[Federal Register Volume 66, Number 178 (Thursday, September 13, 2001)]
[Notices]
[Pages 47700-47708]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-22867]
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NUCLEAR REGULATORY COMMISSION
Proposed Generic Communication; Resolution of Degraded and
Nonconforming Conditions; (``Generic Letter 91-18 Process'')--(MB2530)
AGENCY: Nuclear Regulatory Commission.
ACTION: Notice of opportunity for public comment.
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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is proposing to
issue a regulatory issue summary (RIS) to make available to the nuclear
power industry updated staff guidance on the resolution of degraded and
nonconforming conditions. Earlier guidance on this subject was provided
to the industry as an attachment to Generic Letter 91-18, Revision 1,
issued on October 8, 1997. The updated guidance will reflect relevant
NRC regulatory process and regulation changes that have occurred since
1997. The NRC is seeking comment from interested parties on the clarity
and utility of the proposed RIS and the draft updated guidance under
the Supplementary Information heading. The NRC will consider the
comments received in its final evaluation of the proposed RIS and
updated guidance. Comments should address the contents of the guidance
but not the regulations associated with it.
This Federal Register notice is available through the NRC's
document management system (ADAMS) under accession number ML012420393.
The draft updated guidance under the Supplementary Information heading
is also provided in comparative text format on the NRC Web site at
http://www.nrc.gov/NRC/GENACT/GC/RI/
[[Page 47701]]
DRAFT/index.html to better show the substantive revisions to the 1997
version of the guidance.
DATES: Comment period expires October 29, 2001. Comments submitted
after this date will be considered if it is practical to do so, but
assurance of consideration cannot be given except for comments received
on or before this date.
ADDRESSEES: Submit written comments to the Chief, Rules and Directives
Branch, Division of Administrative Services, Office of Administration,
U.S. Nuclear Regulatory Commission, Mail Stop T6-D59, Washington, DC
20555-0001, and cite the publication date and page number of this
Federal Register notice. Written comments may also be delivered to NRC
Headquarters, 11545 Rockville Pike (Room T-6D59), Rockville, Maryland,
between 7:30 am and 4:15 pm on Federal workdays.
FOR FURTHER INFORMATION, CONTACT: Eileen McKenna at (301) 415-2189 or
by e-mail to [email protected].
SUPPLEMENTARY INFORMATION:
NRC Regulatory Issue Summary 2001-xx Resolution of Degraded and
Nonconforming Conditions ``Generic Letter 91-18 Process''
Addressees
All holders of operating licenses for nuclear power reactors,
including those who have permanently ceased operations and have
certified that fuel has been permanently removed from the reactor
vessel, and all holders of operating licenses for nonpower reactors,
including those whose licenses no longer authorize operation.
Intent
The U.S. Nuclear Regulatory Commission (NRC) is issuing this
regulatory issue summary (RIS) to inform licensees that NRC Inspection
Manual Part 9900, Technical Guidance, ``Resolution of Degraded and
Nonconforming Conditions,'' has been revised. The revised inspection
guidance reflects relevant changes that have been made to NRC
regulations and NRC policies and practices since 1997. This RIS
requires no action or written response on the part of an addressee.
Background Information
NRC staff inspection guidance on the resolution of degraded and
nonconforming conditions at licensed reactor facilities is contained in
NRC Inspection Manual Part 9900, Technical Guidance, ``Resolution of
Degraded and Nonconforming Conditions.'' This guidance has previously
been provided to licensees for information, most recently in Revision 1
of Generic Letter (GL) 91-18, which was issued on October 8, 1997.
The NRC reviewed this inspection guidance to assess its currency
and concluded that the guidance needed to be updated to reflect
regulatory changes that have occurred since 1997, including the
implementation of the revised reactor oversight process, the
requirement that licensees appropriately assess and manage the increase
in risk related to proposed maintenance activities (10 CFR
50.65(a)(4)), and the revision of 10 CFR 50.59 to remove ambiguity in
the change control process. The attachment to this RIS contains the
revised Part 9900 section on the resolution of degraded and
nonconforming conditions. This guidance supersedes in its entirety the
guidance previously provided in Revision 1 of GL 91-18. The Part 9900
guidance on operability that was originally provided in GL 91-18 has
not been revised.
Summary of Issue
NRC Inspection Manual, Part 9900, Technical Guidance, ``Resolution
of Degraded and Nonconforming Conditions,'' provides guidance to NRC
inspectors for reviewing the actions of licensees to restore or
establish acceptable conditions following the discovery of degraded or
nonconforming conditions in plant structures, systems, or components
(SSCs). The governing NRC requirements for degraded or nonconforming
conditions affecting the SSCs may collectively be viewed as a process
for licensees to develop a basis for continued operation or to place
the facility in a safe condition and take prompt corrective action.
This process has not fundamentally changed from that outlined in the
previous version of the Part 9900 guidance on resolution of degraded or
nonconforming conditions. The attached revised Part 9900 guidance
addresses related guidance and requirements for resolution of degraded
and nonconforming conditions, and updates information that has changed
as a result of changes to regulations or to NRC policies and
procedures.
Backfit Discussion
This RIS requires no action or written response and, therefore, is
not a backfit under 10 CFR 50.109. Consequently, the staff did not
perform a backfit analysis.
Federal Register Notification
A notice of opportunity for public comment was published in the
Federal Register on September xx, 2001 (66 FR xxxxx), to give
interested parties an opportunity to suggest ways for improving the
guidance. The staff concludes that this RIS and the attached NRC
inspection guidance are informational and pertain to a staff position
that does not represent a departure from current regulatory
requirements and practice.
Paperwork Reduction Act Statement
This RIS does not request any information collection.
Please refer any questions that you may have about this matter to
the technical contact identified below.
David B. Matthews,
Director, Division of Regulatory Improvement Programs, Office of
Nuclear Reactor Regulation.
Technical Contact: Eileen McKenna, NRR, 301-415-2189, E-mail:
[email protected].
Attachments:
1. NRC Inspection Manual Part 9900, Technical Guidance,
``Resolution of Degraded and Nonconforming Conditions''
2. List of Recently Issued NRC Regulatory Issue Summaries
Attachment 1
NRC Inspection Manual
Part 9900: Technical Guidance
Resolution of Degraded and Nonconforming Conditions
Draft--August 2001
Resolution of Degraded and Nonconforming Conditions
Table of Contents
Page
1.0 Purpose and Scope........................................... 1
2.0 Definitions................................................. 2
2.1 Licensing Basis........................................... 2
2.2 Design Basis.............................................. 2
2.3 Degraded Condition........................................ 2
2.4 Nonconforming Condition................................... 2
2.5 Full Qualification........................................ 3
2.6 Operable/Operability...................................... 3
3.0 Background.................................................. 3
4.0 Discussion of Notable Provisions............................ 3
4.1 Public Health and Safety.................................. 3
4.2 Operability Determinations................................ 3
4.3 The Licensing Basis and 10 CFR part 50, appendix B........ 4
4.4 Discovery of an Existing but Previously Unanalyzed 4
Condition or Accident.........................................
4.5 Establishing a Basis for Continued Operation.............. 5
4.6 Justification for Continued Operation..................... 5
4.7 Reasonable Assurance of Safety............................ 7
4.8 Evaluation of Compensatory Measures....................... 7
4.9 Maintenance Activities.................................... 8
4.10 Final Corrective Action.................................. 8
5.0 Enforcement................................................. 10
6.0 Reference................................................... 10
[[Page 47702]]
Resolution of Degraded and Nonconforming Conditions
1.0 Purpose and Scope
To provide guidance to NRC inspectors on resolution of degraded
and nonconforming conditions affecting the following systems,
structures, or components (SSCs) normally described in the updated
final safety analysis report (UFSAR):
(i) Safety-related SSCs, which are those relied upon to remain
functional during and following design basis events (a) to ensure
the integrity of the reactor coolant pressure boundary, (b) to
ensure the capability to shut down the reactor and maintain it in a
safe shutdown condition, or (c) to ensure the capability to prevent
or mitigate the consequences of accidents that could result in
potential offsite exposures comparable to the 10 CFR part 100
guidelines. Design basis events are defined the same as in 10 CFR
50.49(b)(1).
(ii) All SSCs whose failure could prevent satisfactory
accomplishment of any of the required functions identified in (i)
(a), (b), and (c).
(iii) All SSCs relied on in the safety analyses or plant
evaluations that are a part of the plant's licensing basis. These
analyses and evaluations include those submitted to support license
amendment requests, exemption requests, or relief requests, and
those submitted to demonstrate compliance with the Commission's
regulations, such as the regulations for fire protection (10 CFR
50.48), environmental qualification (10 CFR 50.49), pressurized
thermal shock (10 CFR 50.61), anticipated transients without scram
(10 CFR 50.62), and station blackout (10 CFR 50.63).
(iv) Any SSCs subject to 10 CFR part 50, appendix B.
(v) Any SSCs subject to 10 CFR part 50, appendix A, criterion 1.
(vi) Any SSCs explicitly subject to facility Technical
Specifications (TS).
(vii) Any SSCs subject to facility TS through the definition of
operability (i.e., support SSCs outside TS).
This guidance is intended for NRC inspectors who are reviewing
actions of licensees that hold an operating license. Although this
guidance generally reflects existing staff practices, application to
specific plants may constitute a backfit. Consequently, significant
differences in licensee practices should be discussed with NRC
management to ensure that the guidance is applied in a reasonable
and consistent manner for all licensees.
If, during an inspection, an NRC inspector obtains information
reasonably indicating a possible degraded or nonconforming condition
affecting any of the SSCs listed above, the inspector should
promptly inform the licensee so the licensee can promptly evaluate
the SSC's status.
This guidance is only applicable to the discovery of degraded or
nonconforming conditions. In some instances, however, a licensee may
find it necessary to take actions that reduce the functional
capability of SSCs in order to perform maintenance. For these cases,
applicable guidance on the conduct of the pre-maintenance risk
assessment and the management of the increase in risk caused by the
maintenance activities (including the relationship with TS, risk
assessment in accordance with 10 CFR 50.65(a)(4), and compensatory
measures) is contained in Regulatory Guide 1.182 (see also
Inspection Manual Part 9900, ``Guidance on Voluntary Entry Into
Limiting Conditions for Operation Action Statements To Perform
Preventive Maintenance'').
2.0 Definitions
2.1 Licensing Basis
The licensing basis comprises the set of NRC requirements
applicable to a specific plant, and a licensee's written commitments
for assuring compliance with and operation within applicable NRC
requirements and the plant-specific design basis (including all
docketed and still effective modifications and additions to such
commitments over the life of the license). The licensing basis
includes the NRC regulations contained in 10 CFR parts 2, 19, 20,
21, 30, 40, 50, 51, 55, 72, 73, and 100 and the appendices thereto;
orders; license conditions; exemptions; and TS. It also includes the
plant-specific design basis information defined in 10 CFR 50.2 and
documented in the most recent UFSAR (as required by 10 CFR 50.71)
and the licensee's commitments remaining in effect that were made in
docketed licensing correspondence such as licensee responses to NRC
bulletins, generic letters, and enforcement actions, as well as
licensee commitments documented in NRC safety evaluations and
licensee event reports.
2.2 Design Basis
Design basis is that body of plant-specific design basis
information defined in 10 CFR 50.2.\1\
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\1\ Guidance and examples for identifying 10 CFR 50.2 design
bases are contained in Regulatory Guide 1.186, which endorses
Appendix B to the Nuclear Energy Institute (NEI) document NEI 97-04,
``Guidance and Examples for Identifying 10 CFR 50.2 Design Bases.''
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2.3 Degraded Condition
A condition of an SSC, potentially affecting operability, in
which quality or functional capability has been reduced by
mechanisms such as aging, erosion, corrosion, or improper operation
or maintenance.
2.4 Nonconforming Condition
A condition of an SSC, potentially affecting operability, that
involves a failure to meet requirements or licensee commitments
because of such factors as improper design, testing, construction,
or modification. The following are examples of nonconforming
conditions:
1. A condition fails to conform to one or more applicable codes
or standards specified in the UFSAR.
2. As-built equipment or as-modified equipment does not meet
UFSAR descriptions.
3. Operating experience or engineering reviews demonstrate a
design inadequacy.
4. Documentation required by NRC requirements such as 10 CFR
50.49 is unavailable or deficient.
2.5 Full Qualification
Full qualification is conformance to all aspects of the
licensing basis, including codes and standards, design criteria,
safety analyses, and commitments.
2.6 Operable/Operability
The Standard Technical Specifications define operable or
operability as follows:
A system, subsystem, train, component, or device shall be operable
or have operability when it is capable of performing its specified
functions and when all necessary attendant instrumentation,
controls, electrical power, cooling or seal water, lubrication or
other auxiliary equipment that are required for the system,
subsystem, train, component, or device to perform its function(s)
are also capable of performing their related support function(s).
This definition of operable and operability specifically applies
to SSCS covered by its and to those support systems that fall within
the definition. However, the same definition may be applied
generically to all SSCs covered by this guidance when discussing
their operability (ability to perform their functions).
3.0 Background
A nuclear power plant's SSCs are designed to meet NRC
requirements, satisfy the licensing basis, and conform to specified
codes and standards. For degraded or nonconforming conditions of
these SSCs, the TS may require the licensee to take actions. The
provisions of Criterion XVI of 10 CFR Part 50, Appendix B, may
apply, requiring the licensee to promptly identify and correct
conditions adverse to safety or quality. Collectively, these
requirements may be viewed as a process for licensees to develop a
basis to continue operation or to place the plant in a safe
condition and take prompt corrective action. Reporting may also be
required in accordance with 10 CFR 50.72, 50.73, and 50.9(b), 10 CFR
part 21, and the TS.
Changes to the facility in accordance with 10 CFR 50.59 may be
made as part of the corrective action required by Appendix B. The
process displayed in the attached chart, ``Resolution of Degraded
and Nonconforming Conditions,'' identifies these and other
provisions that a licensee may follow to restore or establish
acceptable conditions. These provisions are success paths that
enable licensees to continue safe operation of their facilities.
4.0 Discussion of Notable Provisions
4.1 Public Health and Safety
All success paths, whether specifically stated or not, are
directed first at ensuring public health and safety and second at
restoring the SSCs to the licensing basis of the plant as an
acceptable level of safety. Identification of a degraded or
nonconforming condition that may pose an immediate threat to public
health and safety requires the plant to be placed in a safe
condition.
Technical Specifications address the safety systems, installed
instrumentation, and process variables and provide Limiting
Conditions for Operation (LCOs), Actions,
[[Page 47703]]
Surveillance Requirements, Design Features, and Administrative
Controls required to ensure public health and safety.
4.2 Operability Determinations
NRC Inspection Manual Part 9900, ``Operable/Operability:
Ensuring the Functional Capability of a System or Component,''
provides guidance on licensee responsibilities to assess whether
systems or components continue to be operable when degraded or
nonconforming conditions have been identified. The basis for
continued operation (as supported by an operability determination)
is further discussed in Sections 4.5 and 4.6 below.
Other situations where operability must be assessed include the
discovery of an error in a design calculation, nonconformance with
an industry standard, or an incorrect underlying assumption for
ensuring the operability of a structure, system, or component. With
the explicit inclusion of an affected requirement in facility TS,
the introduction of any discrepancies can result in the affected
requirement being nonconservative or the inability of a licensee to
satisfy an LCO or surveillance requirement (depending upon the
nature of the issue). Guidance related to non-conservative TS is
provided in Administrative Letter 98-10, ``Dispositioning of
Technical Specifications That Are Insufficient to Assure Plant
Safety.'' If a licensee does not satisfy an LCO or surveillance
requirement that is included explicitly in the TS, then associated
actions are taken or relief is sought (see section 4.6 below).
In some cases, a design calculation or industry standard is used
to define surveillance acceptance criteria but the specifics are not
explicitly included in the TS (e.g., the TS surveillance requirement
is to verify a capability for providing power or cooling and a
reference document or the TS bases discuss the details of how this
is determined). If an error in a calculation or nonconformance with
an industry standard is found in these cases, the licensee should
assess operability. If the affected SSC is determined to be
inoperable, the TS define the appropriate actions. If, however, the
affected SSC is determined to be operable, plant operation may
continue, and the discrepancy resolved as further discussed in this
guidance.
4.3 The Licensing Basis and 10 CFR 50, Appendix B
The design and operation of a nuclear plant must be consistent
with its licensing basis. Whenever degraded or nonconforming
conditions of SSCs subject to Appendix B \2\ are identified,
Appendix B requires prompt corrective action to correct or resolve
the condition. The licensee must establish a schedule for completing
the corrective action. The timeliness of the corrective action
should be commensurate with the safety significance of the issue.
The time period within which corrective action must be completed
begins with the discovery of the condition, not when it is reported
to the NRC.
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\2\ Appendix B is only applicable to safety-related SSCs.
However, NRC expects licensees to take corrective action for any
nonconformances with the UFSAR consistent with Appendix B, Criterion
XVI, in a time frame commensurate with safety.
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In determining whether the licensee is making reasonable efforts
to complete corrective action promptly, NRC will consider whether
corrective action was taken at the first opportunity, taking into
account safety significance, effects on operability, significance of
degradation, and what is necessary to implement the corrective
action. Factors that the NRC may consider are the amount of time
required for design, review, approval, or procurement of the repair
or modification; the availability of specialized equipment to
perform the repair or modification; and whether the plant must be in
hot or cold shutdown to implement the actions. The NRC expects
licensees to explicitly justify time periods longer than the next
refueling outage in the deficiency tracking documentation.
4.4 Discovery of an Existing But Previously Unanalyzed Condition or
Accident
In the course of its activities, the licensee may discover a
previously unanalyzed condition or accident. Upon discovery of an
existing but previously unanalyzed condition or accident that
significantly degrades plant safety, the licensee is required to
report it in accordance with 10 CFR 50.72 and 50.73, and put the
plant in a safe condition. (See NUREG-1022, Revision 2, for guidance
on conditions considered to significantly degrade plant safety.)
For a previously unanalyzed condition or accident that is
considered a significant safety concern but is not part of the
design or licensing basis, the licensee may subsequently be required
to take additional action after consideration of backfit issues (see
10 CFR 50.109(a)(5)).
4.5 Establishing a Basis for Continued Operation
The license authorizes the licensee to operate the plant in
accordance with applicable regulations, license conditions, and the
TS. If an SSC is degraded or nonconforming but operable, the TS
establish an acceptable basis to continue to operate.\3\ When
safety-related equipment is affected, the licensee must promptly
identify and correct the condition adverse to safety or quality in
accordance with 10 CFR part 50, appendix B, criterion XVI.
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\3\ An exception to this general statement is the case of a
facility that is experiencing significant performance problems that
have led to issuance of a confirmatory action letter or order
preventing that licensee from continuing to operate or resuming
operation until approval is granted by the NRC.
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The basis for a licensee's authority to continue to operate
arises because the TS contain the specific characteristics and
conditions of operation necessary to avoid the possibility that an
abnormal situation or event will give rise to an immediate threat to
public health and safety. If the TS are satisfied, and required
equipment is operable, and the licensee is correcting the degraded
or nonconforming condition in a timely manner, continued plant
operation does not pose an undue risk to public health and safety.
When a licensee finds itself in noncompliance with a regulation,
immediate action such as shutting down the plant is not necessarily
required, unless otherwise specified by NRC requirements. In such
situations, the licensee should first determine if there is an
immediate safety issue as a result of the noncompliance with a
regulation. The licensee should further determine what other NRC
requirements apply to the situation (e.g., 10 CFR part 50, appendix
B, criterion XVI, or 10 CFR 50.12) and take the required action.
In developing a basis for continued operation, licensees should
consider matters such as the following:
The availability, reliability, and operability of
redundant or backup equipment
Compensatory measures, including limited reliance on
administrative controls
The safety function and the events protected against
Conservatism and margins
Probability of needing the safety function
Probabilistic risk assessment (PRA) or Individual Plant
Evaluation (IPE) results that determine how operating the facility
in the proposed manner will impact the core damage frequency or
conditional core damage probability
Plant-specific and industry experience, testing, and
research
The NRC concern with respect to a licensee's basis for continued
operation is that the operability decision be correct, the
documentation of the licensee's actions be appropriate, and any
required submittals to the NRC (see below) be complete. The
licensee's documentation of its basis for continued operation is
normally proceduralized through the existing plant record system and
is subject to NRC inspection (Inspection Procedure 71111.15).
4.6 Justification for Continued Operation
Under certain defined and limited circumstances, the licensee
may find that strict compliance with the TS or a license condition
would cause an unnecessary plant action not in the best interest of
public health and safety. NRC review and action is required before
the licensee takes actions that are not in compliance with the
license conditions or the TS, except in certain emergency situations
when 10 CFR 50.54(x) and (y) are applied. A Justification for
Continued Operation (JCO) is the licensee's technical basis for
requesting authorization from the NRC to operate in a manner that is
prohibited (e.g., outside TS or license conditions). The preparation
of a JCO does not constitute authorization to continue operation.
See Part 9900 guidance on Notices of Enforcement Discretion (NOED)
for information on the NRC process for exercising enforcement
discretion with regard to limiting conditions for operation in power
reactor TS or license conditions.
Other documents or processes that are not equivalent to and do
not perform the same function as the JCO defined above may also be
referred to as JCOs. For example, NRC generic communications may
provide direction on how to establish bases for continued operation
for specific issues, and licensees may not be required to submit
these
[[Page 47704]]
determinations to the NRC. In Generic Letter 88-07, ``Environmental
Qualification of Electrical Equipment,'' and Generic Letter 87-02,
``Seismic Adequacy,'' these determinations are referred to as
``JCOs.'' Licensees should continue to follow earlier guidance
regarding the preparation and use of these determinations for
specific issues. When reviewing licensee actions in response to a
degraded or nonconforming condition, the NRC considers the content
of the documentation, not its name.
4.7 Reasonable Assurance of Safety
For SSCs that are not expressly subject to TS and are determined
to be inoperable, the licensee should assess the reasonable
assurance of safety using considerations similar to those discussed
in Section 4.5 above. If reasonable assurance of safety exists, then
the facility may continue to operate while prompt corrective action
is taken.
4.8 Evaluation of Compensatory Measures
When evaluating the impact of a degraded or nonconforming
condition on plant operation and on the operability of SSCs, a
licensee may decide to implement a compensatory measure as an
interim step to restore operability or to otherwise enhance the
capability of SSCs until the final corrective action is completed.
This guidance concerns interim measures implemented before
maintenance to restore the condition of the SSC has begun (also see
Section 4.9 below).
Reliance on a compensatory measure for operability should be an
important consideration in establishing the ``reasonable time
frame'' for completing the corrective action process. The NRC
normally expects that conditions requiring interim compensatory
measures to demonstrate operability will be resolved more quickly
than conditions that do not require compensatory measures to show
operability, since reliance on interim measures suggests a greater
degree of degradation. Similarly, if an operability determination
relies upon operator action, NRC expects the nonconforming condition
to be resolved expeditiously.
With respect to the use of compensatory measures, the approved
regulatory guidance (Regulatory Guide 1.187, endorsing NEI 96-07,
Revision 1) for implementating the revised 10 CFR 50.59 rule states:
If an interim compensatory action is taken to address the
condition and involves a temporary procedure or facility change, 10
CFR 50.59 should be applied to the temporary change. The intent is
to determine whether the temporary change/compensatory action itself
(not the degraded condition) impacts other aspects of the facility
or procedures described in the UFSAR.
In considering whether a compensatory measure may affect other
aspects of the facility, a licensee should pay particular attention
to ancillary aspects of the compensatory measure that may result
from actions taken to directly compensate for the degraded
condition.
As an example, suppose a licensee plans to close a valve to
isolate a leak. Although that action would stop the leak, it may
affect flow distribution to other components or systems, complicate
required operator responses, or have other effects that should be
evaluated before the compensatory measure is implemented. In
accordance with 10 CFR 50.59, if the evaluation determines that
implementation of the compensatory action itself would involve a TS
change or otherwise require NRC approval under the evaluation
criteria, NRC approval, in accordance with 10 CFR 50.90 and 50.92,
is required before implementation of the compensatory action. If any
SSC would not be operable (in accordance with the TS) unless the
compensatory measure was in place, the licensee must follow the TS
requirements (see also Section 4.6 above).
4.9 Maintenance Activities
After identifying a degraded or nonconforming condition, a
licensee will typically perform corrective maintenance to restore
the facility to its as-designed condition. Paragraph 50.65(a)(4)
requires licensees to assess and manage the increase in risk that
may result from proposed maintenance activities. The conduct of
maintenance may also involve other temporary procedure or facility
alterations to allow the maintenance to be performed or to reduce
risk. Such alterations include jumpering terminals, lifting leads,
and using temporary blocks, bypasses, or scaffolding. These
temporary alterations associated with maintenance are to be assessed
as part of the 10 CFR 50.65(a)(4) risk assessment and, consistent
with NRC regulatory guidance, a separate 10 CFR 50.59 review of the
risk reduction measures is not required (except under limited
conditions; see Regulatory Guide 1.182 endorsing Section 11 of the
NEI (formerly the Nuclear Management and Resources Council (NUMARC))
document NUMARC 93-01, ``Assessment of Risk Resulting From
Performance of Maintenance Activities,'' for further information).
4.10 Final Corrective Action
The licensee is responsible for corrective action. A licensee's
range of corrective action may involve (1) full restoration to the
UFSAR-described condition such as through performance of corrective
maintenance (see Section 4.9 above), (2) NRC approval for a change
to the licensing basis to accept the as-found condition as is, or
(3) some modification of the facility other than restoration to the
condition as described in the UFSAR. If corrective action is taken
to restore the degraded or nonconforming condition, no 10 CFR 50.59
evaluation is required. The 10 CFR 50.59 process applies when the
final resolution of the degraded or nonconforming condition differs
from the established UFSAR requirement. At this point, the licensee
plans to make a change to the facility or procedures as described in
the UFSAR. The proposed change is now subject to the review process
established by 10 CFR 50.59. A change can be safe, but still require
NRC approval. The proposed final resolution may require staff review
and approval without affecting the continued operation of the plant,
because interim operation is being governed by the processes for
determining operability and taking corrective action (Appendix B).
In two situations, the identification of a final resolution or
final corrective action triggers a 10 CFR 50.59 review, unless
another regulation applies (e.g., 10 CFR 50.55a): (1) when a
licensee decides as the final corrective action to change its
facility or procedures to something other than full restoration to
the UFSAR-described condition, and (2) when a licensee decides to
change its licensing basis, as described in the UFSAR, to accept the
degraded or nonconforming condition as its revised licensing basis.
Each of these situations is discussed in greater detail below.
Change to Facility or Procedures
In the first situation, the licensee's proposed final resolution
of the degraded or nonconforming condition includes other changes to
the facility or procedures to cope with the uncorrected or only
partially corrected nonconforming condition. Rather than fully
correcting the nonconforming condition, the licensee decides to
restore capability or margin by making another change. In this case,
the licensee must evaluate the change from the UFSAR-described
condition to the final condition in which the licensee proposes to
operate its facility. If the 10 CFR 50.59 evaluation concludes that
a change to the TS is involved or the change meets any of the
evaluation criteria specified in the rule for prior NRC approval, a
license amendment must be requested, and the corrective action
process is not complete until the approval is received or some other
resolution occurs.
Change to the Licensing Basis
In the other situation the licensee proposes to change the
licensing basis to accept the as-found nonconforming condition. In
this case, the 10 CFR 50.59 review covers the change from the UFSAR-
described condition to the existing condition in which the licensee
plans to remain (i.e., the licensee will exit the corrective action
process by revising its licensing basis to document acceptance of
the condition). If the 10 CFR 50.59 evaluation concludes that a
change to the TS is involved or the change meets any of the
evaluation criteria specified in the rule for prior NRC approval, a
license amendment must be requested and the corrective action
process is not complete until the approval is received or some other
resolution occurs. To resolve the degraded or nonconforming
condition without restoring the affected equipment to its original
design, a licensee may need to obtain an exemption from 10 CFR Part
50 in accordance with 10 CFR 50.12 or relief from a design code in
accordance with 10 CFR 50.55a. The use of 10 CFR 50.59, 50.12, or
50.55a in fulfillment of Appendix B corrective action requirements
does not relieve the licensee of the responsibility to determine the
root cause, to examine other affected systems, and to report the
original condition, as appropriate.
In both of these situations, the need to obtain NRC approval for
a change does not affect the licensee's authority to operate the
plant. The licensee may make mode changes, restart from outages,
etc., provided that necessary equipment is operable and the degraded
condition does not violate the TS
[[Page 47705]]
or the license. The basis for this position was previously discussed
in Section 4.5.
5.0 Enforcement
If the licensee, without good cause, does not correct the
degraded or nonconforming condition at the first available
opportunity, the staff will determine whether the licensee has
failed to take prompt corrective action in accordance with 10 CFR
part 50, appendix B, criterion XVI. If the NRC concludes that the
appendix B requirements were not met or the operability
determination is not valid, the NRC staff will take appropriate
regulatory action, consistent with the NRC oversight process and the
enforcement policy for reactors.
Completing corrective action within a reasonable time frame does
not prevent the NRC from taking action for the root causes of the
degraded or nonconforming condition or for violations of other
regulatory requirements. The nonconforming condition may have
resulted from earlier changes performed without a 10 CFR 50.59
evaluation or from inadequate reviews. The staff may determine that
the discovered nonconforming condition involves a change to the TS
or otherwise requires prior approval as specified in 10 CFR 50.59.
In such cases, enforcement action is appropriate to address the time
from when the degraded or non-conforming conditions were created
until the time of discovery. The NRC's action will take into account
the safety significance of the facility conditions that existed
while the SSC was in the degraded or nonconforming condition.
6.0 Reference
See the attached chart, ``Resolution of Degraded and
Nonconforming Conditions.''
END
Documents may be examined, and/or copied for a fee, at the NRC's
Public Document Room at One White Flint North, 11555 Rockville Pike
(first floor), Rockville, Maryland. Publicly available records will
be accessible electronically from the Agencywide Documents Access
and Management Systems (ADAMS) Public Electronic Reading Room on the
Internet at the NRC Web site, http://www.nrc.gov/NRC/ADAMS/index.html. If you do not have access to ADAMS or if you have
problems in accessing the documents in ADAMS, contact the NRC Public
Document Room (PDR) reference staff at 1-800-397-4209 or 301-415-
4737 or by e-mail to [email protected].
Dated at Rockville, Maryland, this 5th day of September 2001.
For the Nuclear Regulatory Commission.
David B. Matthews,
Director, Division of Regulatory Improvement Programs, Office of
Nuclear Reactor Regulation.
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[FR Doc. 01-22867 Filed 9-12-01; 8:45 am]
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