POLICY ISSUE 

(Information) 

March 31, 2011 SECY-11-0046

FOR: The Commissioners 

FROM: Brian W. Sheron, Director 

 Office of Nuclear Regulatory Research 

SUBJECT: STATUS OF THE REGULATORY GUIDE UPDATE PROGRAM 

PURPOSE: 

This paper provides the Commission with the status of the Regulatory Guide (RG) Update 

Program as directed in a memorandum from Chairman Diaz entitled, “Chairman Approval of an 

Acquisition for the Office of Nuclear Regulatory Research (RES) Job Code N6332, ‘Technical 

Support for Revision of Regulatory Guides’,” dated June 15, 2006 (ML072420378). This paper 

updates the previous annual status report to the Commission in SECY-10-0037 dated 

March 25, 2010 (ML100260432). This paper contains no new commitments. 

BACKGROUND: 

Prior to the RG update program, agency staff reviewed RGs on an infrequent basis and revised 

them as resources were available. Unfortunately, this practice allowed many RGs to become 

outdated and of limited use for new licensing actions. The delays in replacing outdated RGs 

also resulted in some program offices developing alternate means to provide current guidance 

to licensees, certificate holders, applicants, and staff. These alternate means included 

NUREGs, Interim Staff Guidance (ISG), Branch Technical Positions (BTPs), Regulatory Issue 

Summaries (RISs), and other similar documents. As part of the RG update program, the staff is 

updating the outdated RGs and incorporating the latest guidance from various sources including 

NUREGs, ISGs, BTPs and RISs. 

CONTACT: R. A. Jervey, RES/DE 

 301-251-7404
The Commissioners - 2 - 

In a memorandum to the Chairman dated June 1, 2006, the Office of Research (RES) staff 

provided a plan to update the RGs in 3 years, with a focus on updating those RGs needed to 

support new reactor applications (ML061450510). The Commission responded in a 

memorandum dated June 15, 2006, that authorized $4.3 million for RES to procure contractor 

support services to assist with the RG Update Program. 

In the initial RG update plan, the library of RGs was categorized into four phases based on 

priority and available resources. Phase 1 RGs were those needed to support new plant 

licensing and were completed by March 31, 2007. Phase 2 RGs were scheduled to be 

completed by December 2008, Phase 3 RGs were to be completed by December 2009, and 

Phase 4 RGs were those to be completed after December 2009. Phases 3 and 4 RGs are 

typically those that require a longer time to develop a technical basis, are dependent on related 

activity such as rulemaking, or technical staff are not available to revise the RG sooner. The 

staff provides an annual status report on the RG Update Program to the Commission, as 

directed in the SRM for SECY-07-0208, dated January 10, 2008. The most recent annual report 

was SECY 10-0037 dated March 25, 2010 (ML100260432). 

Purpose of RGs

NRC uses RGs to inform the public and provide guidance to applicants, licensees, and 

certificate holders. RGs also identify techniques used to evaluate specific problems or 

postulated accidents. Using methods, processes, or formats already found acceptable by the 

staff for meeting the regulations can substantially reduce the time spent on a regulatory activity 

of interest to either NRC staff or licensees. 

RGs are not substitutes for regulations and compliance with them is not required. Licensees, 

certificate holders, and applicants may propose alternate approaches, although additional staff 

time may be required for a review of an alternate methodology. Most RGs are publicly 

available; however, some security RGs are restricted if they contain safeguards information or 

sensitive unclassified non-safeguards information (SUNSI). 

Summary of RG Development Process

The RG update program is an agencywide process typically involving RES and the five other 

headquarters program offices, the Office of the General Counsel (OGC), the Advisory 

Committee on Reactor Safeguards (ACRS), and the Office of Administration (ADM). The first 

step in developing or revising a guide is to develop the technical basis. This can be 

accomplished by the program office responsible for the RG, by the RES staff, or by a contractor. 

The staff uses the technical basis to develop draft RGs (also known as draft guides or DGs) for 

internal review and concurrence by the appropriate NRC program offices and OGC. Once the 

internal review is completed, the draft RG is made publicly available in the Agencywide 

Documents Access and Management System (ADAMS) and a notice is published in the Federal 

Register announcing the availability of the document and requesting public comments. If, in 

response to the comments received, the original draft RG is substantially changed, it may be 

issued for a second round of internal review and concurrence. If little or no change is made in 

response to comments, the RG undergoes a second review by OGC and is then issued as final 

and announced in the Federal Register. The complete process to prepare a draft RG, publish 

for comment, resolve comments, and publish an approved final RG typically takes more than a 

year using staff resources. 
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The ACRS has an opportunity to review the RG both before it is issued as draft for public 

comment and before it is issued as a final guide. However, the ACRS has waived review of 

selected DGs when review of the associated final RG is sufficient to meet their interests. RGs 

of interest to the radiation protection community are provided to the Advisory Committee on the 

Medical Uses of Isotopes for its review and comment. The Committee for Review of Generic 

Requirements is also consulted as needed. 

DISCUSSION: 

In the annual status report in SECY 08-0105 dated July 17, 2008 (ML073340245), the staff 

informed the Commission of delays in the RG update project effort and the reasons for the 

delays, including changing priorities and revisions in staff resource allocations. The following 

table summarizes the project status against the schedules committed to in SECY-08-0105. 

Schedules in SECY-08-0105 Status as of Dec. 31, 2010 

Phase 1 & 2 RGs to be completed by 12/2008 98% Completed* 

Withdrawal of identified RGs by 12/2010 100% Completed 

Phase 3 & 4 RGs scheduled to be completed after 

12/2009 

12% Completed 

*Proposed Rev. 2 of RG 5.62 (DG-5019), “Reporting of Safeguards Events” was deferred to 

align with 10 CFR Part 73 rulemaking.

The following table summarizes the accomplishments of the update project through CY 2010. 

Category RGs in 2010 RGs to date 

Revised 21 80 

Acceptable as-is 13 15 

Withdrawn 14 104 

In review and concurrence process (working) 36 - 

Deferred since update project initiation - 115 

Still on original schedule N/A 69 

Total RGs (approximate) 84 445 

All of the RGs remaining to be reviewed or developed are scheduled according to level of 

interest from stakeholders, the time required to develop and properly document the revised 

technical basis, the availability of technical staff to prepare the revision, and coordination with 

related activities (e.g., rulemaking or standards development). However, agency requirements 

to support higher-priority tasks and changes in staff resource allocations have resulted in fewer 

staff resources for RG update work and deferrals of a significant number of RGs. Some of the 

program offices have supported the RG Update Program by using part-time employees, rehired 

annuitants, and contractor support to develop RG updates. The time required to develop and 

issue a final RG with the help of these resources has been about 2 years. As a result, the RG 

Update Program has extended beyond the originally anticipated completion dates. The RES 

staff reviews and updates schedules in cooperation with the NRC program offices and 

appropriate committees at regular intervals to help ensure that available resources are directed 

to the highest-priority RGs. 
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In SECY-07-0208, “Proposal for Updating Office of Nuclear Material Safety and SafeguardsCognizant Regulatory Guides,” Nuclear Material Safety and Safeguards (NMSS) staff initially 

identified 89 NMSS RGs that were candidates for either update or withdrawal. However, as the 

program has developed, NMSS staff has determined that the final number of RGs to be issued 

by the end of the RG update program will be less than 89 due to withdrawals of RGs, updates in 

information, or incorporation of RGs into other RGs. The final number of RGs to be issued has 

yet to be determined, but NMSS does not foresee any issues that would preclude the staff from 

completing the updates. As of March 15, 2011, the status of the NMSS RG review program 

reflects the following: 

• 8 RGs have been issued in final (7 related to fuel cycle facilities and 1 related to material 

control and accountability [10 CFR Part 74]) 

• 66 RGs are under active development (related to fuel cycle facilities, material control and 

accountability, transportation, and reprocessing) [Note: staff expects this number to be 

lower as the review/update program continues] 

• 5 RGs related to transportation have been withdrawn 

• 5 RGs related to transportation have staff determination that a review/update was not 

necessary 

• 5 RGs have been deferred due to technical, policy and/or budget issues (2 related to fuel 

cycle facilities and 3 related to transportation) 

Improvements to the RG Development Process

The staff is working to complete an update of all of the RGs identified in 2006. Although many 

of the RGs have been brought up to date, staff guidance continues to evolve to meet new 

developments. As a result, a need exists to update the RGs on an ongoing basis to preclude 

the situation that required the RG update program to be initiated. The staff has begun a new 

practice to either schedule a default review period of 5 years for each RG after it is revised or 

reviewed, or to tie the review schedule to known activities such as ASME code case 

evaluations, the rulemaking schedule, or technical basis standards updates. Progress on this 

effort will continue to be included in the annual RG status update that is provided to the 

Commission. The staff’s accomplishments with periodic RG reviews are summarized below. 

Category CY10 Program to Date 

Newly issued 6 29 

Revised since initial update 4 9 

Acceptable as-is from Update Project 13 14 

Under revision 4 - 

Totals 27 42 

The staff is also working to clarify how the RGs are used in our regulatory processes. In a letter 

to OGC dated June 4, 2010 (ML101970353), the Nuclear Energy Institute (NEI) presented the 

opinion that NRC’s publication of RGs is not in full compliance with the agency’s stated backfit 

policy because the NRC does not provide backfit analyses upon issuing interpretive guidance. 

The NRC responded in a letter dated July 14, 2010 (ML101960180), stating in part that OGC 

and the staff would examine whether the current backfitting language accompanying the 

issuance of interpretive guidance should be revised to clarify backfitting positions. The staff and 

OGC have been working for several months to revise the “Implementation” section of the RGs
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currently under review. New language for nuclear power reactor guidance has been developed 

and included in some new draft RGs to provide a clearer understanding of how NRC plans to 

use the guidance. The NRC has received additional comments on the redrafted language from 

NEI. The staff and OGC will continue its activities to develop clear language for the 

Implementation sections of both nuclear power reactor and materials RGs. 

In 2010, RES initiated a new Management Directive, MD 6.6, “Regulatory Guides,” to promote 

better understanding and consistency of the RG development process. The MD is in final 

approval prior to publishing by the Office of Administration. 

RESOURCES: 

This resource section discusses the funding directed to contractor support to develop the 

technical basis documents for development of RGs. The program offices use the technical 

bases to prepare the draft RG that is sent to the Regulatory Guide Development Branch in RES 

for processing into a final RG. 

The average cost for contracted technical support is about $100K per RG. The RES staff in 

consultation with the program offices determines the technical bases that can be developed by 

the staff and which bases need contractor support. To date, 92 RGs have been identified as 

requiring contractor support, and approximately half of these have been funded. The staff has 

not yet issued statements of work or task orders for the development of the technical basis 

documents for the remainder of the RGs for various scheduling reasons. In a memorandum to 

the Chairman dated November 2, 2009 (ML090620075), the RES staff requested approval to 

initiate a new commercial contract and identified revised costs and additional resources required 

to support scheduled RG revisions for the time period FY 2010–FY 2014. The Chairman 

approved the new procurement in a memorandum dated December 2, 2009 (ML093441233), 

and the contract was awarded on January 3, 2011. 

RES included $650K in the FY 2011 President’s Budget to complete funding of the existing 

technical support contract until December 2011. In addition, RES included $1.56 million in the 

FY 2011 budget and $850K in the FY 2012 budget for the new technical support contract. 

Additional resources (if needed) will be addressed during the FY 2013 – FY 2015 Planning, 

Budgeting, and Performance Management process. 

COORDINATION: 

OGC reviewed this Commission paper and has no legal objection. The Office of the Chief 

Financial Officer has reviewed this paper for resource implications and has no objections. 

 /RA/ 

 Brian W. Sheron, Director 

 Office of Nuclear Regulatory Research 
The Commissioners - 5 - 

currently under review. New language for nuclear power reactor guidance has been developed 

and included in some new draft RGs to provide a clearer understanding of how NRC plans to 

use the guidance. The NRC has received additional comments on the redrafted language from 

NEI. The staff and OGC will continue its activities to develop clear language for the 

Implementation sections of both nuclear power reactor and materials RGs. 

In 2010, RES initiated a new Management Directive, MD 6.6, “Regulatory Guides,” to promote 

better understanding and consistency of the RG development process. The MD is in final 

approval prior to publishing by the Office of Administration. 

RESOURCES: 

This resource section discusses the funding directed to contractor support to develop the 

technical basis documents for development of RGs. The program offices use the technical 

bases to prepare the draft RG that is sent to the Regulatory Guide Development Branch in RES 

for processing into a final RG. 

The average cost for contracted technical support is about $100K per RG. The RES staff in 

consultation with the program offices determines the technical bases that can be developed by 

the staff and which bases need contractor support. To date, 92 RGs have been identified as 

requiring contractor support, and approximately half of these have been funded. The staff has 

not yet issued statements of work or task orders for the development of the technical basis 

documents for the remainder of the RGs for various scheduling reasons. In a memorandum to 

the Chairman dated November 2, 2009 (ML090620075), the RES staff requested approval to 

initiate a new commercial contract and identified revised costs and additional resources required 

to support scheduled RG revisions for the time period FY 2010–FY 2014. The Chairman 

approved the new procurement in a memorandum dated December 2, 2009 (ML093441233), 

and the contract was awarded on January 3, 2011. 

RES included $650K in the FY 2011 President’s Budget to complete funding of the existing 

technical support contract until December 2011. In addition, RES included $1.56 million in the 

FY 2011 budget and $850K in the FY 2012 budget for the new technical support contract. 

Additional resources (if needed) will be addressed during the FY 2013 – FY 2015 Planning, 

Budgeting, and Performance Management process. 

COORDINATION: 

OGC reviewed this Commission paper and has no legal objection. The Office of the Chief 

Financial Officer has reviewed this paper for resource implications and has no objections. 

 /RA/ 

 Brian W. Sheron, Director 

 Office of Nuclear Regulatory Research 

ADAMS Accession No.: ML103430552 WITS200800100/EDATS: SECY-2010-0180 

OFFICE RES/DE/RGDB RES/DE/RGDB RES/DE TECH EDITOR FSME NRR 

NAME R. Jervey T.H.Boyce M. Case J. Zabel 

(via email) 

C. Miller (by 

S.Moore via email)

E. Leeds 

(by T.Blount, via 

email) 

DATE 2/7/2011 3/17/11 2/10/11 12/16/10 2/23/11 2/24/11 

OFFICE NRO NSIR NMSS CFO OGC D: RES 

NAME M. Johnson (by 

D.Matthews, via email) 

J. Wiggins (by 

M.Evans, via email) 

C. Haney (by J. 

Kinneman via email) 

J. Dyer (by 

G.Peterson, via email)

G. Mizuno 

(via email) 

B. Sheron 
The Commissioners - 6 - 

DATE 2/17/11 2/28/11 3/22/11 2/25/11 3/7/11 3/31/11 

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