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SE
SS
ION
1S
ES
SIO
N 1
--55
RIS
KIN
FOR
ME
DR
EG
UL
AT
ION
RIS
KIN
FOR
ME
DR
EG
UL
AT
ION
RIS
K-I
NFO
RM
ED
RE
GU
LA
TIO
N
CA
SE S
TU
DY
IR
ISK
-IN
FOR
ME
D R
EG
UL
AT
ION
C
ASE
ST
UD
Y I
RO
P/SD
PR
OP/
SDP
Di
Hi
Di
Hi
Don
nie
Har
rison
U.S
. Nuc
lear
Reg
ulat
ory
Com
mis
sion
Di
Hi
@
Don
nie
Har
rison
U.S
. Nuc
lear
Reg
ulat
ory
Com
mis
sion
Di
Hi
@D
onni
e.H
arris
on@
nrc.
gov
301.
415.
2470
Don
nie.
Har
rison
@nr
c.go
v30
1.41
5.24
70
RIS
KR
ISK
--INFO
RM
ED
RE
GU
LATI
ON
SE
MIN
AR
INFO
RM
ED
RE
GU
LATI
ON
SE
MIN
AR
Mex
ico
City
, Mex
ico
Mex
ico
City
, Mex
ico
Aug
ust 2
7A
ugus
t 27--
31, 2
012
31, 2
012
LE
AR
NIN
G O
BJE
CT
IVE
S•
To d
escr
ibe
NR
C’s
reac
tor o
vers
ight
-si
gnifi
canc
e de
term
inat
ion
proc
ess
and
deci
sion
crite
riade
term
inat
ion
proc
ess
and
deci
sion
crit
eria
•To
illu
stra
te k
ey a
spec
ts o
f ass
ocia
ted
risk
anal
ysis
m
etho
ds u
sing
2 e
xam
ples
–C
onsi
dera
tion
of m
ultip
le h
azar
dsC
onsi
dera
tion
ofco
mm
onca
use
failu
rean
d–
Con
side
ratio
n of
com
mon
cau
se fa
ilure
and
hu
man
per
form
ance
Aug
ust 2
7-31
, 201
2 R
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ED
RE
GU
LATI
ON
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AR
1
Ove
rvie
w
•SD
P O
bjec
tives
j–
To c
hara
cter
ize
the
safe
ty o
r sec
urity
sig
nific
ance
of
insp
ectio
n fin
ding
s, u
sing
bes
t ava
ilabl
e ris
k in
sigh
ts
asap
prop
riate
as a
ppro
pria
te
–To
pro
vide
all
stak
ehol
ders
an
obje
ctiv
e an
d co
mm
on
pj
fram
ewor
k fo
r com
mun
icat
ing
the
pote
ntia
l saf
ety
or
secu
rity
sign
ifica
nce
of in
spec
tion
findi
ngs
–To
pro
vide
a b
asis
for t
imel
y as
sess
men
t and
/or
enfo
rcem
ent a
ctio
ns a
ssoc
iate
d w
ith in
spec
tion
fidi
Aug
ust 2
7-31
, 201
2 R
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-INFO
RM
ED
RE
GU
LATI
ON
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AR
2
findi
ngs
Ove
rvie
w
•SD
P P
roce
ss-
Dev
elop
insp
ectio
n fin
ding
s-
Cha
ract
eriz
e si
gnifi
canc
e (in
itial
sta
ff as
sess
men
t)g
()
-O
btai
n lic
ense
e pe
rspe
ctiv
es o
n in
itial
ch
arac
teriz
atio
n-
Fina
lize
staf
f’s s
igni
fican
ce d
eter
min
atio
n-
Issu
e fin
al d
eter
min
atio
n le
tter
-P
rovi
de li
cens
ee a
ppea
l opp
ortu
nity
Aug
ust 2
7-31
, 201
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RM
ED
RE
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LATI
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AR
3
Ove
rvie
w
•Dec
isio
n cr
iteria
–C
hang
e in
:–
Cor
e da
mag
e f
ΔCD
F <
1x10
-6
frequ
ency
–La
rge
early
rele
ase
frequ
ency
1X10
-6≤
ΔC
DF
< 1X
10-5
1X10
5Δ
CD
F1X
104
qy
–B
road
rang
es1X
10-5≤
ΔC
DF
< 1X
10-4
4ΔC
DF ≥
1x1
0-4
Aug
ust 2
7-31
, 201
2 R
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ED
RE
GU
LATI
ON
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MIN
AR
4
App
licat
ion
Exa
mpl
e 1:
The
Eve
ntT
he E
vent
•A
ugus
t 23:
5.8
Mag
nitu
de (1
1 m
iles)
at s
hallo
w d
epth
.•
Rea
ctor
trip
& L
OO
P. A
ll fo
ur E
DG
s (1
H, 1
J &
2H
, 2J)
sta
rt/lo
aded
.•
Coo
lant
leak
obse
rved
onU
nit2
ED
G“2
H”.
SB
OE
DG
star
t/loa
ded.
Aug
ust 2
7-31
, 201
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ED
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LATI
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AR
5
Coo
lant
leak
obs
erve
d on
Uni
t 2 E
DG
2H
. SB
O E
DG
sta
rt/lo
aded
.•
Afte
r ide
ntify
ing
leak
, ED
G 2
H w
as re
paire
d an
d m
ade
avai
labl
e (6
hrs
)
App
licat
ion
Exa
mpl
e 1:
The
Failu
reT
he F
ailu
re
Fairb
anks
Mor
seD
iese
lGen
erat
ors
Aug
ust 2
7-31
, 201
2 R
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RM
ED
RE
GU
LATI
ON
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AR
Die
sel G
ener
ator
s (M
odel
38T
D8-
1/8)
Exa
mpl
e 1:
The
Roo
tCau
seT
he R
oot C
ause
•R
oot c
ause
eva
luat
ion
on E
DG
gas
kets
foun
d ev
iden
ce o
f:–
gask
etto
gask
etin
cons
iste
ncie
sin
com
pres
sion
,ga
sket
to g
aske
t inc
onsi
sten
cies
in c
ompr
essi
on,
–cl
ear i
ndic
atio
ns th
at fa
iled
gask
et h
ad b
een
in th
e pr
oces
s of
m
ovin
g to
war
d fa
ilure
for s
ome
time,
fil
tlik
ld
ti
itili
tll
tibl
ldi
t–
failu
re m
ost l
ikel
ydu
e to
initi
al in
stal
latio
n pr
oble
ms
lead
ing
to
mov
emen
t ove
r tim
e.
Aug
ust 2
7-31
, 201
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ED
RE
GU
LATI
ON
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AR
7
Exa
mpl
e 1:
The
Perf
orm
ance
Def
icie
ncy
The
Per
form
ance
Def
icie
ncy
•S
elf-r
evea
ling,
App
aren
t Vio
latio
n (A
V):
failu
re to
est
ablis
h an
dm
aint
ain
ED
Gm
aint
enan
cepr
oced
ures
asre
quire
dby
and
mai
ntai
n E
DG
mai
nten
ance
pro
cedu
res
as re
quire
d by
R
egul
ator
y G
uide
1.3
3, A
ppen
dix
A, S
ectio
n 9,
Pro
cedu
res
for P
erfo
rmin
g M
aint
enan
ce.
•C
ontra
ry to
the
abov
e, fr
om J
une
2, 2
010
until
Aug
ust 2
3,
2011
the
licen
see
faile
dto
esta
blis
han
dm
aint
ain
adeq
uate
2011
, the
lice
nsee
faile
d to
est
ablis
h an
d m
aint
ain
adeq
uate
E
DG
mai
nten
ance
pro
cedu
res.
•P
roce
dure
did
not
pro
vide
ade
quat
e gu
idan
ce fo
r ins
talla
tion
of th
e ga
sket
whi
ch re
sulte
d in
the
failu
re o
f ED
G 2
H to
pe
rform
itssa
fety
func
tion
onA
ugus
t23
2011
Aug
ust 2
7-31
, 201
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ED
RE
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LATI
ON
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MIN
AR
8
perfo
rm it
s sa
fety
func
tion
on A
ugus
t 23,
201
1.
Exa
mpl
e 1:
Exp
osur
eT
ime
Exp
osur
e T
ime
24
10 M
ON
THS
1520
ours)
1015
Time (h
RA
SP H
AN
DB
OO
K, S
ec. 2
.4,
Com
pone
nt R
un F
ailu
res,
Σ(ru
n tim
es) >
PR
A m
issi
on ti
me
(24
hour
s)
5
Run
1.57
1.77
1.63
1.53
1.92
1.62
1.57
1.88
1.65
1.68
1.72
0.82
0
Aug
ust 2
7-31
, 201
2 R
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RM
ED
RE
GU
LATI
ON
SE
MIN
AR
9
Exa
mpl
e 1:
The
Eva
luat
ion
The
Eva
luat
ion
•Lic
ense
e•N
RC
–E
xpos
ure
Tim
e–
28 d
ays
base
d on
root
cau
se
eval
uatio
n fin
ding
s
–E
xpos
ure
Tim
e–
10 m
onth
s ba
sed
on ro
ot
caus
e ev
alua
tion
findi
ngs
–C
omm
on C
ause
–S
houl
d be
trea
ted
as
inde
pend
ent f
ailu
re w
ith
nom
inal
com
mon
cau
se
–C
omm
on C
ause
–S
houl
d be
trea
ted
as a
failu
re
with
pot
entia
l for
com
mon
ca
use
to o
ther
ED
Gs
–C
redi
t for
var
ious
pr
obab
ilitie
s–
Add
ition
al c
redi
t for
ope
rato
r ti
–C
redi
t for
var
ious
pr
obab
ilitie
s–
Lim
ited
addi
tiona
l cre
dit f
or
tti
actio
ns–
Low
er v
alue
s fo
r com
pone
nt
prob
abilit
ies
& c
omm
on c
ause
–A
dditi
onal
cre
dit f
or re
cove
ry
oper
ator
act
ions
–Lo
wer
val
ues
for c
ompo
nent
pr
obab
ilitie
s &
com
mon
cau
se
not j
ustif
ied
Aug
ust 2
7-31
, 201
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ED
RE
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LATI
ON
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MIN
AR
10
curv
es–
Add
ition
al c
redi
t for
reco
very
cu
rves
doe
s no
t affe
ct re
sults
Exa
mpl
e 1:
The
Out
com
eT
he O
utco
me
•Exa
mpl
e 1
–Fi
nal S
DP
: –
Whi
te (U
nit1
) & W
hite
(Uni
t 2),
i.e.,
low
to m
oder
ate
safe
tysi
gnifi
canc
e(in
tern
alan
dex
tern
alev
ents
)sa
fety
sig
nific
ance
(int
erna
l and
ext
erna
l eve
nts)
–Fa
ctor
s–
Exp
osur
e Ti
me
& C
omm
on C
ause
–M
ultip
lere
dund
ant s
ourc
es o
f em
erge
ncy
AC
pow
er
Aug
ust 2
7-31
, 201
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ED
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ON
SE
MIN
AR
11
App
licat
ion
Exa
mpl
e 2:
The
Insp
ectio
nFi
ndin
gT
he In
spec
tion
Find
ing
•Im
prop
er m
aint
enan
ce o
f EC
CS
reci
rcul
atio
n p
plin
e va
lve(
s)–
Key
PR
A/S
DP
asp
ects
–Im
porta
nce
of v
alve
in d
iffer
ent L
OC
A s
cena
rios
–P
oten
tial f
or c
omm
on c
ause
failu
re o
f red
unda
nt
lva
lve
–P
oten
tial f
or h
uman
act
ion
to o
pen
valv
e
Aug
ust 2
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12
Exa
mpl
e 2:
EC
CS
reci
rcul
atio
n lin
e va
lve
fails
to o
pen
pVa
lve
B fa
ils to
op
en d
ue to
w
ater
intru
sion
in
EC
CS
trai
n B
in
oper
able
Wha
t eve
nts
will
requ
ire V
alve
A o
r B
to fu
nctio
n?
RH
R H
X B
wat
er in
trusi
on in
va
lve
oper
ator
p
RH
R P
ump
BC
ont I
so V
alve
B
Rec
irc P
ump
B
Can
Val
ve B
be
open
edin
time
if
How
like
ly a
re th
e op
erat
ors
to o
pen
How
like
ly a
re
thes
e ev
ents
? Rec
irc P
ump
AR
HR
A H
X
open
ed in
tim
e, if
ne
eded
?Va
lve
B?
RH
R P
ump
AC
ont I
so V
alve
A
Will
Valv
e A
func
tion
How
like
ly is
Val
ve A
Aug
ust 2
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13
if ne
eded
?y
to fa
il du
e to
a
com
mon
cau
se?
How
like
ly is
Val
ve A
to
fail?
Exa
mpl
e 2a
:E
CC
S re
circ
ulat
ion
line
valv
e fa
ils to
ope
np
Valv
e B
fails
to
open
due
to
wat
erin
trusi
onin
EC
CS
trai
n B
in
oper
able
RH
R H
X B
wat
er in
trusi
on in
va
lve
oper
ator
p
RH
R P
ump
BC
ont I
so V
alve
B
Rec
irc P
ump
B
Rec
irc P
ump
AR
HR
A H
X
RH
R P
ump
AC
ont I
so V
alve
A
How
like
ly is
Val
ve A
W
ater
intru
sion
als
o
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ust 2
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14
yto
fail
due
to a
co
mm
on c
ause
?fo
und
in V
alve
A
oper
ator
Exa
mpl
e 2a
:T
heE
valu
atio
nT
he E
valu
atio
n
•Lic
ense
e•N
RC
–Lo
w h
ead
safe
ty in
ject
ion
pum
p w
ould
–
be s
tarte
d w
ith V
alve
B
–Lo
w h
ead
safe
ty in
ject
pu
mp
wou
ld–
Not
be
star
ted
with
Val
ve B
in
dica
ting
dua
l pos
ition
–Va
lve
B h
as a
mod
erat
e pr
obab
ility
of b
eing
re
stor
ed
indi
catin
g du
al p
ositi
on
–V
alve
B h
as a
low
pr
obab
ility
of b
eing
re
stor
edre
stor
ed–
succ
ess
prob
abilit
y of
loca
l m
anua
l act
ions
–Va
lve
A ha
s
rest
ored
–su
cces
s pr
obab
ility
of lo
cal
man
ual a
ctio
ns
–V
alve
A h
as–
low
rand
om fa
ilure
pro
babi
lity
–no
incr
ease
d pr
obab
ility
of
com
mon
cau
se fa
ilure
–lo
w ra
ndom
failu
re p
roba
bilit
y–
incr
ease
d pr
obab
ility
of
com
mon
cau
se fa
ilure
Aug
ust 2
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, 201
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AR
15
Exa
mpl
e 2a
:T
heO
utco
me
The
Out
com
e
•Exa
mpl
e 2a
p–
Fina
l SD
P:
–S
ubst
antiv
e sa
fety
sig
nific
ance
–Y
ello
w–
Fact
ors
–Ti
me
fram
efo
rreq
uire
dop
erat
ion
–Ti
me
fram
e fo
r req
uire
d op
erat
ion
–Lo
w re
cove
ry p
roba
bilit
y of
firs
t val
ve–
Com
mon
cau
se fa
ilure
pro
babi
lity
of s
econ
d va
lve
Aug
ust 2
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, 201
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ED
RE
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LATI
ON
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MIN
AR
16
Exa
mpl
e 2b
:E
CC
S re
circ
ulat
ion
line
valv
e fa
ils to
ope
np
Valv
e B
fails
to
open
due
to
wat
erin
trusi
onin
EC
CS
trai
n B
in
oper
able
RH
R H
X B
wat
er in
trusi
on in
va
lve
oper
ator
p
RH
R P
ump
BC
ont I
so V
alve
B
Rec
irc P
ump
B
How
like
ly a
re th
e op
erat
ors
to o
pen
Man
ual o
peni
ng
requ
ires
exte
nsiv
e w
ork
Rec
irc P
ump
AR
HR
A H
X
Valv
e B?
RH
R P
ump
AC
ont I
so V
alve
A
How
like
ly is
Val
ve A
N
o w
ater
intru
sion
Aug
ust 2
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, 201
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AR
17
yto
fail
due
to a
co
mm
on c
ause
?fo
und
in V
alve
B
oper
ator
Exa
mpl
e 2b
:T
heE
valu
atio
nT
he E
valu
atio
n
•Lic
ense
e•N
RC
–R
ecov
ery
for o
pera
tion
of
Valv
e A
and
B fo
r Med
ium
LO
CA
s sh
ould
be
cred
ited
–N
o re
cove
ry fo
r ope
ratio
n of
Val
ve A
or B
Med
ium
LO
CA
s sh
ould
be
cred
ited
–A
dequ
ate
time
is a
vaila
ble
to
perfo
rm re
cove
ry a
ctio
ns
–Va
lve
B h
as a
mod
erat
e pr
obab
ility
ofbe
ing
–A
dequ
ate
time
is n
ot a
vaila
ble
to p
erfo
rm re
cove
ry a
ctio
ns
–V
alve
B h
as a
low
pr
obab
ility
ofbe
ing
prob
abili
ty o
f bei
ng
rest
ored
–su
cces
s pr
obab
ility
of lo
cal
man
ual a
ctio
ns
prob
abili
ty o
f bei
ng
rest
ored
–su
cces
s pr
obab
ility
of lo
cal
man
ual a
ctio
ns
–Va
lve
A ha
s–
low
rand
om fa
ilure
pro
babi
lity
–no
incr
ease
d pr
obab
ility
of
com
mon
caus
efa
ilure
–V
alve
A h
as–
rand
om fa
ilure
pro
babi
lity
–In
crea
sed
prob
abilit
y of
co
mm
onca
use
failu
re
Aug
ust 2
7-31
, 201
2 R
ISK
-INFO
RM
ED
RE
GU
LATI
ON
SE
MIN
AR
18
com
mon
cau
se fa
ilure
com
mon
cau
se fa
ilure
Exa
mpl
e 2b
:T
heO
utco
me
The
Out
com
e
•Exa
mpl
e 2b
p–
Fina
l SD
P–
Low
to m
oder
ate
safe
ty s
igni
fican
ceW
hit
–W
hite
–Fa
ctor
s–
Tim
e fra
me
for r
equi
red
oper
atio
n (ti
min
g of
RW
ST
drai
n (
gdo
wn
and
depl
etio
n)–
Low
reco
very
pro
babi
lity
of fi
rst v
alve
–M
oder
ate
com
mon
cau
se fa
ilure
pro
babi
lity
of s
econ
d va
lve
Aug
ust 2
7-31
, 201
2 R
ISK
-INFO
RM
ED
RE
GU
LATI
ON
SE
MIN
AR
19
SUM
MA
RY
•Th
e ob
ject
ive
of th
e si
gnifi
canc
e de
term
inat
ion
proc
ess
isto
char
acte
rize
the
safe
tyor
secu
rity
proc
ess
is to
cha
ract
eriz
e th
e sa
fety
or s
ecur
ity
sign
ifica
nce
of in
spec
tion
findi
ngs,
usi
ng b
est
avai
labl
e ris
k in
sigh
ts, a
s ap
prop
riate
.
•N
RC
sta
ff pe
rform
thes
e ev
alua
tions
, pro
vidi
ng
licen
see
oppo
rtuni
ties
to p
rovi
de p
ersp
ectiv
es.
•S
DP
eva
luat
ions
illu
stra
te th
e im
porta
nce
of h
avin
g re
alis
ticcu
rrent
PR
As
real
istic
, cur
rent
PR
As.
Aug
ust 2
7-31
, 201
2 R
ISK
-INFO
RM
ED
RE
GU
LATI
ON
SE
MIN
AR
20
The
End
The
End
The
End
The
End
Que
stio
ns &
Ans
wer
s…..
Que
stio
ns &
Ans
wer
s…..
RIS
KR
ISK
--INFO
RM
ED
RE
GU
LATI
ON
SE
MIN
AR
INFO
RM
ED
RE
GU
LATI
ON
SE
MIN
AR
Mex
ico
City
, Mex
ico
Mex
ico
City
, Mex
ico
Aug
ust 2
7A
ugus
t 27--
31, 2
012
31, 2
012
21
