The NRC issues regulatory guides to describe and make available to the public methods that the NRC staff considers acceptable 

for use in implementing specific parts of the agency=s regulations, techniques that the staff uses in evaluating specific problems or 

postulated accidents, and data that the staff needs in reviewing applications for permits and licenses. Regulatory guides are not 

substitutes for regulations, and compliance with them is not required. Methods and solutions that differ from those set forth in 

regulatory guides will be deemed acceptable if they provide a basis for the findings required for the issuance or continuance of a 

permit or license by the Commission. 

This guide was issued after consideration of comments received from the public. 

Regulatory guides are issued in 10 broad divisionsC1, Power Reactors; 2, Research and Test Reactors; 3, Fuels and Materials 

Facilities; 4, Environmental and Siting; 5, Materials and Plant Protection; 6, Products; 7, Transportation; 8, Occupational Health; 

9, Antitrust and Financial Review; and 10, General. 

Electronic copies of this guide and other recently issued guides are available through the NRC=s public Web site under the 

Regulatory Guides document collection of the NRC=s Electronic Reading Room at 

http://www.nrc.gov/reading-rm/doc-collections/ and through the NRC=s Agencywide Documents Access and Management 

System (ADAMS) at http://www.nrc.gov/reading-rm/adams.html, under Accession No. ML091480076. 

 U.S. NUCLEAR REGULATORY COMMISSION October 2009 

OFFICE OF NUCLEAR REGULATORY RESEARCH Revision 0 

REGULATORY GUIDE 

REGULATORY GUIDE 1.215 

(Draft was issued as DG-1204, dated March 2009)

GUIDANCE FOR ITAAC CLOSURE UNDER 10 CFR PART 52 

A. INTRODUCTION 

 This guide describes a method that the staff of the U.S. Nuclear Regulatory Commission (NRC) 

considers acceptable for use in satisfying the requirements for documenting the completion of inspections, 

tests, analyses, and acceptance criteria (ITAAC). In particular, this guide endorses the methodologies 

described in the industry guidance document Nuclear Energy Institute (NEI) 08-01, “Industry Guideline 

for the ITAAC Closure Process Under 10 CFR Part 52,” Revision 3, issued January 2009 (Ref. 1), for the 

implementation of Title 10, Section 52.99, “Inspection during construction,” of the Code of Federal 

Regulations (10 CFR 52.99) (Ref. 2). 

 The NRC issues regulatory guides to describe to the public methods that the staff considers 

acceptable for use in implementing specific parts of the agency’s regulations, to explain techniques that 

the staff uses in evaluating specific problems or postulated accidents, and to provide guidance to 

applicants. Regulatory guides are not substitutes for regulations and compliance with them is not 

required. 

 

This regulatory guide contains information collection requirements covered by 10 CFR Part 52 

that the Office of Management and Budget (OMB) approved under OMB control number 3150-0151. 

The NRC may neither conduct nor sponsor, and a person is not required to respond to, an information 

collection request or requirement unless the requesting document displays a currently valid OMB control 

number. 
RG 1.215, Page 2 

B. DISCUSSION 

Background 

 10 CFR 52.99 includes requirements for documenting and reporting the satisfaction of the 

acceptance criteria for each ITAAC in the combined license (COL). 

 This guide provides guidance on licensee notifications to the NRC for completed and 

uncompleted ITAAC. The NRC uses these notifications to determine whether ITAAC have been 

successfully completed, to facilitate public participation in the ITAAC hearing process, and for inspection 

planning. This regulatory guide describes methods that the NRC staff considers acceptable for licensees 

to use for documenting and reporting the satisfactory completion of the acceptance criteria for each 

ITAAC in the COL. This regulatory guide, through its endorsement of an industry guidance document 

for licensees, provides guidance on complying with the requirements of 10 CFR 52.99. 

1. Development of Industry Guideline Document NEI 08-01

In accordance with 10 CFR 52.97(b), COLs must contain ITAAC that are necessary and 

sufficient to provide reasonable assurance that the facility has been constructed and will operate in 

accordance with the license, the Atomic Energy Act, and NRC regulations. After issuance of a COL, a 

licensee completes all the ITAAC contained in the COL during construction and then submits closure 

notification letters to the NRC pursuant to 10 CFR 52.99. 

 Two types of ITAAC notifications from licensees are required by 10 CFR 52.99. The first type 

of ITAAC notification (ITAAC closure letter) is submitted under 10 CFR 52.99(c)(1) and informs the 

NRC of the basis for the licensee’s determination that an ITAAC has been successfully completed. 

ITAAC closure letters must be submitted for all ITAAC, with the exception of ITAAC resolved at COL 

issuance under 10 CFR 52.97(a)(2). The second type of ITAAC notification (uncomplete ITAAC 

notification letter) is submitted under 10 CFR 52.99(c)(2) at least 225 days before scheduled initial fuel 

load and describes how all uncompleted ITAAC will be successfully completed prior to fuel load. 

Operation (which includes loading fuel) cannot commence until the Commission finds under 10 

CFR 52.103(g) that all acceptance criteria in the ITAAC are met. To provide a basis for the 

Commission’s finding and to ensure that ITAAC closure notifications contain sufficient information to 

satisfy 10 CFR 52.99, the licensee can follow industry guideline NEI 08-01. 

 NEI 08-01 provides guidance for licensees on major aspects of the ITAAC closure process in the 

following sections: 

• Introduction 

• Definitions 

• General Description of 10 CFR Part 52 and ITAAC Processes 

− Role of ITAAC in 10 CFR Part 52 Process 

− ITAAC Closure Process 

− General Description of Public Hearing Opportunity 
RG 1.215, Page 3 

− Summary Description of 10 CFR 52.103 Process and Fuel Load Authorization 

Process 

• Schedule Considerations for ITAAC-Related Activities and Coordination to Support 

NRC Inspection Planning 

− Proprietary Construction Schedule Information 

− Licensee Schedule Coordination 

• Licensee Process for Review and Preparation of ITAAC Closure Letters 

− Guidance for Oversight of ITAAC Closure Activities and Maintenance of 

Records 

− Standard Format for ITAAC Closure Packages 

− Licensee Problem Identification and Resolution Program 

 

• Guidance on Sufficient Information for ITAAC Closure Letters 

• Guidance on Sufficient Information for 225-Day Notification of Uncompleted ITAAC 

• Special Topics 

− Maintaining the Validity of ITAAC Conclusions Post-ITAAC Completion 

− Criteria/Process for Withdrawal or Update of 10 CFR 52.99 ITAAC Completion 

Notices 

− Design Acceptance Criteria 

− Subsequent COL ITAAC Closure 

− Non-ITAAC Systems 

• Acronyms 

• Appendix A—Excerpts from 10 CFR Part 52 

• Appendix B—Reserved 

• Appendix C—General Description of Common ITAAC Acceptance Criteria Categories 

• Appendix D—List of ITAAC Closure Letter Examples 

• Appendix E—List of 225-Day Notification Examples 

2. Guidelines on ITAAC Closure Development and Documentation in NEI 08-01 

The staff endorses NEI 08-01, Revision 3, as an acceptable method of complying with the 

requirements of 10 CFR 52.99, subject to the comments below. NEI 08-01 provides guidance for 

licensees on major aspects of the ITAAC closure process in the following sections: 

 

Section 1 of NEI 08-01 provides an introduction to the document, a description and purpose of 

ITAAC, and the scope of topics that it will cover. 

 Section 2 of NEI 08-01 provides a list of definitions for terminology used in the guide. Some of 

these definitions will reappear in other documents such as combined license applications, design 
RG 1.215, Page 4 

certification applications, and other supporting documents. Currently certified designs have the following 

definition for “as-built:” 

 “As-built means the physical properties of the structure, system, or component following the 

 completion of its installation or construction activities at its final location at the plant site.” 

 NEI 08-01 defines “as-built” as follows: 

“As-built means the physical properties of a structure, system, or component following 

the completion of its installation or construction activities at its final location at the plant 

site. Determination of physical properties of the as-built structure, system, or component 

may be based on measurements, inspections, or tests that occur prior to installation, 

provided that subsequent fabrication, handling, installation, and testing do not alter the 

properties.” 

 COL licensees referencing already-certified designs are, of course, bound by the definitions in the 

design certification rather than the definitions in NEI 08-01, but the NRC staff believes that the NEI 08-

01 definition of “as-built” could form part of the basis for a DCD definition of “as-built” in future design 

certifications and design certification amendments. Any such DCD definition, however, should also 

reflect the additional discussion in NEI 08-01 Section 3.1.4. The second paragraph of NEI 08-01 Section 

3.1.4 states: 

“Many ITAAC require verification of ‘as-built’ SSCs. However, some of these ITAAC will 

involve measurements and/or testing that can only be conducted at the vendor site due to the 

configuration of equipment or modules or the nature of the test (e.g., measurements of reactor 

vessel internals). For these specific items where access to the component for inspection or test is 

impractical after installation in the plant, the ITAAC closure documentation (e.g., test or 

inspection record) will be generated at the vendor site and provided to the licensee.” 

 As-built inspections, tests, and analyses of ITAAC SSCs should ordinarily be performed after 

installation and construction activities at the final location at the plant site. Section 3.1.4 of NEI 08-01 

acknowledges that it may be impractical to perform some inspections and testing after installation in the 

plant. In those cases, it may be appropriate to perform inspections or tests prior to final installation (e.g., 

measuring an interior dimension prior to final assembly of a valve). 

Section 3 of NEI 08-01 provides a general description of the role of the ITAAC process in 

Subpart A, “Early Site Permits;” Subpart B, “Standard Design Certifications;” and Subpart C, “Combined 

Licenses,” of 10 CFR Part 52. The ITAAC closure process described in NEI 08-01 is consistent with 

10 CFR 52.99 requirements for verifying that the construction of a new nuclear plant matches the 

certified design and the additional criteria listed in the combined license. The discussion on “sufficient 

information” further describes the notification letters as required by 10 CFR 52.99(c)(1) and 

10 CFR 52.99(c)(2). Section 3 also discusses public hearing opportunities during construction and 

provides a summary description of the process under 10 CFR 52.103, “Operation under a Combined 

License” and its associated fuel load authorization process. 

Section 4 of NEI 08-01 provides information on schedule considerations for ITAAC-related 

activities and coordination to support NRC inspection planning. In accordance with 10 CFR 52.99, the 

licensee is required to submit an ITAAC closure schedule at 6-month intervals during plant construction. 
RG 1.215, Page 5 

Within 1 year of fuel load, that interval will decrease to 30 days. The licensee’s ITAAC closure schedule 

will allow the NRC staff to plan its oversight activities of onsite and offsite construction inspections. The 

NRC will consider any licensee claims that the submitted schedule is proprietary and should be withheld 

from public release under the Freedom of Information Act and 10 CFR 2.390 (Ref. 4). 

Section 5 of NEI 08-01 provides guidance on the licensee process for preparation and review of 

ITAAC closure letters. This section also provides guidance for licensee oversight of ITAAC closure 

activities and the maintenance of records referenced by the ITAAC closure packages. Section 5 also 

provides an outline of closure letters. This outline is further detailed in the templates contained in 

Appendix D to NEI 08-01. Section 5 includes a discussion of a licensee’s problem identification and 

resolution (PI&R) program addressing the identification and correction of deficiencies and the prevention 

of their recurrence as they relate to ITAAC completion. 

Section 6 of NEI 08-01 provides guidance on the amount of information that must be contained in 

ITAAC closure letters. ITAAC closure letters must contain sufficient information to allow the NRC to 

determine whether the ITAAC have been successfully completed. According to the SOC for the 2007 

Part 52 Rule, the closure letters mandated by 10 CFR 52.99(c)(1) must also include sufficient information 

so that interested persons will have access to information on completed ITAAC at a level of detail 

sufficient to address the Atomic Energy Act of 1954, Section 189.a(1)(B), threshold for requesting a 

hearing on whether the acceptance criteria have been, or will be, met. (Ref. 3). 

The NRC expects the notification of ITAAC completion to contain more information than just a 

simple statement that the licensee has completed the ITAAC and has met the acceptance criteria. The 

NRC expects the notification to be sufficiently complete and detailed for a reasonable person to 

understand the bases for the licensee’s representation that it has successfully completed the inspections, 

tests, and analyses and has met the acceptance criteria. The term “sufficient information” requires, at a 

minimum, a summary description of the bases for the licensee’s conclusion that it has performed the 

inspections, tests, or analyses and that it has met the prescribed acceptance criteria (Ref. 3). 

Each 10 CFR 52.99(c)(1) submittal should include sufficient information on the attributes that 

validate that the licensee has satisfied the acceptance criteria. The licensee should copy the ITAAC 

directly from the certified design and COL to the ITAAC statement. The ITAAC determination basis 

should include a clearly written, detailed process for how the licensee completed the inspections, tests, or 

analyses and should explain how the acceptance criteria have been met. Each inspection, test, or analysis 

should be detailed to clearly indicate how it was completed and should state its results. The results should 

then be compared to the acceptance criteria and should include the bases for the licensee’s conclusion that 

the acceptance criteria have been met. The submittal should also include ITAAC-related construction 

findings related to the ITAAC and their closure status, confirmation from the licensee’s official 

representative that the licensee has met the acceptance criteria, and a list of references applicable to the 

ITAAC and available for NRC review. Appendix D to NEI 08-01 presents examples of ITAAC closure 

letters. 

Section 7 of NEI 08-01 provides guidance on sufficient information for the 225-day notification 

of uncompleted ITAAC. The 225-day notification mandated by 10 CFR 52.99(c)(2) must include 

sufficient information so that interested persons will have access to information on uncompleted ITAAC 

at a level of detail sufficient to address the Atomic Energy Act of 1954, Section 189.a(1)(B), threshold for 

requesting a hearing on whether the acceptance criteria have been, or will be, met (Ref.3). In addition, 

this requirement will aid the staff in determining if the licensee will be able to satisfy the acceptance 
RG 1.215, Page 6 

criteria for a given ITAAC. The uncomplete notification will be a predictive summary for how the 

licensee plans to complete the ITAAC if that ITAAC is not completed by 225 days before scheduled fuel 

load. 

The licensee must demonstrate that it will comply with the ITAAC, and it must provide sufficient 

information to demonstrate that it will perform the prescribed inspections, tests, or analyses and will meet 

the prescribed acceptance criteria for the uncompleted ITAAC. The term “sufficient information” 

requires, at a minimum, a summary description of the bases for the licensee’s conclusion that it will 

perform the inspections, tests, or analyses and that it will meet the prescribed acceptance criteria (Ref. 3). 

In addition, “sufficient information” includes, but is not limited to, a description of the specific 

procedures and analytical methods that the licensee will use to perform the inspections, tests, and analyses 

and to determine that it has met the acceptance criteria (Ref. 2). 

Each 10 CFR 52.99(c)(2) notification should include sufficient information for both the 

completed and uncompleted elements of the ITAAC. The licensee should copy the ITAAC directly from 

the certified design and COL to the ITAAC statement. Items that the licensee has completed toward 

ITAAC closure should be accompanied by a clearly written, detailed process for how the licensee 

completed those portions of the inspections, tests, or analyses. Items that remain uncomplete for ITAAC 

closure should be accompanied by a clearly written, detailed process for how the licensee expects to 

complete those portions of the inspections, tests, or analyses and subsequently conclude that the 

acceptance criteria will be met. Each inspection, test, or analysis for both completed and uncompleted 

portions should be detailed to clearly indicate how it was, or will be, completed. The submittal should 

also include a schedule for completing the ITAAC and a list of references applicable to the ITAAC and 

available for NRC review. Appendix E to NEI 08-01 presents examples of uncomplete notifications. 

Section 8 of NEI 08-01 provides a discussion on special topics, including acceptance criteria 

preservation for closed ITAAC, withdrawals or updates to 10 CFR 52.99 completion notices, design 

acceptance criteria (DAC) procedures, subsequent COL ITAAC closure, and non-ITAAC systems. 

Section 52.103(g) states, “The licensee shall not operate the facility until the Commission makes a finding 

that the acceptance criteria in the combined license are met.” Following the completion of any ITAAC, 

the licensee must maintain the validity of the acceptance criteria of the closed ITAAC to demonstrate that 

this requirement is met. One proposed method that the licensee can use to meet this requirement is to 

include provisions in approved programs such as the quality assurance program, the maintenance 

program, the problem identification and resolution program, and the design and configuration control 

program. These provisions should include licensee plans and programs to ensure that the maintenance of 

items such as structures, systems, or components that are included in ITAAC does not invalidate the 

conclusion that the acceptance criteria are met. 

Withdrawals or updates to a 10 CFR 52.99(e)(1) Federal Register posting are possible if a 

material error or omission is found to affect the validity of a licensee’s 10 CFR 52.99(c)(1) notification 

after it has made the notification. 

 DAC are a subset and special type of ITAAC. In SECY-92-053 (Ref. 5), Use of Design 

Acceptance Criteria During 10 CFR Part 52 Design Certification Reviews, DAC were defined by the staff 

to address design areas that rapidly change or for which sufficient as-built (or, as procured) information 

is unavailable to support design analysis. For example, digital instrumentation and control (I&C) is a 

rapidly changing design area and freezing its associated design details early in a design certification stage 
RG 1.215, Page 7 

could make implementation of the certified design impractical for holders of a combined license, as the 

final I&C design and installation would be completed years after the design certification was completed. 

 DAC set forth the processes and acceptance criteria for completing design detail. DAC can be 

resolved through three different options: (1) an amendment to the design certification (generic), (2) a 

submittal as part of the combined license application (plant-specific), and (3) closure of the DAC during 

construction (plant-specific). The NRC staff prefers to resolve DAC through the amendment of the 

design certification rule or resolve DAC through the COL application review process, because these two 

scenarios would be completed before construction begins. 

 As-built ITAAC will be used to demonstrate that the as-built facility conforms to the completed 

DAC. As-built ITAAC will be resolved as part of the ITAAC closure process. The successful 

completion of the as-built ITAAC will be documented through the ITAAC completion documentation 

process described in NEI 08-01. 

 

 The DAC review and inspection process is currently being developed. Detailed guidance on 

NRC review and inspection of DAC will be documented as appropriate when complete. Types of 

documents being considered include an inspection manual chapter, the standard review plan, or other 

suitable guidance. 

 

ITAAC closure might involve closure letters that are common to each licensee of a particular 

design. After the initial closure letter on a common issue is submitted, subsequent licensees could submit 

letters referencing identical information, but this would not apply to acceptance criteria that require field 

activities. 

 Non-ITAAC systems might not have design commitments specifically listed under its system title 

but, in some cases, have design commitments listed under another system title. 

Section 9 of NEI 08-01 provides a list of acronyms used in the guide. 

Appendix A to NEI 08-01 provides excerpts from 10 CFR Part 52 that are applicable to the 

guideline’s areas of discussion. 

Appendix B to NEI 08-01 is reserved for future use. 

Appendix C to NEI 08-01 provides a general description of common ITAAC categories and 

includes discussions of categories such as calculations and analyses, test procedures, special processes, 

inspection program, American Society of Mechanical Engineers code design reports, existing reports that 

conclude that acceptance criteria are met, procurement, material control, and training and qualification. 

These discussions are intended to assist the licensee in preparing closure letters or uncomplete 

notifications for each type of ITAAC category. 

Appendix D to NEI 08-01 provides the set of ITAAC closure letters that were prepared during the 

workshops and public meetings in 2007 and 2008. 

Appendix E to NEI 08-01 provides the set of 225-day notifications that were also prepared during 

the workshops and public meetings in 2007 and 2008. Licensees can use these templates to submit 

10 CFR 52.99(c)(1) and 10 CFR 52.99(c)(2) letters. Each template contains a statement of the full 
RG 1.215, Page 8 

ITAAC as it is included in the COL or certified reactor design, a section describing the bases for 

considering the ITAAC complete, a section for an ITAAC-related construction finding review, and a 

closure statement followed by a licensee representative signature for each submittal. Licensees must 

submit a 10 CFR 52.99(c)(2) notification for each uncompleted ITAAC by the 225-day milestone before 

scheduled fuel load. The 225-day notification requires additional detail on items completed toward 

ITAAC closure and on items that must be completed in the time before the 10 CFR 52.103(g) finding. 

The staff considers these letters to be examples and anticipates that differing or additional information, 

consistent with Section 6 of NEI 08-01 (Guidance on Sufficient Information for ITAAC Closure Letters), 

may be necessary for individual ITAAC letters. Licensees should review the criteria of Sections 6 and 7 

of NEI 08-01 to determine the appropriate content. 

3. Appendices to This Regulatory Guide 

Appendix A to this regulatory guide contains the text of 10 CFR 52.99. 

 Appendix B to this regulatory guide contains the flowchart and description for the 

implementation of 10 CFR 52.99 and 10 CFR 52.103(g), which the staff developed for use in public 

workshops, as described in SECY-08-0117. (Ref. 6) The process flowchart blocks include numbered 

descriptions to further delineate each major milestone in the regulatory process of ITAAC closure and 

verification up to and including the 10 CFR 52.103(g) finding. 

C. REGULATORY POSITION 

1. NEI 08-01 

The NRC staff considers the methods discussed in NEI 08-01, Revision 3, to be acceptable for 

complying with the provisions of 10 CFR 52.99 

2. Other Documents Referenced in NEI 08-01 

NEI 08-01 references other documents, but this regulatory guide does not endorse any of the 

referenced documents. 

3. Use of Examples in NEI 08-01 

NEI 08-01 includes examples for ITAAC closure letter submittals and uncomplete notifications 

for ITAAC. Although these examples are appropriate as general templates for illustrating and reinforcing 

the guidance in NEI 08-01, the NRC’s endorsement of this industry guideline document should not be 

considered a determination that each example applies to all licensees as it is presented and written in the 

guide. A licensee should ensure that an example applies to its particular circumstances before 

implementing the guidance, or template, as described. 

4. Guidance for Site-Specific ITAAC 

For licensees who have site-specific ITAAC in their COL, the guidance in NEI 08-01 applies to 

both design certification and site-specific ITAAC closure notification development. 
RG 1.215, Page 9 

5. Use of Other Methods 

Licensees may use methods other than those provided in NEI 08-01 to meet the requirements of 

10 CFR 52.99. The staff will review such methods and determine the acceptability of other methods on a 

case-by-case basis. 

D. IMPLEMENTATION

The purpose of this section is to provide information to applicants and licensees regarding 

the NRC’s plans for using this regulatory guide. The NRC does not intend or approve any imposition or 

backfit in connection with its issuance. 

In some cases, applicants or licensees may propose or use a previously established acceptable 

alternative method for complying with specified portions of the NRC’s regulations. Otherwise, 

the methods described in this guide will be used in evaluating compliance with the applicable regulations 

for ITAAC closure. 

REGULATORY ANALYSIS / BACKFIT ANALYSIS 

 The NRC published a regulatory analysis and a backfit analysis with the draft of this guide when 

it was originally issued for public comment as Draft Regulatory Guide DG-1204, “Guidance for ITAAC 

Closure Under 10 CFR Part 52.” The NRC issued DG-1204 in March 2009 to solicit public comment on 

the draft of this new Regulatory Guide 1.215, but received no comments on the regulatory analysis or 

backfit analysis. 
RG 1.215, Page 10 

 REFERENCES1

1. NEI 08-01, “Industry Guideline for the ITAAC Closure Process under 10 CFR Part 52,” 

Revision 3, January 2009, Nuclear Energy Institute, Washington, DC. ADAMS Accession 

No. ML090270415 

2. 10 CFR Part 52.99, “Inspection during construction,” U.S. Nuclear Regulatory Commission, 

Washington, DC. 

3. Final Rule for 10 CFR Part 52 “Licenses, Certifications, and Approvals for Nuclear Power 

Plants,” August 28, 2007, 72 FR 49352, U.S. Nuclear Regulatory Commission, Washington, 

DC. 

4. 10 CFR Part 2.390, “Public inspections, exemptions, requests for withholding,” U.S. Nuclear 

Regulatory Commission, Washington, DC. 

5. SECY-92-053, “Use of Design Acceptance Criteria During 10 CFR Part 52 Design 

Certification Reviews,” U.S. Nuclear Regulatory Commission, Washington, DC. 

6. SECY-08-0117, “Staff Approach to Verify Closure of Inspections, Tests, Analyses, and 

Acceptance Criteria and to Implement Title 10 CFR 52.99, ‘Inspection During Construction,’ 

and Related Portion of 10 CFR 52.103(g) on the Commission Finding,” Enclosure 3, 

“Flowchart and Description of Implementation under 10 CFR 52.99 and 10 CFR 52.103(g),” 

U.S. Nuclear Regulatory Commission, Washington, DC. 

 

1

 Publicly available NRC published documents such as Regulations, Regulatory Guides, NUREGs, and Generic Letters 

 listed herein are available electronically through the Electronic Reading room on the NRC’s public Web site at: 

http://www.nrc.gov/reading-rm/doc-collections/. Copies are also available for inspection or copying for a fee from the 

 NRC’s Public Document Room (PDR) at 11555 Rockville Pike, Rockville, MD; the mailing address is USNRC PDR, 

 Washington, DC 20555; telephone 301-415-4737 or (800) 397-4209; fax (301) 415-3548; and e-mail 

PDR.Resource@nrc.gov. 
Appendix A to RG 1.215, Page A-1 

APPENDIX A 

TEXT OF 10 CFR 52.99 

§ 52.99 Inspection during construction.

(a) The licensee shall submit to the NRC, no later than 1 year after issuance of the combined license or at 

the start of construction as defined in 10 CFR 50.10(a), whichever is later, its schedule for completing the 

inspections, tests, or analyses in the ITAAC. The licensee shall submit updates to the ITAAC schedules 

every 6 months thereafter and, within 1 year of its scheduled date for initial loading of fuel, the licensee 

shall submit updates to the ITAAC schedule every 30 days until the final notification is provided to the 

NRC under paragraph (c)(1) of this section. 

(b) With respect to activities subject to an ITAAC, an applicant for a combined license may proceed at its 

own risk with design and procurement activities, and a licensee may proceed at its own risk with design, 

procurement, construction, and pre-operational activities, even though the NRC may not have found that 

any one of the prescribed acceptance criteria have been met. 

(c)(1) The licensee shall notify the NRC that the prescribed inspections, tests, and analyses have been 

performed and that the prescribed acceptance criteria have been met. The notification must contain 

sufficient information to demonstrate that the prescribed inspections, tests, and analyses have been 

performed and that the prescribed acceptance criteria have been met. 

(2) If the licensee has not provided, by the date 225 days before the scheduled date for initial loading of 

fuel, the notification required by paragraph (c)(1) of this section for all ITAAC, then the licensee shall 

notify the NRC that the prescribed inspections, tests, or analyses for all uncompleted ITAAC will be 

performed and that the prescribed acceptance criteria will be met prior to operation. The notification 

must be provided no later than the date 225 days before the scheduled date for initial loading of fuel, and 

must provide sufficient information to demonstrate that the prescribed inspections, tests, or analyses will 

be performed and the prescribed acceptance criteria for the uncompleted ITAAC will be met, including, 

but not limited to, a description of the specific procedures and analytical methods to be used for 

performing the prescribed inspections, tests, and analyses and determining that the prescribed acceptance 

criteria have been met. 

(d)(1) In the event that an activity is subject to an ITAAC derived from a referenced standard design 

certification and the licensee has not demonstrated that the ITAAC has been met, the licensee may take 

corrective actions to successfully complete that ITAAC or request an exemption from the standard design 

certification ITAAC, as applicable. A request for an exemption must also be accompanied by a request 

for a license amendment under § 52.98(f). 

(2) In the event that an activity is subject to an ITAAC not derived from a referenced standard design 

certification and the licensee has not demonstrated that the ITAAC has been met, the licensee may take 

corrective actions to successfully complete that ITAAC or request a license amendment under § 52.98(f). 
Appendix A to RG 1.215, Page A-2 

(e) The NRC shall ensure that the prescribed inspections, tests, and analyses in the ITAAC are performed. 

(1) At appropriate intervals until the last date for submission of requests for hearing under § 52.103(a), 

the NRC shall publish notices in the Federal Register of the NRC staff’s determination of the successful 

completion of inspections, tests, and analyses. 

(2) The NRC shall make publicly available the licensee notifications under paragraph (c)(1), and, no later 

than the date of publication of the notice of intended operation required by § 52.103(a), make available all 

licensee notifications under paragraphs (c)(1) and (c)(2) of this section. 

[57 FR 60978, Dec. 23, 1992; 72 FR 49536, Aug. 28, 2007; 72 FR 57447, Oct. 9, 2007] 
Appendix B to RG 1.215, Page B-1 

APPENDIX B 

Flowchart and Description of Implementation Under 10 CFR 52.99 and 10 CFR 5

No 

No Yes 

Yes 

No 

No 

Yes 

Yes 

No 

MC2504 MC2503 

52.99(c)(1) submittal 

(9) 

52.99(c)(2) 

Uncomplete ITAAC 

notification 

(7) 

Is the 

ITAAC 

complete? 

(1) 

Did NRC 

determine 

ITAAC 

successfully 

completed? 

(10)

More than 225 days until fuel load? (5) 

52.99(c)(1) 

submittal 

(2) 

Yes 

No 

ITAAC to be completed by licensee (8) 

Did NRC 

determine 

ITAAC 

successfully 

completed? 

(3)

Licensee needs to complITAAC and submit closuletters for each ITAAC (17) 

10 CFR 52.103(a) Commission must publish notice of intended operation 180 days before scheduled fuel load

10 CFR 52.99(c)(2) Uncomplete ITAAC notification requirement 225 days before scheduled fuel load

Start construction 52.103(g) (4 to 5 years duration)

For a given ITAAC, ITAAC is considered “closed” (11) 

FRN of staff determination for individual ITAAC or ITAAC family, as required (12) 

ITAAC considered to be work-inprogress and closure letter not submitted (6) 

Yes 

Substantiated 

information 

received that 

invalidates the 

closed status of 

any ITAAC (14)

Update FRN for affected ITAAC as appropriate (15) 

ITAAC to be reworked and/or closure letter resubmitted by licensee (4) 

Each ITAAC listed in the combined license 

Hearing contentions addressed

Timeline of Major Milestones (not to scale) 

Licensee use of developed programs to preserve the satisfaction of acceptance criteria of completed ITAAC (13) 

All 

acceptance 

criteria are 

met? (16) 
Appendix B to RG 1.215, Page B-2 

Process block descriptions: (1) This is the first decision block for any given inspection, test, analysis, and acceptance criterion (ITAAC), and the licensee needs to assess each ITAAC 

enter this block at any time during construction regardless of its completed or uncompleted status for processing through this flowchart. 

(2) If (1) is “yes,” then the licensee must submit a closure letter pursuant to 10 CFR 52.99(c)(1). (3) The U.S. Nuclear Regulatory Commission (NRC) will perform ITAAC closure verification activities, including direct inspection, engineering reviews

performance within an ITAAC family. Licensee performance within an ITAAC family is taken into consideration for determination of subsequent lic

indicates that the staff has determined that the ITAAC was successfully completed and is “closed.” “No” indicates that the ITAAC is not “closed” and 

 (4) If (3) is “no,” the NRC has determined that either the 10 CFR 52.99(c)(1) closure letter information is insufficient or that the licensee has not met the a

ITAAC. The licensee will either need to resubmit a closure letter that contains sufficient information demonstrating that it has completed the ITAAC, ITAAC and redo the inspections, tests, and analyses. In either case, the licensee will need to resubmit the 10 CFR 52.99(c)(1) closure letter. 

 (5) If (1) is “no,” the licensee needs to identify if the time to scheduled fuel load is greater than 225 days. At the 225-day milestone, the licensee is requir

uncomplete ITAAC notifications for those ITAAC not yet completed and the 10 CFR 52.99(c)(1) closure letter not yet submitted. 

 (6) If (5) is “yes,” there is no 10 CFR 52.99(c)(2) uncomplete notification required for this ITAAC, and the ITAAC under consideration is in the “work-in (7) If (5) is “no,” the licensee needs to submit to the NRC a 10 CFR 52.99(c)(2) uncomplete ITAAC notification. This notification needs to contain suffic

the licensee will perform the ITAAC. 

 (8) Entry here indicates that an individual ITAAC remains in the uncomplete population. Once the licensee concludes that it has met the acceptance criter (9) Upon successfully meeting the acceptance criteria for a given ITAAC, the licensee can submit the 10 CFR 52.99(c)(1) closure letter to the NRC. 

 (10) The NRC will perform ITAAC closure verification activities. This decision block is identical to block (3).  (11) If (10) is “yes,” the NRC staff has determined that the licensee has met the acceptance criteria.  (12) The NRC determination that the licensee has successfully completed an ITAAC is published in the Federal Register until the last date for submission 

10 CFR 52.103(a). The NRC can publish a Federal Register notice (FRN) for individual ITAAC (if needed) or multiple ITAAC (such as an entire fam

publish an FRN after the last date for submission of requests for hearings under 10 CFR 52.103(a). 

 (13) The licensee will apply developed programs such as quality assurance and maintenance to preserve the satisfaction of acceptance criteria for complete

systems, and components. 

 (14) Any substantiated information received by the NRC, including allegations, can invalidate the closed status of any ITAAC.  (15) If (14) is “yes,” then, depending on the severity of the substantiated allegation or information received, the FRN for each affected ITAAC could be up

the severity of the situation, the licensee may or may not have options available to act accordingly to preserve the FRN for the affected ITAAC. 

 (16) This process block collectively considers if the licensee has met all ITAAC acceptance criteria.  (17) If (16) is “no,” then the licensee needs to complete all ITAAC and ensure that it meets, and continues to meet, all the acceptance criteria for the 10 CF (18) At the time of the 10 CFR 52.103(g) finding, all acceptance criteria must be met, such as when (16) is “yes.” Also, this timeline and flowchart do not 

scenario whereby the Commission could authorize a period of interim operation that would allow the licensee to load fuel before making the 10 CFR 552.103(c). 

 (19) With an affirmative Commission 10 CFR 52.103(g) finding, the licensee will be authorized to load fuel and enter operational status.