Voluntary Reporting of Performance Indicators

UNITED STATES
NUCLEAR REGULATORY COMMISSION
OFFICE OF NUCLEAR REACTOR REGULATION
WASHINGTON, D.C. 20555-0001
February 19, 2009

NRC REGULATORY ISSUE SUMMARY 2000-08, REVISION 1
VOLUNTARY SUBMISSION OF PERFORMANCE INDICATOR DATA
Addressees
All holders of operating licenses for nuclear power reactors, except those who have permanently
ceased operations and have certified that fuel has been permanently removed from the reactor
vessel.
Intent
The U.S. Nuclear Regulatory Commission (NRC) is issuing this regulatory issue summary (RIS)
to inform power reactor licensees that the NRC will begin implementation of its revised reactor
oversight process (RROP) on April 2, 2000. This RIS also provides information on the process
to be used by licensees to voluntarily submit a report of selected reactor facility performance
attributes (i.e., performance indicator (PI) data) to the NRC beginning April 21, 2000. The PI
data submitted will provide input to the NRC process for overseeing the performance of nuclear
reactor plants. This RIS requires no action or written response on the part of the addressee.
Background Information
The NRC is currently revising its reactor oversight process to respond to issues identified during
internal staff reviews, as well as to concerns expressed by congressional committees, the
nuclear industry, and public interest groups.
The RROP uses PI information, along with the results from the reactor inspection program, to
provide the basis for the NRC staff to assess plant performance and establish the appropriate
regulatory response. PIs provide objective indications of the performance of plant systems and
licensee programs on a periodic basis. The use of PI information is a basic element of the
RROP and is expected to contribute to an overall reduction in NRC regulatory burden on
licensees.
The RROP, including the reporting of PI information, was tested in a pilot program from June
through November 1999 at nine reactor sites. The RROP is scheduled to commence
implementation at all operating power reactor facilities (except D.C. Cook and Browns Ferry 1,
as discussed below) beginning April 2, 2000.

ML083290153

RIS 2000-08, Rev 1
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PIs are defined in Nuclear Energy Institute (NEI) 99-02 [Revision 0], “Regulatory Assessment
Performance Indicator Guideline.” To support implementation of the RROP, licensees should
report PI data beginning on April 21, 2000, and submit data on a quarterly basis thereafter.
Summary of Issue
The NRC solicited public participation while considering improvements to its reactor oversight
process, including the enhanced use of PIs. The NRC met with industry representatives more
than 10 times in 1998 and biweekly in 1999 and held a number of public meetings (including a
public workshop on September 28-October 1, 1998, and public Commission briefings on April 2
and November 2, 1998, January 20 and March 6, 1999, and March 7, 2000). Additional public
workshops on the RROP, including PIs, were conducted on April 12-15 and May 17-20, 1999.
The NRC conducted a public lessons-learned workshop on January 10-13, 2000. Public
workshops on the RROP were also conducted in each region between February 22 and
March 23, 2000.
Industry’s early initiatives to improve NRC’s oversight process included a proposal that licensees
submit PI data to enhance the objectivity of the process. On the basis of this proposal, the PI
portion of the RROP was designed to use PI data submitted by licensees. The efficacy of the PI
portion of the RROP is contingent upon the provision of data by addressees for their respective
reactor facilities in accordance with the guidance contained in NEI 99-02. The NRC has
accepted this industry document for addressee use in the reporting of PI data. The NRC is
asking that this information be transmitted in electronic format to the e-mail address noted
below.
Licensees should submit the PI data as a delimited text file (data stream) attached to an e-mail
addressed to . The e-mail message can include report files for all units at a
site and can also include any change report file(s). The title or subject of the e-mail should
indicate the unit(s) for which data are included, the applicable quarter, and whether the
attachment includes quarterly reports (QRs), change reports (CRs), or both. The NRC will send
return e-mails with the licensee’s submittal attached to confirm and authenticate receipt of the
proper data. Licensees should not submit hard copies of the PI data submittal (with the possible
exception of a backup if the e-mail system is unavailable).
To minimize the regulatory burden on licensees, given that NEI 99-02 [Revision 0] was just
issued on March 28, 2000, the reporting elements for each PI found in Appendix B of NEI 99-02
[Draft Revision D] should be used. However, the thresholds listed in NEI 99-02 [Revision 0] will
apply to the first quarter data submittal. All subsequent PI data submissions should follow the
reporting guidance found in NEI 99-02 [Revision 0]. The licensee has the option to report the
April submittal in accordance with NEI 99-02 [Revision 0]. The April 2000 submittal will include
data for each indicator covering a 3-month period (January - March 2000), with the exception of
the containment leakage and isolation condenser safety system unavailability PIs, which are
being deleted from the PI program. In addition, the NEI 99-02 [Revision 0] change in the
occupational radiation occurrence PI from a 12-quarter sum to a 4-quarter sum will be effective
starting with the first quarter data submittal.

RIS 2000-08, Rev 1
Page 3 of 4
NEI has informed the NRC that reactor licensees have expressed their support for the RROP
and intend to participate. Nevertheless, addressee reporting of the PI data is voluntary. The
NRC does not expect D.C. Cook or Browns Ferry 1 to report PI data at this time because of the
extended period that they have been shut down. The NRC is developing guidance to describe
the process to be used by plants that were in an extended shutdown and are returning to full
operation. This guidance will be issued in the near future.
PIs will be refined as experience is gained with implementation of the RROP. Changes will be
made in accordance with a formal change process that provides opportunity for stakeholder
involvement. Once a final decision is reached to implement the change, it will be published in a
revision to NEI 99-02 to include the effective date of implementation.
The NRC anticipates that the voluntary reporting of PI data will contribute to a more objective
assessment of plant performance and to an overall reduction of burden on licensees as a
consequence of the offsetting reduction in NRC inspection under the RROP.
Voluntary Action
Addressees should conform to the guidance contained in this RIS for the voluntary reporting of
PI data. The PI data should be provided as an attachment to an e-mail addressed to
on or before April 21, 2000, for the first quarter of calendar year 2000 and by
the 21st of the month following the end of each calendar quarter thereafter. Addressees should
follow the reporting guidance stated in NEI 99-02 [Draft Revision D] for the data submittal of April
21, 2000, except that the containment leakage PI and the isolation condenser safety system
unavailability have been deleted, and licensees should not submit any data for those indicators.
Also, the occupational radiation occurrence PI is to be reported as a 4-quarter sum vice a 12quarter sum. All subsequent PI data submissions should follow the reporting guidance found in
NEI 99-02 [Revision 0], though a licensee may opt to apply this guidance for its April 21, 2000,
submittal. The thresholds described in NEI 99-02 [Revision 0] will become effective beginning
with the submittal of PI information on April 21, 2000.
Backfit Discussion
This RIS requires no action or written response. Any action on the part of addressees to collect
and transmit PI data in accordance with the guidance contained in this RIS is strictly voluntary
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 on this RIS was not published in the Federal Register
because the NRC has worked closely with NEI, industry representatives, members of the public,
and other stakeholders since early 1998 on the development of NRC’s RROP, including the
collection of PI data. The NRC has solicited public comments on its intent to collect PI data in
five Federal Register notices (dated January 22, April 19, May 26, July 19, and August 11, 1999)
and at numerous public meetings.

RIS 2000-08, Rev 1
Page 4 of 4
Paperwork Reduction Act Statement
This RIS contains information collection requirements that are subject to the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501 et seq.). These information collections were approved
by the Office of Management and Budget, approval number 3150-0195.
The burden to the public for these voluntary information collections is estimated to average 203
hours per response, including the time for reviewing instructions, searching existing data
sources, gathering and maintaining the data needed, and completing and reviewing the
information collection. Send comments regarding this burden estimate or any other aspect of
these information collections, including suggestions for reducing the burden, to the Records and
FOIA/Privacy Services Branch (T-5 F53), U.S. Nuclear Regulatory Commission, Washington,
DC 20555-0001, or by Internet electronic mail to [email protected]; and to
the Desk Officer, Office of Information and Regulatory Affairs, NEOB-10202, (3150-0195), Office
of Management and Budget, Washington, DC 20503.
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to respond to, a request for
information or an information collection requirement unless the requesting document displays a
currently valid OMB control number.
CONTACT
Please direct any questions about this matter to the Technical Contact listed below.
/RA/
Timothy J. McGinty, Director
Division of Policy and Rulemaking
Office of Nuclear Reactor Regulation
Technical Contact: John W. Thompson NRR/DIRS
301-415-1011
E-mail: [email protected]
Note: NRC generic communications may be found on the NRC public Web site,
http://www.nrc.gov, under Electronic Reading Room/Document Collections.

RIS 2000-08, Rev 1
Page 4 of 4
Paperwork Reduction Act Statement
This RIS contains information collection requirements that are subject to the Paperwork
Reduction Act of 1995 (44 U.S.C. 3501 et seq.). These information collections were approved
by the Office of Management and Budget, approval number 3150-0195.
The burden to the public for these voluntary information collections is estimated to average 203
hours per response, including the time for reviewing instructions, searching existing data
sources, gathering and maintaining the data needed, and completing and reviewing the
information collection. Send comments regarding this burden estimate or any other aspect of
these information collections, including suggestions for reducing the burden, to the Records and
FOIA/Privacy Services Branch (T-5 F53), U.S. Nuclear Regulatory Commission, Washington,
DC 20555-0001, or by Internet electronic mail to [email protected]; and to
the Desk Officer, Office of Information and Regulatory Affairs, NEOB-10202, (3150-0195), Office
of Management and Budget, Washington, DC 20503.
Public Protection Notification
The NRC may not conduct or sponsor, and a person is not required to respond to, a request for
information or an information collection requirement unless the requesting document displays a
currently valid OMB control number.
CONTACT
Please direct any questions about this matter to the Technical Contact listed below.
/RA/
Timothy J. McGinty, Director
Division of Policy and Rulemaking
Office of Nuclear Reactor Regulation
Technical Contact: John W. Thompson NRR/DIRS
301-415-1011
E-mail: [email protected]
Note: NRC generic communications may be found on the NRC public Web site,
http://www.nrc.gov, under Electronic Reading Room/Document Collections.
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NRR/IPAB
RFranovich (RGramm
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1/06/2009

NRR/DIRS

*Concurred by email
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FBrown

SMagruder

1/28/2009

1/29/2009

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GTrussell
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NAME

KBuddenbohn

DAllsopp

DATE

12/29/2008

1/05/2009

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2/11/2009

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2/11/2009

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SStuchell*

MMurphy

TMcGinty

DATE

2/12/2009

2/17/2009

02/19/2009

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1/29/2009

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CHawes
2/19/2009