[Federal Register Volume 77, Number 39 (Tuesday, February 28, 2012)]
[Notices]
[Pages 12089-12092]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-4647]


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 NUCLEAR REGULATORY COMMISSION

[NRC-2012-0048]


Proposed Generic Communication; Regulatory Issue Summary 2012-XX: 
Developing Inservice Testing and Inservice Inspection Programs

AGENCY: Nuclear Regulatory Commission.

ACTION: Draft regulatory issue summary: request for comment.

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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is seeking public 
comment on a draft regulatory issue summary that would describe an 
acceptable approach for holders of combined licenses under Title 10 of 
the Code of Federal Regulations (10 CFR) Part 52, ``Licenses, 
Certifications, and Approvals for Nuclear Power Plants,'' to satisfy 
the requirements in 10 CFR 50.55a, ``Codes and standards,'' regarding 
implementation of inservice inspection and inservice testing programs 
during the initial 120-month program interval following nuclear power 
plant startup.

DATES: Submit comments by April 13, 2012. Comments received after this 
date will be considered if it is practical to do so, but the NRC is 
able to assure consideration only for comments received on or before 
this date.

ADDRESSES: You may access information and comment submissions related 
to this document, which the NRC possesses and is publicly-available, by 
searching on http://www.regulations.gov under Docket ID NRC-2012-0048. 
You may submit comments by the following methods:
     Federal Rulemaking Web site: Go to http://www.regulations.gov and search for Docket ID NRC-2012-0048. Address 
questions about NRC dockets to Carol Gallagher; telephone: 301-492-
3668; email: [email protected].
     Mail comments to: Cindy Bladey, Chief, Rules, 
Announcements, and Directives Branch (RADB), Office of Administration, 
Mail Stop: TWB-05-B01M, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555-0001.
     Fax comments to: RADB at 301-492-3446.
    For additional direction on accessing information and submitting 
comments, see ``Accessing Information and Submitting Comments'' in the 
SUPPLEMENTARY INFORMATION section of this document.

FOR FURTHER INFORMATION CONTACT: Andrea Russell, Project Manager, 
Generic Communications Branch, Division of Policy and Rulemaking, 
Office of Nuclear Reactor Regulation, Mail Stop: OWFN-12-D20, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555-0001; telephone: 
301-415-8553, email: [email protected].

SUPPLEMENTARY INFORMATION:

I. Accessing Information and Submitting Comments

A. Accessing Information

    Please refer to Docket ID NRC-2012-0048 when contacting the NRC 
about the availability of information regarding this document. You may 
access information related to this document, which the NRC possesses 
and is publicly-available, by the following methods:
     Federal Rulemaking Web Site: Go to http://www.regulations.gov and search for Docket ID NRC-2012-0048.
     NRC's Agencywide Documents Access and Management System 
(ADAMS): You may access publicly-available documents online in the NRC 
Library at http://www.nrc.gov/reading-rm/adams.html. To begin the 
search, select ``ADAMS Public Documents'' and then select ``Begin Web-
based ADAMS Search.'' For problems with ADAMS, please contact the NRC's 
Public Document Room (PDR) reference staff at 1-800-397-4209, 301-415-
4737, or by email to [email protected]. The Draft Regulatory Issue 
Summary ``Developing Inservice Testing and Inservice Inspection 
Programs Under 10 CFR part 52,'' is available electronically under 
ADAMS Accession Number ML111360204.
     NRC's PDR: You may examine and purchase copies of public 
documents at the NRC's PDR, Room O1-F21, One White Flint North, 11555 
Rockville Pike, Rockville, Maryland 20852.

B. Submitting Comments

    Please include Docket ID NRC-2012-0048 in the subject line of your 
comment submission, in order to ensure that the NRC is able to make 
your comment submission available to the public in this docket.
    The NRC cautions you not to include identifying or contact 
information in comment submissions that you do not want to be publicly 
disclosed. The NRC posts all comment submissions at http://www.regulations.gov as well as entering the comment submissions into 
ADAMS, and the NRC does not edit comment submissions to remove 
identifying or contact information.
    If you are requesting or aggregating comments from other persons 
for submission to the NRC, then you should inform those persons not to 
include identifying or contact information in their comment submissions 
that they do not want to be publicly disclosed. Your request should 
state that the NRC will not edit comment submissions to remove such 
information before making the comment submissions available to the 
public or entering the comment submissions into ADAMS.

II. Discussion

Addressees

    All current and potential applicants for and holders of a combined 
license (COL) or standard design certification for a nuclear power 
plant under the provisions of Title 10 of the Code of Federal 
Regulations (10 CFR) Part 52, ``Licenses, Certifications, and Approvals 
for Nuclear Power Plants.''

[[Page 12090]]

Intent

    The U.S. Nuclear Regulatory Commission (NRC) is issuing this 
regulatory issue summary (RIS) to describe an acceptable approach for 
COL holders (licensees) to satisfy the requirements in 10 CFR 50.55a, 
``Codes and standards,'' regarding implementation of inservice 
inspection (ISI) and inservice testing (IST) programs during the 
initial 120-month program interval following plant startup. In 
addition, this RIS discusses acceptable approaches for developing 
preservice inspection programs and Risk-Informed ISI and IST programs. 
This RIS does not transmit any new requirements and does not require 
any specific action or written response.

Background Information

    The regulations in 10 CFR 50.55a(f)(4)(i) and (g)(4)(i) require, in 
part, that inservice tests to verify the operational readiness of 
safety-related pumps and valves and inservice examinations of 
components and system pressure tests conducted during the initial 120-
month testing and inspection interval must comply with the requirements 
in the latest edition and addenda of the American Society of Mechanical 
Engineers (ASME) Boiler & Pressure Vessel Code (B&PV Code) and ASME 
Code for Operation and Maintenance of Nuclear Power Plants (OM Code) 
incorporated by reference in 10 CFR 50.55a, on the date that occurs 12 
months before the date scheduled for initial loading of fuel under a 
COL issued under 10 CFR part 52 (or the optional ASME Code cases listed 
in NRC Regulatory Guide (RG) 1.147, ``Inservice Inspection Code Case 
Acceptability, ASME Section XI, Division 1,'' and RG 1.192, ``Operation 
and Maintenance Code Case Acceptability, ASME OM Code,'' that are 
incorporated by reference in 10 CFR 50.55a).
    In addition, the NRC regulations in 10 CFR 52.47(a)(3)(i) require, 
in part, that a design certification application must contain the 
principal design criteria for the facility. Appendix A to 10 CFR part 
50, general design criteria (GDC), establishes minimum requirements for 
the principal design criteria. GDCs 32, 36, 37, 39, 40, 42, 43, 45, and 
46 require that safety-related components and systems shall be designed 
to permit appropriate periodic inspection of important components to 
assure their integrity and capability of the system and periodic 
testing to assure (1) the structural and leak-tight integrity of its 
components; (2) the operability and performance of the active 
components of the system; and (3) the operability of the system as a 
whole. The periodic inspections and testing programs are required to 
meet the ASME B&PV Code and OM Code, respectively, in accordance with 
10 CFR 50.55a.
    Lastly, the NRC regulations in 10 CFR 52.79(a)(11) require that the 
COL applicant describe the programs (such as ISI and IST programs) and 
their implementation, necessary to ensure that the systems and 
components meet the requirements in the ASME OM Code and ASME B&PV 
Code, Section XI. These operational programs are required to be fully 
described when the COL application is submitted to the NRC for review.
    The requirements in the above three NRC regulations appear to 
provide overlapping and conflicting requirements on establishing the 
applicable editions and addenda of the ASME B&PV and OM Codes to be 
used for the initial 120-month ISI and IST program intervals and have 
caused confusion during the NRC staff's review of design certification 
and COL applications. This RIS describes how the NRC staff, design 
certification applicants and COL applicants have addressed these 
requirements in the reviews of design certification and COL 
applications under 10 CFR part 52.

Summary of Issue

    The NRC regulations in 10 CFR part 52 allow a two-step process for 
licensing new nuclear power plants where a Standard Design 
Certification is granted with subsequent issuance of a COL referencing 
the certified design. Under this process, the regulations in 10 CFR 
52.47 require the design certification application to contain a level 
of design information sufficient to enable the Commission to judge the 
applicant's proposed means of assuring that construction conforms to 
the design and to reach a final conclusion on all safety questions 
associated with the design before the certification is granted. A 
Design Control Document (DCD) supporting a design certification 
application may provide general information on operational programs 
(such as ISI and IST programs) with allowance for flexibility by the 
COL applicant when developing plant-specific operational programs. The 
NRC staff reviews the general description of the operational programs 
in the DCD to ensure an adequate foundation for the plant-specific 
operational programs to be developed by COL applicants. With respect to 
IST programs, the NRC staff review of the DCD focuses on accessibility 
for the performance of IST activities. To reduce the amount of 
information needed in subsequent COL applications, some design 
certification applicants provide more detailed descriptions of ISI and 
IST operational programs in their DCDs than required by the NRC 
regulations for a design certification application.
    The NRC regulations in 10 CFR 52.79(a)(11) require a COL applicant 
to provide, in its safety analysis report, a description of the 
programs and their implementation necessary to ensure that the systems 
and components meet the requirements of the ASME B&PV Code and ASME OM 
Code in accordance with 10 CFR 50.55a at a level sufficient to enable 
the NRC to reach a final conclusion on all safety matters that must be 
resolved before COL issuance. In SECY-05-0197, ``Review of Operational 
Programs in a Combined License Application and General Emergency 
Planning Inspections, Tests, Analyses, and Acceptance Criteria 
[ITAAC],'' (Agencywide Documents Access and Management System (ADAMS) 
Accession No. ML052770257) dated October 28, 2005, the NRC concluded 
that operational programs (such as ISI and IST programs) could be fully 
described in a COL application and recognized that some operational 
programs would not be available at the time of COL issuance. In 
accordance with this guidance, the description of the program would 
contain the information necessary for the NRC staff to make a 
reasonable assurance finding on the acceptability of the operational 
program in the review of a COL application. This information would 
specify an edition and addenda of the ASME B&PV Code and OM Code that 
would be the basis for the ISI and IST program described in the COL 
application. The NRC staff developed license conditions to provide 
certainty as to when the operational programs would be implemented in 
support of plant startup.
    Following COL issuance, the NRC regulations in 10 CFR 
50.55a(f)(4)(i) and (g)(4)(i) require, in part, that inservice tests 
verify the operational readiness of safety-related pumps and valves and 
inservice examinations of components and system pressure tests 
conducted during the initial 120-month testing and inspection interval 
must comply with the requirements in the latest edition and addenda of 
the ASME B&PV Code and OM Code incorporated by reference in 10 CFR 
50.55a, on the date that occurs 12 months before the date scheduled for 
initial loading of fuel under a COL issued in accordance with 10 CFR 
part 52 (or the optional ASME Code cases listed in NRC RG 1.147 and

[[Page 12091]]

RG 1.192 that are incorporated by reference in 10 CFR 50.55a).
    Several years may elapse between the time when a design 
certification is granted and when a COL application is submitted 
referencing that certified design. Further, the construction of a 
nuclear power plant will require several years from the time of COL 
issuance until the commencement of fuel loading. Therefore, design 
certification and COL applicants and holders need to be aware of the 
interrelated requirements in 10 CFR 50.55a and 10 CFR part 52 regarding 
the development and implementation of ISI and IST programs for nuclear 
power plants to be licensed under 10 CFR part 52.
Design Certification and COL Applicants
    The NRC regulations in 10 CFR 52.79(a)(11) require that the COL 
applicant describe the IST and ISI programs and their implementation, 
necessary to ensure that the systems and components meet the 
requirements in the ASME OM Code and ASME B&PV Code, Section XI. NRC RG 
1.206, ``Combined License Applications for Nuclear Power Plants (LWR 
Edition),'' and SECY-05-0197 provide guidance for COL applicants in 
describing their IST and ISI programs in support of the COL 
applications. As part of its description of the IST and ISI programs, 
the COL applicant must identify the edition and addenda of the ASME OM 
Code and ASME B&PV Code, Section XI, to be used in developing its IST 
and ISI programs, respectively. In some cases, it may be the same 
edition and addenda used in the design certification. In other cases, 
it may be the latest edition and addenda of the ASME OM Code or ASME 
B&PV Code, Section XI, incorporated by reference in 10 CFR 50.55a at 
the time of the COL application. In describing IST and ISI programs, 
COL applicants should recognize that the NRC regulations in 10 CFR 
50.55a require updating of ISI and IST programs prior to fuel loading. 
Design certification applicants should also be aware of this 10 CFR 
50.55a requirement when describing IST and ISI programs in their DCDs 
for reference by COL applicants.
COL Licensees
    After the COL is issued, the COL licensee will initiate development 
of the ISI and IST programs to allow implementation of those programs 
in preparation for plant operation. During development of the ISI and 
IST programs, the COL licensee should be aware of the NRC regulations 
under 10 CFR 50.55a(f)(4)(i) and 10 CFR 50.55a(g)(4)(i) that require 
the COL licensee to develop its initial 120-month interval IST and ISI 
programs using the latest edition and addenda of the ASME OM Code and 
ASME B&PV Code, Section XI, incorporated by reference in 10 CFR 
50.55a(b) on the date that occurs 12 months before the date scheduled 
for initial loading of fuel. Therefore, the COL licensee should 
anticipate that the ASME B&PV Code and OM Code might be revised to 
incorporate industry operating experience and technological advances 
prior to fuel loading for its nuclear power plant.
NRC Staff Position
    The NRC staff recognizes that a COL licensee might encounter 
significant logistical and scheduling issues when converting its IST 
and ISI programs from the edition and addenda of the ASME OM Code and 
ASME B&PV Code specified in the COL application to the edition and 
addenda of these codes incorporated by reference in 10 CFR 50.55a on 
the date that occurs 12 months before fuel loading.
    The NRC regulations allow alternatives to the requirements of 10 
CFR 50.55a to be used if the applicant demonstrates that (1) the 
proposed alternative would provide an acceptable level of quality and 
safety, or (2) compliance with the specified requirements of 10 CFR 
50.55a would result in hardship or unusual difficulty without a 
compensating increase in the level of quality and safety. Therefore, a 
COL licensee may request authorization by the NRC staff to use an 
edition and addenda of the ASME OM Code for developing its initial 120-
month IST program that is earlier than that required under 10 CFR 
50.55a(f)(4)(i) and, similarly, to use an edition and addenda of the 
ASME B&PV Code, Section XI, for developing its initial 120-month ISI 
program that is earlier than that required under 10 CFR 
50.55a(g)(4)(i).
    One acceptable approach would be for the COL licensee to submit to 
the NRC a request to authorize, as an alternative, the use of the same 
edition and addenda of the ASME OM Code or ASME B&PV Code, Section XI, 
that was specified in the design certification or COL application for 
the initial 120-month IST and ISI programs. In its request for 
authorization of an alternative, the COL licensee would need to 
demonstrate that it meets one of the conditions described in 10 CFR 
50.55a. In addition, a COL licensee may request exemptions or 
departures for IST and ISI programs in accordance with Section VIII, 
``Processes for Changes and Departures'' which is located in each of 
the Appendices A-D of 10 CFR part 52.
    When evaluating a proposed alternative under 10 CFR 50.55a, the NRC 
staff will compare the IST and ISI provisions in the proposed code 
edition and addenda to the required edition and addenda of these codes 
incorporated by reference in 10 CFR 50.55a on the date that occurs 12 
months before fuel loading. As part of its review, the NRC staff will 
evaluate the differences between the IST and ISI provisions in those 
respective code editions and addenda. The NRC staff will also consider 
whether the alternative enables the testing and inspections applicable 
to NUREG-0933 generic safety issues and operational lessons learned 
that are incorporated into the design under 10 CFR 52.47(a)(21)and 
(22). Therefore, the design certification and COL applicants should 
consider the edition and addenda of the ASME OM Code and ASME B&PV 
Code, Section XI, specified in the descriptions of the IST and ISI 
programs in their design certification and COL applications, and 
whether those code editions and addenda reflect lessons learned from 
operating experience at nuclear power plants (including IST and ISI 
activities) and industry and regulatory research programs that will be 
incorporated into later code addenda and editions.
Preservice Inspection Using ASME B&PV Code, Section III
    The NRC staff has received inquiries from design certification and 
COL applicants about the edition and addenda of ASME B&PV Code, Section 
III that they should use for developing a preservice inspection (PSI) 
program. The NRC regulations in 10 CFR 50.55a(g)(3)(i) and (ii) 
require, in part, that Class 1 components and supports, and Class 2 and 
3 components and supports for Class 1 components must meet the 
preservice examination requirements set forth in the editions and 
addenda of Section III or XI of the ASME B&PV Code (or ASME OM Code for 
snubber examination and testing) incorporated by reference in 10 CFR 
50.55a that apply to the construction of the particular component. A 
design certification applicant may specify the edition and addenda of 
Section III of the ASME B&PV Code that has been incorporated by 
reference in 10 CFR 50.55a for the design of its Class 1, 2, and 3 
components. A COL licensee may use this same edition and addenda of 
Section III to develop its PSI program. However, the staff prefers that 
COL applicants specify the latest edition and addenda of ASME B&PV 
Code, Section III that is incorporated by reference in

[[Page 12092]]

10 CFR 50.55a. This action effectively minimizes the differences in 
preservice examination requirements when developing the ISI program but 
is not mandatory.
    For its initial 120-month interval, a COL licensee may submit to 
the NRC a request to authorize an alternative to use a different 
edition and addenda of ASME B&PV Code, Section III, than that 
established in the design certification application, or an earlier 
edition and addenda of ASME B&PV Code, Section XI, than that required 
by 10 CFR 50.55a(g)(3)(i), for developing its PSI program. According to 
10 CFR 50.55a, the COL licensee would need to demonstrate that (1) this 
edition and addenda of ASME B&PV Code, Section III or XI, would provide 
an acceptable level of quality and safety, or (2) compliance with the 
specified requirement to use the latest edition and addenda would 
result in hardship or unusual difficulty without a compensating 
increase in the level of quality and safety.
Risk-Informed IST and ISI Programs
    On several occasions, the NRC staff has been asked to define its 
position on Risk-Informed IST and ISI program submittals during the COL 
application process. A COL applicant or licensee may submit Risk-
Informed IST and ISI programs for NRC staff review and authorization as 
an alternative to the regulations as described in 10 CFR 50.55a. The 
COL applicant or licensee will need to satisfy the requirements for 
authorization of an alternative as specified in 10 CFR 50.55a.
    The NRC staff recommends that a conventional IST or ISI program be 
in place or developed before preparing a Risk-Informed IST or ISI 
program to facilitate the evaluation of the acceptability of the 
alternative program. This recommendation is based solely on the fact 
that the existing design certification applications, the Standard 
Review Plan acceptance criteria, the applicable NUREG documents, and 
the COL applications conform to the premise that conventional IST/ISI 
programs have been developed prior to a Risk-Informed program. No 
regulation requires that a conventional IST/ISI program be developed 
prior to a Risk-Informed IST or ISI program submission as an 
alternative. However, the NRC staff considers this approach to provide 
the most expedient course for review and approval of a Risk Informed 
IST or ISI program.

Backfit Discussion

    This RIS clarifies current regulatory requirements and provides 
voluntary options that a COL licensee may propose. The RIS imposes no 
new requirements and necessitates no action or written response. 
Therefore, it does not constitute a backfit under 10 CFR 50.109, 
``Backfitting,'' and the staff did not perform a backfit analysis.

Congressional Review Act

    [Discussion to be provided in the final RIS.]

Paperwork Reduction Act Statement

    This RIS does not contain new or amended information collection 
requirements that are subject to the Paperwork Reduction Act of 1995 
(44 U.S.C. 3501 et seq.). The Office of Management and Budget (OMB) 
approved the existing requirements under OMB approval numbers 3150-0011 
and 3150-0151.

Public Protection Notification

    The NRC may not conduct or sponsor, and a person is not required to 
respond to, an information collection unless the requesting document 
displays a currently valid OMB control number.

Contact

    Please direct any questions about this matter to Andrea Russell, 
Project Manager, telephone 301-415-8553, or email 
[email protected].

    For the Nuclear Regulatory Commission.

    Dated at Rockville, Maryland, this 16th day of February 2012.
Kimyata Morgan-Butler,
Acting Chief, Generic Communications Branch, Division of Policy and 
Rulemaking, Office of Nuclear Reactor Regulation.
[FR Doc. 2012-4647 Filed 2-27-12; 8:45 am]
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