POLICY ISSUE 

INFORMATION 

July 29, 2010 SECY-10-0098

FOR: The Commissioners 

FROM: Brian W. Sheron, Director 

Office of Nuclear Regulatory Research 

SUBJECT: SUMMARY OF ACTIVITIES RELATED TO GENERIC ISSUES PROGRAM 

PURPOSE

This paper provides an annual status of the Generic Issues Program and a summary of 

significant events, activities, and changes. This paper does not address any new commitments. 

BACKGROUND

In a staff requirements memorandum (SRM) related to SECY-05-0126, “Summary of Activities 

Related to Generic Safety Issues,” dated August 31, 2005 (Agencywide Document and 

Management System [ADAMS] Accession No. ML052430101), the Commission directed the 

NRC staff to develop a plan focusing renewed attention to resolve older generic issues (GIs) and 

to ensure that future GIs are resolved in a timely manner. Since that time, the staff has provided 

the following related responses: 

• A memorandum to the commission with a plan to ensure timely resolution of GIs in 

“Response to Staff Requirements Memorandum on SECY-05-0126, ‘Summary of Activities 

Related to Generic Safety Issues,’” dated March 29, 2006 (ADAMS Accession No. 

ML053570259). 

• An update and progress report to the Commission in SECY-06-0161, “Summary of Activities 

Related to Generic Safety Issues,” dated July 20, 2006 (ADAMS Accession No. 

ML061860078). 

• Improvements to be implemented through revision of Management Directive 6.4, “Generic 

Issues Program,” were described in SECY-07-0022, “Status Report on Proposed 

Improvements to the Generic Issues Program,” dated January 30, 2007 (ADAMS Accession 

No. ML063460239). 

CONTACT: Richard Perkins, RES/DRA 

 301-251-7479 
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• An update and progress report to the Commission in SECY-07-0110, “Summary of Activities 

Related to Generic Safety Issues,” dated July 6, 2007 (ADAMS Accession No. 

ML071620042). 

• An update and progress report to the Commission in SECY-08-0108, “Summary of Activities 

Related to Generic Safety Issues,” dated July 28, 2008 (ADAMS Accession No. 

ML081630158). 

• An update and progress report to the Commission in SECY-09-0106, “Summary of Activities 

Related to Generic Safety Issues,” dated July 29, 2009 (ADAMS Accession No. 

ML091410361). 

DISCUSSION

This paper addresses the current status of the program and includes discussion of the 

November 17, 2009, revision of Management Directive 6.4, “Generic Issues Program.” 

Information on active GIs can be found in the Generic Issue Management Control System 

(GIMCS) report. The GIMCS report is updated once each quarter and is available at the NRC 

public Web site on the Generic Issues Program Web page. 

Status of GIs

Since the previous annual report to the Commission (SECY-09-0106), the NRC staff closed GI163, “Multiple Steam Generator Tube Leakage,” in July 2009. Three reactor GIs remain open in 

the program. Two reactor GIs in “regulatory office implementation” will continue under other 

established programs and processes. There are no open non-reactor GIs. 

Active GIs in the Generic Issues Program 

• GI-186, “Potential Risk and Consequences of Heavy Load Drops in Nuclear Power Plants” 

(completion of all agency actions estimated in November 2010). 

• GI-193, “BWR ECCS Suction Concerns” (completion of safety/risk assessment1

 estimated in 

August 2012). GI-193 became a GI prior to the implementation of the MD6.4 criteria. 

Research is underway at Purdue University to support the safety/risk assessment. 

• GI-199, “Implications of Updated Probabilistic Seismic Hazard Estimates in Central and 

Eastern United States for Existing Plants” (completion of safety/risk assessment estimated 

in August 2010). 

The Office of Nuclear Reactor Regulation (NRR) is the lead office for GI-186. The Office of 

Nuclear Regulatory Research (RES) is the lead office for GI-193 and GI-199. 

 

1

 The 4th of a 5-stage process, this activity includes the development and implementation of an action plan. 

Safety/risk assessment may or may not be followed by the 5th stage which is regulatory assessment. 
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GIs in Regulatory Office Implementation 

The following reactor GIs have been previously transferred from the Generic Issues Program to 

NRR for regulatory office implementation: 

• GI-189, “Susceptibility of Ice Condenser and Mark III Containments to Early Failure from 

Hydrogen Combustion During a Severe Accident” (completion of all agency actions 

estimated in December 2010). 

• GI-191, “Assessment of Debris Accumulation on PWR Sump Performance” (completion of 

all agency actions estimated in June 2011). 

The status of these GIs will continue to be tracked and reported in GIMCS until completion by 

the program office. 

Performance and Changes

The November 2009 issuance of revised MD 6.4, “Generic Issues Program,” continued the 

refinement and documentation of programmatic changes that were initiated in SECY-07-0022 

(mentioned above). The implementation of the criteria specified in these documents effectively 

identifies and focuses attention on issues that can lead to improvements in regulation. The 

revision of RES Office Instruction TEC-002, “Procedures for Processing Generic Issues,” is 

continuing through coordination and is expected to be finalized during calendar year 2010. 

The program continues to encourage and facilitate proposed GIs from all sources and technical 

levels. The program staff provides in-process coordination and collaboration to an appropriate 

and practical extent. The recent publication of revised MD 6.4 reflects the following 

characteristics of the Generic Issues Program: 

• As proposed issues are evaluated against the established screening criteria, the very first 

review (the acceptance review) has a relatively low threshold for passing an issue to the 

next phase of consideration. 

• The subsequent screening review (where a panel determines if the issue will be designated 

as a formal GI) evaluates the issue against the screening criteria while applying an 

appreciably increased level of rigor. In general, this threshold is higher than in the past, 

setting up a condition where relatively fewer proposed issues are expected to be designated 

as a GI. 

• Under this process, issues that are designated as formal GIs are more likely to produce 

beneficial regulatory results as a function of their resolution. Because a smaller proportion 

of proposed issues are deemed GIs, increased emphasis can be placed on these formally 

designated issues. 

While the program continues to seek and review potential issues, the updated MD 6.4 is likely to 

drive a relatively smaller proportion of proposed issues to become generic issues. 
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Consequently, the workload ratio is expected to shift toward the evaluation and coordination of 

proposed issues. When a proposed issue is not deemed a generic issue, coordination efforts 

from the Generic Issues Program assist with the identification of other appropriate NRC 

programs, processes, or long-term research. 

Historically, issues that are declared a generic issue are likely to result in a regulatory change 

as a function of their resolution. Considering generic issues from 1983 to the present, 46 

percent were resolved with a significant regulatory change.2

 During the same time period, an 

additional 18 percent were resolved—at least in part—due to significant regulatory changes that 

occurred during the investigation of the issue (although the changes were not part of the GI 

action plan).3

 The remainder of issues during this time period (36 percent) was resolved without 

requirements or associated actions. 

 

RESOURCES

For FY2011, staff workload is expected to remain level. While the current number of active GIs 

has reduced from previous years, significant staff effort continues to be placed on the review of 

proposed generic issues and the resolution of active generic issues. Contract support to the 

Generic Issues Program is reduced because a greater proportion of work is occurring in-house 

on GI-193 and GI-199. For FY 2011, the staff estimates that the resources needed for these 

activities will total $375k and 8.9 FTE. The FTE is fully funded in the budget request and since 

the needs may vary, the funds have been requested on the shortfall list. 

Table of Budgeted Resources for FY2011 in Comparison to FY 2010 

FY 2010 FY 2011 

RES $660k and 7.7 FTE $375k and 7.7 FTE

NRR 0.8 FTE 0.8 FTE 

NMSS 0.2 FTE 0.2 FTE

FSME 0.1 FTE 0.1 FTE

NRO 0.1 FTE 0.1 FTE

 

2

 About 11 percent were resolved with policy or rules, 17 percent were resolved with generic communications, and 18 

percent were resolved with regulatory guidance for a total of 46 percent. 

3

 About 3 percent were resolved with policy or rules, 10 percent were resolved with generic communications, and 5 

percent were resolved with regulatory guidance for a total of 18 percent.
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COORDINATION

The Office of the General Counsel reviewed this package and has no legal objection. The 

Chief Financial Officer reviewed this package and determined that it has no financial impact. 

 /RA/ 

Brian W. Sheron, Director 

Office of Nuclear Regulatory Research 
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COORDINATION

The Office of the General Counsel reviewed this package and has no legal objection. The 

Chief Financial Officer reviewed this package and determined that it has no financial impact. 

 /RA/ 

Brian W. Sheron, Director 

Office of Nuclear Regulatory Research 

ADAMS Accession No.: ML101880788 EDATS: SECY-2010-0352/WITS 198300621

OFFICE RES/DRA SUNSI Review Tech Editor RES/DRA BC:RES/DRA D:RES/DRA 

NAME R. Perkins R. Perkins J. Zabel 

(via e-mail) 

J. Kauffman B. Beasley C. Lui 

DATE 07/1/10 07/1/10 07/08/10 07/9/10 07/12/10 07/14/10 

OFFICE D:RES/DE D:RES/DSA NMSS NRR NSIR NRO 

NAME M. Case 

(via e-mail) 

J. Uhle R. Reeves 

(H.Gonzalez for) 

B. Boger 

(C.Pederson for)

W. Dean 

(R.Caldwell for)

C.Ader 

(M.Lombard for)

DATE 07/20/10 07/16/10 07/28/10 07/27/10 07/27/10 07/23/10 

OFFICE FSME CFO OGC D:RES 

NAME C. Miller 

(D.White for)

L. Barnett 

(G.Peterson for) 

B. Jones B. Sheron 

DATE 07/22/10 07/28/10 07/21/10 07/29/10 

OFFICIAL RECORD COPY