Date Completion Date Conform NUREG/BR-0058, Revision 5, Regulatory Analysis Guidelines of the U.S. NRC, to MD 8.4 and 01/28/20 01/28/20 provide to the Commission for review and approval.

Provide draft NUREG-1409, Revision 1 to the Commission for information prior to issuing it for public 02/28/2024 03/03/20 comment (ADAMS Accession No. ML18109A498).

Publish notice of availability of draft NUREG-1409, 03/31/20 03/23/2025 Revision 1 in the Federal Register for public comment.

22 The projected completion date was previously scheduled for March 31, 2020. The activity has been delayed due to more pressing Office of Nuclear Reactor Regulation (NRR) priorities, including addressing a range of emerging issues during the COVID-19 PHE.

23 Completion of the effectiveness review was previously scheduled for October 31, 2019, to be followed by the issuance of the report on December 31, 2019. These completion dates were delayed to provide the opportunity for questions and feedback on the preliminary conclusions from the effectiveness review and potential recommended program adjustments during a public meeting on January 10, 2020.

24 This activity, previously scheduled for completion on December 31, 2019, was delayed to incorporate lessons learned into draft NUREG-1409.

25 In recognition of the impacts of the COVID-19 PHE, the NRC is issuing another notice extending the due date for public comments from May 22, 2020 to July 22, 2020.

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Projected Activities for the Next Two Quarters (Q3 and Q4 FY 2020)

Projected Projected Backfit Activities Completion Date Hold a public meeting or teleconference to discuss the contents of draft 05/29/2026 NUREG-1409, Revision 1 with stakeholders.

2-11 Risk-Informed Activities The NRC staff has made substantial progress to advance the use of risk insights more broadly to inform decisionmaking. There are numerous activities ranging in scope from agencywide initiatives, such as the Be riskSMART transformation initiative mentioned in section 2-1, to the advanced reactor risk-informed activities listed in section 2-7 of this enclosure, to individual undertakings in program and corporate offices.27 Specifically, the staff developed the agencywide Be riskSMART risk-informed decisionmaking framework and illustrated its applicability throughout the agency in the technical, legal, and corporate arenas. As part of the Be riskSMART initiative, the staff is tracking its use of risk-informed decisionmaking.

Activities Planned and Completed for the Reporting Period (Q2 FY 2020)

Projected Risk-Informed Activities Completion Date Completion Date Brief ACRS Subcommittee on Reliability and Probabilistic Risk Assessment on the draft revision to RG 1.200, An Approach for Determining the Technical 02/05/20 02/05/20 Adequacy of Probabilistic Risk Assessment Results for Risk-Informed Activities.

Issue a major revision to IMC 2800, Materials Inspection Program on March 3, 2020 (ADAMS Accession No. ML20062A002). The changes to IMC 03/31/20 03/03/20 2800 enhance the efficiency and effectiveness of the materials inspection program and further risk-inform this program.

Issue the recommendations on building a smarter fuel cycle inspection program (ADAMS Accession Nos. 03/31/20 03/18/20 ML20073G659 and ML20077L247).

Decision on the recommendations made by the Independent Spent Fuel Storage Installations Inspection Program working group to implement a more reliable, 03/31/20 03/19/20 risk-informed, comprehensive, and consistent approach to inspections that focuses on the most risk-significant activities (ADAMS Accession No. ML20079E064).

26 The meeting was held on April 28, 2020, which will be reflected in next quarters report.

27 The NRC maintains a listing of risk-informed activities that is updated annually at https://www.nrc.gov/about-nrc/regulatory/risk-informed/rpp.html.

17

Projected Activities for the Next Two Quarters (Q3 and Q4 FY 2020)

Projected Projected Risk-Informed Activities Completion Date Issue the recommendations on building smarter fuel cycle licensing 04/30/20 programs.

Conduct stakeholder meeting on proposed new Risk-Informed Process for Exemptions (RIPE) initiative. RIPE leverages current regulations and risk initiatives to allow reactor licensees to justify plant-specific exemptions using 05/31/20 a streamlined NRC review process. This process can be used to address compliance issues that have minimal safety impact and are of low safety significance.

Complete initial outreach to each major program office on the Be riskSMART risk-informed decisionmaking framework using examples specific to each 06/30/20 major functional area (technical, legal, corporate) including subsequent license renewal, security, fee billing, and inspection.

Publish Draft Revision 3 to RG 1.200, An Approach for Determining the Technical Adequacy of Probabilistic Risk Assessment Results for Risk- 06/30/20 Informed Activities for public comment.

Issue revised NRR Instruction LIC-206, Integrated Risk-Informed Decision- 06/30/20 Making for Licensing Reviews.

Implement the recommendations on building smarter fuel cycle licensing 09/30/20 programs.

Document the Be riskSMART risk-informed decisionmaking framework in 09/30/20 agency guidance.

Modify risk-informed decisionmaking curriculum to incorporate the Be 09/30/20 riskSMART framework.

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 2017 CY 2018 CY 2019 CY 2020 (YTD)

Findings Nationally Total 560 478 440 1128 Green 126 107 95 3 White 2 1 0 0 RI Yellow 0 0 0 0 Red 0 0 0 0 Greater than 0 0 0 0 green Security 28 The inspection reports for the first quarter of CY 2020 will continue to be finalized through May 15, 2020. The report for the next reporting period will be updated to include any additional findings from the first quarter of CY 2020.

18

Number of Location CY 2017 CY 2018 CY 2019 CY 2020 (YTD)

Findings Total 128 108 95 3 No. of units operating 25 25 2429 2230 during the CY Green 119 113 109 1 White 3 0 1 1 RII Yellow 0 0 0 0 Red 0 0 0 0 Greater than 2 0 0 1 green Security Total 124 113 110 3 No. of units operating 33 33 33 33 during the CY Green 133 110 97 3 White 4 2 1 0 RIII Yellow 0 0 0 0 Red 0 0 0 0 Greater than 0 0 0 0 green Security Total 137 112 98 3 No. of units operating 23 23 23 23 during the CY Green 167 145 137 2 White 2 0 0 0 RIV Yellow 0 0 0 0 Red 0 0 0 0 Greater than 2 0 0 0 green Security Total 171 145 137 2 No. of units operating 18 18 18 18 during the CY 29 The reduction of one unit from CY 2019 reflects the permanent shutdown of Oyster Creek on September 17, 2018.

30 The reduction of two units for CY 2020 reflects the permanent shutdown of Pilgrim Nuclear Station on May 31, 2019, and Three Mile Island, Unit 1, on September 20, 2019.

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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. The total inventory of licensing actions is the number open at the end of the quarter.

Operating Reactors Percentage of Licensing Percentage of Licensing Licensing Actions Licensing Actions Actions Completed Actions Reporting Total Initiated Completed During the Completed Period Inventory During the Prior to the Reporting Prior to the Reporting Generic Period Established Period Milestone Schedule32 Schedule31 Q3 FY 2019 204 67 83 100% 95%

Q4 FY 2019 160 72 120 100% 96%

Q1 FY 2020 170 40 37 100% 89%

Q2 FY 2020 173 96 82 100% 94%

New Reactors Percentage Percentage of Licensing Licensing of Licensing Licensing Actions Actions Actions Actions Reporting Total Initiated Completed Completed Completed Period Inventory During the During the Prior to the Prior to the Reporting Reporting Generic Established Period Period Milestone Schedule Schedule Q3 FY 2019 9 0 4 100% 100%

Q4 FY 2019 7 0 2 100% 100%

Q1 FY 2020 5 2 0 N/A N/A Q2 FY 2020 3 0 1 100% 100%

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

32 The established scheduled is the schedule communicated to the licensee and made publicly available at the completion of the acceptance review.

20

Fuel Facilities Percentage Percentage of Licensing of Licensing Licensing Licensing Actions actions Actions Actions Reporting Total Completed in Completed Initiated in Completed period Inventory the Prior to the the Reporting Prior to the Reporting Generic Period Established Period Milestone Schedule Schedule Q3 FY 2019 1 1 3 100% 100%

Q4 FY 2019 4 3 0 N/A N/A Q1 FY 2020 6 4 2 100% 100%

Q2 FY 2020 5 3 4 100% 100%

3-3 License Amendment Request Reviews The tables below provide the status of license amendment requests (LARs) organized by licensing program. Consistent with Section 102(c) of NEIMA, the LARs referenced in this section include requested activities of the Commission for which the NRC staff issue a final safety evaluation. The total inventory is the number of open LARs at the end of the quarter.

LARs 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).

Operating Reactors Reporting Total LARs LAR Percentage Percentage of Period Inventory Submitted Reviews of LAR LAR Reviews During the Completed Reviews Completed Prior Reporting During the Completed to the Period Reporting Prior to the Established Period Generic Schedule34 Milestone Schedule33 Q3 FY 2019 394 140 89 100% 71%

Q4 FY 2019 400 129 123 100% 86%

Q1 FY 2020 400 97 122 100% 92%

Q2 FY2020 367 84 115 100% 91%

33 Excludes unusually complex and Fukushima-related license amendment requests accepted or initiated prior to July 13, 2019 (consistent with previous monthly reports).

34 The established scheduled is the schedule communicated to the licensee and made publicly available at the completion of the acceptance review.

21

New Reactors Reporting Total LARs LAR Percentage Percentage of Period Inventory Submitted Reviews of LAR LAR Reviews During the Completed Reviews Completed Prior Reporting During the Completed to the Period Reporting Prior to the Established Period Generic Schedule Milestone Schedule Q3 FY 2019 8 5 6 100% 100%

Q4 FY 2019 14 8 2 100% 100%

Q1 FY 2020 12 4 6 100% 100%

Q2 FY 2020 6 2 8 100% 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 Q3 FY 2019 8 3 3 100% 100%

Q4 FY 2019 6 1 3 100% 100%

Q1 FY 202035 12 10 4 100% 100%

Q2 FY 2020 11 4 5 100% 100%

Unusually Complex License Amendment Requests The staff has identified certain LARs (accepted for review prior to July 13, 2019), as unusually complex. Consistent with the previous 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 reviews in a timely manner.

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

NFPA-805 reviews are HatchNational Fire Protection Association unusually complex due to 21 (NFPA) 805 Review. the nature of the subject matter.

35 Corrected numbers reflect cases that were received during the reporting period but entered in the tracking system after the previous report was issued.

22

Exclusion Age Unusually Complex LAR Description Justification (Months)

HatchAdopt 10 CFR 50.69, Risk-Informed This review is tied to the Categorization and Treatment of Structures, review of the Hatch NFPA 20 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 19 Analytical Methodologies. methodologies.

Involves multiple plant Surry Units 1 and 2Revision of Analytical specific SBLOCA 19 Methodologies for SBLOCA.

methodologies.

Involves a risk-informed Watts Bar Nuclear Plant, Units 1 and 2, Request to review of the licensees 1436 Adopt the Requirements of 10 CFR 50.69. seismic probabilistic risk assessment.

New Reactors None Fuel Facilities None 3-4 Research Activities37 Summary of New Research Projects During the reporting period, the Office of Nuclear Regulatory Research initiated research on or substantially revised the following projects:

Requesting Estimate of Name of New or Estimated Business Research Description Revised Project Completion Line Resources Evaluating the Operating 5 years 2.5 FTE and This research is used by Reliability of Reactors $1.5M the NRC's regulatory Nondestructive offices to support Examinations of regulatory decisions Vessels and Piping associated with nondestructive examinations of new and replacement safety systems and components.

It also provides the technical basis used for 36 The Watts Bar Nuclear Plant LAR was determined to be unusually complex during the technical review.

37 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 reports).

23

Requesting Estimate of Name of New or Estimated Business Research Description Revised Project Completion Line Resources rulemaking related to the American Society of Mechanical Engineers Boiler and Pressure Vessel Code.

Environmental Operating 3 years 2.5 FTE and This research supports Materials Reactors $500K development and Degradation of maintenance of Reactor Coolant computational tools for Pressure Boundary flaw evaluation modeling of Components safety-related piping for (Codes and use in confirmatory Standards Support; assessments in licensing Flaw Evaluation actions; it also supports Tools the Joint Industry Program Development; on Fatigue and Service Crack Initiation Life Prediction of Welded Testing) Structures.

Reactor Pressure Operating 3 years 2 FTE and This research supports the Vessel Integrity Reactors $750K evaluation the integrity of Issues the reactor pressure vessel, including confirmatory assessments to ensure adherence with regulatory requirements for pressurized thermal shock, for current and long-term operations.

Safety Culture Operating 5 years 2.5 FTE This research supports Research Reactors safety culture oversight Technical Support activities in the inspection program to ensure consistency with state-of-knowledge and state-of-practice in safety culture assessment.

Summary of Completed Research Projects38 During the reporting period, Office of Nuclear Regulatory Research completed the following activities:

38 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.

24

Estimate of Name and Purpose of Duration of the Project Research Research Completed Project Project Results or Findings Resources No items in this reporting period. N/A N/A N/A 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.39 FY 2019 Part 170 Part 170 Total Part Receipts Estimated Billed in FY Fee Class 170Billed in Annual Fee Rule 2020 Q2 FY 2020 ($M)

($M)40 ($M)

Fuel Facilities $6.8 $1.6 $3.5 Generic Decommissioning $3.6 $0.8 $1.9 Materials Users41 $1.1 $0.3 $0.6 Operating Power Reactors $194.8 $41.1 $95.2 Research and Test Reactors $3.4 $0.9 $1.3 Spent Fuel Storage/Reactor

$17.8 $2.3 $5.5 Decommissioning Transportation $2.7 $0.5 $1.3 Uranium Recovery $0.5 $0.1 $0.2 Significant Ongoing Licensing Actions The following table includes a comparison of the fees billed to projected resources for the NuScale SMR design certification review, subsequent license renewal application reviews and the SHINE Medical Technologies, LLC operating license application review. The subsequent renewed licenses for Turkey Point Units 3 and 4 and Peach Bottom Units 2 and 3 were issued on December 4, 2019, and March 5, 2020, respectively.

39 In order to temporarily mitigate the financial impacts and economic disruptions to licensees caused by the COVID-19 PHE, the NRC has deferred all invoices scheduled to be issued in April, May, and June 2020 until July 22, 2020.

40 The FY 2020 Final Fee Rule estimated collections is being used until the FY 2020 Final Fee Rule is published.

41 Materials UsersBilled as flat fee applications and included in the estimates and billed.

25

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

($M)42 NuScale Power NuScale SMR Design Reactor $55.0 Certification Application Review 05200048 NuScale SMR Topical Report $66.043 NuScale Power Reviews (Only those that directly Reactor $7.9 support the design certification 99902043 review).

Turkey Point Units 3 Turkey Point Units 3 and 4 and 4 Subsequent License Renewal $5.2 $5.1 05000250/05000251 ApplicationSafety Review Turkey Point Units 3 and 4 Turkey Point Units 3 Subsequent License Renewal and 4 $3.6 $3.5 ApplicationEnvironmental 05000250/05000251 Review Peach Bottom Units 2 Peach Bottom Units 2 and 3 and 3 Subsequent License Renewal $4.3 $4.1 05000277/05000278 ApplicationSafety Review Peach Bottom Units 2 and 3 Peach Bottom Units 2 Subsequent License Renewal and 3 $1.5 $1.5 ApplicationEnvironmental 05000277/05000278 Review Surry Units 1 and 2 Subsequent Surry Units 1 and 2 License Renewal Application $4.9 $4.6 05000280/05000281 Safety Review Surry Units 1 and 2 Subsequent Surry Units 1 and 2 License Renewal Application $1.4 $1.644 05000280/05000281 Environmental Review SHINE Medical SHINE Medical Isotope Technologies, LLC Production Facility Operating 05000608 License Application Review $6.245 $1.7 Safety and Environmental Reviews 42 Projected resources are calculated based on the FTE estimates provided to applicants in the acceptance letters.

Dollar amounts are obtained by multiplying the hours estimate by $275/hour.

43 When the NuScale design certification application was submitted, the NRC staff did not 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.

44 When the Surry subsequent license renewal application was accepted for review on December 3, 2018, the NRC estimate was $6.3M. At that time, the NRC had not yet completed the review of the first subsequent license renewal application to provide a basis for comparison. The staff provided a revised estimated cost of $7.6M.

45 The projected resource estimate was provided to SHINE by letter dated April 30, 2020 (ADAMS Accession No. ML20114E315).

26

3-6 Requests for Additional Information The table below provides information on RAIs associated with licensing actions that are considered requested activities of the Commission for which the NRC staff issues a final safety evaluation, consistent with Section 102(c) of NEIMA. While Section 102(c) of NEIMA only applies to licensing actions accepted after July 13, 2019, the RAI data also include licensing actions accepted prior to July 13, 2019, to provide a complete inventory.

Total Total Inventory Number of Total Number Total Number of of Open RAIs RAIs of RAIs Type of Facility or RAIs Issued in (as of the end Responded Closed in Activity Type Reporting of reporting to in Reporting Period period) Reporting Period46 Period Operating Reactors 32747 204 132 26248 Non-Power Production and 38250 38 35 3 Utilization Facilities49 Design Certifications 4 0 0 3151 for New Reactors Early Site Permits for N/A N/A N/A N/A New Reactors52 Combined Licenses N/A N/A N/A N/A for New Reactors Fuel Facilities 14 9 10 9 Power Reactor 14 6 0 5 Decommissioning 46 RAIs are considered closed once the final safety evaluation, environmental assessment, or environmental impact statement is finalized except for RAIs associated with new reactor application reviews. Due to the phased approach taken over several years for new reactor application reviews, RAIs are closed throughout the review process once the staff has determined no additional information is needed to resolve the issue.

47 A total of 64 duplicate RAIs included in the prior quarters open inventory were subtracted from the total and are not counted as closed in this quarter. The RAIs were a duplicate entry in the staffs licensing project management system.

48 The open inventory for the prior reporting period only included RAIs for actions accepted after October 2016. An additional 33 RAIs are included in the closed inventory for licensing actions accepted prior to 2016.

49 For the purposes of RAI reporting, non-power production and utilization facilities include all operating research and test reactors and medical radioisotope facilities licensed under 10 CFR Part 50, including the ongoing review of the SHINE Medical Technologies, LLC operating license application.

50 The open inventory for the prior reporting period only included RAIs for licensing actions accepted after July 2019.

The increase from the prior reporting period for the number of open RAIs reflects inclusion of open RAIs from license renewal amendments from as early as 2012.

51 By letter dated March 3, 2020, Mitsubishi Heavy Industries LLC, requested to have the US-APWR design certification application review suspended. A total of 114 RAIs that were associated with the US-APWR application review have been removed from tracking in this table.

52 There are no early site permit applications currently 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.

27

Total Total Inventory Number of Total Number Total Number of of Open RAIs RAIs of RAIs Type of Facility or RAIs Issued in (as of the end Responded Closed in Activity Type Reporting of reporting to in Reporting Period period) Reporting Period46 Period Research and Test Reactor 10 6 0 0 Decommissioning Spent Fuel 576 76 213 28 Materials53 6 6 0 0 Pre-Application Activities for 41 14 41 0 Advanced Reactors 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 2020 Staffing by Office54 Delta End of Year Delta FTE FTE FTE FTE (EOY)55,56 FY (Q2 FTE (EOY Utilization Utilization Utilization Utilization Projection 2020 Utilization w/

Projection 12/22/19 - 02/02/20 - 03/01/20 - as of Budget - FY 2020 Personnel - FY 2020 02/01/20 02/29/20 03/28/20 03/28/20 Budget) Actions Budget)

Totals57 2979.0 321.3 212.5 212.1 1397.4 -1581.6 2809.8 -169.2 COMM 45.0 3.2 2.2 2.2 14.1 -30.9 31.5 -13.5 OIG 63.0 6.5 4.1 3.9 27.7 -35.3 54.2 -8.8 Totals Other Offices 2871.0 311.5 206.3 206.0 1355.6 -1515.4 2724.2 -146.8 OCFO 96.0 10.3 7.0 6.9 45.3 -50.7 92.4 -3.6 OGC 96.0 10.5 6.8 6.9 46.2 -49.8 90.7 -5.3 OCA 11.0 1.2 0.8 0.8 5.2 -5.8 10.7 -0.3 OCAA 8.0 0.7 0.4 0.4 3.1 -4.9 6.0 -2.0 53 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.

54 Some numbers might not add due to rounding.

55 The method used to determine FTE projections has been enhanced to allow for planned actions and expected losses based on historical trends. The new method is intended to provide a more realistic and stable set of FTE projections.

56 Based on FTE utilization as of March 28, 2020.

57 Totals include Office of the Inspector General.

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FY 2020 Staffing by Office54 Delta End of Year Delta FTE FTE FTE FTE (EOY)55,56 FY (Q2 FTE (EOY Utilization Utilization Utilization Utilization Projection 2020 Utilization w/

Projection 12/22/19 - 02/02/20 - 03/01/20 - as of Budget - FY 2020 Personnel - FY 2020 02/01/20 02/29/20 03/28/20 03/28/20 Budget) Actions Budget)

OPA 15.0 1.6 1.1 1.1 7.0 -8.0 13.0 -2.0 SECY 18.0 1.8 1.2 1.2 7.7 -10.3 16.3 -1.7 OIP 35.0 3.8 2.5 2.6 16.5 -18.5 34.4 -0.6 ASLBP 24.0 2.5 1.7 1.7 11.1 -12.9 22.3 -1.7 ACRS 24.0 3.0 2.3 2.2 13.6 -10.4 27.6 3.6 OEDO 23.0 2.5 1.6 1.6 10.4 -12.6 21.3 -1.7 NRR 601.3 66.0 43.0 42.7 285.9 -315.4 566.2 -35.1 NMSS 296.2 35.5 23.7 23.8 153.7 -142.5 307.4 11.2 RES 205.4 21.4 14.2 14.2 93.3 -112.1 188.3 -17.1 NSIR 158.5 18.4 12.3 12.2 79.7 -78.9 159.9 1.4 R-I 182.3 19.6 13.0 12.8 85.2 -97.1 170.4 -11.9 R-II 235.7 25.3 16.7 16.7 109.8 -125.9 220.6 -15.1 R-III 178.9 20.1 13.0 13.0 86.4 -92.5 172.0 -6.9 R-IV 166.1 18.4 12.4 12.3 79.8 -86.3 161.4 -4.7 OE 30.6 3.4 2.3 2.3 15.1 -15.5 30.0 -0.6 OI 38.0 4.6 3.1 3.1 20.2 -17.8 39.1 1.1 OCIO 171.0 17.3 11.4 11.6 76.0 -95.0 155.1 -15.9 ADM 131.0 13.0 8.6 8.8 57.0 -74.0 116.4 -14.6 SBCR 13.0 1.2 0.8 0.8 5.2 -7.8 11.7 -1.3 OCHCO 112.0 9.2 6.1 6.0 41.0 -71.0 88.2 -23.8 CSU 1.0 0.2 0.2 0.2 1.2 0.2 2.7 1.7 3-8 Inspection Activities The table below shows the average number of hours of direct inspection per plant in FY 2020.

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 No Plants in No Plants in 370 Hours 375 Hours 281 Hours58 Column 3 Column 4 The table below shows the staff hours expended for inspection-related effort at operating power reactor sites by calendar year.

58 Browns Ferry Nuclear Plant (three-unit boiling water reactor site) and Vogtle Electric Generating Plant (two-unit pressurized water reactor site) were in Column 2 of the ROP Action Matrix for the first quarter of CY 2020 as of March 31, 2020.

29

CY 2020 Items Description CY 2019 (Hours) (YTD)

(Hours)

i. Baseline Inspection 235,718 49,275 ii. Plant-specific inspections 9,096 2,298 iii. Generic safety issue inspections 3,200 411 iv. Performance Assessment 1,532 383

v. Other Activities 98,614 22,428 vi. Total staff effort 348,160 74,795 vii. Total staff effort per operating site 6,00359 1,31260 3-9 Backfit Facility-Specific Backfits61 There were no facility-specific backfits issued during the reporting period.

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

Backfit Appeals Filed by Licensees and Applicants There were no backfit appeals submitted to the NRC during the reporting period.

59 Total staff effort is divided by 58 sites for CY 2019, due to Pilgrim Nuclear Station permanently ceasing operations on May 31, 2019. Because Three Mile Island, Unit 1, operated for the majority of CY 2019, it is included as an operating site. This is a correction from the previous report.

60 Total staff effort is divided by 57 sites for CY 2020, due to Three Mile Island, Unit 1, permanently ceasing operations on September 20, 2019.

61 By letter dated October 16, 2019, the licensee for the R.E. Ginna Nuclear Power Plant, Exelon Generation, contested a violation on the basis that it constituted unjustified backfitting. By letter dated November 27, 2019, the licensee requested that the NRC disposition its claim that it meets its licensing basis under the NRCs enforcement process for contested violations rather than through the backfit appeal process. By letter dated April 16, 2020 (ADAMS Accession No. ML20107F834), the NRC withdrew the violation. The NRC is incorporating lessons learned from this action into its inspection and backfitting guidance.

30