[Title 10 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2001 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

                    10


          Parts 51 to 199

                         Revised as of January 1, 2001

Energy





          Containing a codification of documents of general 
          applicability and future effect
          As of January 1, 2001
          With Ancillaries
          Published by:
          Office of the Federal Register
          National Archives and Records
          Administration

A Special Edition of the Federal Register



[[Page ii]]

                                      




                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2001



  For sale by the Superintendent of Documents, U.S. Government Printing 
                                  Office
 Internet: bookstore.gpo.gov    Phone: (202) 512-1800    Fax: (202) 512-
                                   2250
                Mail: Stop SSOP, Washington, DC 20402-0001



[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 10:
          Chapter I--Nuclear Regulatory Commission (Continued)       3
  Finding Aids:
      Material Approved for Incorporation by Reference........     683
      Table of CFR Titles and Chapters........................     685
      Alphabetical List of Agencies Appearing in the CFR......     703
      List of CFR Sections Affected...........................     713



[[Page iv]]


      


                     ----------------------------

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  10 CFR 51.1 refers 
                       to title 10, part 51, 
                       section 1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, January 1, 2001), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
amendments to existing regulations in the CFR. These OMB numbers are 
placed as close as possible to the applicable recordkeeping or reporting 
requirements.

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
info@fedreg.nara.gov.

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
a day. For payment by check, write to the Superintendent of Documents, 
Attn: New Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. For GPO 
Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, the LSA (List of 
CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers, Weekly Compilation of Presidential 
Documents and the Privacy Act Compilation are available in electronic 
format at www.access.gpo.gov/nara (``GPO Access''). For more 
information, contact Electronic Information Dissemination Services, U.S. 
Government Printing Office. Phone 202-512-1530, or 888-293-6498 (toll-
free). E-mail, gpoaccess@gpo.gov.
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA 
site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

January 1, 2001.



[[Page ix]]



                               THIS TITLE

    Title 10--Energy is composed of four volumes. The parts in these 
volumes are arranged in the following order: parts 1-50, 51-199, 200-499 
and part 500-end. The first and second volumes containing parts 1-199 
are comprised of chapter I-- Nuclear Regulatory Commission. The third 
and fourth volumes containing part 200-end are comprised of chapters II, 
III and X--Department of Energy, and chapter XVII--Defense Nuclear 
Facilities Safety Board. The contents of these volumes represent all 
current regulations codified under this title of the CFR as of January 
1, 2001.

[[Page x]]





[[Page 1]]



                            TITLE 10--ENERGY




                  (This book contains parts 51 to 199)

  --------------------------------------------------------------------
                                                                    Part

Chapter I--Nuclear Regulatory Commission (Continued)........          51

[[Page 3]]



                CHAPTER I--NUCLEAR REGULATORY COMMISSION




  --------------------------------------------------------------------
Part                                                                Page
51              Environmental protection regulations for 
                    domestic licensing and related 
                    regulatory functions....................           5
52              Early site permits; standard design 
                    certifications; and combined licenses 
                    for nuclear power plants................          55
53              [Reserved]

54              Requirements for renewal of operating 
                    licenses for nuclear power plants.......          95
55              Operators' licenses.........................         101
60              Disposal of high-level radioactive wastes in 
                    geologic repositories...................         118
61              Licensing requirements for land disposal of 
                    radioactive waste.......................         152
62              Criteria and procedures for emergency access 
                    to non-federal and regional low-level 
                    waste disposal facilities...............         179
70              Domestic licensing of special nuclear 
                    material................................         187
71              Packaging and transportation of radioactive 
                    material................................         246
72              Licensing requirements for the independent 
                    storage of spent nuclear fuel and high-
                    level radioactive waste.................         291
73              Physical protection of plants and materials.         346
74              Material control and accounting of special 
                    nuclear material........................         422
75              Safeguards on nuclear material--
                    implementation of US/IAEA agreement.....         439
76              Certification of gaseous diffusion plants...         452
81              Standard specifications for the granting of 
                    patent licenses.........................         477
95              Facility security clearance and safeguarding 
                    of national security information and 
                    restricted data.........................         485
100             Reactor site criteria.......................         502
110             Export and import of nuclear equipment and 
                    material................................         517

[[Page 4]]

140             Financial protection requirements and 
                    indemnity agreements....................         565
150             Exemptions and continued regulatory 
                    authority in Agreement States and in 
                    offshore waters under section 274.......         641
160             Trespassing on Commission property..........         652
170             Fees for facilities, materials, import and 
                    export licenses, and other regulatory 
                    services under the Atomic Energy Act of 
                    1954, as amended........................         653
171             Annual fees for reactor licenses and fuel 
                    cycle licenses and materials licenses, 
                    including holders of certificates of 
                    compliance, registrations, and quality 
                    assurance program approvals and 
                    government agencies licensed by the NRC.         667
172-199         [Reserved]

[[Page 5]]



PART 51--ENVIRONMENTAL PROTECTION REGULATIONS FOR DOMESTIC LICENSING AND RELATED REGULATORY FUNCTIONS--Table of Contents




Sec.
51.1  Scope.
51.2  Subparts.
51.3  Resolution of conflict.
51.4  Definitions.
51.5  Interpretations.
51.6  Specific exemptions.

 Subpart A--National Environmental Policy Act--Regulations Implementing 
                             Section 102(2)

51.10  Purpose and scope of subpart; application of regulations of 
          Council on Environmental Quality.
51.11  Relationship to other subparts. [Reserved]
51.12  Application of subpart to ongoing environmental work.
51.13  Emergencies.
51.14  Definitions.
51.15  Time schedules.
51.16  Proprietary information.
51.17  Information collection requirements; OMB approval.

                         Preliminary Procedures

           classification of licensing and regulatory actions

51.20  Criteria for and identification of licensing and regulatory 
          actions requiring environmental impact statements.
51.21  Criteria for and identification of licensing and regulatory 
          actions requiring environmental assessments.
51.22  Criterion for categorical exclusion; identification of licensing 
          and regulatory actions eligible for categorical exclusion or 
          otherwise not requiring environmental review.
51.23  Temporary storage of spent fuel after cessation of reactor 
          operation--generic determination of no significant 
          environmental impact.

determinations to prepare environmental impact statements, environmental 
assessments or findings of no significant impact, and related procedures

51.25  Determination to prepare environmental impact statement or 
          environmental assessment; eligibility for categorical 
          exclusion.
51.26  Requirement to publish notice of intent and conduct scoping 
          process.
51.27  Notice of intent.

                                 scoping

51.28  Scoping--participants.
51.29  Scoping--environmental impact statement.

                        environmental assessment

51.30  Environmental assessment.
51.31  Determinations based on environmental assessment.

                    finding of no significant impact

51.32  Finding of no significant impact.
51.33  Draft finding of no significant impact; distribution.
51.34  Preparation of finding of no significant impact.
51.35  Requirement to publish finding of no significant impact; 
          limitation on Commission action.

   Environmental Reports and Information--Requirements Applicable to 
                Applicants and Petitioners for Rulemaking

                                 general

51.40  Consultation with NRC staff.
51.41  Requirement to submit environmental information.

               environmental reports--general requirements

51.45  Environmental report.

      environmental reports--production and utilization facilities

51.50  Environmental report--construction permit stage.
51.51  Uranium fuel cycle environmental data--Table S-3.
51.52  Environmental effects of transportation of fuel and waste--Table 
          S-4.
51.53  Postconstruction environmental reports.
51.54  Environmental report--manufacturing license.
51.55  Environmental report--number of copies; distribution.

                environmental reports--materials licenses

51.60  Environmental report--materials licenses.
51.61  Environmental report--independent spent fuel storage installation 
          (ISFSI) or monitored retrievable storage installation (MRS) 
          license.
51.62  Environmental report--land disposal of radioactive waste licensed 
          under 10 CFR part 61.
51.66  Environmental report--number of copies; distribution.
51.67  Environmental information concerning geologic repositories.

                    environmental reports--rulemaking

51.68  Environmental report--rulemaking.

[[Page 6]]

51.69  Environmental report--number of copies.

                     Environmental Impact Statements

       draft environmental impact statements--general requirements

51.70  Draft environmental impact statement--general.
51.71  Draft environmental impact statement--contents.
51.72  Supplement to draft environmental impact statement.
51.73  Request for comments on draft environmental impact statement.
51.74  Distribution of draft environmental impact statement and 
          supplement to draft environmental impact statement; news 
          releases.

   draft environmental impact statements--production and utilization 
                               facilities

51.75  Draft environmental impact statement--construction permit.
51.76  Draft environmental impact statement--manufacturing license.
51.77  Distribution of draft environmental impact statement.

        draft environmental impact statements--materials licenses

51.80  Draft environmental impact statement--materials license.
51.81  Distribution of draft environmental impact statement.

            draft environmental impact statements--rulemaking

51.85  Draft environmental impact statement--rulemaking.
51.86  Distribution of draft environmental impact statement.

 legislative environmental impact statements--proposals for legislation

51.88  Proposals for legislation.

       final environmental impact statements--general requirements

51.90  Final environmental impact statement--general.
51.91  Final environmental impact statement--contents.
51.92  Supplement to final environmental impact statement.
51.93  Distribution of final environmental impact statement and 
          supplement to final environmental impact statement; news 
          releases.
51.94  Requirement to consider final environmental impact statement.

   final environmental impact statements--production and utilization 
                               facilities

51.95  Postconstruction environmental impact statements.

        final environmental impact statements--materials licenses

51.97  Final environmental impact statement--materials license.

            final environmental impact statements--rulemaking

51.99  [Reserved]

                NEPA Procedure and Administrative Action

                                 general

51.100  Timing of Commission action.
51.101  Limitations on actions.
51.102  Requirement to provide a record of decision; preparation.
51.103  Record of decision--general.
51.104  NRC proceeding using public hearings; consideration of 
          environmental impact statement.

                  production and utilization facilities

51.105  Public hearings in proceedings for issuance of construction 
          permits or licenses to manufacture.
51.106  Public hearings in proceedings for issuance of operating 
          licenses.

                           materials licenses

51.108  [Reserved]
51.109  Public hearings in proceedings for issuance of materials license 
          with respect to a geologic repository.

                               rulemaking

51.110  [Reserved]

         Public Notice of and Access to Environmental Documents

51.116  Notice of intent.
51.117  Draft environmental impact statement--notice of availability.
51.118  Final environmental impact statement--notice of availability.
51.119  Publication of finding of no significant impact; distribution.
51.120  Availability of environmental documents for public inspection.
51.121  Status of NEPA actions.
51.122  List of interested organizations and groups.
51.123  Charges for environmental documents; distribution to public; 
          distribution to governmental agencies.

                               Commenting

51.124  Commission duty to comment.

[[Page 7]]

                          Responsible Official

51.125  Responsible official.

Appendix A to Subpart A--Format for Presentation of Material in 
          Environmental Impact Statements
Appendix B to Subpart A--Environmental Effect of Renewing the Operating 
          License of a Nuclear Power Plant

    Authority: Sec. 161, 68 Stat. 948, as amended, sec. 1701, 106 Stat. 
2951, 2952, 2953, (42 U.S.C. 2201, 2297f); secs. 201, as amended, 202, 
88 Stat. 1242, as amended, 1244 (42 U.S.C. 5841, 5842). Subpart A also 
issued under National Environmental Policy Act of 1969, secs. 102, 104, 
105, 83 Stat. 853-854, as amended (42 U.S.C. 4332, 4334, 4335); and Pub. 
L. 95-604, Title II, 92 Stat. 3033-3041; and sec. 193, Pub. L. 101-575, 
104 Stat. 2835 (42 U.S.C. 2243). Sections 51.20, 51.30, 51.60, 51.80. 
and 51.97 also issued under secs. 135, 141, Pub. L. 97-425, 96 Stat. 
2232, 2241, and sec. 148, Pub. L. 100-203, 101 Stat. 1330-223 (42 U.S.C. 
10155, 10161, 10168). Section 51.22 also issued under sec. 274, 73 Stat. 
688, as amended by 92 Stat. 3036-3038 (42 U.S.C. 2021) and under Nuclear 
Waste Policy Act of 1982, sec 121, 96 Stat. 2228 (42 U.S.C. 10141). 
Sections 51.43, 51.67, and 51.109 also under Nuclear Waste Policy Act of 
1982, sec 114(f), 96 Stat. 2216, as amended (42 U.S.C. 10134(f)).

    Source: 49 FR 9381, Mar. 12, 1984, unless otherwise noted.



Sec. 51.1  Scope.

    This part contains environmental protection regulations applicable 
to NRC's domestic licensing and related regulatory functions. These 
regulations do not apply to export licensing matters within the scope of 
part 110 of this chapter or to any environmental effects which NRC's 
domestic licensing and related regulatory functions may have upon the 
environment of foreign nations. Subject to these limitations, the 
regulations in this part implement:
    (a) Section 102(2) of the National Environmental Policy Act of 1969, 
as amended.



Sec. 51.2  Subparts.

    (a) The regulations in subpart A of this part implement section 
102(2) of the National Environmental Policy Act of 1969, as amended.



Sec. 51.3  Resolution of conflict.

    In any conflict between a general rule in subpart A of this part and 
a special rule in another subpart of this part or another part of this 
chapter applicable to a particular type of proceeding, the special rule 
governs.



Sec. 51.4  Definitions.

    As used in this part:
    Act means the Atomic Energy Act of 1954 (Pub. L. 83-703, 68 Stat. 
919) including any amendments thereto.
    Commission means the Nuclear Regulatory Commission or its authorized 
representatives.
    NRC means the Nuclear Regulatory Commission, the agency established 
by Title II of the Energy Reorganization Act of 1974, as amended.
    NRC staff means any NRC officer or employee or his/her authorized 
representative, except a Commissioner, a member of a Commissioner's 
immediate staff, an Atomic Safety and Licensing Board, an Atomic Safety 
and Licensing Appeal Board, a presiding officer, an administrative 
judge, an administrative law judge, or any other officer or employee of 
the Commission who performs adjudicatory functions.
    NRC Staff Director means:

    Executive Director for Operations;
    Director, Office of Nuclear Reactor Regulation;
    Director, Office of Nuclear Material Safety and Safeguards;
    Director, Office of Nuclear Regulatory Research;
    Director, Office of Governmental and Public Affairs; and
    The designee of any NRC staff director.

[49 FR 9381, Mar. 12, 1984, as amended at 51 FR 35999, Oct. 8, 1986; 52 
FR 31612, Aug. 21, 1987]



Sec. 51.5  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the regulations in this part by any officer or 
employee of the Commission other than a written interpretation by the 
General Counsel will be recognized to be binding upon the Commission.



Sec. 51.6  Specific exemptions.

    The Commission may, upon application of any interested person or 
upon its own initiative, grant such exemptions from the requirements of 
the regulations in this part as it determines are authorized by law and 
are otherwise in the public interest.

[[Page 8]]



 Subpart A--National Environmental Policy Act--Regulations Implementing 
                             Section 102(2)



Sec. 51.10  Purpose and scope of subpart; application of regulations of Council on Environmental Quality.

    (a) The National Environmental Policy Act of 1969, as amended (NEPA) 
directs that, to the fullest extent possible: (1) The policies, 
regulations, and public laws of the United States shall be interpreted 
and administered in accordance with the policies set forth in NEPA, and 
(2) all agencies of the Federal Government shall comply with the 
procedures in section 102(2) of NEPA except where compliance would be 
inconsistent with other statutory requirements. The regulations in this 
subpart implement section 102(2) of NEPA in a manner which is consistent 
with the NRC's domestic licensing and related regulatory authority under 
the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act 
of 1974, as amended, and the Uranium Mill Tailings Radiation Control Act 
of 1978, and which reflects the Commission's announced policy to take 
account of the regulations of the Council on Environmental Quality 
published November 29, 1978 (43 FR 55978-56007) voluntarily, subject to 
certain conditions. This subpart does not apply to export licensing 
matters within the scope of part 110 of this chapter nor does it apply 
to any environmental effects which NRC's domestic licensing and related 
regulatory functions may have upon the environment of foreign nations.
    (b) The Commission recognizes a continuing obligation to conduct its 
domestic licensing and related regulatory functions in a manner which is 
both receptive to environmental concerns and consistent with the 
Commission's responsibility as an independent regulatory agency for 
protecting the radiological health and safety of the public. 
Accordingly, the Commission will:
    (1) Examine any future interpretation or change to the Council's 
NEPA regulations;
    (2) Follow the provisions of 40 CFR 1501.5 and 1501.6 relating to 
lead agencies and cooperating agencies, except that the Commission 
reserves the right to prepare an independent environmental impact 
statement whenever the NRC has regulatory jurisdiction over an acitivity 
even though the NRC has not been designated as lead agency for 
preparation of the statement; and
    (3) Reserve the right to make a final decision on any matter within 
the NRC's regulatory authority even though another agency has made a 
predecisional referral of an NRC action to the Council under the 
procedures of 40 CFR part 1504.
    (c) The regulations in this subpart 1 also address the 
limitations imposed on NRC's authority and responsibility under the 
National Environmental Policy Act of 1969, as amended, by the Federal 
Water Pollution Control Act Amendments of 1972, Pub. L. 92-500, 86 Stat. 
816 et seq. (33 U.S.C. 1251 et seq.) In accordance with section 
511(c)(2) of the Federal Water Pollution Control Act (86 Stat. 893, 33 
U.S.C 1371(c)(2)) the NRC recognizes that responsibility for Federal 
regulation of nonradiological pollutant discharges 2 into 
receiving waters rests by statute with the Environmental Protection 
Agency.
---------------------------------------------------------------------------

    \1\ See also Second Memorandum of Understanding Regarding 
Implementation of Certain NRC and EPA Responsibilities and Policy 
Statement on Implementation of Section 511 of the Federal Water 
Pollution Control Act (FWPCA) attached as Appendix A thereto, which were 
published in the Federal Register on December 31, 1975 (40 FR 60115) and 
became effective January 30, 1976.
    \2\ On June 1, 1976, the U.S. Supreme Court held that ```pollutants' 
subject to regulation under the FWPCA [Federal Water Pollution Control 
Act] do not include source, byproduct, and special nuclear materials, . 
. .'' Train v. Colorado PIRG, 426 U.S. 1 at 25.
---------------------------------------------------------------------------

    (d) Commission actions initiating or relating to administrative or 
judicial civil or criminal enforcement actions or proceedings are not 
subject to Section 102(2) of NEPA. These actions include issuance of 
notices of violation, orders, and denials of requests for action 
pursuant to subpart B of part 2 of this chapter; matters covered by part 
15 and part 160 of this chapter; and issuance of confirmatory action 
letters, bulletins, generic letters, notices

[[Page 9]]

---------------------------------------------------------------------------
of deviation, and notices of nonconformance.

[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 43578, Oct. 26, 1989; 61 
FR 43408, Aug. 22, 1996]



Sec. 51.11  Relationship to other subparts. [Reserved]



Sec. 51.12  Application of subpart to ongoing environmental work.

    (a) Except as otherwise provided in this section, the regulations in 
this subpart shall apply to the fullest extent practicable to NRC's 
ongoing environmental work.
    (b) No environmental report or any supplement to an environmental 
report filed with the NRC and no environmental assessment, environmental 
impact statement or finding of no significant impact or any supplement 
to any of the foregoing issued by the NRC before June 7, 1984, need be 
redone and no notice of intent to prepare an environmental impact 
statement or notice of availability of these environmental documents 
need be republished solely by reason of the promulgation on March 12, 
1984, of this revision of part 51.

[49 FR 9381, Mar. 12, 1984, as amended at 49 FR 24513, June 14, 1984]



Sec. 51.13  Emergencies.

    Whenever emergency circumstances make it necessary and whenever, in 
other situations, the health and safety of the public may be adversely 
affected if mitigative or remedial actions are delayed, the Commission 
may take an action with significant environmental impact without 
observing the provisions of these regulations. In taking an action 
covered by this section, the Commission will consult with the Council as 
soon as feasible concerning appropriate alternative NEPA arrangements.



Sec. 51.14  Definitions.

    (a) As used in this subpart:
    Categorical Exclusion means a category of actions which do not 
individually or cumulatively have a significant effect on the human 
environment and which the Commission has found to have no such effect in 
accordance with procedures set out in Sec. 51.22, and for which, 
therefore, neither an environmental assessment nor an environmental 
impact statement is required.
    Cooperating Agency means any Federal agency other than the NRC which 
has jurisdiction by law or special expertise with respect to any 
environmental impact involved in a proposal (or a reasonable 
alternative) for legislation or other major Federal action significantly 
affecting the quality of the human environment. By agreement with the 
Commission, a State or local agency of similar qualifications or, when 
the effects are on a reservation, an Indian Tribe, may become a 
cooperating agency.
    Council means the Council on Environmental Quality (CEQ) established 
by Title II of NEPA.
    DOE means the U.S. Department of Energy or its duly authorized 
representatives.
    Environmental Assessment means a concise public document for which 
the Commission is responsible that serves to:
    (1) Briefly provide sufficient evidence and analysis for determining 
whether to prepare an environmental impact statement or a finding of no 
significant impact.
    (2) Aid the Commission's compliance with NEPA when no environmental 
impact statement is necessary.
    (3) Facilitate preparation of an environmental impact statement when 
one is necessary.
    Environmental document includes an environmental assessment, an 
environmental impact statement, a finding of no significant impact, an 
environmental report and any supplements to or comments upon those 
documents, and a notice of intent.
    Environmental Impact Statement means a detailed written statement as 
required by section 102(2)(C) of NEPA.
    Environmental report means a document submitted to the Commission by 
an applicant for a permit, license, or other form of permission, or an 
amendment to or renewal of a permit, license or other form of 
permission, or by a petitioner for rulemaking, in order to aid the 
Commission in complying with section 102(2) of NEPA.
    Finding of No Significant Impact means a concise public document for

[[Page 10]]

which the Commission is responsible that briefly states the reasons why 
an action, not otherwise excluded, will not have a significant effect on 
the human environment and for which therefore an environmental impact 
statement will not be prepared.
    NEPA means the National Environmental Policy Act of 1969, as amended 
(Pub. L. 91-190, 83 Stat. 852, 856, as amended by Pub. L. 94-83, 89 
Stat. 424, 42 U.S.C. 4321, et seq.).
    Notice of Intent means a notice that an environmental impact 
statement will be prepared and considered.
    Uranium enrichment facility means:
    (1) Any facility used for separating the isotopes for uranium or 
enriching uranium in the isotope 235, except laboratory scale facilities 
designed or used for experimental or analytical purposes only; or
    (2) Any equipment or device, or important component part especially 
designed for such equipment or device, capable of separating the 
isotopes of uranium or enriching uranium in the isotope 235.
    (b) The definitions in 40 CFR 1508.3, 1508.7, 1508.8, 1508.14, 
1508.15, 1508.16, 1508.17, 1508.18, 1508.20, 1508.23, 1508.25, 1508.26, 
and 1508.27, will also be used in implementing section 102(2) of NEPA.

[49 FR 9381, Mar. 12, 1984, as amended at 57 FR 18391, Apr. 30, 1992]



Sec. 51.15  Time schedules.

    Consistent with the purposes of NEPA, the Administrative Procedure 
Act, the Commission's rules of practice in part 2 of this chapter, 
Secs. 51.100 and 51.101, and with other essential considerations of 
national policy:
    (a) The appropriate NRC staff director may, and upon the request of 
an applicant for a proposed action or a petitioner for rulemaking shall, 
establish a time schedule for all or any constituent part of the NRC 
staff NEPA process. To the maximum extent practicable, the NRC staff 
will conduct its NEPA review in accordance with any time schedule 
established under this section.
    (b) Pursuant to subpart G of part 2 of this chapter, the presiding 
officer, the Atomic Safety and Licensing Appeal Board or the 
Commissioners acting as a collegial body may establish a time schedule 
for all or any part of an adjudicatory or rulemaking proceeding to the 
extent that each has jurisdiction.



Sec. 51.16  Proprietary information.

    (a) Proprietary information, such as trade secrets or privileged or 
confidential commercial or financial information, will be treated in 
accordance with the procedures provided in Sec. 2.790, ``Public 
Inspections, Exemptions, Requests for Withholding,'' of part 2, ``Rules 
of Practice,'' of this chapter.
    (b) Any proprietary information which a person seeks to have 
withheld from public disclosure shall be submitted in accordance with 
Sec. 2.790 of this chapter. When submitted, the proprietary information 
should be clearly identified and accompanied by a request, containing 
detailed reasons and justifications, that the proprietary information be 
withheld from public disclosure. A non-proprietary summary describing 
the general content of the proprietary information should also be 
provided.



Sec. 51.17  Information collection requirements; OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0021.
    (b) The approved information collection requirements in this part 
appear in Secs. 51.16, 51.41, 51.45, 51.50, 51.51, 51.52, 51.53, 51.54, 
51.55, 51.60, 51.61, 51.62, 51.66, 51.68, and 51.69.

[49 FR 24513, June 14, 1984, as amended at 62 FR 52188, Oct. 6, 1997]

[[Page 11]]

                         Preliminary Procedures

           classification of licensing and regulatory actions



Sec. 51.20  Criteria for and identification of licensing and regulatory actions requiring environmental impact statements.

    (a) Licensing and regulatory actions requiring an environmental 
impact statement shall meet at least one of the following criteria:
    (1) The proposed action is a major Federal action significantly 
affecting the quality of the human environment.
    (2) The proposed action involves a matter which the Commission, in 
the exercise of its discretion, has determined should be covered by an 
environmental impact statement.
    (b) The following types of actions require an environmental impact 
statement or a supplement to an environmental impact statement:
    (1) Issuance of a limited work authorization or a permit to 
construct a nuclear power reactor, testing facility or fuel reprocessing 
plant pursuant to part 50 of this chapter.
    (2) Issuance or renewal of a full power or design capacity license 
to operate a nuclear power reactor, testing facility, or fuel 
reprocessing plant pursuant to part 50 of this chapter.
    (3) Issuance of a permit to construct or a design capacity license 
to operate or renewal of a design capacity license to operate an 
isotopic enrichment plant pursuant to part 50 of this chapter.
    (4) Conversion of a provisional operating license for a nuclear 
power reactor, testing facility or fuel reprocessing plant to a full 
term or design capacity license pursuant to part 50 of this chapter if a 
final environmental impact statement covering full term or design 
capacity operation has not been previously prepared.
    (5) [Reserved]
    (6) Issuance of a license to manufacture pursuant to Appendix M of 
part 52 of this chapter.
    (7) Issuance of a license to possess and use special nuclear 
material for processing and fuel fabrication, scrap recovery, or 
conversion of uranium hexafluoride pursuant to part 70 of this chapter.
    (8) Issuance of a license to possess and use source material for 
uranium milling or production of uranium hexafluoride pursuant to part 
40 of this chapter.
    (9) Issuance of a license pursuant to part 72 of this chapter for 
the storage of spent fuel in an independent spent fuel storage 
installation (ISFSI) at a site not occupied by a nuclear power reactor, 
or for the storage of spent fuel or high-level radioactive waste in a 
monitored retrievable storage installation (MRS).
    (10) Issuance of a license for a uranium enrichment facility.
    (11) Issuance of renewal of a license authorizing receipt and 
disposal of radioactive waste from other persons pursuant to part 61 of 
this chapter.
    (12) Issuance of a license amendment pursuant to part 61 of this 
chapter authorizing (i) closure of a land disposal site, (ii) transfer 
of the license to the disposal site owner for the purpose of 
institutional control, or (iii) termination of the license at the end of 
the institutional control period.
    (13) Issuance of a construction authorization and license pursuant 
to part 60 of this chapter.
    (14) Any other action which the Commission determines is a major 
Commission action significantly affecting the quality of the human 
environment. As provided in Sec. 51.22(b), the Commission may, in 
special circumstances, prepare an environmental impact statement on an 
action covered by a categorical exclusion.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31681, Aug. 19, 1988; 53 
FR 24052, June 27, 1988; 54 FR 15398, Apr. 18, 1989; 54 FR 27870, July 
3, 1989; 57 FR 18392, Apr. 30, 1992]



Sec. 51.21  Criteria for and identification of licensing and regulatory actions requiring environmental assessments.

    All licensing and regulatory actions subject to this subpart require 
an environmental assessment except those identified in Sec. 51.20(b) as 
requiring an environmental impact statement, those identified in 
Sec. 51.22(c) as categorical exclusions, and those identified in 
Sec. 51.22(d) as other actions not requiring environmental review. As 
provided in

[[Page 12]]

Sec. 51.22(b), the Commission may, in special circumstances, prepare an 
environmental assessment on an action covered by a categorical 
exclusion.

[54 FR 27870, July 3, 1989]



Sec. 51.22  Criterion for categorical exclusion; identification of licensing and regulatory actions eligible for categorical exclusion or otherwise not           requiring environmental review.

    (a) Licensing and regulatory actions eligible for categorical 
exclusion shall meet the following criterion: The proposed action 
belongs to a category of actions which the Commission, by rule or 
regulation, has declared to be a categorical exclusion, after first 
finding that the category of actions does not individually or 
cumulatively have a significant effect on the human environment.
    (b) Except in special circumstances, as determined by the Commission 
upon its own initiative or upon request of any interested person, an 
environmental assessment or an environmental impact statement is not 
required for any action within a category of actions included in the 
list of categorical exclusions set out in paragraph (c) of this section. 
Special circumstances include the circumstance where the proposed action 
involves unresolved conflicts concerning alternative uses of available 
resources within the meaning of section 102(2)(E) of NEPA.
    (c) The following categories of actions are categorical exclusions:
    (1) Amendments to Parts 1, 2, 4, 7, 8, 9, 10, 11, 19, 21, 25, 55, 
75, 95, 110, 140, 150, 170, or 171 of this chapter, and actions on 
petitions for rulemaking relating to Parts 1, 2, 4, 7, 9, 10, 11, 14, 
19, 21, 25, 55, 75, 95, 110, 140, 150, 170, or 171.
    (2) Amendments to the regulations in this chapter which are 
corrective or of a minor or nonpolicy nature and do not substantially 
modify existing regulations, and actions on petitions for rulemaking 
relating to these amendments.
    (3) Amendments to parts 20, 30, 31, 32, 33, 34, 35, 39, 40, 50, 51, 
54, 60, 61, 70, 71, 72, 73, 74, 81 and 100 of this chapter which relate 
to--
    (i) Procedures for filing and reviewing applications for licenses or 
construction permits or other forms of permission or for amendments to 
or renewals of licenses or construction permits or other forms of 
permission;
    (ii) Recordkeeping requirements; or
    (iii) Reporting requirements; and
    (iv) Actions on petitions for rulemaking relating to these 
amendments.
    (4) Entrance into or amendment, suspension, or termination of all or 
part of an agreement with a State pursuant to section 274 of the Atomic 
Energy Act of 1954, as amended, providing for assumption by the State 
and discontinuance by the Commission of certain regulatory authority of 
the Commission.
    (5) Procurement of general equipment and supplies.
    (6) Procurement of technical assistance, confirmatory research 
provided that the confirmatory research does not involve any significant 
construction impacts, and personal services relating to the safe 
operation and protection of commercial reactors, other facilities, and 
materials subject to NRC licensing and regulation.
    (7) Personnel actions.
    (8) Issuance, amendment, or renewal of operators' licenses pursuant 
to part 55 of this chapter.
    (9) Issuance of an amendment to a permit or license for a reactor 
pursuant to part 50 of this chapter which changes a requirement with 
respect to installation or use of a facility component located within 
the restricted area, as defined in part 20 of this chapter, or which 
changes an inspection or a surveillance requirement, provided that (i) 
the amendment involves no significant hazards consideration, (ii) there 
is no significant change in the types or significant increase in the 
amounts of any effluents that may be released offsite, and (iii) there 
is no significant increase in individual or cumulative occupational 
radiation exposure.
    (10) Issuance of an amendment to a permit or license pursuant to 
parts 30, 31, 32, 33, 34, 35, 36, 39, 40, 50, 60, 61, 70 or part 72 of 
this chapter which (i) changes surety, insurance and/or indemnity 
requirements, or (ii) changes recordkeeping, reporting, or 
administrative procedures or requirements.
    (11) Issuance of amendments to licenses for fuel cycle plants and 
radioactive waste disposal sites and amendments to materials licenses 
identified

[[Page 13]]

in Sec. 51.60(b)(1) which are administrative, organizational, or 
procedural in nature, or which result in a change in process operations 
or equipment, provided that (i) there is no significant change in the 
types or significant increase in the amounts of any effluents that may 
be released offsite, (ii) there is no significant increase in individual 
or cumulative occupational radiation exposure, (iii) there is no 
significant construction impact, and (iv) there is no significant 
increase in the potential for or consequences from radiological 
accidents.
    (12) Issuance of an amendment to a license pursuant to parts 50, 60, 
61, 70, 72 or 75 of this chapter relating solely to safeguards matters 
(i.e., protection against sabotage or loss or diversion of special 
nuclear material) or issuance of an approval of a safeguards plan 
submitted pursuant to parts 50, 70, 72, and 73 of this chapter, provided 
that the amendment or approval does not involve any significant 
construction impacts. These amendments and approvals are confined to (i) 
organizational and procedural matters, (ii) modifications to systems 
used for security and/or materials accountability, (iii) administrative 
changes, and (iv) review and approval of transportation routes pursuant 
to 10 CFR 73.37.
    (13) Approval of package designs for packages to be used for the 
transportation of licensed materials.
    (14) Issuance, amendment, or renewal of materials licenses issued 
pursuant to 10 CFR parts 30, 31, 32, 33, 34, 35, 36, 39, 40 or part 70 
authorizing the following types of activities:
    (i) Distribution of radioactive material and devices or products 
containing radioactive material to general licensees and to persons 
exempt from licensing.
    (ii) Distribution of radiopharmaceuticals, generators, reagent kits 
and/or sealed sources to persons licensed pursuant to 10 CFR 35.18.
    (iii) Nuclear pharmacies.
    (iv) Medical and veterinary.
    (v) Use of radioactive materials for research and development and 
for educational purposes.
    (vi) Industrial radiography.
    (vii) Irradiators.
    (viii) Use of sealed sources and use of gauging devices, analytical 
instruments and other devices containing sealed sources.
    (ix) Use of uranium as shielding material in containers or devices.
    (x) Possession of radioactive material incident to performing 
services such as installation, maintenance, leak tests and calibration.
    (xi) Use of sealed sources and/or radioactive tracers in well-
logging procedures.
    (xii) Acceptance of packaged radioactive wastes from others for 
transfer to licensed land burial facilities provided the interim storage 
period for any package does not exceed 180 days and the total possession 
limit for all packages held in interim storage at the same time does not 
exceed 50 curies.
    (xiii) Manufacturing or processing of source, byproduct, or special 
nuclear materials for distribution to other licensees, except processing 
of source material for extraction of rare earth and other metals.
    (xiv) Nuclear laundries.
    (xv) Possession, manufacturing, processing, shipment, testing, or 
other use of depleted uranium military munitions.
    (xvi) Any use of source, byproduct, or special nuclear material not 
listed above which involves quantities and forms of source, byproduct, 
or special nuclear material similar to those listed in paragraphs 
(c)(14) (i) through (xv) of this section (Category 14).
    (15) Issuance, amendment or renewal of licenses for import of 
nuclear facilities and materials pursuant to part 110 of this chapter, 
except for import of spent power reactor fuel.
    (16) Issuance or amendment of guides for the implementation of 
regulations in this chapter, and issuance or amendment of other 
informational and procedural documents that do not impose any legal 
requirements.
    (17) Issuance of an amendment to a permit or license pursuant to 
parts 30, 40, 50 or part 70 of this chapter which deletes any limiting 
condition of operation or monitoring requirement based on or applicable 
to any matter subject to the provisions of the Federal Water Pollution 
Control Act.

[[Page 14]]

    (18) Issuance of amendments or orders authorizing licensees of 
production or utilization facilities to resume operation, provided the 
basis for the authorization rests solely on a determination or 
redetermination by the Commission that applicable emergency planning 
requirements are met.
    (19) Issuance, amendment, modification, or renewal of a certificate 
of compliance of gaseous diffusion enrichment facilities pursuant to 10 
CFR part 76.
    (20) Decommissioning of sites where licensed operations have been 
limited to the use of--
    (i) Small quantities of short-lived radioactive materials; or
    (ii) Radioactive materials in sealed sources, provided there is no 
evidence of leakage of radioactive material from these sealed sources.
    (21) Approvals of direct or indirect transfers of any license issued 
by NRC and any associated amendments of license required to reflect the 
approval of a direct or indirect transfer of an NRC license.
    (d) In accordance with section 121 of the Nuclear Waste Policy Act 
of 1982 (42 U.S.C. 10141), the promulgation of technical requirements 
and criteria that the Commission will apply in approving or disapproving 
applications under part 60 of this chapter shall not require an 
environmental impact statement, an environmental assessment, or any 
environmental review under subparagraph (E) or (F) of section 102(2) of 
NEPA.

[49 FR 9381, Mar. 12, 1984, as amended at 51 FR 9766, Mar. 21, 1986; 51 
FR 33231, Sept. 18, 1986; 52 FR 8241, Mar. 17, 1987; 54 FR 27870, July 
3, 1989; 58 FR 7737, Feb. 9, 1993; 59 FR 48959, Sept. 23, 1994; 60 FR 
22491, May 8, 1995; 61 FR 9902, Mar. 12, 1996; 62 FR 39091, July 21, 
1997; 63 FR 66735, Dec. 3, 1998; 65 FR 54950, Sept. 12, 2000]



Sec. 51.23  Temporary storage of spent fuel after cessation of reactor operation--generic determination of no significant environmental impact.

    (a) The Commission has made a generic determination that, if 
necessary, spent fuel generated in any reactor can be stored safely and 
without significant environmental impacts for at least 30 years beyond 
the licensed life for operation (which may include the term of a revised 
or renewed license) of that reactor at its spent fuel storage basin or 
at either onsite or offsite independent spent fuel storage 
installations. Further, the Commission believes there is reasonable 
assurance that at least one mined geologic repository will be available 
within the first quarter of the twenty-first century, and sufficient 
repository capacity will be available within 30 years beyond the 
licensed life for operation of any reactor to dispose of the commercial 
high-level waste and spent fuel originating in such reactor and 
generated up to that time.
    (b) Accordingly, as provided in Secs. 51.30(b), 51.53, 51.61, 
51.80(b), 51.95 and 51.97(a), and within the scope of the generic 
determination in paragraph (a) of this section, no discussion of any 
environmental impact of spent fuel storage in reactor facility storage 
pools or independent spent fuel storage installations (ISFSI) for the 
period following the term of the reactor operating license or amendment 
or initial ISFSI license or amendment for which application is made, is 
required in any environmental report, environmental impact statement, 
environmental assessment or other analysis prepared in connection with 
the issuance or amendment of an operating license for a nuclear reactor 
or in connection with the issuance of an initial license for storage of 
spent fuel at an ISFSI, or any amendment thereto.
    (c) This section does not alter any requirements to consider the 
environmental impacts of spent fuel storage during the term of a reactor 
operating license or a license for an ISFSI in a licensing proceeding.

[49 FR 34694, Aug. 31, 1984, as amended at 55 FR 38474, Sept. 18, 1990]

determinations to prepare environmental impact statements, environmental 
assessments or findings of no significant impact, and related procedures



Sec. 51.25  Determination to prepare environmental impact statement or environmental assessment; eligibility for categorical exclusion.

    Before taking a proposed action subject to the provisions of this 
subpart, the appropriate NRC staff director will

[[Page 15]]

determine on the basis of the criteria and classifications of types of 
actions in Secs. 51.20, 51.21 and 51.22 of this subpart whether the 
proposed action is of the type listed in Sec. 51.22(c) as a categorical 
exclusion or whether an environmental impact statement or an 
environmental assessment should be prepared. An environmental assessment 
is not necessary if it is determined that an environmental impact 
statement will be prepared.



Sec. 51.26  Requirement to publish notice of intent and conduct scoping process.

    (a) Whenever the appropriate NRC staff director determines that an 
environmental impact statement will be prepared by NRC in connection 
with a proposed action, a notice of intent will be prepared as provided 
in Sec. 51.27, and will be published in the Federal Register as provided 
in Sec. 51.116, and an appropriate scoping process (see Secs. 51.27, 
51.28, and 51.29) will be conducted.
    (b) The scoping process may include a public scoping meeting.
    (c) Upon receipt of an application and accompanying environmental 
impact statement under Sec. 60.22 of this chapter (pertaining to 
geologic repositories for high-level radioactive waste), the appropriate 
NRC staff director will include in the notice of docketing required to 
be published by Sec. 2.101(f)(8) of this chapter a statement of 
Commission intention to adopt the environmental impact statement to the 
extent practicable. However, if the appropriate NRC staff director 
determines, at the time of such publication or at any time thereafter, 
that NRC should prepare a supplemental environmental impact statement in 
connection with the Commission's action on the license application, the 
procedures set out in paragraph (a) of this section shall be followed.

[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 27870, July 3, 1989]



Sec. 51.27  Notice of intent.

    (a) The notice of intent required by Sec. 51.26 shall:
    (1) State that an environmental impact statement will be prepared;
    (2) Describe the proposed action and, to the extent sufficient 
information is available, possible alternatives;
    (3) State whether the applicant or petitioner for rulemaking has 
filed an environmental report, and, if so, where copies are available 
for public inspection;
    (4) Describe the proposed scoping process, including the role of 
participants, whether written comments will be accepted, the last date 
for submitting comments and where comments should be sent, whether a 
public scoping meeting will be held, the time and place of any scoping 
meeting or when the time and place of the meeting will be announced; and
    (5) State the name, address and telephone number of an individual in 
NRC who can provide information about the proposed action, the scoping 
process, and the environmental impact statement.

                                 scoping



Sec. 51.28  Scoping--participants.

    (a) The appropriate NRC staff director shall invite the following 
persons to participate in the scoping process:
    (1) The applicant or the petitioner for rulemaking;
    (2) Any person who has petitioned for leave to intervene in the 
proceeding or who has been admitted as a party to the proceeding;
    (3) Any other Federal agency which has jurisdiction by law or 
special expertise with respect to any environmental impact involved or 
which is authorized to develop and enforce relevant environmental 
standards;
    (4) Affected State and local agencies, including those authorized to 
develop and enforce relevant environmental standards;
    (5) Any affected Indian tribe; and
    (6) Any person who has requested an opportunity to participate in 
the scoping process.
    (b) The appropriate NRC staff director may also invite any other 
appropriate person to participate in the scoping process.
    (c) Participation in the scoping process for an environmental impact 
statement does not entitle the participant to become a party to the 
proceeding to

[[Page 16]]

which the environmental impact statement relates. Participation in an 
adjudicatory proceeding is governed by the procedures in 10 CFR 2.714 
and 2.715. Participation in a rulemaking proceeding in which the 
Commission has decided to have a hearing is governed by the provisions 
in the notice of hearing.



Sec. 51.29  Scoping--environmental impact statement.

    (a) The scoping process for an environmental impact statement shall 
begin as soon as practicable after publication of the notice of intent 
as provided in Sec. 51.116, and shall be used to:
    (1) Define the proposed action which is to be the subject of the 
statement. The provisions of 40 CFR 1502.4 will be used for this 
purpose.
    (2) Determine the scope of the statement and identify the 
significant issues to be analyzed in depth.
    (3) Identify and eliminate from detailed study issues which are 
peripheral or are not significant or which have been covered by prior 
environmental review. Discussion of these issues in the statement will 
be limited to a brief presentation of why they are peripheral or will 
not have a significant effect on the quality of the human environment or 
a reference to their coverage elsewhere.
    (4) Identify any environmental assessments and other environmental 
impact statements which are being or will be prepared that are related 
to but are not part of the scope of the statement under consideration.
    (5) Identify other environmental review and consultation 
requirements related to the proposed action so that other required 
analyses and studies may be prepared concurrently and integrated with 
the environmental impact statement.
    (6) Indicate the relationship between the timing of the preparation 
of environmental analyses and the Commission's tentative planning and 
decision-making schedule.
    (7) Identify any cooperating agencies, and as appropriate, allocate 
assignments for preparation and schedules for completion of the 
statement to the NRC and any cooperating agencies.
    (8) Describe the means by which the environmental impact statement 
will be prepared, including any contractor assistance to be used.
    (b) At the conclusion of the scoping process, the appropriate NRC 
staff director will prepare a concise summary of the determinations and 
conclusions reached, including the significant issues identified, and 
will send a copy of the summary to each participant in the scoping 
process.
    (c) At any time prior to issuance of the draft environmental impact 
statement, the appropriate NRC staff director may revise the 
determinations made under paragraph (b) of this section, as appropriate, 
if substantial changes are made in the proposed action, or if 
significant new circumstances or information arise which bear on the 
proposed action or its impacts.

                        environmental assessment



Sec. 51.30  Environmental assessment.

    (a) An environmental assessment shall identify the proposed action 
and include:
    (1) A brief discussion of:
    (i) The need for the proposed action;
    (ii) Alternatives as required by section 102(2)(E) of NEPA;
    (iii) The environmental impacts of the proposed action and 
alternatives as appropriate; and
    (2) A list of agencies and persons consulted, and identification of 
sources used.
    (b) Unless otherwise determined by the Commission, an environmental 
assessment will not include discussion of any aspect of the storage of 
spent fuel within the scope of the generic determination in 
Sec. 51.23(a) and in accordance with the provisions of Sec. 51.23(b).
    (c) An environmental assessment for a proposed action regarding a 
monitored retrievable storage installation (MRS) will not address the 
need for the MRS or any alternative to the design criteria for an MRS 
set forth in section 141(b)(1) of the Nuclear Waste Policy Act of 1982 
(96 Stat. 2242, 42 U.S.C. 10161(b)(1)).

[49 FR 9381, Mar. 12, 1984, as amended at 49 FR 34694, Aug. 31, 1984; 53 
FR 31681, Aug. 19, 1988]

[[Page 17]]



Sec. 51.31  Determinations based on environmental assessment.

    Upon completion of an environmental assessment, the appropriate NRC 
staff director will determine whether to prepare an environmental impact 
statement or a finding of no significant impact on the proposed action. 
As provided in Sec. 51.33, a determination to prepare a draft finding of 
no significant impact may be made.

                    finding of no significant impact



Sec. 51.32  Finding of no significant impact.

    (a) A finding of no significant impact will:
    (1) Identify the proposed action;
    (2) State that the Commission has determined not to prepare an 
environmental impact statement for the proposed action;
    (3) Briefly present the reasons why the proposed action will not 
have a significant effect on the quality of the human environment;
    (4) Include the environmental assessment or a summary of the 
environmental assessment. If the assessment is included, the finding 
need not repeat any of the discussion in the assessment but may 
incorporate it by reference;
    (5) Note any other related environmental documents; and
    (6) State that the finding and any related environmental documents 
are available for public inspection and where the documents may be 
inspected.



Sec. 51.33  Draft finding of no significant impact; distribution.

    (a) As provided in paragraph (b) of this section, the appropriate 
NRC staff director may make a determination to prepare and issue a draft 
finding of no significant impact for public review and comment before 
making a final determination whether to prepare an environmental impact 
statement or a final finding of no significant impact on the proposed 
action.
    (b) Circumstances in which a draft finding of no significant impact 
may be prepared will ordinarily include the following:
    (1) A finding of no significant impact appears warranted for the 
proposed action but the proposed action is (i) closely similar to one 
which normally requires the preparation of an environmental impact 
statement, or (ii) without precedent; and
    (2) The appropriate NRC staff director determines that preparation 
of a draft finding of no significant impact will further the purposes of 
NEPA.
    (c) A draft finding of no significant impact will (1) be marked 
``Draft'', (2) contain the information specified in Sec. 51.32, (3) be 
accompanied by or include a request for comments on the proposed action 
and on the draft finding within thirty (30) days, or such longer period 
as may be specified in the notice of the draft finding, and (4) be 
published in the Federal Register as required by Secs. 51.35 and 51.119.
    (d) A draft finding will be distributed as provided in 
Sec. 51.74(a). Additional copies will be made available in accordance 
with Sec. 51.123.
    (e) When a draft finding of no significant impact is issued for a 
proposed action, a final determination to prepare an environmental 
impact statement or a final finding of no significant impact for that 
action shall not be made until the last day of the public comment period 
has expired.



Sec. 51.34  Preparation of finding of no significant impact.

    (a) Except as provided in paragraph (b) of this section, the finding 
of no significant impact will be prepared by the NRC staff director 
authorized to take the action.
    (b) When a hearing is held on the proposed action under the 
regulations in subpart G of part 2 of this chapter or when the action 
can only be taken by the Commissioners acting as a collegial body, the 
appropriate NRC staff director will prepare a proposed finding of no 
significant impact which may be subject to modification as a result of 
review and decision as appropriate to the nature and scope of the 
proceeding. In such cases, the presiding officer, the Atomic Safety and 
Licensing Appeal Board, or the Commission acting as a collegial body, as 
appropriate, will issue the final finding of no significant impact.

[[Page 18]]



Sec. 51.35  Requirement to publish finding of no significant impact; limitation on Commission action.

    (a) Whenever the Commission makes a draft or final finding of no 
significant impact on a proposed action, the finding will be published 
in the Federal Register as provided in Sec. 51.119.
    (b) Except as provided in Sec. 51.13, the Commission shall not take 
the proposed action until after the final finding has been published in 
the Federal Register.

   Environmental Reports and Information--Requirements Applicable to 
                Applicants and Petitioners for Rulemaking

                                 general



Sec. 51.40  Consultation with NRC staff.

    (a) A prospective applicant or petitioner for rulemaking is 
encouraged to confer with NRC staff as early as possible in its planning 
process before submitting environmental information or filing an 
environmental report.
    (b) Requests for guidance or information on environmental matters 
may include inquiries relating to:
    (1) Applicable NRC rules and regulations;
    (2) Format, content and procedures for filing environmental reports 
and other environmental information, including the type and quantity of 
environmental information likely to be needed to address issues and 
concerns identified in the scoping process described in Sec. 51.29 in a 
manner appropriate to their relative significance;
    (3) Availability of relevant environmental studies and environmental 
information;
    (4) Need for, appropriate level and scope of any environmental 
studies or information which the Commission may require to be submitted 
in connection with an application or petition for rulemaking;
    (5) Public meetings with NRC staff.
    (c) Questions concerning environmental matters should be addressed 
to the following NRC staff offices as appropriate:
    (1) Utilization facilities: Director, Office of Nuclear Reactor 
Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
Telephone: (301) 415-1270.
    (2) Production facilities: Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555, Telephone: (301) 415-7800.
    (3) Materials licenses: Director, Office of Nuclear Material Safety 
and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 
20555, Telephone: (301) 415-7800.
    (4) Rulemaking: Director, Office of Nuclear Regulatory Research, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: 
(301) 415-6641.
    (5) General Environmental Matters: Executive Director for 
Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
Telephone: (301) 415-1700.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 13399, Apr. 25, 1988; 60 
FR 24552, May 9, 1995]



Sec. 51.41  Requirement to submit environmental information.

    The Commission may require an applicant for a permit, license, or 
other form of permission, or amendment to or renewal of a permit, 
license or other form of permission, or a petitioner for rulemaking to 
submit such information to the Commission as may be useful in aiding the 
Commission in complying with section 102(2) of NEPA. The Commission will 
independently evaluate and be responsible for the reliability of any 
information which it uses.

               environmental reports--general requirements



Sec. 51.45  Environmental report.

    (a) General. As required by Secs. 51.50, 51.53, 51.54, 51.60, 51.61, 
51.62 or Sec. 51.68, as appropriate, each applicant or petitioner for 
rulemaking shall submit with its application or petition for rulemaking 
one signed original of a separate document entitled ``Applicant's'' or 
``Petitioner's Environmental Report,'' as appropriate, and the number of 
copies specified in Secs. 51.55, 51.66 or Sec. 51.69. An applicant or 
petitioner for rulemaking may submit a supplement

[[Page 19]]

to an environmental report at any time.
    (b) Environmental considerations. The environmental report shall 
contain a description of the proposed action, a statement of its 
purposes, a description of the environment affected, and discuss the 
following considerations:
    (1) The impact of the proposed action on the environment. Impacts 
shall be discussed in proportion to their significance;
    (2) Any adverse environmental effects which cannot be avoided should 
the proposal be implemented;
    (3) Alternatives to the proposed action. The discussion of 
alternatives shall be sufficiently complete to aid the Commission in 
developing and exploring, pursuant to section 102(2)(E) of NEPA, 
``appropriate alternatives to recommended courses of action in any 
proposal which involves unresolved conflicts concerning alternative uses 
of available resources.'' To the extent practicable, the environmental 
impacts of the proposal and the alternatives should be presented in 
comparative form;
    (4) The relationship between local short-term uses of man's 
environment and the maintenance and enhancement of long-term 
productivity; and
    (5) Any irreversible and irretrievable commitments of resources 
which would be involved in the proposed action should it be implemented.
    (c) Analysis. The environmental report shall include an analysis 
that considers and balances the environmental effects of the proposed 
action, the environmental impacts of alternatives to the proposed 
action, and alternatives available for reducing or avoiding adverse 
environmental effects. Except for environmental reports prepared at the 
license renewal stage pursuant to Sec. 51.53(c), the analysis in the 
environmental report should also include consideration of the economic, 
technical, and other benefits and costs of the proposed action and of 
alternatives. Environmental reports prepared at the license renewal 
stage pursuant to Sec. 51.53(c) need not discuss the economic or 
technical benefits and costs of either the proposed action or 
alternatives except insofar as such benefits and costs are either 
essential for a determination regarding the inclusion of an alternative 
in the range of alternatives considered or relevant to mitigation. In 
addition, environmental reports prepared pursuant to Sec. 51.53(c) need 
not discuss other issues not related to the environmental effects of the 
proposed action and alternatives. The analyses for environmental reports 
shall, to the fullest extent practicable, quantify the various factors 
considered. To the extent that there are important qualitative 
considerations or factors that cannot be quantified, those 
considerations or factors shall be discussed in qualitative terms. The 
environmental report should contain sufficient data to aid the 
Commission in its development of an independent analysis.
    (d) Status of compliance. The environmental report shall list all 
Federal permits, licenses, approvals and other entitlements which must 
be obtained in connection with the proposed action and shall describe 
the status of compliance with these requirements. The environmental 
report shall also include a discussion of the status of compliance with 
applicable environmental quality standards and requirements including, 
but not limited to, applicable zoning and land-use regulations, and 
thermal and other water pollution limitations or requirements which have 
been imposed by Federal, State, regional, and local agencies having 
responsibility for environmental protection. The discussion of 
alternatives in the report shall include a discussion of whether the 
alternatives will comply with such applicable environmental quality 
standards and requirements.
    (e) Adverse information. The information submitted pursuant to 
paragraphs (b) through (d) of this section should not be confined to 
information supporting the proposed action but should also include 
adverse information.

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28486, June 5, 1996; 61 
FR 66542, Dec. 18, 1996]

[[Page 20]]

      environmental reports--production and utilization facilities



Sec. 51.50  Environmental report--construction permit stage.

    Each applicant for a permit to construct a production or utilization 
facility covered by Sec. 51.20 shall submit with its application the 
number of copies, as specified in Sec. 51.55, of a separate document, 
entitled ``Applicant's Environmental Report--Construction Permit 
Stage,'' which shall contain the information specified in Secs. 51.45, 
51.51 and 51.52. Each environmental report shall identify procedures for 
reporting and keeping records of environmental data, and any conditions 
and monitoring requirements for protecting the non-aquatic environment, 
proposed for possible inclusion in the license as environmental 
conditions in accordance with Sec. 50.36b of this chapter.



Sec. 51.51  Uranium fuel cycle environmental data--Table S-3.

    (a) Every environmental report prepared for the construction permit 
stage of a light-water-cooled nuclear power reactor, and submitted on or 
after September 4, 1979, shall take Table S-3, Table of Uranium Fuel 
Cycle Environmental Data, as the basis for evaluating the contribution 
of the environmental effects of uranium mining and milling, the 
production of uranium hexafluoride, isotopic enrichment, fuel 
fabrication, reprocessing of irradiated fuel, transportation of 
radioactive materials and management of low level wastes and high level 
wastes related to uranium fuel cycle activities to the environmental 
costs of licensing the nuclear power reactor. Table S-3 shall be 
included in the environmental report and may be supplemented by a 
discussion of the environmental significance of the data set forth in 
the table as weighed in the analysis for the proposed facility.
    (b) Table S-3.

      Table S-3--Table of Uranium Fuel Cycle Environmental Data \1\
     [Normalized to model LWR annual fuel requirement [WASH-1248] or
                  reference reactor year [NUREG-0116]]
                  [See footnotes at end of this table]
------------------------------------------------------------------------
                                                    Maximum effect per
                                                 annual fuel requirement
    Environmental considerations        Total      or reference reactor
                                                 year of model 1,000 MWe
                                                           LWR
------------------------------------------------------------------------
        Natural Resource Use
Land (acres):
  Temporarily committed 2...........        100
    Undisturbed area................         79
    Disturbed area..................         22  Equivalent to a 110 MWe
                                                  coal-fired power
                                                  plant.
  Permanently committed.............         13
  Overburden moved (millions of MT).        2.8  Equivalent to 95 MWe
                                                  coal-fired power
                                                  plant.
                                     -----------
Water (millions of gallons):
  Discharged to air.................        160  =2 percent of model
                                                  1,000 MWe LWR with
                                                  cooling tower.
  Discharged to water bodies........     11,090
  Discharged to ground..............        127
                                     -----------
      Total.........................     11,377  <4 percent of model
                                                  1,000 MWe LWR with
                                                  once-through cooling.
                                     -----------
Fossil fuel:
  Electrical energy (thousands of MW-       323  <5 percent of model
   hour).                                         1,000 MWe LWR output.
  Equivalent coal (thousands of MT).        118  Equivalent to the
                                                  consumption of a 45
                                                  MWe coal-fired power
                                                  plant.
  Natural gas (millions of scf).....        135  <0.4 percent of model
                                                  1,000 MWe energy
                                                  output.
 
      Effluents--Chemical (MT)
 
Gases (including entrainment): 3
  SOx...............................      4,400
  NOx4..............................      1,190  Equivalent to emissions
                                                  from 45 MWe coal-fired
                                                  plant for a year.
  Hydrocarbons......................         14
  CO................................       29.6
  Particulates......................      1,154

[[Page 21]]

 
Other gases:
  F.................................        .67  Principally from UF6
                                                  production,
                                                  enrichment, and
                                                  reprocessing.
                                                  Concentration within
                                                  range of state
                                                  standards--below level
                                                  that has effects on
                                                  human health.
  HCl...............................       .014
 
Liquids:
SO-4................................        9.9  From enrichment, fuel
NO-3................................       25.8   fabrication, and
Fluoride............................       12.9   reprocessing steps.
Ca++................................        5.4   Components that
C1-.................................        8.5   constitute a potential
Na+.................................       12.1   for adverse
NH3.................................       10.0   environmental effect
Fe..................................         .4   are present in dilute
                                                  concentrations and
                                                  receive additional
                                                  dilution by receiving
                                                  bodies of water to
                                                  levels below
                                                  permissible standards.
                                                  The constituents that
                                                  require dilution and
                                                  the flow of dilution
                                                  water are: NH3--600
                                                  cfs., NO3--20 cfs.,
                                                  Fluoride--70 cfs.
Tailings solutions (thousands of MT)        240  From mills only--no
                                                  significant effluents
                                                  to environment.
Solids..............................     91,000  Principally from mills--
                                                  no significant
                                                  effluents to
                                                  environment.
  Effluents--Radiological (curies)
 
Gases (including entrainment):
  Rn-222............................  .........  Presently under
                                                  reconsideration by the
                                                  Commission.
  Ra-226............................        .02
  Th-230............................        .02
  Uranium...........................       .034
  Tritium (thousands)...............       18.1
  C-14..............................         24
  Kr-85 (thousands).................        400
  Ru-106............................        .14  Principally from fuel
                                                  reprocessing plants.
  I-129.............................        1.3
  I-131.............................        .83
  Tc-99.............................  .........  Presently under
                                                  consideration by the
                                                  Commission.
  Fission products and transuranics.       .203
 
Liquids:
  Uranium and daughters.............        2.1  Principally from
                                                  milling--included
                                                  tailings liquor and
                                                  returned to ground--no
                                                  effluents; therefore,
                                                  no effect on
                                                  environment.
  Ra-226............................      .0034  From UF6 production.
  Th-230............................      .0015
  Th-234............................        .01  From fuel fabrication
                                                  plants--concentration
                                                  10 percent of 10 CFR
                                                  20 for total
                                                  processing 26 annual
                                                  fuel requirements for
                                                  model LWR.
  Fission and activation products...  5.9 x 10-
                                              6
Solids (buried on site):
  Other than high level (shallow)...     11,300  9,100 Ci comes from low
                                                  level reactor wastes
                                                  and 1,500 Ci comes
                                                  from reactor
                                                  decontamination and
                                                  decommissioning--burie
                                                  d at land burial
                                                  facilities. 600 Ci
                                                  comes from mills--
                                                  included in tailings
                                                  returned to ground.
                                                  Approximately 60 Ci
                                                  comes from conversion
                                                  and spent fuel
                                                  storage. No
                                                  significant effluent
                                                  to the environment.
  TRU and HLW (deep)................  1\1\ 1.1   Buried at Federal
                                            x10   Repository.
Effluents--thermal (billions of           4,063  <5 percent of model
 British thermal units).                          1,000 MWe LWR.
Transportation (person-rem):
  Exposure of workers and general           2.5
   public.
  Occupational exposure (person-rem)       22.6  From reprocessing and
                                                  waste management.
------------------------------------------------------------------------
\1\ In some cases where no entry appears it is clear from the background
  documents that the matter was addressed and that, in effect, the Table
  should be read as if a specific zero entry had been made. However,
  there are other areas that are not addressed at all in the Table.
  Table S-3 does not include health effects from the effluents described
  in the Table, or estimates of releases of Radon-222 from the uranium
  fuel cycle or estimates of Technetium-99 released from waste
  management or reprocessing activities. These issues may be the subject
  of litigation in the individual licensing proceedings.
Data supporting this table are given in the ``Environmental Survey of
  the Uranium Fuel Cycle,'' WASH-1248, April 1974; the ``Environmental
  Survey of the Reprocessing and Waste Management Portion of the LWR
  Fuel Cycle,'' NUREG-0116 (Supp.1 to WASH-1248); the ``Public Comments
  and Task Force Responses Regarding the Environmental Survey of the
  Reprocessing and Waste Management Portions of the LWR Fuel Cycle,''
  NUREG-0216 (Supp. 2 to WASH-1248); and in the record of the final
  rulemaking pertaining to Uranium Fuel Cycle Impacts from Spent Fuel
  Reprocessing and Radioactive Waste Management, Docket RM-50-3. The
  contributions from reprocessing, waste management and transportation
  of wastes are maximized for either of the two fuel cycles (uranium
  only and no recycle). The contribution from transportation excludes
  transportation of cold fuel to a reactor and of irradiated fuel and
  radioactive wastes from a reactor which are considered in Table S-4 of
  Sec.  51.20(g). The contributions from the other steps of the fuel
  cycle are given in columns A-E of Table S-3A of WASH-1248.

[[Page 22]]

 
\2\ The contributions to temporarily committed land from reprocessing
  are not prorated over 30 years, since the complete temporary impact
  accrues regardless of whether the plant services one reactor for one
  year or 57 reactors for 30 years.
\3\ Estimated effluents based upon combustion of equivalent coal for
  power generation.
\4\ 1.2 percent from natural gas use and process.

[49 FR 9381, Mar. 12, 1984; 49 FR 10922, Mar. 23, 1984]



Sec. 51.52  Environmental effects of transportation of fuel and waste--Table S-4.

    Every environmental report prepared for the construction permit 
stage of a light-water-cooled nuclear power reactor, and submitted after 
February 4, 1975, shall contain a statement concerning transportation of 
fuel and radioactive wastes to and from the reactor. That statement 
shall indicate that the reactor and this transportation either meet all 
of the conditions in paragraph (a) of this section or all of the 
conditions in paragraph (b) of this section.
    (a)(1) The reactor has a core thermal power level not exceeding 
3,800 megawatts;
    (2) The reactor fuel is in the form of sintered uranium dioxide 
pellets having a uranium-235 enrichment not exceeding 4% by weight, and 
the pellets are encapsulated in zircaloy rods;
    (3) The average level of irradiation of the irradiated fuel from the 
reactor does not exceed 33,000 megawatt-days per metric ton, and no 
irradiated fuel assembly is shipped until at least 90 days after it is 
discharged from the reactor;
    (4) With the exception of irradiated fuel, all radioactive waste 
shipped from the reactor is packaged and in a solid form;
    (5) Unirradiated fuel is shipped to the reactor by truck; irradiated 
fuel is shipped from the reactor by truck, rail, or barge; and 
radioactive waste other than irradiated fuel is shipped from the reactor 
by truck or rail; and
    (6) The environmental impacts of transportation of fuel and waste to 
and from the reactor, with respect to normal conditions of transport and 
possible accidents in transport, are as set forth in Summary Table S-4 
in paragraph (c) of this section; and the values in the table represent 
the contribution of the transportation to the environmental costs of 
licensing the reactor.
    (b) For reactors not meeting the conditions of paragraph (a) of this 
section, the statement shall contain a full description and detailed 
analysis of the environmental effects of transportation of fuel and 
wastes to and from the reactor, including values for the environmental 
impact under normal conditions of transport and for the environmental 
risk from accidents in transport. The statement shall indicate that the 
values determined by the analysis represent the contribution of such 
effects to the environmental costs of licensing the reactor.
    (c)

  Summary Table S-4--Environmental Impact of Transportation of Fuel and
   Waste to and From One Light-Water-Cooled Nuclear Power Reactor \1\
                     Normal Conditions of Transport
------------------------------------------------------------------------
                                               Environmental impact
------------------------------------------------------------------------
Heat (per irradiated fuel cask in        250,000 Btu/hr.
 transit).
Weight (governed by Federal or State     73,000 lbs. per truck; 100 tons
 restrictions).                           per cask per rail car.
Traffic density:
  Truck................................  Less than 1 per day.
  Rail.................................  Less than 3 per month
------------------------------------------------------------------------


----------------------------------------------------------------------------------------------------------------
                                          Estimated
                                          number of     Range of doses to exposed     Cumulative dose to exposed
           Exposed population              persons     individuals \2\ (per reactor     population (per reactor
                                           exposed                year)                        year) \3\
----------------------------------------------------------------------------------------------------------------
Transportation workers.................         200  0.01 to 300 millirem...........  4 man-rem.
General public:
  Onlookers............................       1,100  0.003 to 1.3 millirem..........  3 man-rem.
  Along Route..........................     600,000  0.0001 to 0.06 millirem........
----------------------------------------------------------------------------------------------------------------


[[Page 23]]


                         Accidemts in Transport
------------------------------------------------------------------------
                                                Environmental risk
------------------------------------------------------------------------
Radiological effects...................  Small \4\
Common (nonradiological) causes........  1 fatal injury in 100 reactor
                                          years; 1 nonfatal injury in 10
                                          reactor years; $475 property
                                          damage per reactor year.
------------------------------------------------------------------------
\1\ Data supporting this table are given in the Commission's
  ``Environmental Survey of Transportation of Radioactive Materials to
  and from Nuclear Power Plants,'' WASH-1238, December 1972, and Supp. 1
  NUREG-75/038 April 1975. Both documents are available for inspection
  and copying at the Commission's Public Document Room, 2120 L Street
  NW., Washington, DC and may be obtained from National Technical
  Information Service, Springfield, VA 22161. WASH-1238 is available
  from NTIS at a cost of $5.45 (microfiche, $2.25) and NUREG-75/038 is
  available at a cost of $3.25 (microfiche, $2.25).
\2\ The Federal Radiation Council has recommended that the radiation
  doses from all sources of radiation other than natural background and
  medical exposures should be limited to 5,000 millirem per year for
  individuals as a result of occupational exposure and should be limited
  to 500 millirem per year for individuals in the general population.
  The dose to individuals due to average natural background radiation is
  about 130 millirem per year.
\3\ Man-rem is an expression for the summation of whole body doses to
  individuals in a group. Thus, if each member of a population group of
  1,000 people were to receive a dose of 0.001 rem (1 millirem), or if 2
  people were to receive a dose of 0.5 rem (500 millirem) each, the
  total man-rem dose in each case would be 1 man-rem.
\4\ Athough the environmental risk of radiological effects stemming from
  transportation accidents is currently incapable of being numerically
  quantified, the risk remains small regardless of whether it is being
  appiled to a single reactor or a multireactor site.

[49 FR 9381, Mar. 12, 1984; 49 FR 10922, Mar. 23, 1984, as amended at 53 
FR 43420, Oct. 27, 1988]



Sec. 51.53  Postconstruction environmental reports.

    (a) General. Any environmental report prepared under the provisions 
of this section may incorporate by reference any information contained 
in a prior environmental report or supplement thereto that relates to 
the production or utilization facility or any information contained in a 
final environmental document previously prepared by the NRC staff that 
relates to the production or utilization facility. Documents that may be 
referenced include, but are not limited to, the final environmental 
impact statement; supplements to the final environmental impact 
statement, including supplements prepared at the license renewal stage; 
NRC staff-prepared final generic environmental impact statements; and 
environmental assessments and records of decisions prepared in 
connection with the construction permit, the operating license, and any 
license amendment for that facility.
    (b) Operating license stage. Each applicant for a license to operate 
a production or utilization facility covered by Sec. 51.20 shall submit 
with its application the number of copies specified in Sec. 51.55 of a 
separate document entitled ``Supplement to Applicant's Environmental 
Report--Operating License Stage,'' which will update ``Applicant's 
Environmental Report--Construction Permit Stage.'' Unless otherwise 
required by the Commission, the applicant for an operating license for a 
nuclear power reactor shall submit this report only in connection with 
the first licensing action authorizing full-power operation. In this 
report, the applicant shall discuss the same matters described in 
Secs. 51.45, 51.51, and 51.52, but only to the extent that they differ 
from those discussed or reflect new information in addition to that 
discussed in the final environmental impact statement prepared by the 
Commission in connection with the construction permit. No discussion of 
need for power, or of alternative energy sources, or of alternative 
sites for the facility, or of any aspect of the storage of spent fuel 
for the facility within the scope of the generic determination in 
Sec. 51.23(a) and in accordance with Sec. 51.23(b) is required in this 
report.
    (c) Operating license renewal stage. (1) Each applicant for renewal 
of a license to operate a nuclear power plant under part 54 of this 
chapter shall submit with its application the number of copies specified 
in Sec. 51.55 of a separate document entitled ``Applicant's 
Environmental Report--Operating License Renewal Stage.''
    (2) The report must contain a description of the proposed action, 
including the applicant's plans to modify the facility or its 
administrative control procedures as described in accordance with 
Sec. 54.21 of this chapter. This report must describe in detail the 
modifications directly affecting the environment or affecting plant 
effluents that affect the environment. In addition, the applicant shall 
discuss in this report the environmental impacts of

[[Page 24]]

alternatives and any other matters described in Sec. 51.45. The report 
is not required to include discussion of need for power or the economic 
costs and economic benefits of the proposed action or of alternatives to 
the proposed action except insofar as such costs and benefits are either 
essential for a determination regarding the inclusion of an alternative 
in the range of alternatives considered or relevant to mitigation. The 
environmental report need not discuss other issues not related to the 
environmental effects of the proposed action and the alternatives. In 
addition, the environmental report need not discuss any aspect of the 
storage of spent fuel for the facility within the scope of the generic 
determination in Sec. 51.23(a) and in accordance with Sec. 51.23(b).
    (3) For those applicants seeking an initial renewal license and 
holding either an operating license or construction permit as of June 
30, 1995, the environmental report shall include the information 
required in paragraph (c)(2) of this section subject to the following 
conditions and considerations:
    (i) The environmental report for the operating license renewal stage 
is not required to contain analyses of the environmental impacts of the 
license renewal issues identified as Category 1 issues in appendix B to 
subpart A of this part.
    (ii) The environmental report must contain analyses of the 
environmental impacts of the proposed action, including the impacts of 
refurbishment activities, if any, associated with license renewal and 
the impacts of operation during the renewal term, for those issues 
identified as Category 2 issues in appendix B to subpart A of this part. 
The required analyses are as follows:
    (A) If the applicant's plant utilizes cooling towers or cooling 
ponds and withdraws make-up water from a river whose annual flow rate is 
less than 3.15x1012 ft3/year (9x1010 
m3/year), an assessment of the impact of the proposed action 
on the flow of the river and related impacts on instream and riparian 
ecological communities must be provided. The applicant shall also 
provide an assessment of the impacts of the withdrawal of water from the 
river on alluvial aquifers during low flow.
    (B) If the applicant's plant utilizes once-through cooling or 
cooling pond heat dissipation systems, the applicant shall provide a 
copy of current Clean Water Act 316(b) determinations and, if necessary, 
a 316(a) variance in accordance with 40 CFR part 125, or equivalent 
State permits and supporting documentation. If the applicant can not 
provide these documents, it shall assess the impact of the proposed 
action on fish and shellfish resources resulting from heat shock and 
impingement and entrainment.
    (C) If the applicant's plant uses Ranney wells or pumps more than 
100 gallons (total onsite) of ground water per minute, an assessment of 
the impact of the proposed action on ground-water use must be provided.
    (D) If the applicant's plant is located at an inland site and 
utilizes cooling ponds, an assessment of the impact of the proposed 
action on groundwater quality must be provided.
    (E) All license renewal applicants shall assess the impact of 
refurbishment and other license-renewal-related construction activities 
on important plant and animal habitats. Additionally, the applicant 
shall assess the impact of the proposed action on threatened or 
endangered species in accordance with the Endangered Species Act.
    (F) If the applicant's plant is located in or near a nonattainment 
or maintenance area, an assessment of vehicle exhaust emissions 
anticipated at the time of peak refurbishment workforce must be provided 
in accordance with the Clean Air Act as amended.
    (G) If the applicant's plant uses a cooling pond, lake, or canal or 
discharges into a river having an annual average flow rate of less than 
3.15x1012 ft3/year (9x1010 
m3/year), an assessment of the impact of the proposed action 
on public health from thermophilic organisms in the affected water must 
be provided.
    (H) If the applicant's transmission lines that were constructed for 
the specific purpose of connecting the plant to the transmission system 
do not meet the recommendations of the National Electric Safety Code for 
preventing electric shock from induced currents, an assessment of the 
impact of the proposed action on the potential shock

[[Page 25]]

hazard from the transmission lines must be provided.
    (I) An assessment of the impact of the proposed action on housing 
availability, land-use, and public schools (impacts from refurbishment 
activities only) within the vicinity of the plant must be provided. 
Additionally, the applicant shall provide an assessment of the impact of 
population increases attributable to the proposed project on the public 
water supply.
    (J) All applicants shall assess the impact of highway traffic 
generated by the proposed project on the level of service of local 
highways during periods of license renewal refurbishment activities and 
during the term of the renewed license.
    (K) All applicants shall assess whether any historic or 
archaeological properties will be affected by the proposed project.
    (L) If the staff has not previously considered severe accident 
mitigation alternatives for the applicant's plant in an environmental 
impact statement or related supplement or in an environmental 
assessment, a consideration of alternatives to mitigate severe accidents 
must be provided.
    (M) [Reserved]
    (iii) The report must contain a consideration of alternatives for 
reducing adverse impacts, as required by Sec. 51.45(c), for all Category 
2 license renewal issues in appendix B to subpart A of this part. No 
such consideration is required for Category 1 issues in appendix B to 
subpart A of this part.
    (iv) The environmental report must contain any new and significant 
information regarding the environmental impacts of license renewal of 
which the applicant is aware.
    (d) Postoperating license stage. Each applicant for a license 
amendment authorizing decommissioning activities for a production or 
utilization facility either for unrestricted use or based on continuing 
use restrictions applicable to the site; and each applicant for a 
license amendment approving a license termination plan or 
decommissioning plan under Sec. 50.82 of this chapter either for 
unrestricted use or based on continuing use restrictions applicable to 
the site; and each applicant for a license or license amendment to store 
spent fuel at a nuclear power reactor after expiration of the operating 
license for the nuclear power reactor shall submit with its application 
the number of copies, as specified in Sec. 51.55, of a separate 
document, entitled ``Supplement to Applicant's Environmental Report--
Post Operating License Stage,'' which will update ``Applicant's 
Environmental Report--Operating License Stage,'' as appropriate, to 
reflect any new information or significant environmental change 
associated with the applicant's proposed decommissioning activities or 
with the applicant's proposed activities with respect to the planned 
storage of spent fuel. Unless otherwise required by the Commission, in 
accordance with the generic determination in Sec. 51.23(a) and the 
provisions in Sec. 51.23(b), the applicant shall only address the 
environmental impact of spent fuel storage for the term of the license 
applied for. The ``Supplement to Applicant's Environmental Report--Post 
Operating License Stage'' may incorporate by reference any information 
contained in ``Applicants Environmental Report--Construction Permit 
Stage.

[61 FR 66543, Dec. 18, 1996, as amended at 64 FR 48506, Sept. 3, 1999]



Sec. 51.54  Environmental report--manufacturing license.

    Each applicant for a license to manufacture a nuclear power reactor 
or, for an amendment to a license to manufacture seeking approval of the 
final design of the nuclear power reactor, pursuant to appendix M of 
part 52 of this chapter, shall submit with its application, as specified 
in Sec. 50.4, a separate document, entitled ``Applicant's Environmental 
Report--Manufacturing License,'' or ``Supplement to Applicant's 
Environmental Report--Manufacturing License.'' The environmental report 
shall address the environmental matters specified in appendix M of part 
52 of this chapter, and shall contain the information specified in 
Sec. 51.45, as appropriate.

[51 FR 40311, Nov. 6, 1986, as amended at 54 FR 15398, Apr. 18, 1989]

[[Page 26]]



Sec. 51.55  Environmental report--number of copies; distribution.

    (a) Each applicant for a license to construct and operate a 
production or utilization facility covered by paragraphs (b)(1), (b)(2), 
(b)(3), or (b)(4) of Sec. 51.20, each applicant for renewal of an 
operating license for a nuclear power plant, each applicant for a 
license amendment authorizing the decommissioning of a production or 
utilization facility covered by Sec. 51.20, and each applicant for a 
license or license amendment to store spent fuel at a nuclear power 
plant after expiration of the operating license for the nuclear power 
plant shall submit to the Director of the Office of Nuclear Reactor 
Regulation or the Director of the Office of Nuclear Material Safety and 
Safeguards, as appropriate, 41 copies of an environmental report or any 
supplement to an environmental report. The applicant shall retain an 
additional 109 copies of the environmental report or any supplement to 
the environmental report for distribution to parties and Boards in the 
NRC proceedings; Federal, State, and local officials; and any affected 
Indian tribes, in accordance with written instructions issued by the 
Director of the Office of Nuclear Reactor Regulation or the Director of 
the Office of Nuclear Material Safety and Safeguards, as appropriate.
    (b) Each applicant for a license to manufacture a nuclear power 
reactor, or for an amendment to a license to manufacture seeking 
approval of the final design of the nuclear power reactor, pursuant to 
appendix M of part 52 of this chapter shall submit to the Commission an 
environmental report or any supplement to an environmental report in the 
manner specified in Sec. 50.4. The applicant shall retain an additional 
109 copies of the environmental report or any supplement to the 
environmental report for distribution to parties and Boards in the NRC 
proceeding, Federal, State, and local officials and any affected Indian 
tribes, in accordance with written instructions issued by the Director 
of Nuclear Reactor Regulation.

[51 FR 40311, Nov. 6, 1986, as amended at 53 FR 24052, June 27, 1988; 54 
FR 15398, Apr. 18, 1989; 61 FR 28488, June 5, 1996; 61 FR 66544, Dec. 
18, 1996; 62 FR 59276, Nov. 3, 1997]

                environmental reports--materials licenses



Sec. 51.60  Environmental report--materials licenses.

    (a) Each applicant for a license or other form of permission, or an 
amendment to or renewal of a license or other form of permission issued 
pursuant to parts 30, 32, 33, 34, 35, 36, 39, 40, 61, 70 and/or 72 of 
this chapter, and covered by paragraphs (b)(1) through (b)(5) of this 
section, shall submit with its application to the Director of Nuclear 
Material Safety and Safeguards the number of copies, as specified in 
Sec. 51.66, of a separate document, entitled ``Applicant's Environmental 
Report'' or ``Supplement to Applicant's Environmental Report,'' as 
appropriate. The ``Applicant's Environmental Report'' shall contain the 
information specified in Sec. 51.45. If the application is for an 
amendment to or a renewal of a license or other form of permission for 
which the applicant has previously submitted an environmental report, 
the supplement to applicant's environmental report may be limited to 
incorporating by reference, updating or supplementing the information 
previously submitted to reflect any significant environmental change, 
including any significant environmental change resulting from 
operational experience or a change in operations or proposed 
decommissioning activities. If the applicant is the U.S. Department of 
Energy, the environmental report may be in the form of either an 
environmental impact statement or an environmental assessment, as 
appropriate.
    (b) As required by paragraph (a) of this section, each applicant 
shall prepare an environmental report for the following types of 
actions:
    (1) Issuance or renewal of a license or other form of permission 
for:
    (i) Possession and use of special nuclear material for processing 
and fuel fabrication, scrap recovery, or conversion of uranium 
hexafluoride pursuant to part 70 of this chapter.
    (ii) Possession and use of source material for uranium milling or 
production of uranium hexafluoride pursuant to part 40 of this chapter.
    (iii) Storage of spent fuel in an independent spent fuel storage 
installation

[[Page 27]]

(ISFSI) or the storage of spent fuel or high-level radio-active waste in 
a monitored retrievable storage installation (MRS) pursuant to part 72 
of this chapter.
    (iv) Receipt and disposal of radioactive waste from other persons 
pursuant to part 61 of this chapter.
    (v) Processing of source material for extraction of rare earth and 
other metals.
    (vi) Use of radioactive tracers in field flood studies involving 
secondary and tertiary oil and gas recovery.
    (vii) Construction and operation of a uranium enrichment facility.
    (2) Issuance of an amendment that would authorize or result in (i) a 
significant expansion of a site, (ii) a significant change in the types 
of effluents, (iii) a significant increase in the amounts of effluents, 
(iv) a significant increase in individual or cumulative occupational 
radiation exposure, (v) a significant increase in the potential for or 
consequences from radiological accidents, or (vi) a significant increase 
in spent fuel storage capacity, in a license or other form of permission 
to conduct an activity listed in paragraph (b)(1) of this section.
    (3) Amendment of a license to authorize the decommissioning of an 
independent spent fuel storage installation (ISFSI) or a monitored 
retrievable storage installation (MRS) pursuant to part 72 of this 
chapter.
    (4) Issuance of a license amendment pursuant to part 61 of this 
chapter authorizing (i) closure of a land disposal site, (ii) transfer 
of the license to the disposal site owner for the purpose of 
institutional control, or (iii) termination of the license at the end of 
the institutional control period.
    (5) Any other licensing action for which the Commission determines 
an Environmental Report is necessary.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31681, Aug. 19, 1988; 57 
FR 18392, Apr. 30, 1992; 58 FR 7737, Feb. 9, 1993; 62 FR 26732, May 14, 
1997]



Sec. 51.61  Environmental report--independent spent fuel storage installation (ISFSI) or monitored retrievable storage installation (MRS) license.

    Each applicant for issuance of a license for storage of spent fuel 
in an independent spent fuel storage installation (ISFSI) or for the 
storage of spent fuel and high-level radioactive waste in a monitored 
retrievable storage installation (MRS) pursuant to part 72 of this 
chapter shall submit with its application to the Director of Nuclear 
Material Safety and Safeguards the number of copies, as specified in 
Sec. 51.66 of a separate document entitled ``Applicant's Environmental 
Report--ISFSI License'' or ``Applicant's Environmental Report--MRS 
License,'' as appropriate. If the applicant is the U.S. Department of 
Energy, the environmental report may be in the form of either an 
environmental impact statement or an environmental assessment, as 
appropriate. The environmental report shall contain the information 
specified in Sec. 51.45 and shall address the siting evaluation factors 
contained in subpart E of part 72 of this chapter. Unless otherwise 
required by the Commission, in accordance with the generic determination 
in Sec. 51.23(a) and the provisions in Sec. 51.23(b), no discussion of 
the environmental impact of the storage of spent fuel at an ISFSI beyond 
the term of the license or amendment applied for is required in an 
environmental report submitted by an applicant for an initial license 
for storage of spent fuel in an ISFSI, or any amendment thereto.

[53 FR 31681, Aug. 19, 1988]



Sec. 51.62  Environmental report--land disposal of radioactive waste licensed under 10 CFR part 61.

    (a) Each applicant for issuance of a license for land disposal of 
radioactive waste pursuant to part 61 of this chapter shall submit with 
its application to the Director of Nuclear Material Safety and 
Safeguards the number of copies, as specified in Sec. 51.66 of a 
separate

[[Page 28]]

document, entitled ``Applicant's Environmental Report--License for Land 
Disposal of Radioactive Waste.'' The environmental report and any 
supplement to the environmental report may incorporate by reference 
information contained in the application or in any previous application, 
statement or report filed with the Commission provided that such 
references are clear and specific and that copies of the information so 
incorporated are available at the NRC Web site, http://www.nrc.gov, and/
or at the NRC Public Document Room.
    (b) The environmental report shall contain the information specified 
in Sec. 51.45, shall address the applicant's environmental monitoring 
program required by Secs. 61.12(l), 61.53 and 61.59(b) of this chapter, 
and shall be as complete as possible in the light of information that is 
available at the time the environmental report is submitted.
    (c) The applicant shall supplement the environmental report in a 
timely manner as necessary to permit the Commission to review, prior to 
issuance, amendment or renewal of a license, new information regarding 
the environmental impact of previously proposed activities, information 
regarding the environmental impact of any changes in previously proposed 
activities, or any significant new information regarding the 
environmental impact of closure activities and long-term performance of 
the disposal site.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 43420, Oct. 27, 1988; 64 
FR 48952, Sept. 9, 1999]



Sec. 51.66  Environmental report--number of copies; distribution.

    (a) Each applicant for a license or other form of permission, or an 
amendment to or renewal of a license or other form of permission issued 
pursuant to parts 30, 32, 33, 34, 35, 36, 39, 40, 61, 70 and/or 72 of 
this chapter, and covered by paragraphs (b) (1) through (6) of 
Sec. 51.60; or by Sec. 51.61 or Sec. 51.62 shall submit to the Director 
of Nuclear Material Safety and Safeguards an environmental report or any 
supplement to an environmental report in the number of copies specified. 
The applicant shall retain additional copies of the environmental report 
or any supplement to the environmental report in the number of copies 
specified for distribution to Federal, State, and local officials and 
any affected Indian tribes in accordance with written instructions 
issued by the Director of Nuclear Material Safety and Safeguards.
    (b)

                          Environmental Report
------------------------------------------------------------------------
                                                       Number of copies
                                 Number of copies to   to be retained by
    Type of licensing action      be submitted with      applicant for
                                     application          subsequent
                                                         distribution
------------------------------------------------------------------------
Licensing actions requiring      25 copies..........  125 copies.
 environmental impact
 statements pursuant to Sec.
 51.20(b).
Licensing actions requiring      15 copies..........  None.
 environmental assessments
 pursuant to Sec.  51.21.
------------------------------------------------------------------------


[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 8241, Mar. 17, 1987; 58 
FR 7737, Feb. 9, 1993]



Sec. 51.67  Environmental information concerning geologic repositories.

    (a) In lieu of an environmental report, the Department of Energy, as 
an applicant for a license or license amendment pursuant to part 60 of 
this chapter, shall submit to the Commission any final environmental 
impact statement which the Department prepares in connection with any 
geologic repository developed under Subtitle A of Title I, or under 
Title IV, of the Nuclear Waste Policy Act of 1982, as amended. (See 
Sec. 60.22 of this chapter as to required time and manner of 
submission.) The statement shall include, among the alternatives under 
consideration, denial of a license or construction authorization by the 
Commission.
    (b) Under applicable provisions of law, the Department of Energy may 
be required to supplement its final environmental impact statement if it 
makes a substantial change in its proposed action that is relevant to 
environmental concerns or determines that there are significant new 
circumstances or information relevant to environmental concerns and 
bearing on the proposed action or its impacts. The Department shall 
submit any supplement to its final environmental impact

[[Page 29]]

statement to the Commission. (See Sec. 60.22 of this chapter as to 
required time and manner of submission.)
    (c) Whenever the Department of Energy submits a final environmental 
impact statement, or a final supplement to an environmental impact 
statement, to the Commission pursuant to this section, it shall also 
inform the Commission of the status of any civil action for judicial 
review initiated pursuant to section 119 of the Nuclear Waste Policy Act 
of 1982. This status report, which the Department shall update from time 
to time to reflect changes in status, shall:
    (1) State whether the environmental impact statement has been found 
by the courts of the United States to be adequate or inadequate; and
    (2) Identify any issues relating to the adequacy of the 
environmental impact statement that may remain subject to judicial 
review.

[54 FR 27870, July 3, 1989]

                    environmental reports--rulemaking



Sec. 51.68  Environmental report--rulemaking.

    Petitioners for rulemaking requesting amendments of parts 30, 31, 
32, 33, 34, 35, 36, 39, 40 or part 70 of this chapter concerning the 
exemption from licensing and regulatory requirements of or authorizing 
general licenses for any equipment, device, commodity or other product 
containing byproduct material, source material or special nuclear 
material shall submit with the petition the number of copies, as 
specified in Sec. 51.69, of a separate document entitled ``Petitioner's 
Environmental Report,'' which shall contain the information specified in 
Sec. 51.45.

[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 8241, Mar. 17, 1987; 58 
FR 7737, Feb. 9, 1993]



Sec. 51.69  Environmental report--number of copies.

    Petitioners for rulemaking covered by Sec. 51.68 shall submit fifty 
(50) copies of an environmental report or any supplement to an 
environmental report.

                     Environmental Impact Statements

       draft environmental impact statements--general requirements



Sec. 51.70  Draft environmental impact statement--general.

    (a) The NRC staff will prepare a draft environmental impact 
statement as soon as practicable after publication of the notice of 
intent to prepare an environmental impact statement and completion of 
the scoping process. To the fullest extent practicable, environmental 
impact statements will be prepared concurrently or integrated with 
environmental impact analyses and related surveys and studies required 
by other Federal law.
    (b) The draft environmental impact statement will be concise, clear 
and analytic, will be written in plain language with appropriate 
graphics, will state how alternatives considered in it and decisions 
based on it will or will not achieve the requirements of sections 101 
and 102(1) of NEPA and of any other relevant and applicable 
environmental laws and policies, will identify any methodologies used 
and sources relied upon, and will be supported by evidence that the 
necessary environmental analyses have been made. The format provided in 
section 1(a) of appendix A of this subpart should be used. The NRC staff 
will independently evaluate and be responsible for the reliability of 
all information used in the draft environmental impact statement.
    (c) The Commission will cooperate with State and local agencies to 
the fullest extent possible to reduce duplication between NEPA and State 
and local requirements, in accordance with 40 CFR 1506.2 (b) and (c).



Sec. 51.71  Draft environmental impact statement--contents.

    (a) Scope. The draft environmental impact statement will be prepared 
in accordance with the scope decided upon in the scoping process 
required by Secs. 51.26 and 51.29. As appropriate and to the extent 
required by the scope, the draft statement will address the topics in 
paragraphs (b), (c), (d) and (e) of this section and the matters 
specified in

[[Page 30]]

Sec. Sec. 51.45, 51.50, 51.51, 51.52, 51.53, 51.54, 51.61 and 51.62.
    (b) Analysis of major points of view. To the extent sufficient 
information is available, the draft environmental impact statement will 
include consideration of major points of view concerning the 
environmental impacts of the proposed action and the alternatives, and 
contain an analysis of significant problems and objections raised by 
other Federal, State, and local agencies, by any affected Indian tribes, 
and by other interested persons.
    (c) Status of compliance. The draft environmental impact statement 
will list all Federal permits, licenses, approvals, and other 
entitlements which must be obtained in implementing the proposed action 
and will describe the status of compliance with those requirements. If 
it is uncertain whether a Federal permit, license, approval, or other 
entitlement is necessary, the draft environmental impact statement will 
so indicate.
    (d) Analysis. The draft environmental impact statement will include 
a preliminary analysis that considers and weighs the environmental 
effects of the proposed action; the environmental impacts of 
alternatives to the proposed action; and alternatives available for 
reducing or avoiding adverse environmental effects. Except for 
supplemental environmental impact statements for the operating license 
renewal stage prepared pursuant to Sec. 51.95(c), draft environmental 
impact statements should also include consideration of the economic, 
technical, and other benefits and costs of the proposed action and 
alternatives and indicate what other interests and considerations of 
Federal policy, including factors not related to environmental quality 
if applicable, are relevant to the consideration of environmental 
effects of the proposed action identified pursuant to paragraph (a) of 
this section. Supplemental environmental impact statements prepared at 
the license renewal stage pursuant to Sec. 51.95(c) need not discuss the 
economic or technical benefits and costs of either the proposed action 
or alternatives except insofar as such benefits and costs are either 
essential for a determination regarding the inclusion of an alternative 
in the range of alternatives considered or relevant to mitigation. In 
addition, the supplemental environmental impact statement prepared at 
the license renewal stage need not discuss other issues not related to 
the environmental effects of the proposed action and associated 
alternatives. The draft supplemental environmental impact statement for 
license renewal prepared pursuant to Sec. 51.95(c) will rely on 
conclusions as amplified by the supporting information in the GEIS for 
issues designated as Category 1 in appendix B to subpart A of this part. 
The draft supplemental environmental impact statement must contain an 
analysis of those issues identified as Category 2 in appendix B to 
subpart A of this part that are open for the proposed action. The 
analysis for all draft environmental impact statements will, to the 
fullest extent practicable, quantify the various factors considered. To 
the extent that there are important qualitative considerations or 
factors that cannot be quantified, these considerations or factors will 
be discussed in qualitative terms. Due consideration will be given to 
compliance with environmental quality standards and requirements that 
have been imposed by Federal, State, regional, and local agencies having 
responsibility for environmental protection, including applicable zoning 
and land-use regulations and water pollution limitations or requirements 
promulgated or imposed pursuant to the Federal Water Pollution Control 
Act. The environmental impact of the proposed action will be considered 
in the analysis with respect to matters covered by such standards and 
requirements irrespective of whether a certification or license from the 
appropriate authority has been obtained.3 While

[[Page 31]]

satisfaction of Commission standards and criteria pertaining to 
radiological effects will be necessary to meet the licensing 
requirements of the Atomic Energy Act, the analysis will, for the 
purposes of NEPA, consider the radiological effects of the proposed 
action and alternatives.
---------------------------------------------------------------------------

    \3\ Compliance with the environmental quality standards and 
requirements of the Federal Water Pollution Control Act (imposed by EPA 
or designated permitting states) is not a substitute for and does not 
negate the requirement for NRC to weigh all environmental effects of the 
proposed action, including the degradation, if any, of water quality, 
and to consider alternatives to the proposed action that are available 
for reducing adverse effects. Where an environmental assessment of 
aquatic impact from plant discharges is available from the permitting 
authority, the NRC will consider the assessment in its determination of 
the magnitude of environmental impacts for striking an overall cost-
benefit balance at the construction permit and operating license stages, 
and in its determination of whether the adverse environmental impacts of 
license renewal are so great that preserving the option of license 
renewal for energy planning decisionmakers would be unreasonable at the 
license renewal stage. When no such assessment of aquatic impacts is 
available from the permitting authority, NRC will establish on its own 
or in conjunction with the permitting authority and other agencies 
having relevant expertise the magnitude of potential impacts for 
striking an overall cost-benefit balance for the facility at the 
construction permit and operating license stages, and in its 
determination of whether the adverse environmental impacts of license 
renewal are so great that preserving the option of license renewal for 
energy planning decisionmakers would be unreasonable at the license 
renewal stage.
---------------------------------------------------------------------------

    (e) Preliminary recommendation. The draft environmental impact 
statement normally will include a preliminary recommendation by the NRC 
staff respecting the proposed action. This preliminary recommendation 
will be based on the information and analysis described in paragraphs 
(a) through (d) of this section and Secs. 51.75, 51.76, 51.80, 51.85, 
and 51.95, as appropriate, and will be reached after considering the 
environmental effects of the proposed action and reasonable 
alternatives,4 and, except for supplemental environmental 
impact statements for the operating license renewal stage prepared 
pursuant to Sec. 51.95(c), after weighing the costs and benefits of the 
proposed action. In lieu of a recommendation, the NRC staff may indicate 
in the draft statement that two or more alternatives remain under 
consideration.
---------------------------------------------------------------------------

    \4\ The consideration of reasonable alternatives to a proposed 
action involving nuclear power reactors (e.g., alternative energy 
sources) is intended to assist the NRC in meeting its NEPA obligations 
and does not preclude any State authority from making separate 
determinations with respect to these alternatives and in no way 
preempts, displaces, or affects the authority of States or other Federal 
agencies to address these issues.

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28488, June 5, 1996; 61 
FR 66544, Dec. 18, 1996]



Sec. 51.72  Supplement to draft environmental impact statement.

    (a) The NRC staff will prepare a supplement to a draft environmental 
impact statement for which a notice of availability has been published 
in the Federal Register as provided in Sec. 51.117, if:
    (1) There are substantial changes in the proposed action that are 
relevant to environmental concerns; or
    (2) There are significant new circumstances or information relevant 
to environmental concerns and bearing on the proposed action or its 
impacts.
    (b) The NRC staff may prepare a supplement to a draft environmental 
impact statement when, in its opinion, preparation of a supplement will 
further the purposes of NEPA.
    (c) The supplement to a draft environmental impact statement will be 
prepared and noticed in the same manner as the draft environmental 
impact statement except that a scoping process need not be used.



Sec. 51.73  Request for comments on draft environmental impact statement.

    Each draft environmental impact statement and each supplement to a 
draft environmental impact statement distributed in accordance with 
Sec. 51.74, and each news release provided pursuant to Sec. 51.74(d) 
will be accompanied by or include a request for comments on the proposed 
action and on the draft environmental impact statement or any supplement 
to the draft environmental impact statement and will state where 
comments should be submitted and the date on which the comment period 
closes. A minimum comment period of 45 days will be provided. The 
comment period will be calculated

[[Page 32]]

from the date on which the Environmental Protection Agency notice 
stating that the draft statement or the supplement to the draft 
statement has been filed with EPA is published in the Federal Register. 
If no comments are provided within the time specified, it will be 
presumed, unless the agency or person requests an extension of time, 
that the agency or person has no comment to make. To the extent 
practicable, NRC staff will grant reasonable requests for extensions of 
time of up to fifteen (15) days.



Sec. 51.74  Distribution of draft environmental impact statement and supplement to draft environmental impact statement; news releases.

    (a) A copy of the draft environmental impact statement will be 
distributed to:
    (1) The Environmental Protection Agency.
    (2) Any other Federal agency which has special expertise or 
jurisdiction by law with respect to any environmental impact involved or 
which is authorized to develop and enforce relevant environmental 
standards.
    (3) The applicant or petitioner for rulemaking and any other party 
to the proceeding.
    (4) Appropriate State and local agencies authorized to develop and 
enforce relevant environmental standards.
    (5) Appropriate State, regional and metropolitan clearinghouses.
    (6) Appropriate Indian tribes when the proposed action may have an 
environmental impact on a reservation.
    (7) Upon written request, any organization or group included in the 
master list of interested organizations and groups maintained under 
Sec. 51.122.
    (8) Upon written request, any other person to the extent available.
    (b) Additional copies will be made available in accordance with 
Sec. 51.123.
    (c) A supplement to a draft environmental impact statement will be 
distributed in the same manner as the draft environmental impact 
statement to which it relates.
    (d) News releases stating the availability for comment and place for 
obtaining or inspecting a draft environmental statement or supplement 
will be provided to local newspapers and other appropriate media.
    (e) A notice of availability will be published in the Federal 
Register in accordance with Sec. 51.117.

   draft environmental impact statements--production and utilization 
                               facilities



Sec. 51.75  Draft environmental impact statement--construction permit.

    A draft environmental impact statement relating to issuance of a 
construction permit for a production or utilization facility will be 
prepared in accordance with the procedures and measures described in 
Secs. 51.70, 51.71, 51.72 and 51.73. The contribution of the 
environmental effects of the uranium fuel cycle activities specified in 
Sec. 51.51 shall be evaluated on the basis of impact values set forth in 
Table S-3, Table of Uranium Fuel Cycle Environmental Data, which shall 
be set out in the draft environmental impact statement. With the 
exception of radon-222 and technetium-99 releases, no further discussion 
of fuel cycle release values and other numerical data that appear 
explicitly in the Table shall be required.5 The impact 
statement shall take account of dose commitments and health effects from 
fuel cycle effluents set forth in Table S-3 and shall in addition take 
account of economic, socioeconomic, and possible cumulative impacts and 
such other fuel cycle impacts as may reasonably appear significant.
---------------------------------------------------------------------------

    \5\ Values for releases of Rn-222 and Tc-99 are not given in the 
Table. The amount and significance of Rn-222 releases from the fuel 
cycle and Tc-99 releases from waste management or reprocessing 
activities shall be considered in the draft environmental impact 
statement and may be the subject of litigation in individual licensing 
proceedings.

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28489, June 5, 1996]



Sec. 51.76  Draft environmental impact statement--manufacturing license.

    A draft environmental impact statement relating to issuance of a 
license to manufacture a nuclear power reactor will address the 
environmental matters specified in appendix M of part 52 of this 
chapter. The draft environmental impact statement will include

[[Page 33]]

a request for comments as provided in Sec. 51.73.

[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 15398, Apr. 18, 1989]



Sec. 51.77  Distribution of draft environmental impact statement.

    (a) In addition to the distribution authorized by Sec. 51.74, a copy 
of a draft environmental statement for a licensing action for a 
production or utilization facility, except an action authorizing 
issuance, amendment or renewal of a license to manufacture a nuclear 
power reactor pursuant to 10 CFR part 52, appendix M will also be 
distributed to:
    (1) The chief executive of the municipality or county identified in 
the draft environmental impact statement as the preferred site for the 
proposed facility or activity.
    (2) Upon request, the chief executive of each municipality or county 
identified in the draft environmental impact statement as an alternative 
site.
    (b) Additional copies will be made available in accordance with 
Sec. 51.123.

[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 15398, Apr. 18, 1989]

        draft environmental impact statements--materials licenses



Sec. 51.80  Draft environmental impact statement--materials license.

    (a) The NRC staff will either prepare a draft environmental impact 
statement or as provided in Sec. 51.92, a supplement to a final 
environmental impact statement for each type of action identified in 
Sec. 51.20(b) (7) through (12). Except as the context may otherwise 
require, procedures and measures similar to those described in 
Secs. 51.70, 51.71, 51.72 and 51.73 will be followed.
    (b)(1) Independent spent fuel storage installation (ISFSI). Unless 
otherwise determined by the Commission and in accordance with the 
generic determination in Sec. 51.23(a) and the provisions of 
Sec. 51.23(b), a draft environmental impact statement on the issuance of 
an initial license for storage of spent fuel at an independent spent 
fuel storage installation (ISFSI) or any amendment thereto, will address 
environmental impacts of spent fuel only for the term of the license or 
amendment applied for.
    (2) Monitored retrievable storage installation (MRS). As provided in 
sections 141 (c), (d), and (e) and 148 (a) and (c) of the Nuclear Waste 
Policy Act of 1982, as amended (NWPA) (96 Stat. 2242, 2243, 42 U.S.C. 
10161 (c), (d), (e); 101 Stat. 1330-235, 1330-236, 42 U.S.C. 10168 (a) 
and (c)), a draft environmental impact statement for the construction of 
a monitored retrievable storage installation (MRS) will not address the 
need for the MRS or any alternative to the design criteria for an MRS 
set forth in section 141(b)(1) of the NWPA (96 Stat. 2242, 42 U.S.C. 
10161(b)(1)) but may consider alternative facility designs which are 
consistent with these design criteria.

[49 FR 34695, Aug. 31, 1984, as amended at 53 FR 31682, Aug. 19, 1988]



Sec. 51.81  Distribution of draft environmental impact statement.

    Copies of the draft environmental impact statement and any 
supplement to the draft environmental impact statement will be 
distributed in accordance with the provisions of Sec. 51.74.

            draft environmental impact statements--rulemaking



Sec. 51.85  Draft environmental impact statement--rulemaking.

    Except as the context may otherwise require, procedures and measures 
similar to those described in Secs. 51.70, 51.71, 51.72 and 51.73 will 
be followed in proceedings for rulemaking for which the Commission has 
determined to prepare an environmental impact statement.



Sec. 51.86  Distribution of draft environmental impact statement.

    Copies of the draft environmental impact statement and any 
supplement to the draft environmental impact statement will be 
distributed in accordance with the provisions of Sec. 51.74.

 legislative environmental impact statements--proposals for legislation



Sec. 51.88  Proposals for legislation.

    The Commission will, as a matter of policy, follow the provisions of 
40 CFR 1506.8 regarding the NEPA process for proposals for legislation.

[[Page 34]]

       final environmental impact statements--general requirements



Sec. 51.90  Final environmental impact statement--general.

    After receipt and consideration of comments requested pursuant to 
Secs. 51.73 and 51.117, the NRC staff will prepare a final environmental 
impact statement in accordance with the requirements in Secs. 51.70(b) 
and 51.71 for a draft environmental impact statement. The format 
provided in section 1(a) of appendix A of this subpart should be used.



Sec. 51.91  Final environmental impact statement--contents.

    (a)(1) The final environmental impact statement will include 
responses to any comments on the draft environmental impact statement or 
on any supplement to the draft environmental impact statement. Responses 
to comments may include:
    (i) Modification of alternatives, including the proposed action;
    (ii) Development and evaluation of alternatives not previously given 
serious consideration;
    (iii) Supplementation or modification of analyses;
    (iv) Factual corrections;
    (v) Explanation of why comments do not warrant further response, 
citing sources, authorities or reasons which support this conclusion.
    (2) All substantive comments received on the draft environmental 
impact statement or any supplement to the draft environmental impact 
statement (or summaries thereof where the response has been 
exceptionally voluminous) will be attached to the final statement, 
whether or not each comment is discussed individually in the text of the 
statement.
    (3) If changes in the draft environmental impact statement in 
response to comments are minor and are confined either to factual 
corrections or to explanations of why the comments do not warrant 
further response, the changes may be made by attaching errata sheets to 
the draft statement. The entire document with a new cover may then be 
issued as the final environmental impact statement.
    (b) The final environmental impact statement will discuss any 
relevant responsible opposing view not adequately discussed in the draft 
environmental impact statement or in any supplement to the draft 
environmental impact statement, and respond to the issues raised.
    (c) The final environmental impact statement will state how the 
alternatives considered in it and decisions based on it will or will not 
achieve the requirements of sections 101 and 102(1) of NEPA and of any 
other relevant and applicable environmental laws and policies.
    (d) The final environmental impact statement will include a final 
analysis and a final recommendation on the action to be taken.



Sec. 51.92  Supplement to the final environmental impact statement.

    (a) If the proposed action has not been taken, the NRC staff will 
prepare a supplement to a final environmental impact statement for which 
a notice of availability has been published in the Federal Register as 
provided in Sec. 51.118, if:
    (1) There are substantial changes in the proposed action that are 
relevant to environmental concerns; or
    (2) There are significant new circumstances or information relevant 
to environmental concerns and bearing on the proposed action or its 
impacts.
    (b) The NRC staff may prepare a supplement to a final environmental 
impact statement when, in its opinion, preparation of a supplement will 
further the purposes of NEPA.
    (c) The supplement to a final environmental impact statement will be 
prepared in the same manner as the final environmental impact statement 
except that a scoping process need not be used.
    (d)(1) A supplement to a final environmental impact statement will 
be accompanied by or will include a request for comments as provided in 
Sec. 51.73 and a notice of availability will be published in the Federal 
Register as provided in Sec. 51.117 if the conditions described in 
paragraph (a) of this section apply.
    (2) If comments are not requested, a notice of availability of a 
supplement

[[Page 35]]

to a final environmental impact statement will be published in the 
Federal Register as provided in Sec. 51.118.



Sec. 51.93  Distribution of final environmental impact statement and supplement to final environmental impact statement; news releases.

    (a) A copy of the final environmental impact statement will be 
distributed to:
    (1) The Environmental Protection Agency.
    (2) The applicant or petitioner for rulemaking and any other party 
to the proceeding.
    (3) Appropriate State, regional and metropolitan clearinghouses.
    (4) Each commenter.
    (b) Additional copies will be made available in accordance with 
Sec. 51.123.
    (c) If the final environmental impact statement is unusually long or 
there are so many comments on a draft environmental impact statement or 
any supplement to a draft environmental impact statement that 
distribution of the entire final statement to all commenters is 
impracticable, a summary of the final statement and the substantive 
comments will be distributed. When the final environmental impact 
statement has been prepared by adding errata sheets to the draft 
environmental impact statement as provided in Sec. 51.91(a)(3), only the 
comments, the responses to the comments and the changes to the 
environmental impact statement will be distributed.
    (d) A supplement to a final environmental impact statement will be 
distributed in the same manner as the final environmental impact 
statement to which it relates.
    (e) News releases stating the availability and place for obtaining 
or inspecting a final environmental impact statement or supplement will 
be provided to local newspapers and other appropriate media.
    (f) A notice of availability will be published in the Federal 
Register in accordance with Sec. 51.118.



Sec. 51.94  Requirement to consider final environmental impact statement.

    The final environmental impact statement, together with any comments 
and any supplement, will accompany the application or petition for 
rulemaking through, and be considered in, the Commission's 
decisionmaking process. The final environmental impact statement, 
together with any comments and any supplement, will be made a part of 
the record of the appropriate adjudicatory or rulemaking proceeding.

   final environmental impact statements--production and utilization 
                               facilities



Sec. 51.95  Postconstruction environmental impact statements.

    (a) General. Any supplement to a final environmental impact 
statement or any environmental assessment prepared under the provisions 
of this section may incorporate by reference any information contained 
in a final environmental document previously prepared by the NRC staff 
that relates to the same production or utilization facility. Documents 
that may be referenced include, but are not limited to, the final 
environmental impact statement; supplements to the final environmental 
impact statement, including supplements prepared at the operating 
license stage; NRC staff-prepared final generic environmental impact 
statements; environmental assessments and records of decisions prepared 
in connection with the construction permit, the operating license, and 
any license amendment for that facility. A supplement to a final 
environmental impact statement will include a request for comments as 
provided in Sec. 51.73.
    (b) Initial operating license stage. In connection with the issuance 
of an operating license for a production or utilization facility, the 
NRC staff will prepare a supplement to the final environmental impact 
statement on the construction permit for that facility, which will 
update the prior environmental review. The supplement will only cover 
matters that differ from the final environmental impact statement or 
that reflect significant new information concerning matters discussed in 
the final environmental impact statement. Unless otherwise determined by 
the Commission, a supplement on the operation of a nuclear power plant 
will not include a discussion of need for power, or of alternative 
energy sources,

[[Page 36]]

or of alternative sites, or of any aspect of the storage of spent fuel 
for the nuclear power plant within the scope of the generic 
determination in Sec. 51.23(a) and in accordance with Sec. 51.23(b), and 
will only be prepared in connection with the first licensing action 
authorizing full-power operation.
    (c) Operating license renewal stage. In connection with the renewal 
of an operating license for a nuclear power plant under part 54 of this 
chapter, the Commission shall prepare an EIS, which is a supplement to 
the Commission's NUREG-1437, ``Generic Environmental Impact Statement 
for License Renewal of Nuclear Plants'' (May 1996) which is available in 
the NRC Public Document Room, 2120 L Street, NW., (Lower Level) 
Washington, DC.
    (1) The supplemental environmental impact statement for the 
operating license renewal stage shall address those issues as required 
by Sec. 51.71. In addition, the NRC staff must comply with 40 CFR 
1506.6(b)(3) in conducting the additional scoping process as required by 
Sec. 51.71(a).
    (2) The supplemental environmental impact statement for license 
renewal is not required to include discussion of need for power or the 
economic costs and economic benefits of the proposed action or of 
alternatives to the proposed action except insofar as such benefits and 
costs are either essential for a determination regarding the inclusion 
of an alternative in the range of alternatives considered or relevant to 
mitigation. In addition, the supplemental environmental impact statement 
prepared at the license renewal stage need not discuss other issues not 
related to the environmental effects of the proposed action and the 
alternatives, or any aspect of the storage of spent fuel for the 
facility within the scope of the generic determination in Sec. 51.23(a) 
and in accordance with Sec. 51.23(b). The analysis of alternatives in 
the supplemental environmental impact statement should be limited to the 
environmental impacts of such alternatives and should otherwise be 
prepared in accordance with Sec. 51.71 and appendix A to subpart A of 
this part.
    (3) The supplemental environmental impact statement shall be issued 
as a final impact statement in accordance with Secs. 51.91 and 51.93 
after considering any significant new information relevant to the 
proposed action contained in the supplement or incorporated by 
reference.
    (4) The supplemental environmental impact statement must contain the 
NRC staff's recommendation regarding the environmental acceptability of 
the license renewal action. In order to make its recommendation and 
final conclusion on the proposed action, the NRC staff, adjudicatory 
officers, and Commission shall integrate the conclusions, as amplified 
by the supporting information in the generic environmental impact 
statement for issues designated Category 1 (with the exception of 
offsite radiological impacts for collective effects and the disposal of 
spent fuel and high level waste) or resolved Category 2,information 
developed for those open Category 2 issues applicable to the plant in 
accordance with Sec. 51.53(c)(3)(ii), and any significant new 
information. Given this information, the NRC staff, adjudicatory 
officers, and Commission shall determine whether or not the adverse 
environmental impacts of license renewal are so great that preserving 
the option of license renewal for energy planning decisionmakers would 
be unreasonable.
    (d) Postoperating license stage. In connection with the amendment of 
an operating license authorizing decommissioning activities at a 
production or utilization facility covered by Sec. 51.20, either for 
unrestricted use or based on continuing use restrictions applicable to 
the site, or with the issuance, amendment or renewal of a license to 
store spent fuel at a nuclear power reactor after expiration of the 
operating license for the nuclear power reactor, the NRC staff will 
prepare a supplemental environmental impact statement for the post 
operating license stage or an environmental assessment, as appropriate, 
which will update the prior environmental review. The supplement or 
assessment may incorporate by reference any information contained in the 
final environmental impact statement-operating license stage, or in the 
records of decision prepared in connection with the construction permit 
or the operating license for

[[Page 37]]

that facility. The supplement will include a request for comments as 
provided in Sec. 51.73. Unless other wise required by the Commission in 
accordance with the generic determination in Sec. 51.23(a) and the 
provisions of Sec. 51.23(b), a supplemental environmental impact 
statement for the post operating license stage or an environmental 
assessment, as appropriate, will address the environmental impacts of 
spent fuel storage only for the term of the license, license amendment 
or license renewal applied for.

[61 FR 66545, Dec. 18, 1996]

        final environmental impact statements--materials licenses



Sec. 51.97  Final environmental impact statement--materials license.

    (a) Independent spent fuel storage installation (ISFSI). Unless 
otherwise determined by the Commission, and in accordance with the 
generic determination in Sec. 51.23(a) and the provisions of 
Sec. 51.23(b), a final environmental impact statement on the issuance of 
an initial license for the storage of spent fuel at an independent spent 
fuel storage installation (ISFSI) or any amendment thereto, will address 
environmental impacts of spent fuel storage only for the term of the 
license or amendment applied for.
    (b) Monitored retrievable storage facility (MRS). As provided in 
sections 141 (c), (d), and (e) and 148 (a) and (c) of the Nuclear Waste 
Policy Act of 1982, as amended (NWPA) (96 Stat. 2242, 2243, 42 U.S.C. 
10161 (c), (d), (e); 101 Stat. 1330-235, 1330-236, 42 U.S.C. 10168 (a), 
(c)) a final environmental impact statement for the construction of a 
monitored retrievable storage installation (MRS) will not address the 
need for the MRS or any alternative to the design criteria for an MRS 
set forth in section 141(b)(1) of the NWPA (96 Stat. 2242, 42 U.S.C. 
10161(b)(1)) but may consider alternative facility designs which are 
consistent with these design criteria.
    (c) Uranium enrichment facility. As provided in section 5(e) of the 
Solar, Wind, Waste, and Geothermal Power Production Incentives Act of 
1990 (104 Stat. 2834 at 2835, 42 U.S.C. 2243), a final environmental 
impact statement must be prepared before the hearing on the issuance of 
a license for a uranium enrichment facility is completed.

[49 FR 34695, Aug. 31, 1984, as amended at 53 FR 31682, Aug. 19, 1988; 
57 FR 18392, Apr. 30, 1992]

            final environmental impact statements--rulemaking



Sec. 51.99  [Reserved]

                NEPA Procedure and Administrative Action

                                 general



Sec. 51.100  Timing of Commission action.

    (a)(1) Except as provided in Sec. 51.13 and paragraph (b) of this 
section, no decision on a proposed action, including the issuance of a 
permit, license, or other form of permission, or amendment to or renewal 
of a permit, license, or other form of permission, or the issuance of an 
effective regulation, for which an environmental impact statement is 
required, will be made and no record of decision will be issued until 
the later of the following dates:
    (i) Ninety (90) days after publication by the Environmental 
Protection Agency of a Federal Register notice stating that the draft 
environmental impact statement has been filed with EPA.
    (ii) Thirty (30) days after publication by the Environmental 
Protection Agency of a Federal Register notice stating that the final 
environmental impact statement has been filed with EPA.
    (2) If a notice of filing of a final environmental impact statement 
is published by the Environmental Protection Agency within ninety (90) 
days after a notice of filing of a draft environmental impact statement 
has been published by EPA, the minimum thirty (30) day period and the 
minimum ninety (90) day period may run concurrently to the extent they 
overlap.
    (b) In any rulemaking proceeding for the purpose of protecting the 
public health or safety or the common defense and security, the 
Commission may make and publish the decision on the final rule at the 
same time that the Environmental Protection Agency publishes the Federal 
Register notice of

[[Page 38]]

filing of the final environmental impact statement.



Sec. 51.101  Limitations on actions.

    (a) Until a record of decision is issued in connection with a 
proposed licensing or regulatory action for which an environmental 
impact statement is required under Sec. 51.20, or until a final finding 
of no significant impact is issued in connection with a proposed 
licensing or regulatory action for which an environmental assessment is 
required under Sec. 51.21:
    (1) No action concerning the proposal may be taken by the Commission 
which would (i) have an adverse environmental impact, or (ii) limit the 
choice of reasonable alternatives.
    (2) Any action concerning the proposal taken by an applicant which 
would (i) have an adverse environmental impact, or (ii) limit the choice 
of reasonable alternatives may be grounds for denial of the license. In 
the case of an application covered by Secs. 30.32(f), 40.31(f), 
50.10(c), 70.21(f), or Secs. 72.16 and 72.34 of this chapter, the 
provisions of this paragraph will be applied in accordance with 
Secs. 30.33(a)(5), 40.32(e), 50.10 (c) and (e), 70.23(a)(7) or 
Sec. 72.40(b) of this chapter, as appropriate.
    (b) While work on a required program environmental impact statement 
is in progress, the Commission will not undertake in the interim any 
major Federal action covered by the program which may significantly 
affect the quality of the human environment unless such action:
    (1) Is justified independently of the program;
    (2) Is itself accompanied by an adequate environmental impact 
statement; and
    (3) Will not prejudice the ultimate decision on the program. Absent 
any satisfactory explanation to the contrary, interim action which tends 
to determine subsequent development or limit reasonable alternatives, 
will be considered prejudicial.
    (c) This section does not preclude any applicant for an NRC permit, 
license, or other form of permission, or amendment to or renewal of an 
NRC permit, license, or other form of permission, (1) from developing 
any plans or designs necessary to support an application; or (2) after 
prior notice and consultation with NRC staff, (i) from performing any 
physical work necessary to support an application, or (ii) from 
performing any other physical work relating to the proposed action if 
the adverse environmental impact of that work is de minimis.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31682, Aug. 19, 1988]



Sec. 51.102  Requirement to provide a record of decision; preparation.

    (a) A Commission decision on any action for which a final 
environmental impact statement has been prepared shall be accompanied by 
or include a concise public record of decision.
    (b) Except as provided in paragraph (c) of this section, the record 
of decision will be prepared by the NRC staff director authorized to 
take the action.
    (c) When a hearing is held on the proposed action under the 
regulations in subpart G of part 2 of this chapter or when the action 
can only be taken by the Commissioners acting as a collegial body, the 
initial decision of the presiding officer or the final decision of the 
Atomic Safety and Licensing Appeal Board or the final decision of the 
Commissioners acting as a collegial body will constitute the record of 
decision. An initial or final decision constituting the record of 
decision will be distributed as provided in Sec. 51.93.



Sec. 51.103  Record of decision--general.

    (a) The record of decision required by Sec. 51.102 shall be clearly 
identified and shall:
    (1) State the decision.
    (2) Identify all alternatives considered by the Commission in 
reaching the decision, state that these alternatives were included in 
the range of alternatives discussed in the environmental impact 
statement, and specify the alternative or alternatives which were 
considered to be environmentally preferable.
    (3) Discuss preferences among alternatives based on relevant 
factors, including economic and technical considerations where 
appropriate, the NRC's statutory mission, and any essential 
considerations of national policy,

[[Page 39]]

which were balanced by the Commission in making the decision and state 
how these considerations entered into the decision.
    (4) State whether the Commission has taken all practicable measures 
within its jurisdiction to avoid or minimize environmental harm from the 
alternative selected, and if not, to explain why those measures were not 
adopted. Summarize any license conditions and monitoring programs 
adopted in connection with mitigation measures.
    (5) In making a final decision on a license renewal action pursuant 
to part 54 of this chapter, the Commission shall determine whether or 
not the adverse environmental impacts of license renewal are so great 
that preserving the option of license renewal for energy planning 
decisionmakers would be unreasonable.
    (b) The record of decision may be integrated into any other record 
prepared by the Commission in connection with the action.
    (c) The record of decision may incorporate by reference material 
contained in a final environmental impact statement.

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28490, June 5, 1996; 61 
FR 66546, Dec. 18, 1996; 61 FR 68543, Dec. 30, 1996]



Sec. 51.104  NRC proceeding using public hearings; consideration of environmental impact statement.

    (a)(1) In any proceeding in which (i) a hearing is held on the 
proposed action, (ii) a final environmental impact statement has been 
prepared in connection with the proposed action, and (iii) matters 
within the scope of NEPA and this subpart are in issue, the NRC staff 
may not offer the final environmental impact statement in evidence or 
present the position of the NRC staff on matters within the scope of 
NEPA and this subpart until the final environmental impact statement is 
filed with the Environmental Protection Agency, furnished to commenting 
agencies and made available to the public.
    (2) Any party to the proceeding may take a position and offer 
evidence on the aspects of the proposed action within the scope of NEPA 
and this subpart in accordance with the provisions of part 2 of this 
chapter applicable to that proceeding or in accordance with the terms of 
the notice of hearing.
    (3) In the proceeding the presiding officer will decide those 
matters in controversy among the parties within the scope of NEPA and 
this subpart.
    (b) In any proceeding in which a hearing is held where the NRC staff 
has determined that no environmental impact statement need be prepared 
for the proposed action, unless the Commission orders otherwise, any 
party to the proceeding may take a position and offer evidence on the 
aspects of the proposed action within the scope of NEPA and this subpart 
in accordance with the provisions of part 2 of this chapter applicable 
to that proceeding or in accordance with the terms of the notice of 
hearing. In the proceeding, the presiding officer will decide any such 
matters in controversy among the parties.

                  production and utilization facilities



Sec. 51.105  Public hearings in proceedings for issuance of construction permits or licenses to manufacture.

    (a) In addition to complying with applicable requirements of 
Sec. 51.104, in a proceeding for the issuance of a construction permit 
for a nuclear power reactor, testing facility, fuel reprocessing plant 
or isotopic enrichment plant, or for the issuance of a license to 
manufacture, the presiding officer will:
    (1) Determine whether the requirements of section 102(2) (A), (C), 
and (E) of NEPA and the regulations in this subpart have been met;
    (2) Independently consider the final balance among conflicting 
factors contained in the record of the proceeding with a view to 
determining the appropriate action to be taken;
    (3) Determine, after weighing the environmental, economic, 
technical, and other benefits against environmental and other costs, and 
considering reasonable alternatives, whether the construction permit or 
license to manufacture should be issued, denied, or appropriately 
conditioned to protect environmental values;

[[Page 40]]

    (4) Determine, in an uncontested proceeding, whether the NEPA review 
conducted by the NRC staff has been adequate; and
    (5) Determine, in a contested proceeding, whether in accordance with 
the regulations in this subpart, the construction permit or license to 
manufacture should be issued as proposed.



Sec. 51.106  Public hearings in proceedings for issuance of operating licenses.

    (a) Consistent with the requirements of this section and as 
appropriate, the presiding officer in an operating license hearing shall 
comply with any applicable requirements of Secs. 51.104 and 51.105.
    (b) During the course of a hearing on an application for issuance of 
an operating license for a nuclear power reactor, or a testing facility, 
the presiding officer may authorize, pursuant to Sec. 50.57(c) of this 
chapter, the loading of nuclear fuel in the reactor core and limited 
operation within the scope of Sec. 50.57(c) of this chapter, upon 
compliance with the procedures described therein. In any such hearing, 
where any party opposes such authorization on the basis of matters 
covered by subpart A of this part, the provisions of Secs. 51.104 and 
51.105 will apply, as appropriate.
    (c) The presiding officer in an operating license hearing shall not 
admit contentions proffered by any party concerning need for power or 
alternative energy sources or alternative sites for the facility for 
which an operating license is requested.
    (d) The presiding officer in an operating license hearing shall not 
raise issues concerning alternative sites for the facility for which an 
operating license is requested sua sponte.

                           materials licenses



Sec. 51.108  [Reserved]



Sec. 51.109  Public hearings in proceedings for issuance of materials license with respect to a geologic repository.

    (a)(1) In a proceeding for the issuance of a license to receive and 
possess source, special nuclear, and byproduct material at a geologic 
repository operations area, the NRC staff shall, upon the publication of 
the notice of hearing in the Federal Register, present its position on 
whether it is practicable to adopt, without further supplementation, the 
environmental impact statement (including any supplement thereto) 
prepared by the Secretary of Energy. If the position of the staff is 
that supplementation of the environmental impact statement by NRC is 
required, it shall file its final supplemental environmental impact 
statement with the Environmental Protection Agency, furnish that 
statement to commenting agencies, and make it available to the public, 
before presenting its position, or as soon thereafter as may be 
practicable. In discharging its responsibilities under this paragraph, 
the staff shall be guided by the principles set forth in paragraphs (c) 
and (d) of this section.
    (2) Any other party to the proceeding who contends that it is not 
practicable to adopt the DOE environmental impact statement, as it may 
have been supplemented, shall file a contention to that effect within 
thirty days after the publication of the notice of hearing in the 
Federal Register. Such contention must be accompanied by one or more 
affidavits which set forth factual and/or technical bases for the claim 
that, under the principles set forth in paragraphs (c) and (d) of this 
section, it is not practicable to adopt the DOE environmental impact 
statement, as it may have been supplemented. The presiding officer shall 
resolve disputes concerning adoption of the DOE environmental impact 
statement by using, to the extent possible, the criteria and procedures 
that are followed in ruling on motions to reopen under Sec. 2.734 of 
this chapter.
    (b) In any such proceeding, the presiding officer will determine 
those matters in controversy among the parties within the scope of NEPA 
and this subpart, specifically including whether, and to what extent, it 
is practicable to adopt the environmental impact statement prepared by 
the Secretary of Energy in connection with the issuance of a 
construction authorization and license for such repository.

[[Page 41]]

    (c) The presiding officer will find that it is practicable to adopt 
any environmental impact statement prepared by the Secretary of Energy 
in connection with a geologic repository proposed to be constructed 
under Title I of the Nuclear Waste Policy Act of 1982, as amended, 
unless:
    (1)(i) The action proposed to be taken by the Commission differs 
from the action proposed in the license application submitted by the 
Secretary of Energy; and
    (ii) The difference may significantly affect the quality of the 
human environment; or
    (2) Significant and substantial new information or new 
considerations render such environmental impact statement inadequate.
    (d) To the extent that the presiding officer determines it to be 
practicable, in accordance with paragraph (c) of this section, to adopt 
the environmental impact statement prepared by the Secretary of Energy, 
such adoption shall be deemed to satisfy all responsibilities of the 
Commission under NEPA and no further consideration under NEPA or this 
subpart shall be required.
    (e) To the extent that it is not practicable, in accordance with 
paragraph (c) of this section, to adopt the environmental impact 
statement prepared by the Secretary of Energy, the presiding officer 
will:
    (1) Determine whether the requirements of section 102(2) (A), (C), 
and (E) of NEPA and the regulations in this subpart have been met;
    (2) Independently consider the final balance among conflicting 
factors contained in the record of the proceeding with a view to 
determining the appropriate action to be taken;
    (3) Determine, after weighing the environmental, economic, technical 
and other benefits against environmental and other costs, whether the 
construction authorization or license should be issued, denied, or 
appropriately conditioned to protect environmental values;
    (4) Determine, in an uncontested proceeding, whether the NEPA review 
conducted by the NRC staff has been adequate; and
    (5) Determine, in a contested proceeding, whether in accordance with 
the regulations in this subpart, the construction authorization or 
license should be issued as proposed.
    (f) In making the determinations described in paragraph (e), the 
environmental impact statement will be deemed modified to the extent 
that findings and conclusions differ from those in the final statement 
prepared by the Secretary of Energy, as it may have been supplemented. 
The initial decision will be distributed to any persons not otherwise 
entitled to receive it who responded to the request in the notice of 
docketing, as described in Sec. 51.26(c). If the Commission or the 
Atomic Safety and Licensing Appeal Board reaches conclusions different 
from those of the presiding officer with respect to such matters, the 
final environmental impact statement will be deemed modified to that 
extent and the decision will be similarly distributed.
    (g) The provisions of this section shall be followed, in place of 
those set out in Sec. 51.104, in any proceedings for the issuance of a 
license to receive and possess source, special nuclear, and byproduct 
material at a geologic repository operations area.

[54 FR 27870, July 3, 1989]

                               rulemaking



Sec. 51.110  [Reserved]

         Public Notice of and Access to Environmental Documents



Sec. 51.116  Notice of intent.

    (a) In accordance with Sec. 51.26, the appropriate NRC staff 
director will publish in the Federal Register a notice of intent stating 
that an environmental impact statement will be prepared. The notice will 
contain the information specified in Sec. 51.27.
    (b) Copies of the notice will be sent to appropriate Federal, State, 
and local agencies, and Indian tribes, appropriate State, regional, and 
metropolitan clearinghouses and to interested persons upon request. A 
public announcement of the notice of intent will also be made.

[[Page 42]]



Sec. 51.117  Draft environmental impact statement--notice of availability.

    (a) Upon completion of a draft environmental impact statement or any 
supplement to a draft environmental impact statement, the appropriate 
NRC staff director will publish a notice of availability of the 
statement in the Federal Register.
    (b) The notice will request comments on the proposed action and on 
the draft statement or any supplement to the draft statement and will 
specify where comments should be submitted and when the comment period 
expires.
    (c) The notice will (1) state that copies of the draft statement or 
any supplement to the draft statement are available for public 
inspection; (2) state where inspection may be made, and (3) state that 
any comments of Federal, State, and local agencies, Indian tribes or 
other interested persons will be made available for public inspection 
when received.
    (d) Copies of the notice will be sent to appropriate Federal, State, 
and local agencies, and Indian tribes, appropriate State, regional, and 
metropolitan clearinghouses, and to interested persons upon request.



Sec. 51.118  Final environmental impact statement--notice of availability.

    (a) Upon completion of a final environmental impact statement or any 
supplement to a final environmental impact statement, the appropriate 
NRC staff director will publish a notice of availability of the 
statement in the Federal Register. The notice will state that copies of 
the final statement or any supplement to the final statement are 
available for public inspection and where inspection may be made. Copies 
of the notice will be sent to appropriate Federal, State, and local 
agencies, and Indian tribes, appropriate State, regional, and 
metropolitan clearinghouses and to interested persons upon request.
    (b) Upon adoption of a final environmental impact statement or any 
supplement to a final environmental impact statement prepared by the 
Department of Energy with respect to a geologic repository that is 
subject to the Nuclear Waste Policy Act of 1982, the appropriate NRC 
staff director shall follow the procedures set out in paragraph (a) of 
this section.

[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 27871, July 3, 1989]



Sec. 51.119  Publication of finding of no significant impact; distribution.

    (a) As required by Sec. 51.35, the appropriate NRC staff director 
will publish the finding of no significant impact in the Federal 
Register. The finding of no significant impact will be identified as a 
draft or final finding, and will contain the information specified in 
Secs. 51.32 or 51.33, as appropriate. A draft finding of no significant 
impact will include a request for comments which specifies where 
comments should be submitted and when the comment period expires.
    (b) The finding will state that copies of the finding, the 
environmental assessment setting forth the basis for the finding and any 
related environmental documents are available for public inspection and 
where inspection may be made.
    (c) A copy of a final finding will be sent to appropriate Federal, 
State, and local agencies, and Indian tribes, appropriate State, 
regional, and metropolitan clearinghouses, the applicant or petitioner 
for rulemaking and any other party to the proceeding, and if a draft 
finding was issued, to each commenter. Additional copies will be made 
available in accordance with Sec. 51.123.



Sec. 51.120  Availability of environmental documents for public inspection.

    Copies of environmental reports, draft and final environmental 
impact statements, environmental assessments, and findings of no 
significant impact, together with any related comments and environmental 
documents, will be made available at the NRC Web site, http://
www.nrc.gov, and/or at the NRC Public Document Room.

[64 FR 48952, Sept. 9, 1999]



Sec. 51.121  Status of NEPA actions.

    Individuals or organizations desiring information on the NRC's NEPA 
process or on the status of specific NEPA actions should address 
inquiries to:
    (a) Utilization facilities: Director, Office of Nuclear Reactor 
Regulation, U.S. Nuclear Regulatory Commission,

[[Page 43]]

Washington, DC 20555, Telephone (301) 415-1270.
    (b) Production facilities: Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555, Telephone: (301) 415-7800.
    (c) Materials licenses: Director, Office of Nuclear Material Safety 
and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 
20555, Telephone: (301) 415-7800.
    (d) Rulemaking: Director, Office of Nuclear Regulatory Research, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: 
(301) 415-6641.
    (e) General Environmental Matters: Executive Director for 
Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
Telephone: (301) 415-1700.

[53 FR 13399, Apr. 25, 1988, as amended at 60 FR 24552, May 9, 1995]



Sec. 51.122  List of interested organizations and groups.

    The NRC Office of Information Resources Management will maintain a 
master list of organizations and groups, including relevant conservation 
commissions, known to be interested in the Commission's licensing and 
regulatory activities. The NRC Office of Information Resources 
Management with the assistance of the appropriate NRC staff director 
will select from this master list those organizations and groups that 
may have an interest in a specific NRC NEPA action and will promptly 
notify such organizations and groups of the availability of a draft 
environmental impact statement or a draft finding of no significant 
impact.

[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 31612, Aug. 12, 1987; 54 
FR 53316, Dec. 28, 1989]



Sec. 51.123  Charges for environmental documents; distribution to public; distribution to governmental agencies.

    (a) Distribution to public. Upon written request to the Reproduction 
and Distribution Services Section, Office of the Chief Information 
Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, 
and to the extent available, single copies of draft environmental impact 
statements and draft findings of no significant impact will be made 
available to interested persons without charge. Single copies of final 
environmental impact statements and final findings of no significant 
impact will also be provided without charge to the persons listed in 
Secs. 51.93(a) and 51.119(c), respectively. When more than one copy of 
an environmental impact statement or a finding of no significant impact 
is requested or when available NRC copies have been exhausted, the 
requestor will be advised that the NRC will provide copies at the 
charges specified in Sec. 9.35 of this chapter.
    (b) Distribution to governmental agencies. Upon written request to 
the Reproduction and Distribution Services Section, Office of the Chief 
Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 
20555-0001, and to the extent available, copies of draft and final 
environmental impact statements and draft final findings of no 
significant impact will be made available in the number requested to 
Federal, State and local agencies, Indian tribes, and State, regional 
and metropolitan clearinghouses. When available NRC copies have been 
exhausted, the requester will be advised that the NRC will provide 
copies at the charges specified in Sec. 9.35 of this chapter.
    (c) Charges. Charges for the reproduction of environmental documents 
by the NRC at locations other than the NRC Public Document Room located 
in Washington, DC vary according to location.

[50 FR 21037, May 22, 1985, as amended at 52 FR 31612, Aug. 21, 1987; 53 
FR 43421, Oct. 27, 1988; 61 FR 9902, Mar. 12, 1996; 64 FR 48952, Sept. 
9, 1999]

                               Commenting



Sec. 51.124  Commission duty to comment.

    It is the policy of the Commission to comment on draft environmental 
impact statements prepared by other Federal agencies, consistent with 
the provisions of 40 CFR 1503.2 and 1503.3.

[[Page 44]]

                          Responsible Official



Sec. 51.125  Responsible official.

    The Executive Director for Operations shall be responsible for 
overall review of NRC NEPA compliance, except for matters under the 
jurisdiction of a presiding officer, administrative judge, 
administrative law judge, Atomic Safety and Licensing Board, Atomic 
Safety and Licensing Appeal Board, or the Commission acting as a 
collegial body.

    Appendix A to Subpart A--Format for Presentation of Material in 
                     Environmental Impact Statements

1. General
2. Cover sheet
3. Summary
4. Purpose of and need for action
5. Alternatives including the proposed action
6. Affected environment
7. Environmental consequences and mitigating actions
8. List of preparers
9. Appendices

                               1. General.

    (a) The Commission will use a format for environmental impact 
statements which will encourage good analysis and clear presentation of 
the alternatives including the proposed action. The following standard 
format for environmental impact statements should be followed unless 
there is a compelling reason to do otherwise:

(1) Cover sheet*
(2) Summary*
(3) Table of Contents
(4) Purpose of and Need for Action*
(5) Alternatives including the proposed action*
(6) Affected Environment*
(7) Environmental Consequences and Mitigating Actions*
(8) List of Preparers*
(9) List of Agencies, Organizations and Persons to Whom Copies of the 
Statement are Sent
(10) Substantive Comments Received and NRC Staff Responses
(11) Index
(12) Appendices (if any)*
    If a different format is used, it shall include paragraphs (1), (2), 
(3), (8), (9), (10), and (11) of this section and shall include the 
substance of paragraphs (4), (5), (6), (7), and (12) of this section, in 
any appropriate format.
    Additional guidance on the presentation of material under the format 
headings identified by an asterisk is set out in sections 2.-9. of this 
appendix.
    (b) The techniques of tiering and incorporation by reference 
described respectively in 40 CFR 1502.20 and 1508.28 and 40 CFR 1502.21 
1 of CEQ's NEPA regulations may be used as appropriate to aid 
in the presentation of issues, eliminate repetition or reduce the size 
of an environmental impact statement. In appropriate circumstances, 
draft or final environmental impact statements prepared by other Federal 
agencies may be adopted in whole or in part in accordance with the 
procedures outlined in 40 CFR 1506.3 2 of CEQ's NEPA 
regulations. In final environmental impact statements, material under 
the following format headings will normally be presented in less than 
150 pages: Purpose of and Need for Action, Alternatives Including the 
Proposed Action, Affected Environment, and Environmental Consequences 
and Mitigating Actions. For proposals of unusual scope or complexity, 
the material presented under these format headings may extend to 300 
pages.
---------------------------------------------------------------------------

    \1\ Tiering--40 CFR 1502.20, 40 CFR 1508.28; Incorporation by 
reference--40 CFR 1502.21.
    \2\ Adoption--40 CFR 1506.3.
---------------------------------------------------------------------------

                             2. Cover sheet.

    The cover sheet will not exceed one page. It will include:
    (a) The name of the NRC office responsible for preparing the 
statement and a list of any cooperating agencies.
    (b) The title of the proposed action that is the subject of the 
statement with a list of the states, counties or municipalities where 
the facility or other subject of the action is located, as appropriate.
    (c) The name, address, and telephone number of the individual in NRC 
who can supply further information.
    (d) A designation of the statement as a draft or final statement, or 
a draft or final supplement.
    (e) A one paragraph abstract of the statement.
    (f) For draft environmental impact statements, the date by which 
comments must be received. This date may be specified in the form of the 
following or a substantially similar statement:
    ``Comments should be filed no later than 3 days after the 
date on which the Environmental Protection Agency notice stating that 
the draft environmental impact statement has been filed with EPA is 
published in the Federal Register. Comments received after the 
expiration of the comment period will be considered if it is practical 
to do so but assurance of consideration of late comments cannot be 
given.''
---------------------------------------------------------------------------

    \3\ The number of days in the comment period should be inserted. The 
minimum comment period is 45 days (see Sec. 51.73.)

---------------------------------------------------------------------------

[[Page 45]]

                               3. Summary.

    Each environmental impact statement will contain a summary which 
adequately and accurately summarizes the statement. The summary will 
stress the major issues considered. The summary will discuss the areas 
of controversy, will identify any remaining issues to be resolved, and 
will present the major conclusions and recommendations. The summary will 
normally not exceed 15 pages.

                   4. Purpose of and need for action.

    The statement will briefly describe and specify the need for the 
proposed action. The alternative of no action will be discussed. In the 
case of nuclear power plant construction or siting, consideration will 
be given to the potential impact of conservation measures in determining 
the demand for power and consequent need for additional generating 
capacity.

             5. Alternatives including the proposed action.

    This section is the heart of the environmental impact statement. It 
will present the environmental impacts of the proposal and the 
alternatives in comparative form. Where important to the comparative 
evaluation of alternatives, appropriate mitigating measures of the 
alternatives will be discussed. All reasonable alternatives will be 
identified. The range of alternatives discussed will encompass those 
proposed to be considered by the ultimate decisionmaker. An otherwise 
reasonable alternative will not be excluded from discussion solely on 
the ground that it is not within the jurisdiction of the 
NRC.4 The discussion of alternatives will take into accounts, 
without duplicating, the environmental information and analyses included 
in sections, 4., 6. and 7. of this appendix.
---------------------------------------------------------------------------

    \4\ With respect to limitations on NRC's NEPA authority and 
responsibility imposed by the Federal Water Pollution Control Act 
Amendments of 1972, see Secs. 51.10(c), 51.22(c)(17) and 51.71(d).
---------------------------------------------------------------------------

    In the draft environmental impact statement, this section will 
either include a preliminary recommendation on the action to be taken, 
or identify the alternatives under consideration.
    In the final environmental impact statement, this section will 
include a final recommendation on the action to be taken.

                        6. Affected environment.

    The environmental impact statement will succinctly describe the 
environment to be affected by the proposed action. Data and analyses in 
the statement will be commensurate with the importance of the impact, 
with less important material summarized, consolidated, or simply 
referenced. Effort and attention will be concentrated on important 
issues; useless bulk will be eliminated.

          7. Environmental consequences and mitigating actions.

    This section discusses the environmental consequences of 
alternatives, including the proposed actions and any mitigating actions 
which may be taken. Alternatives eliminated from detailed study will be 
identified and a discussion of those alternatives will be confined to a 
brief statement of the reasons why the alternatives were eliminated. The 
level of information for each alternative considered in detail will 
reflect the depth of analysis required for sound decisionmaking.
    The discussion will include any adverse environmental effects which 
cannot be avoided should the alternative be implemented, the 
relationship between short-term uses of man's environment and the 
maintenance and enhancement of long-term productivity, and any 
irreversible or irretrievable commitments of resources which would be 
involved in the alternative should it be implemented. This section will 
include discussions of:
    (a) Direct effects and their significance.
    (b) Indirect effects and their significance.
    (c) Possible conflicts between the alternative and the objectives of 
Federal, regional, State, and local (and in the case of a reservation, 
Indian tribe) land use plans, policies and controls for the area 
concerned.
    (d) Means to mitigate adverse environmental impacts.

                          8. List of preparers.

    The environmental impact statement will list the names and 
qualifications (expertise, experience, professional disciplines), of the 
persons who were primarily responsible for preparing the environmental 
impact statement or significant background papers. Persons responsible 
for making an independent evaluation of information submitted by the 
applicant or petitioner for rulemaking or others will be included in the 
list. Where possible, the persons who are responsible for a particular 
analysis, including analyses in background papers, will be identified.

                             9. Appendices.

    An appendix to an environmental impact statement will:
    (a) Consist of material prepared in connection with an environmental 
impact statement (as distinct from material which is not so prepared and 
which is incorporated by reference (40 CFR 1502.21)).
    (b) Normally consist of material which substantiates any analysis 
fundamental to the impact statement. Discussion of methodology used may 
be placed in an appendix.
    (c) Normally be analytic.
    (d) Be relevant to the decision to be made.

[[Page 46]]

    (e) Be circulated with the environmental impact statement or be 
readily available on request.

                         Discussion of Footnotes

                               1. Tiering.

    40 CFR 1502.20 states:
    ``Agencies are encouraged to tier their environmental impact 
statements to eliminate repetitive discussions of the same issues and to 
focus on the actual issues ripe for decision at each level of 
environmental review (Sec. 1508.28). Whenever a broad environmental 
impact statement has been prepared (such as a program or policy 
statement) and a subsequent statement or environmental assessment is 
then prepared on an action included within the entire program or policy 
(such as a site specific action) the subsequent statement or 
environmental assessment need only summarize the issues discussed in the 
broader statement and incorporate discussions from the broader statement 
by reference and shall concentrate on the issues specific to the 
subsequent action. The subsequent document shall state where the earlier 
document is available. Tiering may also be appropriate for different 
stages of actions. (Sec. 1508.28).''
    40 CFR 1508.28 states:
    `` `Tiering' refers to the coverage of general matters in broader 
environmental impact statements (such as national program or policy 
statements) with subsequent narrower statements or environmental 
analyses (such as regional or basinwide program statements or ultimately 
site-specific statements) incorporating by reference the general 
discussions and concentrating solely on the issues specific to the 
statement subsequently prepared. Tiering is appropriate when the 
sequence of statements or analyses is:
    ``(a) From a program, plan, or policy environmental impact statement 
to a program, plan, or policy statement or analysis of lesser scope or 
to a site-specific statement or analysis.
    ``(b) From an environmental impact statement on a specific action at 
an early stage (such as need and site selection) to a supplement (which 
is preferred) or a subsequent statement or analysis at a later stage 
(such as environmental mitigation). Tiering in such cases is appropriate 
when it helps the lead agency to focus on the issues which are ripe for 
decision and exclude from consideration issues already decided or not 
yet ripe.''
    Incorporation by reference. 40 CFR 1502.21 states:
    ``Agencies shall incorporate material into an environmental impact 
statement by reference when the effect will be to cut down on bulk 
without impeding agency and public review of the action. The 
incorporated material shall be cited in the statement and its content 
briefly described. No material may be incorporated by reference unless 
it is reasonably available for inspection by potentially interested 
persons within the time allowed for comment. Material based on 
proprietary data which is itself not available for review and comment 
shall not be incorporated by reference.''

                              2. Adoption.

    40 CFR 1506.3 states:
    ``(a) An agency may adopt a Federal draft or final environmental 
impact statement or portion thereof provided that the statement or 
portion thereof meets the standards for an adequate statement under 
these regulations.
    ``(b) If the actions covered by the original environmental impact 
statement and the proposed action are substantially the same, the agency 
adopting another agency's statement is not required to recirculate it 
except as a final statement. Otherwise the adopting agency shall treat 
the statement as a draft and recirculate it (except as provided in 
paragraph (c) of this section).
    ``(c) A cooperating agency may adopt without recirculating the 
environmental impact statement of a lead agency when, after an 
independent review of the statement, the cooperating agency concludes 
that its comments and suggestions have been satisfied.
    ``(d) When an agency adopts a statement which is not final within 
the agency that prepared it, or when the action it assesses is the 
subject of a referral under part 1504, or when the statement's adequacy 
is the subject of a judicial action which is not final, the agency shall 
so specify.''

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28490, June 5, 1996; 61 
FR 66546, Dec. 18, 1996]

Appendix B to Subpart A--Environmental Effect of Renewing the Operating 
                    License of a Nuclear Power Plant

    The Commission has assessed the environmental impacts associated 
with granting a renewed operating license for a nuclear power plant to a 
licensee who holds either an operating license or construction permit as 
of June 30, 1995. Table B-1 summarizes the Commission's findings on the 
scope and magnitude of environmental impacts of renewing the operating 
license for a nuclear power plant as required by section 102(2) of the 
National Environmental Policy Act of 1969, as amended. Table B-1, 
subject to an evaluation of those issues identified in Category 2 as 
requiring further analysis and possible significant new information, 
represents the analysis of the environmental impacts associated with 
renewal of any operating license and is to be used in accordance with 
Sec. 51.95(c). On a 10-year cycle, the Commission intends to review the 
material in this appendix and update it if necessary. A scoping notice 
must

[[Page 47]]

be published in the Federal Register indicating the results of the NRC's 
review and inviting public comments and proposals for other areas that 
should be updated.

          Table B-1--Summary of Findings on NEPA Issues for License Renewal of Nuclear Power Plants \1\
----------------------------------------------------------------------------------------------------------------
                   Issue                      Category 2                        Findings 3
----------------------------------------------------------------------------------------------------------------
                           Surface Water Quality, Hydrology, and Use (for all plants)
 
----------------------------------------------------------------------------------------------------------------
Impacts of refurbishment on surface water              1  SMALL. Impacts are expected to be negligible during
 quality.                                                  refurbishment because best management practices are
                                                           expected to be employed to control soil erosion and
                                                           spills.
Impacts of refurbishment on surface water              1  SMALL. Water use during refurbishment will not
 use.                                                      increase appreciably or will be reduced during plant
                                                           outage.
Altered current patterns at intake and                 1  SMALL. Altered current patterns have not been found to
 discharge structures.                                     be a problem at operating nuclear power plants and
                                                           are not expected to be a problem during the license
                                                           renewal term.
Altered salinity gradients.................            1  SMALL. Salinity gradients have not been found to be a
                                                           problem at operating nuclear power plants and are not
                                                           expected to be a problem during the license renewal
                                                           term.
Altered thermal stratification of lakes....            1  SMALL. Generally, lake stratification has not been
                                                           found to be a problem at operating nuclear power
                                                           plants and is not expected to be a problem during the
                                                           license renewal term.
Temperature effects on sediment transport              1  SMALL. These effects have not been found to be a
 capacity.                                                 problem at operating nuclear power plants and are not
                                                           expected to be a problem during the license renewal
                                                           term.
Scouring caused by discharged cooling water            1  SMALL. Scouring has not been found to be a problem at
                                                           most operating nuclear power plants and has caused
                                                           only localized effects at a few plants. It is not
                                                           expected to be a problem during the license renewal
                                                           term.
Eutrophication.............................            1  SMALL. Eutrophication has not been found to be a
                                                           problem at operating nuclear power plants and is not
                                                           expected to be a problem during the license renewal
                                                           term.
Discharge of chlorine or other biocides....            1  SMALL. Effects are not a concern among regulatory and
                                                           resource agencies, and are not expected to be a
                                                           problem during the license renewal term.
Discharge of sanitary wastes and minor                 1  SMALL. Effects are readily controlled through NPDES
 chemical spills.                                          permit and periodic modifications, if needed, and are
                                                           not expected to be a problem during the license
                                                           renewal term.
Discharge of other metals in waste water...            1  SMALL. These discharges have not been found to be a
                                                           problem at operating nuclear power plants with
                                                           cooling-tower-based heat dissipation systems and have
                                                           been satisfactorily mitigated at other plants. They
                                                           are not expected to be a problem during the license
                                                           renewal term.
Water use conflicts (plants with once-                 1  SMALL. These conflicts have not been found to be a
 through cooling systems).                                 problem at operating nuclear power plants with once-
                                                           through heat dissipation systems.
Water use conflicts (plants with cooling               2  SMALL OR MODERATE. The issue has been a concern at
 ponds or cooling towers using make-up                     nuclear power plants with cooling ponds and at plants
 water from a small river with low flow).                  with cooling towers. Impacts on instream and riparian
                                                           communities near these plants could be of moderate
                                                           significance in some situations. See Sec.
                                                           51.53(c)(3)(ii)(A).
 
----------------------------------------------------------------------------------------------------------------
                                        Aquatic Ecology (for all plants)
 
----------------------------------------------------------------------------------------------------------------
Refurbishment..............................            1  SMALL. During plant shutdown and refurbishment there
                                                           will be negligible effects on aquatic biota because
                                                           of a reduction of entrainment and impingement of
                                                           organisms or a reduced release of chemicals.
Accumulation of contaminants in sediments              1  SMALL. Accumulation of contaminants has been a concern
 or biota.                                                 at a few nuclear power plants but has been
                                                           satisfactorily mitigated by replacing copper alloy
                                                           condenser tubes with those of another metal. It is
                                                           not expected to be a problem during the license
                                                           renewal term.
Entrainment of phytoplankton and                       1  SMALL. Entrainment of phytoplankton and zooplankton
 zooplankton.                                              has not been found to be a problem at operating
                                                           nuclear power plants and is not expected to be a
                                                           problem during the license renewal term.
Cold shock.................................            1  SMALL. Cold shock has been satisfactorily mitigated at
                                                           operating nuclear plants with once-through cooling
                                                           systems, has not endangered fish populations or been
                                                           found to be a problem at operating nuclear power
                                                           plants with cooling towers or cooling ponds, and is
                                                           not expected to be a problem during the license
                                                           renewal term.
Thermal plume barrier to migrating fish....            1  SMALL. Thermal plumes have not been found to be a
                                                           problem at operating nuclear power plants and are not
                                                           expected to be a problem during the license renewal
                                                           term.
Distribution of aquatic organisms..........            1  SMALL. Thermal discharge may have localized effects
                                                           but is not expected to effect the larger geographical
                                                           distribution of aquatic organisms.

[[Page 48]]

 
Premature emergence of aquatic insects.....            1  SMALL. Premature emergence has been found to be a
                                                           localized effect at some operating nuclear power
                                                           plants but has not been a problem and is not expected
                                                           to be a problem during the license renewal term.
Gas supersaturation (gas bubble disease)...            1  SMALL. Gas supersaturation was a concern at a small
                                                           number of operating nuclear power plants with once-
                                                           through cooling systems but has been satisfactorily
                                                           mitigated. It has not been found to be a problem at
                                                           operating nuclear power plants with cooling towers or
                                                           cooling ponds and is not expected to be a problem
                                                           during the license renewal term.
Low dissolved oxygen in the discharge......            1  SMALL. Low dissolved oxygen has been a concern at one
                                                           nuclear power plant with a once-through cooling
                                                           system but has been effectively mitigated. It has not
                                                           been found to be a problem at operating nuclear power
                                                           plants with cooling towers or cooling ponds and is
                                                           not expected to be a problem during the license
                                                           renewal term.
Losses from predation, parasitism, and                 1  SMALL. These types of losses have not been found to be
 disease among organisms exposed to                        a problem at operating nuclear power plants and are
 sublethal stresses.                                       not expected to be a problem during the license
                                                           renewal term.
Stimulation of nuisance organisms (e.g.,               1  SMALL. Stimulation of nuisance organisms has been
 shipworms).                                               satisfactorily mitigated at the single nuclear power
                                                           plant with a once-through cooling system where
                                                           previously it was a problem. It has not been found to
                                                           be a problem at operating nuclear power plants with
                                                           cooling towers or cooling ponds and is not expected
                                                           to be a problem during the license renewal term.
 
----------------------------------------------------------------------------------------------------------------
            Aquatic Ecology (for plants with once-through and cooling pond heat dissipation systems)
 
----------------------------------------------------------------------------------------------------------------
Entrainment of fish and shellfish in early             2  SMALL, MODERATE, OR LARGE. The impacts of entrainment
 life stages.                                              are small at many plants but may be moderate or even
                                                           large at a few plants with once-through and cooling-
                                                           pond cooling systems. Further, ongoing efforts in the
                                                           vicinity of these plants to restore fish populations
                                                           may increase the numbers of fish susceptible to
                                                           intake effects during the license renewal period,
                                                           such that entrainment studies conducted in support of
                                                           the original license may no longer be valid. See Sec.
                                                            51.53(c)(3)(ii)(B).
Impingement of fish and shellfish..........            2  SMALL, MODERATE, OR LARGE. The impacts of impingement
                                                           are small at many plants but may be moderate or even
                                                           large at a few plants with once-through and cooling-
                                                           pond cooling systems. See Sec.  51.53(c)(3)(ii)(B).
Heat shock.................................            2  SMALL, MODERATE, OR LARGE. Because of continuing
                                                           concerns about heat shock and the possible need to
                                                           modify thermal discharges in response to changing
                                                           environmental conditions, the impacts may be of
                                                           moderate or large significance at some plants. See
                                                           Sec.  51.53(c)(3)(ii)(B).
 
----------------------------------------------------------------------------------------------------------------
                 Aquatic Ecology (for plants with cooling-tower-based heat dissipation systems)
 
----------------------------------------------------------------------------------------------------------------
Entrainment of fish and shellfish in early             1  SMALL. Entrainment of fish has not been found to be a
 life stages.                                              problem at operating nuclear power plants with this
                                                           type of cooling system and is not expected to be a
                                                           problem during the license renewal term.
Impingement of fish and shellfish..........            1  SMALL. The impingement has not been found to be a
                                                           problem at operating nuclear power plants with this
                                                           type of cooling system and is not expected to be a
                                                           problem during the license renewal term.
Heat shock.................................            1  SMALL. Heat shock has not been found to be a problem
                                                           at operating nuclear power plants with this type of
                                                           cooling system and is not expected to be a problem
                                                           during the license renewal term.
 
----------------------------------------------------------------------------------------------------------------
                                          Ground-water Use and Quality
 
----------------------------------------------------------------------------------------------------------------
Impacts of refurbishment on ground-water               1  SMALL. Extensive dewatering during the original
 use and quality.                                          construction on some sites will not be repeated
                                                           during refurbishment on any sites. Any plant wastes
                                                           produced during refurbishment will be handled in the
                                                           same manner as in current operating practices and are
                                                           not expected to be a problem during the license
                                                           renewal term.
Ground-water use conflicts (potable and                1  SMALL. Plants using less than 100 gpm are not expected
 service water; plants that use 100 gpm).                  to cause any ground-water use conflicts.
Ground-water use conflicts (potable and                2  SMALL, MODERATE, OR LARGE. Plants that use more than
 service water, and dewatering; plants that                100 gpm may cause ground-water use conflicts with
 use >100 gpm).                                            nearby ground-water users. See Sec.
                                                           51.53(c)(3)(ii)(C).

[[Page 49]]

 
Ground-water use conflicts (plants using               2  SMALL, MODERATE, OR LARGE. Water use conflicts may
 cooling towers withdrawing make-up water                  result from surface water withdrawals from small
 from a small river).                                      water bodies during low flow conditions which may
                                                           affect aquifer recharge, especially if other ground-
                                                           water or upstream surface water users come on line
                                                           before the time of license renewal. See Sec.
                                                           51.53(c)(3)(ii)(A).
Ground-water use conflicts (Ranney wells)..            2  SMALL, MODERATE, OR LARGE. Ranney wells can result in
                                                           potential ground-water depression beyond the site
                                                           boundary. Impacts of large ground-water withdrawal
                                                           for cooling tower makeup at nuclear power plants
                                                           using Ranney wells must be evaluated at the time of
                                                           application for license renewal. See Sec.
                                                           51.53(c)(3)(ii)(C).
Ground-water quality degradation (Ranney               1  SMALL. Ground-water quality at river sites may be
 wells).                                                   degraded by induced infiltration of poor-quality
                                                           river water into an aquifer that supplies large
                                                           quantities of reactor cooling water. However, the
                                                           lower quality infiltrating water would not preclude
                                                           the current uses of ground water and is not expected
                                                           to be a problem during the license renewal term.
Ground-water quality degradation (saltwater            1  SMALL. Nuclear power plants do not contribute
 intrusion).                                               significantly to saltwater intrusion.
Ground-water quality degradation (cooling              1  SMALL. Sites with closed-cycle cooling ponds may
 ponds in salt marshes).                                   degrade ground-water quality. Because water in salt
                                                           marshes is brackish, this is not a concern for plants
                                                           located in salt marshes.
Ground-water quality degradation (cooling              2  SMALL, MODERATE, OR LARGE. Sites with closed-cycle
 ponds at inland sites).                                   cooling ponds may degrade ground-water quality. For
                                                           plants located inland, the quality of the ground
                                                           water in the vicinity of the ponds must be shown to
                                                           be adequate to allow continuation of current uses.
                                                           See Sec.  51.53(c)(3)(ii)(D).
 
----------------------------------------------------------------------------------------------------------------
                                              Terrestrial Resources
 
----------------------------------------------------------------------------------------------------------------
Refurbishment impacts......................            2  SMALL, MODERATE, OR LARGE. Refurbishment impacts are
                                                           insignificant if no loss of important plant and
                                                           animal habitat occurs. However, it cannot be known
                                                           whether important plant and animal communities may be
                                                           affected until the specific proposal is presented
                                                           with the license renewal application. See Sec.
                                                           51.53(c)(3)(ii)(E).
Cooling tower impacts on crops and                     1  SMALL. Impacts from salt drift, icing, fogging, or
 ornamental vegetation.                                    increased humidity associated with cooling tower
                                                           operation have not been found to be a problem at
                                                           operating nuclear power plants and are not expected
                                                           to be a problem during the license renewal term.
Cooling tower impacts on native plants.....            1  SMALL. Impacts from salt drift, icing, fogging, or
                                                           increased humidity associated with cooling tower
                                                           operation have not been found to be a problem at
                                                           operating nuclear power plants and are not expected
                                                           to be a problem during the license renewal term.
Bird collisions with cooling towers........            1  SMALL. These collisions have not been found to be a
                                                           problem at operating nuclear power plants and are not
                                                           expected to be a problem during the license renewal
                                                           term.
Cooling pond impacts on terrestrial                    1  SMALL. Impacts of cooling ponds on terrestrial
 resources.                                                ecological resources are considered to be of small
                                                           significance at all sites.
Power line right-of-way management (cutting            1  SMALL. The impacts of right-of-way maintenance on
 and herbicide application).                               wildlife are expected to be of small significance at
                                                           all sites.
Bird collision with power lines............            1  SMALL. Impacts are expected to be of small
                                                           significance at all sites.
Impacts of electromagnetic fields on flora             1  SMALL. No significant impacts of electromagnetic
 and fauna (plants, agricultural crops,                    fields on terrestrial flora and fauna have been
 honeybees, wildlife, livestock).                          identified. Such effects are not expected to be a
                                                           problem during the license renewal term.
Floodplains and wetland on power line right            1  SMALL. Periodic vegetation control is necessary in
 of way.                                                   forested wetlands underneath power lines and can be
                                                           achieved with minimal damage to the wetland. No
                                                           significant impact is expected at any nuclear power
                                                           plant during the license renewal term.
 
----------------------------------------------------------------------------------------------------------------
                                Threatened or Endangered Species (for all plants)
 
----------------------------------------------------------------------------------------------------------------
Threatened or endangered species...........            2  SMALL, MODERATE, OR LARGE. Generally, plant
                                                           refurbishment and continued operation are not
                                                           expected to adversely affect threatened or endangered
                                                           species. However, consultation with appropriate
                                                           agencies would be needed at the time of license
                                                           renewal to determine whether threatened or endangered
                                                           species are present and whether they would be
                                                           adversely affected. See Sec.  51.53(c)(3)(ii)(E).
 
----------------------------------------------------------------------------------------------------------------

[[Page 50]]

 
                                                   Air Quality
 
----------------------------------------------------------------------------------------------------------------
Air quality during refurbishment (non-                 2  SMALL, MODERATE, OR LARGE. Air quality impacts from
 attainment and maintenance areas).                        plant refurbishment associated with license renewal
                                                           are expected to be small. However, vehicle exhaust
                                                           emissions could be cause for concern at locations in
                                                           or near nonattainment or maintenance areas. The
                                                           significance of the potential impact cannot be
                                                           determined without considering the compliance status
                                                           of each site and the numbers of workers expected to
                                                           be employed during the outage. See Sec.
                                                           51.53(c)(3)(ii)(F).
Air quality effects of transmission lines..            1  SMALL. Production of ozone and oxides of nitrogen is
                                                           insignificant and does not contribute measurably to
                                                           ambient levels of these gases.
 
----------------------------------------------------------------------------------------------------------------
                                                    Land Use
 
----------------------------------------------------------------------------------------------------------------
Onsite land use............................            1  SMALL. Projected onsite land use changes required
                                                           during refurbishment and the renewal period would be
                                                           a small fraction of any nuclear power plant site and
                                                           would involve land that is controlled by the
                                                           applicant.
Power line right of way....................            1  SMALL. Ongoing use of power line right of ways would
                                                           continue with no change in restrictions. The effects
                                                           of these restrictions are of small significance.
 
----------------------------------------------------------------------------------------------------------------
                                                  Human Health
 
----------------------------------------------------------------------------------------------------------------
Radiation exposures to the public during               1  SMALL. During refurbishment, the gaseous effluents
 refurbishment.                                            would result in doses that are similar to those from
                                                           current operation. Applicable regulatory dose limits
                                                           to the public are not expected to be exceeded.
Occupational radiation exposures during                1  SMALL. Occupational doses from refurbishment are
 refurbishment.                                            expected to be within the range of annual average
                                                           collective doses experienced for pressurized-water
                                                           reactors and boiling-water reactors. Occupational
                                                           mortality risk from all causes including radiation is
                                                           in the mid-range for industrial settings.
Microbiological organisms (occupational                1  SMALL. Occupational health impacts are expected to be
 health).                                                  controlled by continued application of accepted
                                                           industrial hygiene practices to minimize worker
                                                           exposures.
Microbiological organisms (public                      2  SMALL, MODERATE, OR LARGE. These organisms are not
 health)(plants using lakes or canals, or                  expected to be a problem at most operating plants
 cooling towers or cooling ponds that                      except possibly at plants using cooling ponds, lakes,
 discharge to a small river).                              or canals that discharge to small rivers. Without
                                                           site-specific data, it is not possible to predict the
                                                           effects generically. See Sec.  51.53(c)(3)(ii)(G).
Noise......................................            1  SMALL. Noise has not been found to be a problem at
                                                           operating plants and is not expected to be a problem
                                                           at any plant during the license renewal term.
Electromagnetic fields, acute effects                  2  SMALL, MODERATE, OR LARGE. Electrical shock resulting
 (electric shock).                                         from direct access to energized conductors or from
                                                           induced charges in metallic structures have not been
                                                           found to be a problem at most operating plants and
                                                           generally are not expected to be a problem during the
                                                           license renewal term. However, site-specific review
                                                           is required to determine the significance of the
                                                           electric shock potential at the site. See Sec.
                                                           51.53(c)(3)(ii)(H).
Electromagnetic fields, chronic effects \5\       \4\ NA  UNCERTAIN. Biological and physical studies of 60-Hz
                                                           electromagnetic fields have not found consistent
                                                           evidence linking harmful effects with field
                                                           exposures. However, research is continuing in this
                                                           area and a consensus scientific view has not been
                                                           reached.\5\
Radiation exposures to public (license                 1  SMALL. Radiation doses to the public will continue at
 renewal term).                                            current levels associated with normal operations.
Occupational radiation exposures (license              1  SMALL. Projected maximum occupational doses during the
 renewal term).                                            license renewal term are within the range of doses
                                                           experienced during normal operations and normal
                                                           maintenance outages, and would be well below
                                                           regulatory limits.
 
----------------------------------------------------------------------------------------------------------------

[[Page 51]]

 
                                                 Socioeconomics
 
----------------------------------------------------------------------------------------------------------------
Housing impacts............................            2  SMALL, MODERATE, OR LARGE. Housing impacts are
                                                           expected to be of small significance at plants
                                                           located in a medium or high population area and not
                                                           in an area where growth control measures that limit
                                                           housing development are in effect. Moderate or large
                                                           housing impacts of the workforce associated with
                                                           refurbishment may be associated with plants located
                                                           in sparsely populated areas or in areas with growth
                                                           control measures that limit housing development. See
                                                           Sec.  51.53(c)(3)(ii)(I).
Public services: public safety, social                 1  SMALL. Impacts to public safety, social services, and
 services, and tourism and recreation.                     tourism and recreation are expected to be of small
                                                           significance at all sites.
Public services: public utilities..........            2  SMALL OR MODERATE. An increased problem with water
                                                           shortages at some sites may lead to impacts of
                                                           moderate significance on public water supply
                                                           availability. See Sec.  51.53(c)(3)(ii)(I).
Public services, education (refurbishment).            2  SMALL, MODERATE, OR LARGE. Most sites would experience
                                                           impacts of small significance but larger impacts are
                                                           possible depending on site- and project-specific
                                                           factors. See Sec.  51.53(c)(3)(ii)(I).
Public services, education (license renewal            1  SMALL. Only impacts of small significance are
 term).                                                    expected.
Offsite land use (refurbishment)...........            2  SMALL OR MODERATE. Impacts may be of moderate
                                                           significance at plants in low population areas. See
                                                           Sec.  51.53(c)(3)(ii)(I).
Offsite land use (license renewal term)....            2  SMALL, MODERATE, OR LARGE. Significant changes in land
                                                           use may be associated with population and tax revenue
                                                           changes resulting from license renewal. See Sec.
                                                           51.53(c)(3)(ii)(I).
Public services, Transportation............            2  SMALL, MODERATE, OR LARGE. Transportation impacts
                                                           (level of service) of highway traffic generated
                                                           during plant refurbishment and during the term of the
                                                           renewed license are generally expected to be of small
                                                           significance. However, the increase in traffic
                                                           associated with additional workers and the local road
                                                           and traffic control conditions may lead to impacts of
                                                           moderate or large significance at some sites. See
                                                           Sec.  51.53(c)(3)(ii)(J).
Historic and archaeological resources......            2  SMALL, MODERATE, OR LARGE. Generally, plant
                                                           refurbishment and continued operation are expected to
                                                           have no more than small adverse impacts on historic
                                                           and archaeological resources. However, the National
                                                           Historic Preservation Act requires the Federal agency
                                                           to consult with the State Historic Preservation
                                                           Officer to determine whether there are properties
                                                           present that require protection. See Sec.
                                                           51.53(c)(3)(ii)(K).
Aesthetic impacts (refurbishment)..........            1  SMALL. No significant impacts are expected during
                                                           refurbishment.
Aesthetic impacts (license renewal term)...            1  SMALL. No significant impacts are expected during the
                                                           license renewal term.
Aesthetic impacts of transmission lines                1  SMALL. No significant impacts are expected during the
 (license renewal term).                                   license renewal term.
 
----------------------------------------------------------------------------------------------------------------
                                              Postulated Accidents
 
----------------------------------------------------------------------------------------------------------------
Design basis accidents.....................            1  SMALL. The NRC staff has concluded that the
                                                           environmental impacts of design basis accidents are
                                                           of small significance for all plants.
Severe accidents...........................            2  SMALL. The probability weighted consequences of
                                                           atmospheric releases, fallout onto open bodies of
                                                           water, releases to ground water, and societal and
                                                           economic impacts from severe accidents are small for
                                                           all plants. However, alternatives to mitigate severe
                                                           accidents must be considered for all plants that have
                                                           not considered such alternatives. See Sec.
                                                           51.53(c)(3)(ii)(L).
 
----------------------------------------------------------------------------------------------------------------
                                     Uranium Fuel Cycle and Waste Management
 
----------------------------------------------------------------------------------------------------------------
Offsite radiological impacts (individual               1  SMALL. Off-site impacts of the uranium fuel cycle have
 effects from other than the disposal of                   been considered by the Commission in Table S-3 of
 spent fuel and high level waste).                         this part. Based on information in the GEIS, impacts
                                                           on individuals from radioactive gaseous and liquid
                                                           releases including radon-222 and technetium-99 are
                                                           small.

[[Page 52]]

 
 
Offsite radiological impacts (collective               1  The 100 year environmental dose commitment to the U.S.
 effects).                                                 population from the fuel cycle, high level waste and
                                                           spent fuel disposal is calculated to be about 14,800
                                                           person rem, or 12 cancer fatalities, for each
                                                           additional 20-year power reactor operating term. Much
                                                           of this, especially the contribution of radon
                                                           releases from mines and tailing piles, consists of
                                                           tiny doses summed over large populations. This same
                                                           dose calculation can theoretically be extended to
                                                           include many tiny doses over additional thousands of
                                                           years as well as doses outside the U. S. The result
                                                           of such a calculation would be thousands of cancer
                                                           fatalities from the fuel cycle, but this result
                                                           assumes that even tiny doses have some statistical
                                                           adverse health effect which will not ever be
                                                           mitigated (for example no cancer cure in the next
                                                           thousand years), and that these doses projected over
                                                           thousands of years are meaningful. However, these
                                                           assumptions are questionable. In particular, science
                                                           cannot rule out the possibility that there will be no
                                                           cancer fatalities from these tiny doses. For
                                                           perspective, the doses are very small fractions of
                                                           regulatory limits, and even smaller fractions of
                                                           natural background exposure to the same populations.
                                                          Nevertheless, despite all the uncertainty, some
                                                           judgement as to the regulatory NEPA implications of
                                                           these matters should be made and it makes no sense to
                                                           repeat the same judgement in every case. Even taking
                                                           the uncertainties into account, the Commission
                                                           concludes that these impacts are acceptable in that
                                                           these impacts would not be sufficiently large to
                                                           require the NEPA conclusion, for any plant, that the
                                                           option of extended operation under 10 CFR Part 54
                                                           should be eliminated. Accordingly, while the
                                                           Commission has not assigned a single level of
                                                           significance for the collective effects of the fuel
                                                           cycle, this issue is considered Category 1.
 
Offsite radiological impacts (spent fuel               1  For the high level waste and spent fuel disposal
 and high level waste disposal).                           component of the fuel cycle, there are no current
                                                           regulatory limits for offsite releases of
                                                           radionuclides for the current candidate repository
                                                           site. However, if we assume that limits are developed
                                                           along the lines of the 1995 National Academy of
                                                           Sciences (NAS) report, ``Technical Bases for Yucca
                                                           Mountain Standards,'' and that in accordance with the
                                                           Commission's Waste Confidence Decision, 10 CFR 51.23,
                                                           a repository can and likely will be developed at some
                                                           site which will comply with such limits, peak doses
                                                           to virtually all individuals will be 100 millirem per
                                                           year or less. However, while the Commission has
                                                           reasonable confidence that these assumptions will
                                                           prove correct, there is considerable uncertainty
                                                           since the limits are yet to be developed, no
                                                           repository application has been completed or
                                                           reviewed, and uncertainty is inherent in the models
                                                           used to evaluate possible pathways to the human
                                                           environment. The NAS report indicated that 100
                                                           millirem per year should be considered as a starting
                                                           point for limits for individual doses, but notes that
                                                           some measure of consensus exists among national and
                                                           international bodies that the limits should be a
                                                           fraction of the 100 millirem per year. The lifetime
                                                           individual risk from 100 millirem annual dose limit
                                                           is about 3 X 10-3.

[[Page 53]]

 
 
                                                          Estimating cumulative doses to populations over
                                                           thousands of years is more problematic. The
                                                           likelihood and consequences of events that could
                                                           seriously compromise the integrity of a deep geologic
                                                           repository were evaluated by the Department of Energy
                                                           in the ``Final Environmental Impact Statement:
                                                           Management of Commercially Generated Radioactive
                                                           Waste,'' October 1980. The evaluation estimated the
                                                           70-year whole-body dose commitment to the maximum
                                                           individual and to the regional population resulting
                                                           from several modes of breaching a reference
                                                           repository in the year of closure, after 1,000 years,
                                                           after 100,000 years, and after 100,000,000 years.
                                                           Subsequently, the NRC and other federal agencies have
                                                           expended considerable effort to develop models for
                                                           the design and for the licensing of a high level
                                                           waste repository, especially for the candidate
                                                           repository at Yucca Mountain. More meaningful
                                                           estimates of doses to population may be possible in
                                                           the future as more is understood about the
                                                           performance of the proposed Yucca Mountain
                                                           repository. Such estimates would involve very great
                                                           uncertainty, especially with respect to cumulative
                                                           population doses over thousands of years. The
                                                           standard proposed by the NAS is a limit on maximum
                                                           individual dose. The relationship of potential new
                                                           regulatory requirements, based on the NAS report, and
                                                           cumulative population impacts has not been
                                                           determined, although the report articulates the view
                                                           that protection of individuals will adequately
                                                           protect the population for a repository at Yucca
                                                           Mountain. However, EPA's generic repository standards
                                                           in 40 CFR part 191 generally provide an indication of
                                                           the order of magnitude of cumulative risk to
                                                           population that could result from the licensing of a
                                                           Yucca Mountain repository, assuming the ultimate
                                                           standards will be within the range of standards now
                                                           under consideration. The standards in 40 CFR part 191
                                                           protect the population by imposing ``containment
                                                           requirements'' that limit the cumulative amount of
                                                           radioactive material released over 10,000 years.
                                                           Reporting performance standards that will be required
                                                           by EPA are expected to result in releases and
                                                           associated health consequences in the range between
                                                           10 and 100 premature cancer deaths with an upper
                                                           limit of 1,000 premature cancer deaths world-wide for
                                                           a 100,000 metric tonne (MTHM) repository.
                                                          Nevertheless, despite all the uncertainty, some
                                                           judgement as to the regulatory NEPA implications of
                                                           these matters should be made and it makes no sense to
                                                           repeat the same judgement in every case. Even taking
                                                           the uncertainties into account, the Commission
                                                           concludes that these impacts are acceptable in that
                                                           these impacts would not be sufficiently large to
                                                           require the NEPA conclusion, for any plant, that the
                                                           option of extended operation under 10 CFR part 54
                                                           should be eliminated. Accordingly, while the
                                                           Commission has not assigned a single level of
                                                           significance for the impacts of spent fuel and high
                                                           level waste disposal, this issue is considered
                                                           Category 1.
Nonradiological impacts of the uranium fuel            1  SMALL. The nonradiological impacts of the uranium fuel
 cycle.                                                    cycle resulting from the renewal of an operating
                                                           license for any plant are found to be small.
Low-level waste storage and disposal.......            1  SMALL. The comprehensive regulatory controls that are
                                                           in place and the low public doses being achieved at
                                                           reactors ensure that the radiological impacts to the
                                                           environment will remain small during the term of a
                                                           renewed license. The maximum additional on-site land
                                                           that may be required for low-level waste storage
                                                           during the term of a renewed license and associated
                                                           impacts will be small. Nonradiological impacts on air
                                                           and water will be negligible. The radiological and
                                                           nonradiological environmental impacts of long-term
                                                           disposal of low-level waste from any individual plant
                                                           at licensed sites are small. In addition, the
                                                           Commission concludes that there is reasonable
                                                           assurance that sufficient low-level waste disposal
                                                           capacity will be made available when needed for
                                                           facilities to be decommissioned consistent with NRC
                                                           decommissioning requirements.

[[Page 54]]

 
Mixed waste storage and disposal...........            1  SMALL. The comprehensive regulatory controls and the
                                                           facilities and procedures that are in place ensure
                                                           proper handling and storage, as well as negligible
                                                           doses and exposure to toxic materials for the public
                                                           and the environment at all plants. License renewal
                                                           will not increase the small, continuing risk to human
                                                           health and the environment posed by mixed waste at
                                                           all plants. The radiological and nonradiological
                                                           environmental impacts of long-term disposal of mixed
                                                           waste from any individual plant at licensed sites are
                                                           small. In addition, the Commission concludes that
                                                           there is reasonable assurance that sufficient mixed
                                                           waste disposal capacity will be made available when
                                                           needed for facilities to be decommissioned consistent
                                                           with NRC decommissioning requirements.
On-site spent fuel.........................            1  SMALL. The expected increase in the volume of spent
                                                           fuel from an additional 20 years of operation can be
                                                           safely accommodated on site with small environmental
                                                           effects through dry or pool storage at all plants if
                                                           a permanent repository or monitored retrievable
                                                           storage is not available.
Nonradiological waste......................            1  SMALL. No changes to generating systems are
                                                           anticipated for license renewal. Facilities and
                                                           procedures are in place to ensure continued proper
                                                           handling and disposal at all plants.
Transportation.............................            1  SMALL. The impacts of transporting spent fuel enriched
                                                           up to 5 percent uranium-235 with average burnup for
                                                           the peak rod to current levels approved by NRC up to
                                                           62,000 MWd/MTU and the cumulative impacts of
                                                           transporting high-level waste to a single repository,
                                                           such as Yucca Mountain, Nevada are found to be
                                                           consistent with the impact values contained in 10 CFR
                                                           51.52(c), Summary Table S-4--Environmental Impact of
                                                           Transportation of Fuel and Waste to and from One
                                                           Light-Water-Cooled Nuclear Power Reactor. If fuel
                                                           enrichment or burnup conditions are not met, the
                                                           applicant must submit an assessment of the
                                                           implications for the environmental impact values
                                                           reported in Sec.  51.52.
 
----------------------------------------------------------------------------------------------------------------
                                                 Decommissioning
 
----------------------------------------------------------------------------------------------------------------
Radiation doses............................            1  SMALL. Doses to the public will be well below
                                                           applicable regulatory standards regardless of which
                                                           decommissioning method is used. Occupational doses
                                                           would increase no more than 1 man-rem caused by
                                                           buildup of long-lived radionuclides during the
                                                           license renewal term.
Waste management...........................            1  SMALL. Decommissioning at the end of a 20-year license
                                                           renewal period would generate no more solid wastes
                                                           than at the end of the current license term. No
                                                           increase in the quantities of Class C or greater than
                                                           Class C wastes would be expected.
Air quality................................            1  SMALL. Air quality impacts of decommissioning are
                                                           expected to be negligible either at the end of the
                                                           current operating term or at the end of the license
                                                           renewal term.
Water quality..............................            1  SMALL. The potential for significant water quality
                                                           impacts from erosion or spills is no greater whether
                                                           decommissioning occurs after a 20-year license
                                                           renewal period or after the original 40-year
                                                           operation period, and measures are readily available
                                                           to avoid such impacts.
Ecological resources.......................            1  SMALL. Decommissioning after either the initial
                                                           operating period or after a 20-year license renewal
                                                           period is not expected to have any direct ecological
                                                           impacts.
Socioeconomic impacts......................            1  SMALL. Decommissioning would have some short-term
                                                           socioeconomic impacts. The impacts would not be
                                                           increased by delaying decommissioning until the end
                                                           of a 20-year relicense period, but they might be
                                                           decreased by population and economic growth.
 
----------------------------------------------------------------------------------------------------------------
                                              Environmental Justice
 
----------------------------------------------------------------------------------------------------------------
Environmental justice \6\..................       \4\ NA  NONE. The need for and the content of an analysis of
                                                           environmental justice will be addressed in plant-
                                                           specific reviews.\6\
----------------------------------------------------------------------------------------------------------------
\1\ Data supporting this table are contained in NUREG-1437, ``Generic Environmental Impact Statement for License
  Renewal of Nuclear Plants'' (May 1996) and NUREG-1437, Vol. 1, Addendum 1, ``Generic Environmental Impact
  Statement for License Renewal of Nuclear Plants: Main Report Section 6.3--`Transportation,' Table 9.1 `Summary
  of findings on NEPA issues for license renewal of nuclear power plants,' Final Report'' (August 1999).
\2\ The numerical entries in this column are based on the following category definitions:
Category 1: For the issue, the analysis reported in the Generic Environmental Impact Statement has shown:
(1) The environmental impacts associated with the issue have been determined to apply either to all plants or,
  for some issues, to plants having a specific type of cooling system or other specified plant or site
  characteristic;
(2) A single significance level (i.e., small, moderate, or large) has been assigned to the impacts (except for
  collective off site radiological impacts from the fuel cycle and from high level waste and spent fuel
  disposal); and
(3) Mitigation of adverse impacts associated with the issue has been considered in the analysis, and it has been
  determined that additional plant-specific mitigation measures are likely not to be sufficiently beneficial to
  warrant implementation.

[[Page 55]]

 
The generic analysis of the issue may be adopted in each plant-specific review.
Category 2: For the issue, the analysis reported in the Generic Environmental Impact Statement has shown that
  one or more of the criteria of Category 1 cannot be met, and therefore additional plant-specific review is
  required.
\3\ The impact findings in this column are based on the definitions of three significance levels. Unless the
  significance level is identified as beneficial, the impact is adverse, or in the case of ``small,'' may be
  negligible. The definitions of significance follow:
SMALL--For the issue, environmental effects are not detectable or are so minor that they will neither
  destabilize nor noticeably alter any important attribute of the resource. For the purposes of assessing
  radiological impacts, the Commission has concluded that those impacts that do not exceed permissible levels in
  the Commission's regulations are considered small as the term is used in this table.
MODERATE--For the issue, environmental effects are sufficient to alter noticeably, but not to destabilize,
  important attributes of the resource.
LARGE--For the issue, environmental effects are clearly noticeable and are sufficient to destabilize important
  attributes of the resource.
For issues where probability is a key consideration (i.e., accident consequences), probability was a factor in
  determining significance.
\4\ NA (not applicable). The categorization and impact finding definitions do not apply to these issues.
\5\ If, in the future, the Commission finds that, contrary to current indications, a consensus has been reached
  by appropriate Federal health agencies that there are adverse health effects from electromagnetic fields, the
  Commission will require applicants to submit plant-specific reviews of these health effects as part of their
  license renewal applications. Until such time, applicants for license renewal are not required to submit
  information on this issue.
\6\ Environmental Justice was not addressed in NUREG-1437, ``Generic Environmental Impact Statement for License
  Renewal of Nuclear Plants,'' because guidance for implementing Executive Order 12898 issued on February 11,
  1994, was not available prior to completion of NUREG-1437. This issue will be addressed in individual license
  renewal reviews.

[61 FR 66546, Dec. 18, 1996, as amended at 62 FR 59276, Nov. 3, 1997; 64 
FR 48507, Sept. 3, 1999]



PART 52--EARLY SITE PERMITS; STANDARD DESIGN CERTIFICATIONS; AND COMBINED LICENSES FOR NUCLEAR POWER PLANTS--Table of Contents




                           General Provisions

Sec.
52.1  Scope.
52.3  Definitions.
52.5  Interpretations.
52.8  Information collection requirements: OMB approval.
52.9  Deliberate misconduct.

                      Subpart A--Early Site Permits

52.11  Scope of subpart.
52.13  Relationship to subpart F of 10 CFR part 2 and appendix Q of this 
          part.
52.15  Filing of applications.
52.17  Contents of applications.
52.18  Standards for review of applications.
52.19  Permit and renewal fees.
52.21  Hearings.
52.23  Referral to the ACRS.
52.24  Issuance of early site permit.
52.25  Extent of activities permitted.
52.27  Duration of permit.
52.29  Application for renewal.
52.31  Criteria for renewal.
52.33  Duration of renewal.
52.35  Use of site for other purposes.
52.37  Reporting of defects and noncompliance; revocation, suspension, 
          modification of permits for cause.
52.39  Finality of early site permit determinations.

                Subpart B--Standard Design Certifications

52.41  Scope of subpart.
52.43  Relationship to appendices M, N, and O of this part.
52.45  Filing of applications.
52.47  Contents of applications.
52.48  Standards for review of applications.
52.49  Fees for review of applications.
52.51  Administrative review of applications.
52.53  Referral to the ACRS.
52.54  Issuance of standard design certification.
52.55  Duration of certification.
52.57  Application for renewal.
52.59  Criteria for renewal.
52.61  Duration of renewal.
52.63  Finality of standard design certifications.

                      Subpart C--Combined Licenses

52.71  Scope of subpart.
52.73  Relationship to subparts A and B.
52.75  Filing of applications.
52.77  Contents of applications; general information.
52.78  Contents of applications; training and qualification of nuclear 
          power plant personnel.
52.79  Contents of applications; technical information.
52.81  Standards for review of applications.
52.83  Applicability of part 50 provisions.
52.85  Administrative review of applications.
52.87  Referral to the ACRS.
52.89  Environmental review.
52.91  Authorization to conduct site activities.
52.93  Exemptions and variances.
52.97  Issuance of combined licenses.
52.99  Inspection during construction.
52.103  Operation under a combined license.

                          Subpart D--Violations

52.111  Violations.
52.113  Criminal penalties.

Appendix A to Part 52--Design Certification Rule for the U.S. Advanced 
          Boiling Water Reactor

[[Page 56]]

Appendix B to Part 52--Design Certification Rule for the System 80+ 
          Design
Appendix C to Part 52--Design Certification Rule for the AP600 Design
Appendices D-L to Part 52  [Reserved]
Appendix M to Part 52--Standardization of Design; Manufacture of Nuclear 
          Power Reactors; Construction and Operation of Nuclear Power 
          Reactors Manufactured Pursuant to Commission License
Appendix N to Part 52--Standardization of Nuclear Power Plant Designs: 
          Licenses to Construct and Operate Nuclear Power Reactors of 
          Duplicate Design at Multiple Sites
Appendix O to Part 52--Standardization of Design: Staff Review of 
          Standard Designs
Appendix P to Part 52 [Reserved]
Appendix Q to Part 52--Pre-Application Early Review of Site Suitability 
          Issues

    Authority: Secs. 103, 104, 161, 182, 183, 186, 189, 68 Stat. 936, 
948, 953, 954, 955, 956, as amended, sec. 234, 83 Stat. 444, as amended 
(42 U.S.C. 2133, 2201, 2232, 2233, 2236, 2239, 2282); secs. 201, 202, 
206, 88 Stat. 1242, 1244, 1246, as amended (42 U.S.C. 5841, 5842, 5846).

    Source: 54 FR 15386, Apr. 18, 1989, unless otherwise noted.

                           General Provisions



Sec. 52.1  Scope.

    This part governs the issuance of early site permits, standard 
design certifications, and combined licenses for nuclear power 
facilities licensed under Section 103 or 104b of the Atomic Energy Act 
of 1954, as amended (68 Stat. 919), and Title II of the Energy 
Reorganization Act of 1974 (88 Stat. 1242). This part also gives notice 
to all persons who knowingly provide to any holder of or applicant for 
an early site permit, standard design certification, or combined 
license, or to a contractor, subcontractor, or consultant of any of 
them, components, equipment, materials, or other goods or services, that 
relate to the activities of a holder of or applicant for an early site 
permit, standard design certification, or combined license, subject to 
this part, that they may be individually subject to NRC enforcement 
action for violation of Sec. 52.9.

[63 FR 1897, Jan. 13, 1998]



Sec. 52.3  Definitions.

    As used in this part,
    (a) Combined license means a combined construction permit and 
operating license with conditions for a nuclear power facility issued 
pursuant to subpart C of this part.
    (b) Early site permit means a Commission approval, issued pursuant 
to subpart A of this part, for a site or sites for one or more nuclear 
power facilities.
    (c) Standard design means a design which is sufficiently detailed 
and complete to support certification in accordance with subpart B of 
this part, and which is usable for a multiple number of units or at a 
multiple number of sites without reopening or repeating the review.
    (d) Standard design certification, design certification, or 
certification means a Commission approval, issued pursuant to subpart B 
of this part, of a standard design for a nuclear power facility. A 
design so approved may be referred to as a certified standard design.
    (e) All other terms in this part have the meaning set out in 10 CFR 
50.2, or section 11 of the Atomic Energy Act, as applicable.



Sec. 52.5  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized to be binding 
upon the Commission.



Sec. 52.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0151.

[[Page 57]]

    (b) The approved information collection requirements contained in 
this part appear in Secs. 52.15, 52.17, 52.29, 52.35, 52.45, 52.47, 
52.51, 52.57, 52.63, 52.75, 52.77, 52.78, 52.79, 52.89, 52.91, 52.99, 
and appendices A, B, and C.

[62 FR 52188, Oct. 6, 1997, as amended at 64 FR 72015, Dec. 23, 1999]



Sec. 52.9  Deliberate misconduct.

    (a) Any holder of, or applicant for, an early site permit, standard 
design certification, or combined license, including its employees, 
contractors, subcontractors, or consultants and their employees, who 
knowingly provides to any holder of, or applicant for, an early site 
permit, standard design certification, or combined license, or to a 
contractor, subcontractor or consultant of any of them, equipment, 
materials, or other goods or services that relate to the activities of a 
holder of, or applicant for, an early site permit, standard design 
certification or combined license in this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a holder of, or applicant for, an early site 
permit, standard design certification, or combined license, to be in 
violation of any rule, regulation, or order; or any term, condition, or 
limitation of any permit, certification or license issued by the 
Commission; or
    (2) Deliberately submit to the NRC, a holder of, or applicant for, 
an early site permit, standard design certification, or combined 
license, or a contractor, subcontractor, or consultant of any of them, 
information that the person submitting the information knows to be 
incomplete or inaccurate in some respect material to the NRC.
    (b) A person who violates paragraph (a)(1) or (a)(2) of this section 
may be subject to enforcement action in accordance with the procedures 
in 10 CFR part 2, subpart B.
    (c) For the purposes of paragraph (a)(1) of this section, deliberate 
misconduct by a person means an intentional act or omission that the 
person knows:
    (1) Would cause a holder of, or applicant for, an early site permit, 
standard design certification, or combined license, to be in violation 
of any rule, regulation, or order; or any term, condition, or 
limitation, of any license issued by the Commission; or
    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order, or policy of a holder of, or 
applicant for, an early site permit, certified design or combined 
license, or a contractor or subcontractor of any of them.

[63 FR 1897, Jan. 13, 1998]



                      Subpart A--Early Site Permits



Sec. 52.11  Scope of subpart.

    This subpart sets out the requirements and procedures applicable to 
Commission issuance of early site permits for approval of a site or 
sites for one or more nuclear power facilities separate from the filing 
of an application for a construction permit or combined license for such 
a facility.



Sec. 52.13  Relationship to subpart F of 10 CFR part 2 and appendix Q of this part.

    The procedures of this subpart do not replace those set out in 
subpart F of 10 CFR part 2 or appendix Q of this part. Subpart F applies 
only when early review of site suitability issues is sought in 
connection with an appliction for a permit to construct certain power 
facilities. Appendix Q applies only when NRC staff review of one or more 
site suitability issues is sought separately from and prior to the 
submittal of a construction permit. A Staff Site Report issued under 
appendix Q in no way affects the authority of the Commission or the 
presiding officer in any proceeding under subpart F or G of 10 CFR part 
2. Subpart A applies when any person who may apply for a construction 
permit under 10 CFR part 50 or for a combined license under 10 CFR part 
52 seeks an early site permit from the Commission separately from an 
application for a construction permit or a combined license for a 
facility.



Sec. 52.15  Filing of applications.

    (a) Any person who may apply for a construction permit under 10 CFR 
part 50, or for a combined license under 10 CFR part 52, may file with 
the Director

[[Page 58]]

of Nuclear Reactor Regulation an application for an early site permit. 
An application for an early site permit may be filed notwithstanding the 
fact that an application for a construction permit or a combined license 
has not been filed in connection with the site or sites for which a 
permit is sought.
    (b) The application must comply with the filing requirements of 10 
CFR 50.30 (a), (b), and (f) as they would apply to an application for a 
construction permit. The following portions of Sec. 50.4, which is 
referenced by Sec. 50.30(a)(1), are applicable: paragraphs (a), (b) (1)-
(3), (c), (d), and (e).



Sec. 52.17  Contents of applications.

    (a)(1) The application must contain the information required by 
Sec. 50.33 (a) through (d), the information required by Sec. 50.34 
(a)(12) and (b)(10), and to the extent approval of emergency plans is 
sought under paragraph (b)(2)(ii) of this section, the information 
required by Sec. 50.33 (g) and (j), and Sec. 50.34 (b)(6)(v) of this 
chapter. The application must also contain a description and safety 
assessment of the site on which the facility is to be located. The 
assessment must contain an analysis and evaluation of the major 
structures, systems, and components of the facility that bear 
significantly on the acceptability of the site under the radiological 
consequence evaluation factors identified in Sec. 50.34(a)(1) of this 
chapter. Site characteristics must comply with part 100 of this chapter. 
In addition, the application should describe the following:
    (i) The number, type, and thermal power level of the facilities for 
which the site may be used;
    (ii) The boundaries of the site;
    (iii) The proposed general location of each facility on the site;
    (iv) The anticipated maximum levels of radiological and thermal 
effluents each facility will produce;
    (v) The type of cooling systems, intakes, and outflows that may be 
associated with each facility;
    (vi) The seismic, meteorological, hydrologic, and geologic 
characteristics of the proposed site;
    (vii) The location and description of any nearby industrial, 
military, or transportation facilities and routes; and
    (viii) The existing and projected future population profile of the 
area surrounding the site.
    (2) A complete environmental report as required by 10 CFR 51.45 and 
51.50 must be included in the application, provided, however, that such 
environmental report must focus on the environmental effects of 
construction and operation of a reactor, or reactors, which have 
characteristics that fall within the postulated site parameters, and 
provided further that the report need not include an assessment of the 
benefits (for example, need for power) of the proposed action, but must 
include an evaluation of alternative sites to determine whether there is 
any obviously superior alternative to the site proposed.
    (b)(1) The application must identify physical characteristics unique 
to the proposed site, such as egress limitations from the area 
surrounding the site, that could pose a significant impediment to the 
development of emergency plans.
    (2) The application may also either:
    (i) Propose major features of the emergency plans, such as the exact 
sizes of the emergency planning zones, that can be reviewed and approved 
by NRC in consultation with FEMA in the absence of complete and 
integrated emergency plans; or
    (ii) Propose complete and integrated emergency plans for review and 
approval by the NRC, in consultation with the Federal Emergency 
Management Agency, in accord with the applicable provisions of 10 CFR 
50.47.
    (3) Under paragraphs (b) (1) and (2)(i) of this section, the 
application must include a description of contacts and arrangements made 
with local, state, and federal governmental agencies with emergency 
planning responsibilities. Under the option set forth in paragraph 
(b)(2)(ii) of this section, the applicant shall make good faith efforts 
to obtain from the same governmental agencies certifications that: (i) 
The proposed emergency plans are practicable; (ii) These agencies are 
committed to participating in any further development of the plans, 
including any required field demonstrations, and (iii) that these 
agencies are committed to executing their responsibilities

[[Page 59]]

under the plans in the event of an emergency. The application must 
contain any certifications that have been obtained. If these 
certifications cannot be obtained, the application must contain 
information, including a utility plan, sufficient to show that the 
proposed plans nonetheless provide reasonable assurance that adequate 
protective measures can and will be taken, in the event of a 
radiological emergency at the site.
    (c) If the applicant wishes to be able to perform, after grant of 
the early site permit, the activities at the site allowed by 10 CFR 
50.10(e)(1) without first obtaining the separate authorization required 
by that section, the applicant shall propose, in the early site permit, 
a plan for redress of the site in the event that the activities are 
performed and the site permit expires before it is referenced in an 
application for a construction permit or a combined license issued under 
subpart C of this part. The application must demonstrate that there is 
reasonable assurance that redress carried out under the plan will 
achieve an environmentally stable and aesthetically acceptable site 
suitable for whatever non-nuclear use may conform with local zoning 
laws.

[54 FR 15386, Sept. 18, 1989, as amended at 61 FR 65175, Dec. 11, 1996]



Sec. 52.18  Standards for review of applications.

    Applications filed under this subpart will be reviewed according to 
the applicable standards set out in 10 CFR part 50 and its appendices 
and part 100 as they apply to applications for construction permits for 
nuclear power plants. In particular, the Commission shall prepare an 
environmental impact statement during review of the application, in 
accordance with the applicable provisions of 10 CFR part 51, provided, 
however, that the draft and final environmental impact statements 
prepared by the Commission focus on the environmental effects of 
construction and operation of a reactor, or reactors, which have 
characteristics that fall within the postulated site parameters, and 
provided further that the statements need not include an assessment of 
the benefits (for example, need for power) of the proposed action, but 
must include an evaluation of alternative sites to determine whether 
there is any obviously superior alternative to the site proposed. The 
Commission shall determine, after consultation with the Federal 
Emergency Management Agency, whether the information required of the 
applicant by Sec. 52.17(b)(1) shows that there is no significant 
impediment to the development of emergency plans, whether any major 
features of emergency plans submitted by the applicant under 
Sec. 52.17(b)(2)(i) are acceptable, and whether any emergency plans 
submitted by the applicant under Sec. 52.17(b)(2)(ii) provide reasonable 
assurance that adequate protective measures can and will be taken in the 
event of a radiological emergency.



Sec. 52.19  Permit and renewal fees.

    The fees charged for the review of an application for the initial 
issuance or renewal of an early site permit are set forth in 10 CFR 
170.21 and shall be paid in accordance with 10 CFR 170.12.

[56 FR 31499, July 10, 1991]



Sec. 52.21  Hearings.

    An early site permit is a partial construction permit and is 
therefore subject to all procedural requirements in 10 CFR part 2 which 
are applicable to construction permits, including the requirements for 
docketing in Secs. 2.101(a) (1)-(4), and the requirements for issuance 
of a notice of hearing in Secs. 2.104 (a), (b)(1) (iv) and (v), (b)(2) 
to the extent it runs parallel to (b)(1) (iv) and (v), and (b)(3), 
provided that the designated sections may not be construed to require 
that the environmental report or draft or final environmental impact 
statement include an assessment of the benefits of the proposed action. 
In the hearing, the presiding officer shall also determine whether, 
taking into consideration the site criteria contained in 10 CFR part 
100, a reactor, or reactors, having characteristics that fall within the 
parameters for the site can be constructed and operated without undue 
risk to the health and safety of the public. All hearings conducted on 
applications for early site permits filed under this part are governed 
by the procedures contained in subpart G of part 2.

[[Page 60]]



Sec. 52.23  Referral to the ACRS.

    The Commission shall refer a copy of the application to the Advisory 
Committee on Reactor Safeguards (ACRS). The ACRS shall report on those 
portions of the application which concern safety.



Sec. 52.24  Issuance of early site permit.

    After conducting a hearing under Sec. 52.21 of this subpart and 
receiving the report to be submitted by the Advisory Committee on 
Reactor Safeguards under Sec. 52.23 of this subpart, and upon 
determining that an application for an early site permit meets the 
applicable standards and requirements of the Atomic Energy Act and the 
Commission's regulations, and that notifications, if any, to other 
agencies or bodies have been duly made, the Commission shall issue an 
early site permit, in the form and containing the conditions and 
limitations, as the Commission deems appropriate and necessary.



Sec. 52.25  Extent of activities permitted.

    (a) If an early site permit contains a site redress plan, the holder 
of the permit, or the applicant for a construction permit or combined 
license who references the permit, may perform the activities at the 
site allowed by 10 CFR 50.10(e)(1) without first obtaining the separate 
authorization required by that section, provided that the final 
environmental impact statement prepared for the permit has concluded 
that the activities will not result in any significant adverse 
environmental impact which cannot be redressed.
    (b) If the activities permitted by paragraph (a) of this section are 
performed at any site for which an early site permit has been granted, 
and the site is not referenced in an application for a construction 
permit or a combined license issued under subpart C of this part while 
the permit remains valid, then the early site permit must remain in 
effect solely for the purpose of site redress, and the holder of the 
permit shall redress the site in accordance with the terms of the site 
redress plan required by Sec. 52.17(c). If, before redress is complete, 
a use not envisaged in the redress plan is found for the site or parts 
thereof, the holder of the permit shall carry out the redress plan to 
the greatest extent possible consistent with the alternate use.



Sec. 52.27  Duration of permit.

    (a) Except as provided in paragraph (b) of this section, an early 
site permit issued under this subpart may be valid for not less than ten 
nor more than twenty years from the date of issuance.
    (b)(1) An early site permit continues to be valid beyond the date of 
expiration in any proceeding on a construction permit application or a 
combined license application which references the early site permit and 
is docketed either before the date of expiration of the early site 
permit, or, if a timely application for renewal of the permit has been 
filed, before the Commission has determined whether to renew the permit.
    (2) An early site permit also continues to be valid beyond the date 
of expiration in any proceeding on an operating license application 
which is based on a construction permit which references the early site 
permit, and in any hearing held under Sec. 52.103 of this part before 
operation begins under a combined license which references the early 
site permit.
    (c) An applicant for a construction permit or combined license may, 
at its own risk, reference in its application a site for which an early 
site permit application has been docketed but not granted.



Sec. 52.29  Application for renewal.

    (a) Not less than twelve nor more than thirty-six months prior to 
the end of the initial twenty-year period, or any later renewal period, 
the permit holder may apply for a renewal of the permit. An application 
for renewal must contain all information necessary to bring up to date 
the information and data contained in the previous application.
    (b) Any person whose interests may be affected by renewal of the 
permit may request a hearing on the application for renewal. The request 
for a hearing must comply with 10 CFR 2.714. If a hearing is granted, 
notice of the hearing will be published in accordance with 10 CFR 2.703.

[[Page 61]]

    (c) An early site permit, either original or renewed, for which a 
timely application for renewal has been filed, remains in effect until 
the Commission has determined whether to renew the permit. If the permit 
is not renewed, it continues to be valid in certain proceedings in 
accordance with the provisions of Sec. 52.27(b).
    (d) The Commission shall refer a copy of the application for renewal 
to the Advisory Committee on Reactor Safeguards (ACRS). The ACRS shall 
report on those portions of the application which concern safety and 
shall apply the criteria set forth in Sec. 52.31.



Sec. 52.31  Criteria for renewal.

    (a) The Commission shall grant the renewal if the Commission 
determines that the site complies with the Atomic Energy Act and the 
Commission's regulations and orders applicable and in effect at the time 
the site permit was originally issued, and any new requirements the 
Commission may wish to impose after a determination that there is a 
substantial increase in overall protection of the public health and 
safety or the common defense and security to be derived from the new 
requirements and that the direct and indirect costs of implementation of 
those requirements are justified in view of this increased protection.
    (b) A denial of renewal on this basis does not bar the permit holder 
or another applicant from filing a new application for the site which 
proposes changes to the site or the way in which it is used which 
correct the deficiencies cited in the denial of the renewal.



Sec. 52.33  Duration of renewal.

    Each renewal of an early site permit may be for not less than ten 
nor more than twenty years.



Sec. 52.35  Use of site for other purposes.

    A site for which an early site permit has been issued under this 
subpart may be used for purposes other than those described in the 
permit, including the location of other types of energy facilities. The 
permit holder shall inform the Director of Nuclear Reactor Regulation of 
any significant uses for the site which have not been approved in the 
early site permit. The information about the activities must be given to 
the Director in advance of any actual construction or site modification 
for the activities. The information provided could be the basis for 
imposing new requirements on the permit, in accordance with the 
provisions of Sec. 52.39. If the permit holder informs the Director that 
the holder no longer intends to use the site for a nuclear power plant, 
the Director shall terminate the permit.



Sec. 52.37  Reporting of defects and noncompliance; revocation, suspension, modification of permits for cause.

    For purposes of part 21 and 10 CFR 50.100, an early site permit is a 
construction permit.



Sec. 52.39  Finality of early site permit determinations.

    (a)(1) Notwithstanding any provision in 10 CFR 50.109, while an 
early site permit is in effect under Secs. 52.27 or 52.33 the Commission 
may not impose new requirements, including new emergency planning 
requirements, on the early site permit or the site for which it was 
issued, unless the Commission determines that a modification is 
necessary either to bring the permit or the site into compliance with 
the Commission's regulations and orders applicable and in effect at the 
time the permit was issued, or to assure adequate protection of the 
public health and safety or the common defense and security.
    (2) In making the findings required for issuance of a construction 
permit, operating license, or combined license, or the findings required 
by Sec. 52.103 of this part, if the application for the construction 
permit, operating license, or combined license references an early site 
permit, the Commission shall treat as resolved those matters resolved in 
the proceeding on the application for issuance or renewal of the early 
site permit, unless a contention is admitted that a reactor does not fit 
within one or more of the site parameters included in the site permit, 
or a petition is filed which alleges either that the site is not in 
compliance with the terms of the early site permit, or that the terms 
and conditions of the early site permit should be modified.

[[Page 62]]

    (i) A contention that a reactor does not fit within one or more of 
the site parameters included in the site permit may be litigated in the 
same manner as other issues material to the proceeding.
    (ii) A petition which alleges that the site is not in compliance 
with the terms of the early site permit must include, or clearly 
reference, official NRC documents, documents prepared by or for the 
permit holder, or evidence admissible in a proceeding under subpart G of 
part 2, which show, prima facie, that the acceptance criteria have not 
been met. The permit holder and NRC staff may file answers to the 
petition within the time specified in 10 CFR 2.730 for answers to 
motions by parties and staff. If the Commission, in its judgment, 
decides, on the basis of the petitions and any answers thereto, that the 
petition meets the requirements of this paragraph, that the issues are 
not exempt from adjudication under 5 U.S.C. 554(a)(3), that genuine 
issues of material fact are raised, and that settlement or other 
informal resolution of the issues is not possible, then the genuine 
issues of material fact raised by the petition must be resolved in 
accordance with the provisions in 554, 556, and 557 which are applicable 
to determining application for initial licenses.
    (iii) A petition which alleges that the terms and conditions of the 
early site permit should be modified will be processed in accord with 10 
CFR 2.206. Before construction commences, the Commission shall consider 
the petition and determine whether any immediate action is required. If 
the petition is granted, then an appropriate order will be issued. 
Construction under the construction permit or combined license will not 
be affected by the granting of the petition unless the order is made 
immediately effective.
    (iv) Prior to construction, the Commission shall find that the terms 
of the early site permit have been met.
    (b) An applicant for a construction permit, operating license, or 
combined license who has filed an application referencing an early site 
permit issued under this subpart may include in the application a 
request for a variance from one or more elements of the permit. In 
determining whether to grant the variance, the Commission shall apply 
the same technically relevant criteria as were applicable to the 
application for the original or renewed site permit. Issuance of the 
variance must be subject to litigation during the construction permit, 
operating license, or combined license proceeding in the same manner as 
other issues material to those proceedings.



                Subpart B--Standard Design Certifications



Sec. 52.41  Scope of subpart.

    This subpart set out the requirements and procedures applicable to 
Commission issuance of rules granting standard design certification for 
nuclear power facilities separate from the filing of an application for 
a construction permit or combined license for such facility.



Sec. 52.43  Relationship to appendices M, N, and O of this part.

    (a) Appendix M to this part governs the issuance of licenses to 
manufacture nuclear power reactors to be installed and operated at sites 
not identified in the manufacturing license application. Appendix N 
governs licenses to construct and operate nuclear power reactors of 
duplicate design at multiple sites. These appendices may be used 
independently of the provisions in this subpart unless the applicant 
also wishes to use a certified standard design approved under this 
subpart.
    (b) Appendix O governs the staff review and approval of preliminary 
and final standard designs. A staff approval under appendix O in no way 
affects the authority of the Commission or the presiding officer in any 
proceeding under subpart G of 10 CFR part 2. Subpart B of part 52 
governs Commission approval, or certification, of standard designs by 
rulemaking.
    (c) A final design approval under appendix O is a prerequisite for 
certification of a standard design under this subpart. An application 
for a final design approval must state whether the applicant intends to 
seek certification of the design. If the applicant does so

[[Page 63]]

intend, the application for the final design approval must, in addition 
to containing the information required by appendix O, comply with the 
applicable requirements of part 52, subpart B, particularly Secs. 52.45 
and 52.47.



Sec. 52.45  Filing of applications.

    (a)(1) Any person may seek a standard design certification for an 
essentially complete nuclear power plant design which is an evolutionary 
change from light water reactor designs of plants which have been 
licensed and in commercial operation before the effective date of this 
rule.
    (2) Any person may also seek a standard design certification for a 
nuclear power plant design which differs significantly from the light 
water reactor designs described in paragraph (a)(1) of this section or 
utilizes simplified, inherent, passive, or other innovative means to 
accomplish its safety functions.
    (b) An application for certification may be filed notwithstanding 
the fact that an application for a construction permit or combined 
license for such a facility has not been filed.
    (c)(1) Because a final design approval under appendix O of this part 
is a prerequisite for certification of a standard design, a person who 
seeks such a certification and does not hold, or has not applied for, a 
final design approval, shall file with the Director of Nuclear Reactor 
Regulation an application for a final design approval and certification.
    (2) Any person who seeks certification but already holds, or has 
applied for, a final design approval, also shall file with the Director 
of Nuclear Reactor Regulation an application for certification, because 
the NRC staff may require that the information before the staff in 
connection with the review for the final design approval be supplemented 
for the review for certification.
    (d) The applicant must comply with the filing requirements of 10 CFR 
50.30(a) (1)-(4), and (6) and 50.30(b) as they would apply to an 
application for a nuclear power plant construction permit. The following 
portions of Sec. 50.4, which is referenced by Sec. 50.30(a)(1), are 
applicable to the extent technically relevant: paragraphs (a); (b), 
except for paragraphs (6); (c); and (e).



Sec. 52.47  Contents of applications.

    (a) The requirements of this paragraph apply to all applications for 
design certification. (1) An application for design certification must 
contain:
    (i) The technical information which is required of applicants for 
construction permits and operating licenses by 10 CFR part 20, part 50 
and its appendices, and parts 73 and 100, and which is technically 
relevant to the design and not site-specific;
    (ii) Demonstration of compliance with any technically relevant 
portions of the Three Mile Island requirements set forth in 10 CFR 
50.34(f);
    (iii) The site parameters postulated for the design, and an analysis 
and evaluation of the design in terms of such parameters;
    (iv) Proposed technical resolutions of those Unresolved Safety 
Issues and medium- and high-priority Generic Safety Issues which are 
identified in the version of NUREG-0933 current on the date six months 
prior to application and which are technically relevant to the design;
    (v) A design-specific probabilistic risk assessment;
    (vi) Proposed tests, inspections, analyses, and acceptance criteria 
which are necessary and sufficient to provide reasonable assurance that, 
if the tests, inspections and analyses are performed and the acceptance 
criteria met, a plant which references the design is built and will 
operate in accordance with the design certification.
    (vii) The interface requirements to be met by those portions of the 
plant for which the application does not seek certification. These 
requirements must be sufficiently detailed to allow completion of the 
final safety analysis and design-specific probabilistic risk assessment 
required by paragraph (a)(1)(v) of this section;
    (viii) Justification that compliance with the interface requirements 
of paragraph (a)(1)(vii) of this section is verifiable through 
inspection, testing (either in the plant or elsewhere), or analysis. The 
method to be used for verification of interface requirements

[[Page 64]]

must be included as part of the proposed tests, inspections, analyses, 
and acceptance criteria required by paragraph (a)(1)(vi) of this 
section; and
    (ix) A representative conceptual design for those portions of the 
plant for which the application does not seek certification, to aid the 
staff in its review of the final safety analysis and probabilistic risk 
assessment required by paragraph (a)(1)(v) of this section, and to 
permit assessment of the adequacy of the interface requirements called 
for by paragraph (a)(1)(vii) of this subsection.
    (2) The application must contain a level of design information 
sufficient to enable the Commission to judge the applicant's proposed 
means of assuring that construction conforms to the design and to reach 
a final conclusion on all safety questions associated with the design 
before the certification is granted. The information submitted for a 
design certification must include performance requirements and design 
information sufficiently detailed to permit the preparation of 
acceptance and inspection requirements by the NRC, and procurement 
specifications and construction and installation specifications by an 
applicant. The Commission will require, prior to design certification, 
that information normally contained in certain procurement 
specifications and construction and installation specifications be 
completed and available for audit if such information is necessary for 
the Commission to make its safety determination.
    (3) The staff shall advise the applicant on whether any technical 
information beyond that required by this section must be submitted.
    (b) This paragraph applies, according to its provisions, to 
particular applications:
    (1) The application for certification of a nuclear power plant 
design which is an evolutionary change from light water reactor designs 
of plants which have been licensed and in commercial operation before 
the effective date of this rule must provide an essentially complete 
nuclear power plant design except for site-specific elements such as the 
service water intake structure and the ultimate heat sink.
    (2)(i) Certification of a standard design which differs 
significantly from the light water reactor designs described in 
paragraph (b)(1) of this section or utilizes simplified, inherent, 
passive, or other innovative means to accomplish its safety functions 
will be granted only if
    (A)(1) The performance of each safety feature of the design has been 
demonstrated through either analysis, appropriate test programs, 
experience, or a combination thereof;
    (2) Interdependent effects among the safety features of the design 
have been found acceptable by analysis, appropriate test programs, 
experience, or a combination thereof;
    (3) Sufficient data exist on the safety features of the design to 
assess the analytical tools used for safety analyses over a sufficient 
range of normal operating conditions, transient conditions, and 
specified accident sequences, including equilibrium core conditions; and
    (4) The scope of the design is complete except for site-specific 
elements such as the service water intake structure and the ultimate 
heat sink; or
    (B) There has been acceptable testing of an appropriately sited, 
full-size, prototype of the design over a sufficient range of normal 
operating conditions, transient conditions, and specified accident 
sequences, including equilibrium core conditions. If the criterion in 
paragraph (b)(2)(i)(A)(4) of this section is not met, the testing of the 
prototype must demonstrate that the non-certified portion of the plant 
cannot significantly affect the safe operation of the plant.
    (ii) The application for final design approval of a standard design 
of the type described in this subsection must propose the specific 
testing necessary to support certification of the design, whether the 
testing be prototype testing or the testing required in the alternative 
by paragraph (b)(2)(i)(A) of this section.
    The Appendix O final design approval of such a design must identify 
the specific testing required for certification of the design.

[[Page 65]]

    (3) An application seeking certification of a modular design must 
describe the various options for the configuration of the plant and 
site, including variations in, or sharing of, common systems, interface 
requirements, and system interactions. The final safety analysis and the 
probabilistic risk assessment should also account for differences among 
the various options, including any restrictions which will be necessary 
during the construction and startup of a given module to ensure the safe 
operation of any module already operating.



Sec. 52.48  Standards for review of applications.

    Applications filed under this subpart will be reviewed for 
compliance with the standards set out in 10 CFR part 20, part 50 and its 
appendices, and parts 73 and 100 as they apply to applications for 
construction permits and operating licenses for nuclear power plants, 
and as those standards are technically relevant to the design proposed 
for the facility.



Sec. 52.49  Fees for review of applications.

    The fee charged for the review of an application for the initial 
issuance or renewal of a standard design certification are set forth in 
10 CFR 170.21 and shall be paid in accordance with 10 CFR 170.12.

[56 FR 31499, July 10, 1991]



Sec. 52.51  Administrative review of applications.

    (a) A standard design certification is a rule that will be issued in 
accordance with the provisions of subpart H of 10 CFR part 2, as 
supplemented by the provisions of this section. The Commission shall 
initiate the rulemaking after an application has been filed under 
Sec. 52.45 and shall specify the procedures to be used for the 
rulemaking.
    (b) The rulemaking procedures must provide for notice and comment 
and an opportunity for an informal hearing before an Atomic Safety and 
Licensing Board. The procedures for the informal hearing must include 
the opportunity for written presentations made under oath or affirmation 
and for oral presentations and questioning if the Board finds them 
either necessary for the creation of an adequate record or the most 
expeditious way to resolve controversies. Ordinarily, the questioning in 
the informal hearing will be done by members of the Board, using either 
the Board's questions or questions submitted to the Board by the 
parties. The Board may also request authority from the Commission to use 
additional procedures, such as direct and cross examination by the 
parties, or may request that the Commission convene a formal hearing 
under subpart G of 10 CFR part 2 on specific and substantial disputes of 
fact, necessary for the Commission's decision, that cannot be resolved 
with sufficient accuracy except in a formal hearing. The staff will be a 
party in the hearing.
    (c) The decision in such a hearing will be based only on information 
on which all parties have had an opportunity to comment, either in 
response to the notice of proposed rulemaking or in the informal 
hearing. Notwithstanding anything in 10 CFR 2.790 to the contrary, 
proprietary information will be protected in the same manner and to the 
same extent as proprietary information submitted in connection with 
applications for construction permits and operating licenses under 10 
CFR part 50, provided that the design certification shall be published 
in chapter I of this title.



Sec. 52.53  Referral to the ACRS.

    The Commission shall refer a copy of the application to the Advisory 
Committee on Reactor Safeguards (ACRS). The ACRS shall report on those 
portions of the application which concern safety.



Sec. 52.54  Issuance of standard design certification.

    After conducting a rulemaking proceeding under Sec. 52.51 on an 
application for a standard design certification and receiving the report 
to be submitted by the Advisory Committee on Reactor Safeguards under 
Sec. 52.53, and upon determining that the application meets the 
applicable standards and requirements of the Atomic Energy Act and the 
Commission's regulations, the Commission shall issue a standard design 
certification in the form of a rule

[[Page 66]]

for the design which is the subject of the application.



Sec. 52.55  Duration of certification.

    (a) Except as provided in paragraph (b) of this section, a standard 
design certification issued pursuant to this subpart is valid for 
fifteen years from the date of issuance.
    (b) A standard design certification continues to be valid beyond the 
date of expiration in any proceeding on an application for a combined 
license or operating license which references the standard design 
certification and is docketed either before the date of expiration of 
the certification, or, if a timely application for renewal of the 
certification has been filed, before the Commission has determined 
whether to renew the certification. A design certification also 
continues to be valid beyond the date of expiration in any hearing held 
under Sec. 52.103 before operation begins under a combined license which 
references the design certification.
    (c) An applicant for a construction permit or combined license may, 
at its own risk, reference in its application a design for which a 
design certification application has been docketed but not granted.



Sec. 52.57  Application for renewal.

    (a) Not less than twelve nor more than thirty-six months prior to 
expiration of the initial fifteen-year period, or any later renewal 
period, any person may apply for renewal of the certification. An 
application for renewal must contain all information necessary to bring 
up to date the information and data contained in the previous 
application. The Commission will require, prior to renewal of 
certification, that information normally contained in certain 
procurement specifications and construction and installation 
specifications be completed and available for audit if such information 
is necessary for the Commission to make its safety determination. Notice 
and comment procedures must be used for a rulemaking proceeding on the 
application for renewal. The Commission, in its discretion, may require 
the use of additional procedures in individual renewal proceedings.
    (b) A design certification, either original or renewed, for which a 
timely application for renewal has been filed remains in effect until 
the Commission has determined whether to renew the certification. If the 
certification is not renewed, it continues to be valid in certain 
proceedings, in accordance with the provisions of Sec. 52.55.
    (c) The Commission shall refer a copy of the application for renewal 
to the Advisory Committee on Reactor Safeguards (ACRS). The ACRS shall 
report on those portions of the application which concern safety and 
shall apply the criteria set forth in Sec. 52.59.



Sec. 52.59  Criteria for renewal.

    (a) The Commission shall issue a rule granting the renewal if the 
design, either as originally certified or as modified during the 
rulemaking on the renewal, complies with the Atomic Energy Act and the 
Commission's regulations applicable and in effect at the time the 
certification was issued, and any other requirements the Commission may 
wish to impose after a determination that there is a substantial 
increase in overall protection of the public health and safety or the 
common defense and security to be derived from the new requirements and 
that the direct and indirect costs of implementation of those 
requirements are justified in view of this increased protection. In 
addition, the applicant for renewal may request an amendment to the 
design certification. The Commission shall grant the amendment request 
if it determines that the amendment will comply with the Atomic Energy 
Act and the Commission's regulations in effect at the time or renewal. 
If the amendment request entails such an extensive change to the design 
certification that an essentially new standard design is being proposed, 
an application for a design certification shall be filed in accordance 
with Sec. 52.45 and 52.47 of this part.
    (b) Denial of renewal does not bar the applicant, or another 
applicant, from filing a new application for certification of the 
design, which proposes design changes which correct the deficiencies 
cited in the denial of the renewal.

[[Page 67]]



Sec. 52.61  Duration of renewal.

    Each renewal of certification for a standard design will be for not 
less than ten nor more than fifteen years.



Sec. 52.63  Finality of standard design certifications.

    (a)(1) Notwithstanding any provision in 10 CFR 50.109, while a 
standard design certification is in effect under Sec. 52.55 or 52.61, 
the Commission may not modify, rescind, or impose new requirements on 
the certification, whether on its own motion, or in response to a 
petition from any person, unless the Commission determines in a 
rulemaking that a modification is necessary either to bring the 
certification or the referencing plants into compliance with the 
Commission's regulations applicable and in effect at the time the 
certification was issued, or to assure adequate protection of the public 
health and safety or the common defense and security. The rulemaking 
procedures must provide for notice and comment and an opportunity for 
the party which applied for the certification to request an informal 
hearing which uses the procedures described in Sec. 52.51 of this 
subpart.
    (2) Any modification the NRC imposes on a design certification rule 
under paragraph (a)(1) of this section will be applied to all plants 
referencing the certified design, except those to which the modification 
has been rendered technically irrelevant by action taken under 
paragraphs (a)(3), (a)(4), or (b) of this section.
    (3) While a design certification is in effect under Sec. 52.55 or 
Sec. 52.61, unless (i) a modification is necessary to secure compliance 
with the Commission's regulations applicable and in effect at the time 
the certification was issued, or to assure adequate protection of the 
public health and safety or the common defense and security, and (ii) 
special circumstances as defined in 10 CFR 50.12(a) are present, the 
Commission may not impose new requirements by plant-specific order on 
any part of the design of a specific plant referencing the design 
certification if that part was approved in the design certification. In 
addition to the factors listed in Sec. 50.12(a), the Commission shall 
consider whether the special circumstances which Sec. 50.12(a)(2) 
requires to be present outweigh any decrease in safety that may result 
from the reduction in standardization caused by the plant-specific 
order.
    (4) Except as provided in 10 CFR 2.758, in making the findings 
required for issuance of a combined license or operating license, or for 
any hearing under Sec. 52.103, the Commission shall treat as resolved 
those matters resolved in connection with the issuance or renewal of a 
design certification.
    (b)(1) An applicant or licensee who references a standard design 
certification may request an exemption from one or more elements of the 
design certification. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 50.12(a). In addition to the factors listed in Sec. 50.12(a), the 
Commission shall consider whether the special circumstances which 
Sec. 50.12(a)(2) requires to be present outweigh any decrease in safety 
that may result from the reduction in standardization caused by the 
exemption. The granting of an exemption on request of an applicant must 
be subject to litigation in the same manner as other issues in the 
operating license or combined license hearing.
    (2) Subject Sec. 50.59, a licensee who references a standard design 
certification may make changes to the design of the nuclear power 
facility, without prior Commission approval, unless the proposed change 
involves a change to the design as described in the rule certifying the 
design. The licensee shall maintain records of all changes to the 
facility and these records must be maintained and available for audit 
until the date of termination of the license.
    (c) The Commission will require, prior to granting a construction 
permit, combined license, or operating license which references a 
standard design certification, that information normally contained in 
certain procurement specifications and construction and installation 
specifications be completed and available for audit if such information 
is necessary for the Commission to make its safety determinations, 
including the determination that the application is consistent with the

[[Page 68]]

certified design. This information may be acquired by appropriate 
arrangements with the design certification applicant.



                      Subpart C--Combined Licenses



Sec. 52.71  Scope of subpart.

    This subpart sets out the requirements and procedures applicable to 
Commission issuance of combined licenses for nuclear power facilities.



Sec. 52.73  Relationship to subparts A and B.

    An application for a combined license under this subpart may, but 
need not, reference a standard design certification issued under subpart 
B of this part or an early site permit issued under subpart A of this 
part, or both. In the absence of a demonstration that an entity other 
than the one originally sponsoring and obtaining a design certification 
is qualified to supply such design, the Commission will entertain an 
application for a combined license which references a standard design 
certification issued under subpart B only if the entity that sponsored 
and obtained the certification supplies the certified design for the 
applicant's use.



Sec. 52.75  Filing of applications.

    Any person except one excluded by 10 CFR 50.38 may file an 
application for a combined license for a nuclear power facility with the 
Director of Nuclear Reactor Regulation. The applicant shall comply with 
the filing requirements of 10 CFR 50.4 and 50.30 (a) and (b), except for 
paragraph (b)(6) of Sec. 50.4, as they would apply to an application for 
a nuclear power plant construction permit. The fees associated with the 
filing and review of the application are set out in 10 CFR part 170.



Sec. 52.77  Contents of applications; general information.

    The application must contain all of the information required by 10 
CFR 50.33, as that section would apply to applicants for construction 
permits and operating licenses, and 10 CFR 50.33a, as that section would 
apply to an applicant for a nuclear power plant construction permit. In 
particular, the applicant shall comply with the requirement of 
Sec. 50.33a(b) regarding the submission of antitrust information.



Sec. 52.78  Contents of applications; training and qualification of nuclear power plant personnel.

    (a) Applicability. The requirements of this section apply only to 
the personnel associated with the operating phase of the combined 
licenses.
    (b) The application must demonstrate compliance with the 
requirements for training programs established in Sec. 50.120 of this 
chapter.

[58 FR 21912, Apr. 26, 1993]



Sec. 52.79  Contents of applications; technical information.

    (a)(1) In general, if the application references an early site 
permit, the application need not contain information or analyses 
submitted to the Commission in connection with the early site permit, 
but must contain, in addition to the information and analyses otherwise 
required, information sufficient to demonstrate that the design of the 
facility falls within the parameters specified in the early site permit, 
and to resolve any other significant environmental issue not considered 
in any previous proceeding on the site or the design.
    (2) If the application does not reference an early site permit, the 
applicant shall comply with the requirements of 10 CFR 50.30(f) by 
including with the application an environmental report prepared in 
accordance with the provisions of subpart A of 10 CFR part 51.
    (3) If the application does not reference an early site permit which 
contains a site redress plan as described in Sec. 52.17(c), and if the 
applicant wishes to be able to perform the activities at the site 
allowed by 10 CFR 50.10(e)(1), then the application must contain the 
information required by Sec. 52.17(c).
    (b) The application must contain the technically relevant 
information required of applicants for an operating license by 10 CFR 
50.34. The final safety analysis report and other required information 
may incorporate by reference the final safety analysis report for a 
certified standard design. In particular, an application referencing a 
certified design must describe those

[[Page 69]]

portions of the design which are site-specific, such as the service 
water intake structure and the ultimate heat sink. An application 
referencing a certified design must also demonstrate compliance with the 
interface requirements established for the design under 
Sec. 52.47(a)(1), and have available for audit procurement 
specifications and construction and installation specifications in 
accordance with Sec. 52.47(a)(2). If the application does not reference 
a certified design, the application must comply with the requirements of 
Sec. 52.47(a)(2) for level of design information, and shall contain the 
technical information required by Secs. 52.47(a)(1) (i), (ii), (iv), and 
(v) and (3), and, if the design is modular, Sec. 52.47(b)(3).
    (c) The application for a combined license must include the proposed 
inspections, tests and analyses, including those applicable to emergency 
planning, which the licensee shall perform and the acceptance criteria 
therefor which are necessary and sufficient to provide reasonable 
assurance that, if the inspections, tests and analyses are performed and 
the acceptance criteria met, the facility has been constructed and will 
operate in conformity with the combined license, the provisions of the 
Atomic Energy Act, and the NRC's regulations. Where the application 
references a certified standard design, the inspections, tests, analyses 
and acceptance criteria contained in the certified design must apply to 
those portions of the facility design which are covered by the design 
certification.
    (d) The application must contain emergency plans which provide 
reasonable assurance that adequate protective measures can and will be 
taken in the event of a radiological emergency at the site.
    (1) If the application references an early site permit, the 
application may incorporate by reference emergency plans, or major 
features of emergency plans, approved in connection with the issuance of 
the permit.
    (2) If the application does not reference an early site permit, or 
if no emergency plans were approved in connection with the issuance of 
the permit, the applicant shall make good faith efforts to obtain 
certifications from the local and State governmental agencies with 
emergency planning responsibilities (i) that the proposed emergency 
plans are practicable, (ii) that these agencies are committed to 
participating in any further development of the plans, including any 
required field demonstrations, and (iii) that these agencies are 
committed to executing their responsibilities under the plans in the 
event of an emergency. The application must contain any certifications 
that have been obtained. If these certifications cannot be obtained, the 
application must contain information, including a utility plan, 
sufficient to show that the proposed plans nonetheless provide 
reasonable assurance that adequate protective measures can and will be 
taken in the event of a radiological emergency at the site.

[54 FR 15386, Apr. 18, 1989, as amended at 57 FR 60978, Dec. 23, 1992]



Sec. 52.81  Standards for review of applications.

    Applications filed under this subpart will be reviewed according to 
the standards set out in 10 CFR parts 20, 50, 51, 55, 73, and 100 as 
they apply to applications for construction permits and operating 
licenses for nuclear power plants, and as those standards are 
technically relevant to the design proposed for the facility.



Sec. 52.83  Applicability of part 50 provisions.

    Unless otherwise specifically provided for in this subpart, all 
provisions of 10 CFR part 50 and its appendices applicable to holders of 
construction permits for nuclear power reactors also apply to holders of 
combined licenses issued under this subpart. Similarly, all provisions 
of 10 CFR part 50 and its appendices applicable to holders of operating 
licenses also apply to holders of combined licenses issued under this 
subpart, once the Commission has made the findings required under 
Sec. 52.99, provided that, as applied to a combined license, 10 CFR 
50.51 must require that the initial duration of the license may not 
exceed 40 years from the date on which the Commission makes the findings 
required under Sec. 52.99. However, any limitations contained in part 50 
regarding applicability of the

[[Page 70]]

provisions to certain classes of facilities continue to apply. 
Provisions of 10 CFR part 50 that do not apply to holders of combined 
licenses issued under this subpart include Secs. 50.55 (a), (b) and (d), 
and 50.58.

[57 FR 60978, Dec. 23, 1992]



Sec. 52.85  Administrative review of applications.

    A proceeding on a combined license is subject to all applicable 
procedural requirements contained in 10 CFR part 2, including the 
requirements for docketing (Sec. 2.101) and issuance of a notice of 
hearing (Sec. 2.104). All hearings on combined licenses are governed by 
the procedures contained in part 2, subpart G.



Sec. 52.87  Referral to the ACRS.

    The Commission shall refer a copy of the application to the Advisory 
Committee on Reactor Safeguards (ACRS). The ACRS shall report on those 
portions of the application which concern safety and shall apply the 
criteria set forth in Sec. 52.81, in accordance with the finality 
provisions of this part.



Sec. 52.89  Environmental review.

    If the application references an early site permit or a certified 
standard design, the environmental review must focus on whether the 
design of the facility falls within the parameters specified in the 
early site permit and any other significant environmental issue not 
considered in any previous proceeding on the site or the design. If the 
application does not reference an early site permit or a certified 
standard design, the environmental review procedures set out in 10 CFR 
part 51 must be followed, including the issuance of a final 
environmental impact statement, but excluding the issuance of a 
supplement under Sec. 51.95(a).



Sec. 52.91  Authorization to conduct site activities.

    (a)(1) If the application references an early site permit which 
contains a site redress plan as described in Sec. 52.17(c) the applicant 
is authorized by Sec. 52.25 to perform the site preparation activities 
described in 10 CFR 50.10(e)(1).
    (2) If the application does not reference an early site permit which 
contains a redress plan, the applicant may not perform the site 
preparation activities allowed by 10 CFR 50.10(e)(1) without first 
submitting a site redress plan in accord with Sec. 52.79(a)(3) and 
obtaining the separate authorization required by 10 CFR 50.10(e)(1). 
Authorization must be granted only after the presiding officer in the 
proceeding on the application has made the findings and determination 
required by 10 CFR 50.10(e)(2) and has determined that the site redress 
plan meets the criteria in Sec. 52.17(c).
    (3) Authorization to conduct the activities described in 10 CFR 
50.10(e)(3)(i) may be granted only after the presiding officer in the 
combined license proceeding makes the additional finding required by 10 
CFR 50.10(e)(3)(ii).
    (b) If, after an applicant for a combined license has performed the 
activities permitted by paragraph (a) of this section, the application 
for the license is withdrawn or denied, and the early site permit 
referenced by the application expires, then the applicant shall redress 
the site in accord with the terms of the site redress plan. If, before 
redress is complete, a use not envisaged in the redress plan is found 
for the site or parts thereof, the applicant shall carry out the redress 
plan to the greatest extent possible consistent with the alternate use.



Sec. 52.93  Exemptions and variances.

    (a) Applicants for a combined license under this subpart, or any 
amendment to a combined license, may include in the application a 
request, under 10 CFR 50.12, for an exemption from one or more of the 
Commission's regulations, including any part of a design certification 
rule. The Commission shall grant such a request if it determines that 
the exemption will comply with the requirements of 10 CFR 50.12(a) or 
52.63(b)(1) if the exemption includes any part of the design 
certification rule.
    (b) An applicant for a combined license, or any amendment to a 
combined license, who has filed an application referencing an early site 
permit issued under this subpart may include in the application a 
request for a variance from one or more elements of the

[[Page 71]]

permit. In determining whether to grant the variance, the Commission 
shall apply the same technically relevant criteria as were applicable to 
the application for the original or renewed site permit. Issuance of the 
variance must be subject to litigation during the combined license 
proceeding in the same manner as other issues material to that 
proceeding.



Sec. 52.97  Issuance of combined licenses.

    (a) The Commission shall issue a combined license for a nuclear 
power facility upon finding that the applicable requirements of 10 CFR 
50.40, 50.42, 50.43, 50.47, and 50.50 have been met, and that there is 
reasonable assurance that the facility will be constructed and operated 
in conformity with the license, the provisions of the Atomic Energy Act, 
and the Commission's regulations.
    (b)(1) The Commission shall identify within the combined license the 
inspections, tests, and analyses, including those applicable to 
emergency planning, that the licensee shall perform, and the acceptance 
criteria that, if met, are necessary and sufficient to provide 
reasonable assurance that the facility has been constructed and will be 
operated in conformity with the license, the provisions of the atomic 
Energy Act, and the Commission's rules and regulations.
    (2)(i) Any modification to, addition to, or deletion from the terms 
of a combined construction and operating license, including any 
modification to, addition to, or deletion from the inspections, tests, 
analyses, or related acceptance criteria contained in the license is a 
proposed amendment to the license. There must be an opportunity for a 
hearing on these amendments.
    (ii) The Commission may issue and make immediately effective any 
amendment to a combined construction and operating license upon a 
determination by the Commission that the amendment involves no 
significant hazards consideration, notwithstanding the pendency before 
the Commission of a request for a hearing from any person. The amendment 
may be issued and made immediately effective in advance of the holding 
and completion of any required hearing. The amendment will be processed 
in accordance with the procedures specified in 10 CFR 50.91.

[54 FR 15386, Apr. 18, 1989, as amended at 57 FR 60978, Dec. 23, 1992]



Sec. 52.99  Inspection during construction.

    After issuance of a combined license, the Commission shall ensure 
that the required inspections, tests, and analyses are performed and, 
prior to operation of the facility, shall find that the prescribed 
acceptance criteria are met. Holders of combined licenses shall comply 
with the provisions of 10 CFR 50.70 and 50.71. At appropriate intervals 
during construction, the NRC staff shall publish in the Federal Register 
notices of the successful completion of inspections, tests, and 
analyses.

[57 FR 60978, Dec. 23, 1992]



Sec. 52.103  Operation under a combined license.

    (a) Not less than one hundred and eighty days before the date 
scheduled for initial loading of fuel into a plant by a licensee that 
has been issued a combined construction permit and operating license 
under subpart C of this part, the Commission shall publish in the 
Federal Register notice of intended operation. That notice shall provide 
that any person whose interest may be affected by operation of the 
plant, may within sixty days request the Commission to hold a hearing on 
whether the facility as constructed complies, or on completion will 
comply, with the acceptance criteria of the license.
    (b) A request for hearing under paragraph (a) of this section shall 
show, prima facie, that--
    (1) One or more of the acceptance criteria in the combined license 
have not been, or will not be met; and
    (2) The specific operational consequences of nonconformance that 
would be contrary to providing reasonable assurance of adequate 
protection of the public health and safety.
    (c) After receiving a request for a hearing, the Commission 
expeditiously shall either deny or grant the request. If the request is 
granted, the Commission shall determine, after considering petitioners' 
prima facie showing and any answers thereto, whether during a

[[Page 72]]

period of interim operation, there will be reasonable assurance of 
adequate protection of the public health and safety. If the Commission 
determines that there is such reasonable assurance, it shall allow 
operation during an interim period under the combined license.
    (d) The Commission, in its discretion, shall determine appropriate 
hearing procedures, whether informal or formal adjudicatory, for any 
hearing under paragraph (a) of this section, and shall state its reasons 
therefor.
    (e) The Commission shall, to the maximum possible extent, render a 
decision on issues raised by the hearing request within one hundred and 
eighty days of the publication of the notice provided by paragraph (a) 
of this section or the anticipated date for initial loading of fuel into 
the reactor, whichever is later.
    (f) A petition to modify the terms and conditions of the combined 
license will be processed as a request for action in accord with 10 CFR 
2.206. The petitioner shall file the petition with the Secretary of the 
Commission. Before the licensed activity allegedly affected by the 
petition (fuel loading, low power testing, etc.) commences, the 
Commission shall determine whether any immediate action is required. If 
the petition is granted, then an appropriate order will be issued. Fuel 
loading and operation under the combined license will not be affected by 
the granting of the petition unless the order is made immediately 
effective.
    (g) Prior to operation of the facility, the Commission shall find 
that the acceptance criteria in the combined license are met. If the 
combined license is for a modular design, each reactor module may 
require a separate finding as construction proceeds.

[57 FR 60978, Dec. 23, 1992]



                          Subpart D--Violations



Sec. 52.111  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Section 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55075, Nov. 24, 1992]



Sec. 52.113  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 52 are issued under one or more of sections 
161b, 161i, or 160o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 52 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 52.1, 52.3, 52.5, 52.8, 52.11, 52.13, 52.15, 52.17, 52.18, 52.19, 
52.21, 52.23, 52.24, 52.27, 52.29, 52.31, 52.33, 52.37, 52.39, 52.41, 
52.43, 52.45, 52.47, 52.48, 52.49, 52.51, 52.53, 52.54, 52.55, 52.57, 
52.59, 52.61, 52.71, 52.73, 52.75, 52.77, 52.78, 52.79, 52.81, 52.83, 
52.85, 52.87, 52.89, 52.93, 52.97, 52.103, 52.111, and 52.113.

[57 FR 55075, Nov. 24, 1992, as amended at 58 FR 21912, Apr. 26, 1993]

[[Page 73]]

 Appendix A To Part 52--Design Certification Rule for the U.S. Advanced 
                          Boiling Water Reactor

                             I. Introduction

    Appendix A constitutes the standard design certification for the 
U.S. Advanced Boiling Water Reactor (ABWR) design, in accordance with 10 
CFR Part 52, Subpart B. The applicant for certification of the U.S. ABWR 
design was GE Nuclear Energy.

                             II. Definitions

    A. Generic design control document (generic DCD) means the document 
containing the Tier 1 and Tier 2 information and generic technical 
specifications that is incorporated by reference into this appendix.
    B. Generic technical specifications means the information, required 
by 10 CFR 50.36 and 50.36a, for the portion of the plant that is within 
the scope of this appendix.
    C. Plant-specific DCD means the document, maintained by an applicant 
or licensee who references this appendix, consisting of the information 
in the generic DCD, as modified and supplemented by the plant-specific 
departures and exemptions made under Section VIII of this appendix.
    D. Tier 1 means the portion of the design-related information 
contained in the generic DCD that is approved and certified by this 
appendix (hereinafter Tier 1 information). The design descriptions, 
interface requirements, and site parameters are derived from Tier 2 
information. Tier 1 information includes:
    1. Definitions and general provisions;
    2. Design descriptions;
    3. Inspections, tests, analyses, and acceptance criteria (ITAAC);
    4. Significant site parameters; and
    5. Significant interface requirements.
    E. Tier 2 means the portion of the design-related information 
contained in the generic DCD that is approved but not certified by this 
appendix (hereinafter Tier 2 information). Compliance with Tier 2 is 
required, but generic changes to and plant-specific departures from Tier 
2 are governed by Section VIII of this appendix. Compliance with Tier 2 
provides a sufficient, but not the only acceptable, method for complying 
with Tier 1. Compliance methods differing from Tier 2 must satisfy the 
change process in Section VIII of this appendix. Regardless of these 
differences, an applicant or licensee must meet the requirement in 
Section III.B to reference Tier 2 when referencing Tier 1. Tier 2 
information includes:
    1. Information required by 10 CFR 52.47, with the exception of 
generic technical specifications and conceptual design information;
    2. Information required for a final safety analysis report under 10 
CFR 50.34;
    3. Supporting information on the inspections, tests, and analyses 
that will be performed to demonstrate that the acceptance criteria in 
the ITAAC have been met; and
    4. Combined license (COL) action items (COL license information), 
which identify certain matters that shall be addressed in the site-
specific portion of the final safety analysis report (FSAR) by an 
applicant who references this appendix. These items constitute 
information requirements but are not the only acceptable set of 
information in the FSAR. An applicant may depart from or omit these 
items, provided that the departure or omission is identified and 
justified in the FSAR. After issuance of a construction permit or COL, 
these items are not requirements for the licensee unless such items are 
restated in the FSAR.
    F. Tier 2* means the portion of the Tier 2 information, designated 
as such in the generic DCD, which is subject to the change process in 
VIII.B.6 of this appendix. This designation expires for some Tier 2* 
information under VIII.B.6.
    G. All other terms in this appendix have the meaning set out in 10 
CFR 50.2, 10 CFR 52.3, or Section 11 of the Atomic Energy Act of 1954, 
as amended, as applicable.

                         III. Scope and Contents

    A. Tier 1, Tier 2, and the generic technical specifications in the 
U.S. ABWR Design Control Document, GE Nuclear Energy, Revision 4 dated 
March 1997, are approved for incorporation by reference by the Director 
of the Office of the Federal Register in accordance with 5 U.S.C. 552(a) 
and 1 CFR Part 51. Copies of the generic DCD may be obtained from the 
National Technical Information Service, 5285 Port Royal Road, 
Springfield, VA 22161. A copy is available for examination and copying 
at the NRC Public Document Room, 2120 L Street NW. (Lower Level), 
Washington, DC 20555. Copies are also available for examination at the 
NRC Library, 11545 Rockville Pike, Rockville, Maryland 20582 and the 
Office of the Federal Register, 800 North Capitol Street, NW., Suite 
700, Washington DC.
    B. An applicant or licensee referencing this appendix, in accordance 
with Section IV of this appendix, shall incorporate by reference and 
comply with the requirements of this appendix, including Tier 1, Tier 2, 
and the generic technical specifications except as otherwise provided in 
this appendix. Conceptual design information, as set forth in the 
generic DCD, and the ``Technical Support Document for the ABWR'' are not 
part of this appendix. Tier 2 references to the probabilistic risk 
assessment (PRA) in the ABWR Standard Safety Analysis Report do not 
incorporate the PRA into Tier 2.
    C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then 
Tier 1 controls.
    D. If there is a conflict between the generic DCD and either the 
application for design

[[Page 74]]

certification of the U.S. ABWR design or NUREG-1503, ``Final Safety 
Evaluation Report related to the Certification of the Advanced Boiling 
Water Reactor Design,'' (FSER) and Supplement No. 1, then the generic 
DCD controls.
    E. Design activities for structures, systems, and components that 
are wholly outside the scope of this appendix may be performed using 
site-specific design parameters, provided the design activities do not 
affect the DCD or conflict with the interface requirements.

              IV. Additional Requirements and Restrictions

    A. An applicant for a license that wishes to reference this appendix 
shall, in addition to complying with the requirements of 10 CFR 52.77, 
52.78, and 52.79, comply with the following requirements:
    1. Incorporate by reference, as part of its application, this 
appendix;
    2. Include, as part of its application:
    a. A plant-specific DCD containing the same information and 
utilizing the same organization and numbering as the generic DCD for the 
U.S. ABWR design, as modified and supplemented by the applicant's 
exemptions and departures;
    b. The reports on departures from and updates to the plant-specific 
DCD required by X.B of this appendix;
    c. Plant-specific technical specifications, consisting of the 
generic and site-specific technical specifications, that are required by 
10 CFR 50.36 and 50.36a;
    d. Information demonstrating compliance with the site parameters and 
interface requirements;
    e. Information that addresses the COL action items; and
    f. Information required by 10 CFR 52.47(a) that is not within the 
scope of this appendix.
    3. Physically include, in the plant-specific DCD, the proprietary 
information and safeguards information referenced in the U.S. ABWR DCD.
    B. The Commission reserves the right to determine in what manner 
this appendix may be referenced by an applicant for a construction 
permit or operating license under 10 CFR Part 50.

                        V. Applicable Regulations

    A. Except as indicated in paragraph B of this section, the 
regulations that apply to the U.S. ABWR design are in 10 CFR Parts 20, 
50, 73, and 100, codified as of May 2, 1997, that are applicable and 
technically relevant, as described in the FSER (NUREG-1503) and 
Supplement No. 1.
    B. The U.S. ABWR design is exempt from portions of the following 
regulations:
    1. Paragraph (f)(2)(iv) of 10 CFR 50.34--Separate Plant Safety 
Parameter Display Console;
    2. Paragraph (f)(2)(viii) of 10 CFR 50.34--Post-Accident Sampling 
for Boron, Chloride, and Dissolved Gases; and
    3. Paragraph (f)(3)(iv) of 10 CFR 50.34--Dedicated Containment 
Penetration.

                          VI. Issue Resolution

    A. The Commission has determined that the structures, systems, 
components, and design features of the U.S. ABWR design comply with the 
provisions of the Atomic Energy Act of 1954, as amended, and the 
applicable regulations identified in Section V of this appendix; and 
therefore, provide adequate protection to the health and safety of the 
public. A conclusion that a matter is resolved includes the finding that 
additional or alternative structures, systems, components, design 
features, design criteria, testing, analyses, acceptance criteria, or 
justifications are not necessary for the U.S. ABWR design.
    B. The Commission considers the following matters resolved within 
the meaning of 10 CFR 52.63(a)(4) in subsequent proceedings for issuance 
of a combined license, amendment of a combined license, or renewal of a 
combined license, proceedings held pursuant to 10 CFR 52.103, and 
enforcement proceedings involving plants referencing this appendix:
    1. All nuclear safety issues, except for the generic technical 
specifications and other operational requirements, associated with the 
information in the FSER and Supplement No. 1, Tier 1, Tier 2 (including 
referenced information which the context indicates is intended as 
requirements), and the rulemaking record for certification of the U.S. 
ABWR design;
    2. All nuclear safety and safeguards issues associated with the 
information in proprietary and safeguards documents, referenced and in 
context, are intended as requirements in the generic DCD for the U.S. 
ABWR design;
    3. All generic changes to the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;
    4. All exemptions from the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.4 and VIII.B.4 of this appendix, 
but only for that proceeding;
    5. All departures from the DCD that are approved by license 
amendment, but only for that proceeding;
    6. Except as provided in VIII.B.5.f of this appendix, all departures 
from Tier 2 pursuant to and in compliance with the change processes in 
VIII.B.5 of this appendix that do not require prior NRC approval;
    7. All environmental issues concerning severe accident mitigation 
design alternatives associated with the information in the NRC's final 
environmental assessment for the U.S. ABWR design and Revision 1 of the 
Technical Support Document for the U.S. ABWR,

[[Page 75]]

dated December 1994, for plants referencing this appendix whose site 
parameters are within those specified in the Technical Support Document.
    C. The Commission does not consider operational requirements for an 
applicant or licensee who references this appendix to be matters 
resolved within the meaning of 10 CFR 52.63(a)(4). The Commission 
reserves the right to require operational requirements for an applicant 
or licensee who references this appendix by rule, regulation, order, or 
license condition.
    D. Except in accordance with the change processes in Section VIII of 
this appendix, the Commission may not require an applicant or licensee 
who references this appendix to:
    1. Modify structures, systems, components, or design features as 
described in the generic DCD;
    2. Provide additional or alternative structures, systems, 
components, or design features not discussed in the generic DCD; or
    3. Provide additional or alternative design criteria, testing, 
analyses, acceptance criteria, or justification for structures, systems, 
components, or design features discussed in the generic DCD.
    E.1. Persons who wish to review proprietary and safeguards 
information or other secondary references in the DCD for the U.S. ABWR 
design, in order to request or participate in the hearing required by 10 
CFR 52.85 or the hearing provided under 10 CFR 52.103, or to request or 
participate in any other hearing relating to this appendix in which 
interested persons have adjudicatory hearing rights, shall first request 
access to such information from GE Nuclear Energy. The request must 
state with particularity:
    a. The nature of the proprietary or other information sought;
    b. The reason why the information currently available to the public 
at the NRC Web site, http://www.nrc.gov, and/or at the NRC Public 
Document Room, is insufficient;
    c. The relevance of the requested information to the hearing 
issue(s) which the person proposes to raise; and
    d. A showing that the requesting person has the capability to 
understand and utilize the requested information.
    2. If a person claims that the information is necessary to prepare a 
request for hearing, the request must be filed no later than 15 days 
after publication in the Federal Register of the notice required either 
by 10 CFR 52.85 or 10 CFR 52.103. If GE Nuclear Energy declines to 
provide the information sought, GE Nuclear Energy shall send a written 
response within ten (10) days of receiving the request to the requesting 
person setting forth with particularity the reasons for its refusal. The 
person may then request the Commission (or presiding officer, if a 
proceeding has been established) to order disclosure. The person shall 
include copies of the original request (and any subsequent clarifying 
information provided by the requesting party to the applicant) and the 
applicant's response. The Commission and presiding officer shall base 
their decisions solely on the person's original request (including any 
clarifying information provided by the requesting person to GE Nuclear 
Energy), and GE Nuclear Energy's response. The Commission and presiding 
officer may order GE Nuclear Energy to provide access to some or all of 
the requested information, subject to an appropriate non-disclosure 
agreement.

                     VII. Duration of This Appendix

    This appendix may be referenced for a period of 15 years from June 
11, 1997 except as provided for in 10 CFR 52.55(b) and 52.57(b). This 
appendix remains valid for an applicant or licensee who references this 
appendix until the application is withdrawn or the license expires, 
including any period of extended operation under a renewed license.

               VIII. Processes for Changes and Departures

    A. Tier 1 information.
    1. Generic changes to Tier 1 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 1 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs A.3 or A.4 of this section.
    3. Departures from Tier 1 information that are required by the 
Commission through plant-specific orders are governed by the 
requirements in 10 CFR 52.63(a)(3).
    4. Exemptions from Tier 1 information are governed by the 
requirements in 10 CFR 52.63(b)(1) and Sec. 52.97(b). The Commission 
will deny a request for an exemption from Tier 1, if it finds that the 
design change will result in a significant decrease in the level of 
safety otherwise provided by the design.
    B. Tier 2 information.
    1. Generic changes to Tier 2 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 2 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
    3. The Commission may not require new requirements on Tier 2 
information by plant-specific order while this appendix is in effect 
under Secs. 52.55 or 52.61, unless:
    a. A modification is necessary to secure compliance with the 
Commission's regulations applicable and in effect at the time this 
appendix was approved, as set forth in

[[Page 76]]

Section V of this appendix, or to assure adequate protection of the 
public health and safety or the common defense and security; and
    b. Special circumstances as defined in 10 CFR 50.12(a) are present.
    4. An applicant or licensee who references this appendix may request 
an exemption from Tier 2 information. The Commission may grant such a 
request only if it determines that the exemption will comply with the 
requirements of 10 CFR 50.12(a). The Commission will deny a request for 
an exemption from Tier 2, if it finds that the design change will result 
in a significant decrease in the level of safety otherwise provided by 
the design. The grant of an exemption to an applicant must be subject to 
litigation in the same manner as other issues material to the license 
hearing. The grant of an exemption to a licensee must be subject to an 
opportunity for a hearing in the same manner as license amendments.
    5.a. An applicant or licensee who references this appendix may 
depart from Tier 2 information, without prior NRC approval, unless the 
proposed departure involves a change to or departure from Tier 1 
information, Tier 2* information, or the technical specifications, or 
involves an unreviewed safety question as defined in paragraphs B.5.b 
and B.5.c of this section. When evaluating the proposed departure, an 
applicant or licensee shall consider all matters described in the plant-
specific DCD.
    b. A proposed departure from Tier 2, other than one affecting 
resolution of a severe accident issue identified in the plant-specific 
DCD, involves an unreviewed safety question if--
    (1) The probability of occurrence or the consequences of an accident 
or malfunction of equipment important to safety previously evaluated in 
the plant-specific DCD may be increased;
    (2) A possibility for an accident or malfunction of a different type 
than any evaluated previously in the plant-specific DCD may be created; 
or
    (3) The margin of safety as defined in the basis for any technical 
specification is reduced.
    c. A proposed departure from Tier 2 affecting resolution of a severe 
accident issue identified in the plant-specific DCD, involves an 
unreviewed safety question if--
    (1) There is a substantial increase in the probability of a severe 
accident such that a particular severe accident previously reviewed and 
determined to be not credible could become credible; or
    (2) There is a substantial increase in the consequences to the 
public of a particular severe accident previously reviewed.
    d. If a departure involves an unreviewed safety question as defined 
in paragraph B.5 of this section, it is governed by 10 CFR 50.90.
    e. A departure from Tier 2 information that is made under paragraph 
B.5 of this section does not require an exemption from this appendix.
    f. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an applicant or licensee who references 
this appendix has not complied with VIII.B.5 of this appendix when 
departing from Tier 2 information, may petition to admit into the 
proceeding such a contention. In addition to compliance with the general 
requirements of 10 CFR 2.714(b)(2), the petition must demonstrate that 
the departure does not comply with VIII.B.5 of this appendix. Further, 
the petition must demonstrate that the change bears on an asserted 
noncompliance with an ITAAC acceptance criterion in the case of a 10 CFR 
52.103 preoperational hearing, or that the change bears directly on the 
amendment request in the case of a hearing on a license amendment. Any 
other party may file a response. If, on the basis of the petition and 
any response, the presiding officer determines that a sufficient showing 
has been made, the presiding officer shall certify the matter directly 
to the Commission for determination of the admissibility of the 
contention. The Commission may admit such a contention if it determines 
the petition raises a genuine issue of fact regarding compliance with 
VIII.B.5 of this appendix.
    6.a. An applicant who references this appendix may not depart from 
Tier 2* information, which is designated with italicized text or 
brackets and an asterisk in the generic DCD, without NRC approval. The 
departure will not be considered a resolved issue, within the meaning of 
Section VI of this appendix and 10 CFR 52.63(a)(4).
    b. A licensee who references this appendix may not depart from the 
following Tier 2* matters without prior NRC approval. A request for a 
departure will be treated as a request for a license amendment under 10 
CFR 50.90.
    (1) Fuel burnup limit (4.2).
    (2) Fuel design evaluation (4.2.3).
    (3) Fuel licensing acceptance criteria (Appendix 4B).
    c. A licensee who references this appendix may not, before the plant 
first achieves full power following the finding required by 10 CFR 
52.103(g), depart from the following Tier 2* matters except in 
accordance with paragraph B.6.b of this section. After the plant first 
achieves full power, the following Tier 2* matters revert to Tier 2 
status and are thereafter subject to the departure provisions in 
paragraph B.5 of this section.
    (1) ASME Boiler & Pressure Vessel Code, Section III.
    (2) ACI 349 and ANSI/AISC N-690.
    (3) Motor-operated valves.

[[Page 77]]

    (4) Equipment seismic qualification methods.
    (5) Piping design acceptance criteria.
    (6) Fuel system and assembly design (4.2), except burnup limit.
    (7) Nuclear design (4.3).
    (8) Equilibrium cycle and control rod patterns (App. 4A).
    (9) Control rod licensing acceptance criteria (App. 4C).
    (10) Instrument setpoint methodology.
    (11) EMS performance specifications and architecture.
    (12) SSLC hardware and software qualification.
    (13) Self-test system design testing features and commitments.
    (14) Human factors engineering design and implementation process.
    d. Departures from Tier 2* information that are made under paragraph 
B.6 of this section do not require an exemption from this appendix.
    C. Operational requirements.
    1. Generic changes to generic technical specifications and other 
operational requirements that were completely reviewed and approved in 
the design certification rulemaking and do not require a change to a 
design feature in the generic DCD are governed by the requirements in 10 
CFR 50.109. Generic changes that do require a change to a design feature 
in the generic DCD are governed by the requirements in paragraphs A or B 
of this section.
    2. Generic changes to generic technical specifications and other 
operational requirements are applicable to all applicants or licensees 
who reference this appendix, except those for which the change has been 
rendered technically irrelevant by action taken under paragraphs C.3 or 
C.4 of this section.
    3. The Commission may require plant-specific departures on generic 
technical specifications and other operational requirements that were 
completely reviewed and approved, provided a change to a design feature 
in the generic DCD is not required and special circumstances as defined 
in 10 CFR 2.758(b) are present. The Commission may modify or supplement 
generic technical specifications and other operational requirements that 
were not completely reviewed and approved or require additional 
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD 
is not required.
    4. An applicant who references this appendix may request an 
exemption from the generic technical specifications or other operational 
requirements. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 50.12(a). The grant of an exemption must be subject to litigation in 
the same manner as other issues material to the license hearing.
    5. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an operational requirement approved in the 
DCD or a technical specification derived from the generic technical 
specifications must be changed may petition to admit into the proceeding 
such a contention. Such petition must comply with the general 
requirements of 10 CFR 2.714(b)(2) and must demonstrate why special 
circumstances as defined in 10 CFR 2.758(b) are present, or for 
compliance with the Commission's regulations in effect at the time this 
appendix was approved, as set forth in Section V of this appendix. Any 
other party may file a response thereto. If, on the basis of the 
petition and any response, the presiding officer determines that a 
sufficient showing has been made, the presiding officer shall certify 
the matter directly to the Commission for determination of the 
admissibility of the contention. All other issues with respect to the 
plant-specific technical specifications or other operational 
requirements are subject to a hearing as part of the license proceeding.
    6. After issuance of a license, the generic technical specifications 
have no further effect on the plant-specific technical specifications 
and changes to the plant-specific technical specifications will be 
treated as license amendments under 10 CFR 50.90.

    IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)

    A.1  An applicant or licensee who references this appendix shall 
perform and demonstrate conformance with the ITAAC before fuel load. 
With respect to activities subject to an ITAAC, an applicant for a 
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 preoperational activities, even though 
the NRC may not have found that any particular ITAAC has been satisfied.
    2. The licensee who references this appendix shall notify the NRC 
that the required inspections, tests, and analyses in the ITAAC have 
been successfully completed and that the corresponding acceptance 
criteria have been met.
    3. In the event that an activity is subject to an ITAAC, and the 
applicant or licensee who references this appendix has not demonstrated 
that the ITAAC has been satisfied, the applicant or licensee may either 
take corrective actions to successfully complete that ITAAC, request an 
exemption from the ITAAC in accordance with Section VIII of this 
appendix and 10 CFR 52.97(b), or petition for rulemaking to amend this 
appendix by changing the requirements of the ITAAC, under 10 CFR 2.802 
and 52.97(b). Such rulemaking changes to the ITAAC must meet

[[Page 78]]

the requirements of paragraph VIII.A.1 of this appendix.
    B.1  The NRC shall ensure that the required inspections, tests, and 
analyses in the ITAAC are performed. The NRC shall verify that the 
inspections, tests, and analyses referenced by the licensee have been 
successfully completed and, based solely thereon, find the prescribed 
acceptance criteria have been met. At appropriate intervals during 
construction, the NRC shall publish notices of the successful completion 
of ITAAC in the Federal Register.
    2. In accordance with 10 CFR 52.99 and 52.103(g), the Commission 
shall find that the acceptance criteria in the ITAAC for the license are 
met before fuel load.
    3. After the Commission has made the finding required by 10 CFR 
52.103(g), the ITAAC do not, by virtue of their inclusion within the 
DCD, constitute regulatory requirements either for licensees or for 
renewal of the license; except for specific ITAAC, which are the subject 
of a Section 103(a) hearing, their expiration will occur upon final 
Commission action in such proceeding. However, subsequent modifications 
must comply with the Tier 1 and Tier 2 design descriptions in the plant-
specific DCD unless the licensee has complied with the applicable 
requirements of 10 CFR 52.97 and Section VIII of this appendix.

                        X. Records and Reporting

    A. Records.
    1. The applicant for this appendix shall maintain a copy of the 
generic DCD that includes all generic changes to Tier 1 and Tier 2. The 
applicant shall maintain the proprietary and safeguards information 
referenced in the generic DCD for the period that this appendix may be 
referenced, as specified in Section VII of this appendix.
    2. An applicant or licensee who references this appendix shall 
maintain the plant-specific DCD to accurately reflect both generic 
changes to the generic DCD and plant-specific departures made pursuant 
to Section VIII of this appendix throughout the period of application 
and for the term of the license (including any period of renewal).
    3. An applicant or licensee who references this appendix shall 
prepare and maintain written safety evaluations which provide the bases 
for the determinations required by Section VIII of this appendix. These 
evaluations must be retained throughout the period of application and 
for the term of the license (including any period of renewal).
    B. Reporting.
    1. An applicant or licensee who references this appendix shall 
submit a report to the NRC containing a brief description of any 
departures from the plant-specific DCD, including a summary of the 
safety evaluation of each. This report must be filed in accordance with 
the filing requirements applicable to reports in 10 CFR 50.4.
    2. An applicant or licensee who references this appendix shall 
submit updates to its plant-specific DCD, which reflect the generic 
changes to the generic DCD and the plant-specific departures made 
pursuant to Section VIII of this appendix. These updates shall be filed 
in accordance with the filing requirements applicable to final safety 
analysis report updates in 10 CFR 50.4 and 50.71(e).
    3. The reports and updates required by paragraphs B.1 and B.2 of 
this section must be submitted as follows:
    a. On the date that an application for a license referencing this 
appendix is submitted, the application shall include the report and any 
updates to the plant-specific DCD.
    b. During the interval from the date of application to the date of 
issuance of a license, the report and any updates to the plant-specific 
DCD must be submitted annually and may be submitted along with 
amendments to the application.
    c. During the interval from the date of issuance of a license to the 
date the Commission makes its findings under 10 CFR 52.103(g), the 
report must be submitted quarterly. Updates to the plant-specific DCD 
must be submitted annually.
    d. After the Commission has made its finding under 10 CFR 52.103(g), 
reports and updates to the plant-specific DCD may be submitted annually 
or along with updates to the site-specific portion of the final safety 
analysis report for the facility at the intervals required by 10 CFR 
50.71(e), or at shorter intervals as specified in the license.

[62 FR 25827, May 12, 1997; 62 FR 27293, May 19, 1997, as amended at 64 
FR 48953, Sept. 9, 1999]

  Appendix B To Part 52--Design Certification Rule for the System 80+ 
                                 Design

                             I. Introduction

    Appendix B constitutes design certification for the System 80+ 
1 standard plant design, in accordance with 10 CFR part 52, 
subpart B. The applicant for certification of the System 80+ design was 
Combustion Engineering, Inc. (ABB-CE).
---------------------------------------------------------------------------

    \1\ ``System 80+'' is a trademark of Combustion Engineering, Inc.
---------------------------------------------------------------------------

                             II. Definitions

    A. Generic design control document (generic DCD) means the document 
containing the Tier 1 and Tier 2 information and generic technical 
specifications that is incorporated by reference into this appendix.
    B. Generic technical specifications means the information, required 
by 10 CFR 50.36 and

[[Page 79]]

50.36a, for the portion of the plant that is within the scope of this 
appendix.
    C. Plant-specific DCD means the document, maintained by an applicant 
or licensee who references this appendix, consisting of the information 
in the generic DCD, as modified and supplemented by the plant-specific 
departures and exemptions made under Section VIII of this appendix.
    D. Tier 1 means the portion of the design-related information 
contained in the generic DCD that is approved and certified by this 
appendix (hereinafter Tier 1 information). The design descriptions, 
interface requirements, and site parameters are derived from Tier 2 
information. Tier 1 information includes:
    1. Definitions and general provisions;
    2. Design descriptions;
    3. Inspections, tests, analyses, and acceptance criteria (ITAAC);
    4. Significant site parameters; and
    5. Significant interface requirements.
    E. Tier 2 means the portion of the design-related information 
contained in the generic DCD that is approved but not certified by this 
appendix (hereinafter Tier 2 information). Compliance with Tier 2 is 
required, but generic changes to and plant-specific departures from Tier 
2 are governed by Section VIII of this appendix. Compliance with Tier 2 
provides a sufficient, but not the only acceptable, method for complying 
with Tier 1. Compliance methods differing from Tier 2 must satisfy the 
change process in Section VIII of this appendix. Regardless of these 
differences, an applicant or licensee must meet the requirement in 
Section III.B to reference Tier 2 when referencing Tier 1. Tier 2 
information includes:
    1. Information required by 10 CFR 52.47, with the exception of 
generic technical specifications and conceptual design information;
    2. Information required for a final safety analysis report under 10 
CFR 50.34;
    3. Supporting information on the inspections, tests, and analyses 
that will be performed to demonstrate that the acceptance criteria in 
the ITAAC have been met; and
    4. Combined license (COL) action items (COL license information), 
which identify certain matters that shall be addressed in the site-
specific portion of the final safety analysis report (FSAR) by an 
applicant who references this appendix. These items constitute 
information requirements but are not the only acceptable set of 
information in the FSAR. An applicant may depart from or omit these 
items, provided that the departure or omission is identified and 
justified in the FSAR. After issuance of a construction permit or COL, 
these items are not requirements for the licensee unless such items are 
restated in the FSAR.
    F. Tier 2* means the portion of the Tier 2 information, designated 
as such in the generic DCD, which is subject to the change process in 
VIII.B.6 of this appendix. This designation expires for some Tier 2* 
information under VIII.B.6.
    G. All other terms in this appendix have the meaning set out in 10 
CFR 50.2, 10 CFR 52.3, or Section 11 of the Atomic Energy Act of 1954, 
as amended, as applicable.

                         III. Scope and Contents

    A. Tier 1, Tier 2, and the generic technical specifications in the 
System 80+ Design Control Document, ABB-CE, with revisions dated January 
1997, are approved for incorporation by reference by the Director of the 
Office of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 
CFR Part 51. Copies of the generic DCD may be obtained from the National 
Technical Information Service, 5285 Port Royal Road, Springfield, VA 
22161. A copy is available for examination and copying at the NRC Public 
Document Room, 2120 L Street NW. (Lower Level), Washington, DC 20555. 
Copies are also available for examination at the NRC Library, 11545 
Rockville Pike, Rockville, Maryland 20582 and the Office of the Federal 
Register, 800 North Capitol Street, NW., Suite 700, Washington, DC.
    B. An applicant or licensee referencing this appendix, in accordance 
with Section IV of this appendix, shall incorporate by reference and 
comply with the requirements of this appendix, including Tier 1, Tier 2, 
and the generic technical specifications except as otherwise provided in 
this appendix. Conceptual design information, as set forth in the 
generic DCD, and the Technical Support Document for the System 80+ 
design are not part of this appendix.
    C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then 
Tier 1 controls.
    D. If there is a conflict between the generic DCD and either the 
application for design certification of the System 80+ design or NUREG-
1462, ``Final Safety Evaluation Report related to the Certification of 
the System 80+ Design,'' (FSER) and Supplement No. 1, then the generic 
DCD controls.
    E. Design activities for structures, systems, and components that 
are wholly outside the scope of this appendix may be performed using 
site-specific design parameters, provided the design activities do not 
affect the DCD or conflict with the interface requirements.

              IV. Additional Requirements and Restrictions

    A. An applicant for a license that wishes to reference this appendix 
shall, in addition to complying with the requirements of 10 CFR 52.77, 
52.78, and 52.79, comply with the following requirements:
    1. Incorporate by reference, as part of its application, this 
appendix;
    2. Include, as part of its application:

[[Page 80]]

    a. A plant-specific DCD containing the same information and 
utilizing the same organization and numbering as the generic DCD for the 
System 80+ design, as modified and supplemented by the applicant's 
exemptions and departures;
    b. The reports on departures from and updates to the plant-specific 
DCD required by X.B of this appendix;
    c. Plant-specific technical specifications, consisting of the 
generic and site-specific technical specifications, that are required by 
10 CFR 50.36 and 50.36a;
    d. Information demonstrating compliance with the site parameters and 
interface requirements;
    e. Information that addresses the COL action items; and
    f. Information required by 10 CFR 52.47(a) that is not within the 
scope of this appendix.
    3. Physically include, in the plant-specific DCD, the proprietary 
information referenced in the System 80+ DCD.
    B. The Commission reserves the right to determine in what manner 
this appendix may be referenced by an applicant for a construction 
permit or operating license under 10 CFR Part 50.

                        V. Applicable Regulations

    A. Except as indicated in paragraph B of this section, the 
regulations that apply to the System 80+ design are in 10 CFR Parts 20, 
50, 73, and 100, codified as of May 9, 1997, that are applicable and 
technically relevant, as described in the FSER (NUREG-1462) and 
Supplement No. 1.
    B. The System 80+ design is exempt from portions of the following 
regulations:
    1. Paragraph (f)(2)(iv) of 10 CFR 50.34--Separate Plant Safety 
Parameter Display Console;
    2. Paragraphs (f)(2) (vii), (viii), (xxvi), and (xxviii) of 10 CFR 
50.34--Accident Source Terms;
    3. Paragraph (f)(2)(viii) of 10 CFR 50.34--Post-Accident Sampling 
for Hydrogen, Boron, Chloride, and Dissolved Gases;
    4. Paragraph (f)(3)(iv) of 10 CFR 50.34--Dedicated Containment 
Penetration; and
    5. Paragraphs III.A.1(a) and III.C.3(b) of Appendix J to 10 CFR 50--
Containment Leakage Testing.

                          VI. Issue Resolution

    A. The Commission has determined that the structures, systems, 
components, and design features of the System 80+ design comply with the 
provisions of the Atomic Energy Act of 1954, as amended, and the 
applicable regulations identified in Section V of this appendix; and 
therefore, provide adequate protection to the health and safety of the 
public. A conclusion that a matter is resolved includes the finding that 
additional or alternative structures, systems, components, design 
features, design criteria, testing, analyses, acceptance criteria, or 
justifications are not necessary for the System 80+ design.
    B. The Commission considers the following matters resolved within 
the meaning of 10 CFR 52.63(a)(4) in subsequent proceedings for issuance 
of a combined license, amendment of a combined license, or renewal of a 
combined license, proceedings held pursuant to 10 CFR 52.103, and 
enforcement proceedings involving plants referencing this appendix:
    1. All nuclear safety issues, except for the generic technical 
specifications and other operational requirements, associated with the 
information in the FSER and Supplement No. 1, Tier 1, Tier 2 (including 
referenced information which the context indicates is intended as 
requirements), and the rulemaking record for certification of the System 
80+ design;
    2. All nuclear safety issues associated with the information in 
proprietary documents, referenced and in context, are intended as 
requirements in the generic DCD for the System 80+ design;
    3. All generic changes to the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;
    4. All exemptions from the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.4 and VIII.B.4 of this appendix, 
but only for that proceeding;
    5. All departures from the DCD that are approved by license 
amendment, but only for that proceeding;
    6. Except as provided in VIII.B.5.f of this appendix, all departures 
from Tier 2 pursuant to and in compliance with the change processes in 
VIII.B.5 of this appendix that do not require prior NRC approval;
    7. All environmental issues concerning severe accident mitigation 
design alternatives associated with the information in the NRC's final 
environmental assessment for the System 80+ design and the Technical 
Support Document for the System 80+ design, dated January 1995, for 
plants referencing this appendix whose site parameters are within those 
specified in the Technical Support Document.
    C. The Commission does not consider operational requirements for an 
applicant or licensee who references this appendix to be matters 
resolved within the meaning of 10 CFR 52.63(a)(4). The Commission 
reserves the right to require operational requirements for an applicant 
or licensee who references this appendix by rule, regulation, order, or 
license condition.
    D. Except in accordance with the change processes in Section VIII of 
this appendix, the Commission may not require an applicant or licensee 
who references this appendix to:

[[Page 81]]

    1. Modify structures, systems, components, or design features as 
described in the generic DCD;
    2. Provide additional or alternative structures, systems, 
components, or design features not discussed in the generic DCD; or
    3. Provide additional or alternative design criteria, testing, 
analyses, acceptance criteria, or justification for structures, systems, 
components, or design features discussed in the generic DCD.
    E.1. Persons who wish to review proprietary information or other 
secondary references in the DCD for the System 80+ design, in order to 
request or participate in the hearing required by 10 CFR 52.85 or the 
hearing provided under 10 CFR 52.103, or to request or participate in 
any other hearing relating to this appendix in which interested persons 
have adjudicatory hearing rights, shall first request access to such 
information from ABB-CE. The request must state with particularity:
    a. The nature of the proprietary or other information sought;
    b. The reason why the information currently available to the public 
at the NRC Web site, http://www.nrc.gov, and/or at the NRC Public 
Document Room, is insufficient.
    c. The relevance of the requested information to the hearing 
issue(s) which the person proposes to raise; and
    d. A showing that the requesting person has the capability to 
understand and utilize the requested information.
    2. If a person claims that the information is necessary to prepare a 
request for hearing, the request must be filed no later than 15 days 
after publication in the Federal Register of the notice required either 
by 10 CFR 52.85 or 10 CFR 52.103. If ABB-CE declines to provide the 
information sought, ABB-CE shall send a written response within ten (10) 
days of receiving the request to the requesting person setting forth 
with particularity the reasons for its refusal. The person may then 
request the Commission (or presiding officer, if a proceeding has been 
established) to order disclosure. The person shall include copies of the 
original request (and any subsequent clarifying information provided by 
the requesting party to the applicant) and the applicant's response. The 
Commission and presiding officer shall base their decisions solely on 
the person's original request (including any clarifying information 
provided by the requesting person to ABB-CE), and ABB-CE's response. The 
Commission and presiding officer may order ABB-CE to provide access to 
some or all of the requested information, subject to an appropriate 
nondisclosure agreement.

                     VII. Duration of This Appendix

    This appendix may be referenced for a period of 15 years from June 
20, 1997, except as provided for in 10 CFR 52.55(b) and 52.57(b). This 
appendix remains valid for an applicant or licensee who references this 
appendix until the application is withdrawn or the license expires, 
including any period of extended operation under a renewed license.

               VIII. Processes for Changes and Departures

    A. Tier 1 information.
    1. Generic changes to Tier 1 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 1 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs A.3 or A.4 of this section.
    3. Departures from Tier 1 information that are required by the 
Commission through plant-specific orders are governed by the 
requirements in 10 CFR 52.63(a)(3).
    4. Exemptions from Tier 1 information are governed by the 
requirements in 10 CFR 52.63(b)(1) and Sec. 52.97(b). The Commission 
will deny a request for an exemption from Tier 1, if it finds that the 
design change will result in a significant decrease in the level of 
safety otherwise provided by the design.
    B. Tier 2 information.
    1. Generic changes to Tier 2 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 2 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
    3. The Commission may not require new requirements on Tier 2 
information by plant-specific order while this appendix is in effect 
under Secs. 52.55 or 52.61, unless:
    a. A modification is necessary to secure compliance with the 
Commission's regulations applicable and in effect at the time this 
appendix was approved, as set forth in Section V of this appendix, or to 
assure adequate protection of the public health and safety or the common 
defense and security; and
    b. Special circumstances as defined in 10 CFR 50.12(a) are present.
    4. An applicant or licensee who references this appendix may request 
an exemption from Tier 2 information. The Commission may grant such a 
request only if it determines that the exemption will comply with the 
requirements of 10 CFR 50.12(a). The Commission will deny a request for 
an exemption from Tier 2, if it finds that the design change will result 
in a significant decrease in the level of safety otherwise provided by 
the design. The grant of an exemption to an applicant must be subject to 
litigation in the same manner as other issues material to the license 
hearing. The grant of

[[Page 82]]

an exemption to a licensee must be subject to an opportunity for a 
hearing in the same manner as license amendments.
    5.a. An applicant or licensee who references this appendix may 
depart from Tier 2 information, without prior NRC approval, unless the 
proposed departure involves a change to or departure from Tier 1 
information, Tier 2* information, or the technical specifications, or 
involves an unreviewed safety question as defined in paragraphs B.5.b 
and B.5.c of this section. When evaluating the proposed departure, an 
applicant or licensee shall consider all matters described in the plant-
specific DCD.
    b. A proposed departure from Tier 2, other than one affecting 
resolution of a severe accident issue identified in the plant-specific 
DCD, involves an unreviewed safety question if--
    (1) The probability of occurrence or the consequences of an accident 
or malfunction of equipment important to safety previously evaluated in 
the plant-specific DCD may be increased;
    (2) A possibility for an accident or malfunction of a different type 
than any evaluated previously in the plant-specific DCD may be created; 
or
    (3) The margin of safety as defined in the basis for any technical 
specification is reduced.
    c. A proposed departure from Tier 2 affecting resolution of a severe 
accident issue identified in the plant-specific DCD, involves an 
unreviewed safety question if--
    (1) There is a substantial increase in the probability of a severe 
accident such that a particular severe accident previously reviewed and 
determined to be not credible could become credible; or
    (2) There is a substantial increase in the consequences to the 
public of a particular severe accident previously reviewed.
    d. If a departure involves an unreviewed safety question as defined 
in paragraph B.5 of this section, it is governed by 10 CFR 50.90.
    e. A departure from Tier 2 information that is made under paragraph 
B.5 of this section does not require an exemption from this appendix.
    f. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an applicant or licensee who references 
this appendix has not complied with VIII.B.5 of this appendix when 
departing from Tier 2 information, may petition to admit into the 
proceeding such a contention. In addition to compliance with the general 
requirements of 10 CFR 2.714(b)(2), the petition must demonstrate that 
the departure does not comply with VIII.B.5 of this appendix. Further, 
the petition must demonstrate that the change bears on an asserted 
noncompliance with an ITAAC acceptance criterion in the case of a 10 CFR 
52.103 preoperational hearing, or that the change bears directly on the 
amendment request in the case of a hearing on a license amendment. Any 
other party may file a response. If, on the basis of the petition and 
any response, the presiding officer determines that a sufficient showing 
has been made, the presiding officer shall certify the matter directly 
to the Commission for determination of the admissibility of the 
contention. The Commission may admit such a contention if it determines 
the petition raises a genuine issue of fact regarding compliance with 
VIII.B.5 of this appendix.
    6.a. An applicant who references this appendix may not depart from 
Tier 2* information, which is designated with italicized text or 
brackets and an asterisk in the generic DCD, without NRC approval. The 
departure will not be considered a resolved issue, within the meaning of 
Section VI of this appendix and 10 CFR 52.63(a)(4).
    b. A licensee who references this appendix may not depart from the 
following Tier 2* matters without prior NRC approval. A request for a 
departure will be treated as a request for a license amendment under 10 
CFR 50.90.
    (1) Maximum fuel rod average burnup.
    (2) Control room human factors engineering.
    c. A licensee who references this appendix may not, before the plant 
first achieves full power following the finding required by 10 CFR 
52.103(g), depart from the following Tier 2* matters except in 
accordance with paragraph B.6.b of this section. After the plant first 
achieves full power, the following Tier 2* matters revert to Tier 2 
status and are thereafter subject to the departure provisions in 
paragraph B.5 of this section.
    (1) ASME Boiler & Pressure Vessel Code, Section III.
    (2) ACI 349 and ANSI/AISC N-690.
    (3) Motor-operated valves.
    (4) Equipment seismic qualification methods.
    (5) Piping design acceptance criteria.
    (6) Fuel and control rod design, except burnup limit.
    (7) Instrumentation & controls setpoint methodology.
    (8) Instrumentation & controls hardware and software changes.
    (9) Instrumentation & controls environmental qualification.
    (10) Seismic design criteria for non-seismic category I structures.
    d. Departures from Tier 2* information that are made under paragraph 
B.6 of this section do not require an exemption from this appendix.
    C. Operational requirements.

[[Page 83]]

    1. Generic changes to generic technical specifications and other 
operational requirements that were completely reviewed and approved in 
the design certification rulemaking and do not require a change to a 
design feature in the generic DCD are governed by the requirements in 10 
CFR 50.109. Generic changes that do require a change to a design feature 
in the generic DCD are governed by the requirements in paragraphs A or B 
of this section.
    2. Generic changes to generic technical specifications and other 
operational requirements are applicable to all applicants or licensees 
who reference this appendix, except those for which the change has been 
rendered technically irrelevant by action taken under paragraphs C.3 or 
C.4 of this section.
    3. The Commission may require plant-specific departures on generic 
technical specifications and other operational requirements that were 
completely reviewed and approved, provided a change to a design feature 
in the generic DCD is not required and special circumstances as defined 
in 10 CFR 2.758(b) are present. The Commission may modify or supplement 
generic technical specifications and other operational requirements that 
were not completely reviewed and approved or require additional 
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD 
is not required.
    4. An applicant who references this appendix may request an 
exemption from the generic technical specifications or other operational 
requirements. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 50.12(a). The grant of an exemption must be subject to litigation in 
the same manner as other issues material to the license hearing.
    5. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an operational requirement approved in the 
DCD or a technical specification derived from the generic technical 
specifications must be changed may petition to admit into the proceeding 
such a contention. Such petition must comply with the general 
requirements of 10 CFR 2.714(b)(2) and must demonstrate why special 
circumstances as defined in 10 CFR 2.758(b) are present, or for 
compliance with the Commission's regulations in effect at the time this 
appendix was approved, as set forth in Section V of this appendix. Any 
other party may file a response thereto. If, on the basis of the 
petition and any response, the presiding officer determines that a 
sufficient showing has been made, the presiding officer shall certify 
the matter directly to the Commission for determination of the 
admissibility of the contention. All other issues with respect to the 
plant-specific technical specifications or other operational 
requirements are subject to a hearing as part of the license proceeding.
    6. After issuance of a license, the generic technical specifications 
have no further effect on the plant-specific technical specifications 
and changes to the plant-specific technical specifications will be 
treated as license amendments under 10 CFR 50.90.

    IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)

    A.1  An applicant or licensee who references this appendix shall 
perform and demonstrate conformance with the ITAAC before fuel load. 
With respect to activities subject to an ITAAC, an applicant for a 
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 preoperational activities, even though 
the NRC may not have found that any particular ITAAC has been satisfied.
    2. The licensee who references this appendix shall notify the NRC 
that the required inspections, tests, and analyses in the ITAAC have 
been successfully completed and that the corresponding acceptance 
criteria have been met.
    3. In the event that an activity is subject to an ITAAC, and the 
applicant or licensee who references this appendix has not demonstrated 
that the ITAAC has been satisfied, the applicant or licensee may either 
take corrective actions to successfully complete that ITAAC, request an 
exemption from the ITAAC in accordance with Section VIII of this 
appendix and 10 CFR 52.97(b), or petition for rulemaking to amend this 
appendix by changing the requirements of the ITAAC, under 10 CFR 2.802 
and 52.97(b). Such rulemaking changes to the ITAAC must meet the 
requirements of paragraph VIII.A.1 of this appendix.
    B.1  The NRC shall ensure that the required inspections, tests, and 
analyses in the ITAAC are performed. The NRC shall verify that the 
inspections, tests, and analyses referenced by the licensee have been 
successfully completed and, based solely thereon, find the prescribed 
acceptance criteria have been met. At appropriate intervals during 
construction, the NRC shall publish notices of the successful completion 
of ITAAC in the Federal Register.
    2. In accordance with 10 CFR 52.99 and 52.103(g), the Commission 
shall find that the acceptance criteria in the ITAAC for the license are 
met before fuel load.
    3. After the Commission has made the finding required by 10 CFR 
52.103(g), the ITAAC do not, by virtue of their inclusion within the 
DCD, constitute regulatory requirements either for licensees or for 
renewal of the license; except for specific ITAAC, which are the subject 
of a Section 103(a) hearing, their

[[Page 84]]

expiration will occur upon final Commission action in such proceeding. 
However, subsequent modifications must comply with the Tier 1 and Tier 2 
design descriptions in the plant-specific DCD unless the licensee has 
complied with the applicable requirements of 10 CFR 52.97 and Section 
VIII of this appendix.

                        X. Records and Reporting

                               A. Records

    1. The applicant for this appendix shall maintain a copy of the 
generic DCD that includes all generic changes to Tier 1 and Tier 2. The 
applicant shall maintain the proprietary and safeguards information 
referenced in the generic DCD for the period that this appendix may be 
referenced, as specified in Section VII of this appendix.
    2. An applicant or licensee who references this appendix shall 
maintain the plant-specific DCD to accurately reflect both generic 
changes to the generic DCD and plant-specific departures made pursuant 
to Section VIII of this appendix throughout the period of application 
and for the term of the license (including any period of renewal).
    3. An applicant or licensee who references this appendix shall 
prepare and maintain written safety evaluations which provide the bases 
for the determinations required by Section VIII of this appendix. These 
evaluations must be retained throughout the period of application and 
for the term of the license (including any period of renewal).

                              B. Reporting

    1. An applicant or licensee who references this appendix shall 
submit a report to the NRC containing a brief description of any 
departures from the plant-specific DCD, including a summary of the 
safety evaluation of each. This report must be filed in accordance with 
the filing requirements applicable to reports in 10 CFR 50.4.
    2. An applicant or licensee who references this appendix shall 
submit updates to its plant-specific DCD, which reflect the generic 
changes to the generic DCD and the plant-specific departures made 
pursuant to Section VIII of this appendix. These updates shall be filed 
in accordance with the filing requirements applicable to final safety 
analysis report updates in 10 CFR 50.4 and 50.71(e).
    3. The reports and updates required by paragraphs B.1 and B.2 of 
this section must be submitted as follows:
    a. On the date that an application for a license referencing this 
appendix is submitted, the application shall include the report and any 
updates to the plant-specific DCD.
    b. During the interval from the date of application to the date of 
issuance of a license, the report and any updates to the plant-specific 
DCD must be submitted annually and may be submitted along with 
amendments to the application.
    c. During the interval from the date of issuance of a license to the 
date the Commission makes its findings under 10 CFR 52.103(g), the 
report must be submitted quarterly. Updates to the plant-specific DCD 
must be submitted annually.
    d. After the Commission has made its finding under 10 CFR 52.103(g), 
reports and updates to the plant-specific DCD may be submitted annually 
or along with updates to the site-specific portion of the final safety 
analysis report for the facility at the intervals required by 10 CFR 
50.71(e), or at shorter intervals as specified in the license.

[62 FR 27867, May 21, 1997, as amended at 64 FR 48953, Sept. 9, 1999]

  Appendix C to Part 52--Design Certification Rule for the AP600 Design

                             I. Introduction

    Appendix C constitutes the standard design certification for the 
AP600 1 design, in accordance with 10 CFR Part 52, Subpart B. 
The applicant for certification of the AP600 design is Westinghouse 
Electric Company LLC.
---------------------------------------------------------------------------

    \1\ AP600 is a trademark of Westinghouse Electric Company LLC.
---------------------------------------------------------------------------

                             II. Definitions

    A. Generic design control document (generic DCD) means the document 
containing the Tier 1 and Tier 2 information and generic technical 
specifications that is incorporated by reference into this appendix.
    B. Generic technical specifications means the information, required 
by 10 CFR 50.36 and 50.36a, for the portion of the plant that is within 
the scope of this appendix.
    C. Plant-specific DCD means the document, maintained by an applicant 
or licensee who references this appendix, consisting of the information 
in the generic DCD, as modified and supplemented by the plant-specific 
departures and exemptions made under Section VIII of this appendix.
    D. Tier 1 means the portion of the design-related information 
contained in the generic DCD that is approved and certified by this 
appendix (hereinafter Tier 1 information). The design descriptions, 
interface requirements, and site parameters are derived from Tier 2 
information. Tier 1 information includes:
    1. Definitions and general provisions;
    2. Design descriptions;
    3. Inspections, tests, analyses, and acceptance criteria (ITAAC);
    4. Significant site parameters; and
    5. Significant interface requirements.

[[Page 85]]

    E. Tier 2 means the portion of the design-related information 
contained in the generic DCD that is approved but not certified by this 
appendix (hereinafter Tier 2 information). Compliance with Tier 2 is 
required, but generic changes to and plant-specific departures from Tier 
2 are governed by Section VIII of this appendix. Compliance with Tier 2 
provides a sufficient, but not the only acceptable, method for complying 
with Tier 1. Compliance methods differing from Tier 2 must satisfy the 
change process in Section VIII of this appendix. Regardless of these 
differences, an applicant or licensee must meet the requirement in 
Section III.B to reference Tier 2 when referencing Tier 1. Tier 2 
information includes:
    1. Information required by 10 CFR 52.47, with the exception of 
generic technical specifications and conceptual design information;
    2. Information required for a final safety analysis report under 10 
CFR 50.34;
    3. Supporting information on the inspections, tests, and analyses 
that will be performed to demonstrate that the acceptance criteria in 
the ITAAC have been met; and
    4. Combined license (COL) action items (combined license 
information), which identify certain matters that shall be addressed in 
the site-specific portion of the final safety analysis report (FSAR) by 
an applicant who references this appendix. These items constitute 
information requirements but are not the only acceptable set of 
information in the FSAR. An applicant may depart from or omit these 
items, provided that the departure or omission is identified and 
justified in the FSAR. After issuance of a construction permit or COL, 
these items are not requirements for the licensee unless such items are 
restated in the FSAR.
    5. The investment protection short-term availability controls in 
Section 16.3 of the DCD.
    F. Tier 2* means the portion of the Tier 2 information, designated 
as such in the generic DCD, which is subject to the change process in 
VIII.B.6 of this appendix. This designation expires for some Tier 2* 
information under VIII.B.6.
    G. All other terms in this appendix have the meaning set out in 10 
CFR 50.2, 10 CFR 52.3, or Section 11 of the Atomic Energy Act of 1954, 
as amended, as applicable.

                         III. Scope and Contents

    A. Tier 1, Tier 2 (including the investment protection short-term 
availability controls in Section 16.3), and the generic technical 
specifications in the AP600 DCD (12/99 revision) are approved for 
incorporation by reference by the Director of the Office of the Federal 
Register on January 24, 2000 in accordance with 5 U.S.C. 552(a) and 1 
CFR Part 51. Copies of the generic DCD may be obtained from Mr. Brian A. 
McIntyre, Manager, Advanced Plant Safety and Licensing, Westinghouse 
Electric Company, P.O. Box 355, Pittsburgh, PA 15230-0355. A copy of the 
generic DCD is available for examination and copying at the NRC Public 
Document Room, 2120 L Street NW. (Lower Level), Washington, DC 20555-
0001. Copies are also available for examination at the NRC Library, 
11545 Rockville Pike, Rockville, Maryland 20582; and the Office of the 
Federal Register, 800 North Capitol Street, NW., suite 700, Washington, 
DC.
    B. An applicant or licensee referencing this appendix, in accordance 
with Section IV of this appendix, shall incorporate by reference and 
comply with the requirements of this appendix, including Tier 1, Tier 2 
(including the investment protection short-term availability controls in 
Section 16.3), and the generic technical specifications except as 
otherwise provided in this appendix. Conceptual design information in 
the generic DCD and the evaluation of severe accident mitigation design 
alternatives in Appendix 1B of the generic DCD are not part of this 
appendix.
    C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then 
Tier 1 controls.
    D. If there is a conflict between the generic DCD and either the 
application for design certification of the AP600 design or NUREG-1512, 
``Final Safety Evaluation Report Related to Certification of the AP600 
Standard Design,'' (FSER), then the generic DCD controls.
    E. Design activities for structures, systems, and components that 
are wholly outside the scope of this appendix may be performed using 
site-specific design parameters, provided the design activities do not 
affect the DCD or conflict with the interface requirements.

              IV. Additional Requirements and Restrictions

    A. An applicant for a license that wishes to reference this appendix 
shall, in addition to complying with the requirements of 10 CFR 52.77, 
52.78, and 52.79, comply with the following requirements:
    1. Incorporate by reference, as part of its application, this 
appendix.
    2. Include, as part of its application:
    a. A plant-specific DCD containing the same information and 
utilizing the same organization and numbering as the AP600 DCD, as 
modified and supplemented by the applicant's exemptions and departures;
    b. The reports on departures from and updates to the plant-specific 
DCD required by X.B of this appendix;
    c. Plant-specific technical specifications, consisting of the 
generic and site-specific technical specifications, that are required by 
10 CFR 50.36 and 50.36a;
    d. Information demonstrating compliance with the site parameters and 
interface requirements;

[[Page 86]]

    e. Information that addresses the COL action items; and
    f. Information required by 10 CFR 52.47(a) that is not within the 
scope of this appendix.
    3. Physically include, in the plant-specific DCD, the proprietary 
and safeguards information referenced in the AP600 DCD.
    B. The Commission reserves the right to determine in what manner 
this appendix may be referenced by an applicant for a construction 
permit or operating license under Part 50.

                        V. Applicable Regulations

    A. Except as indicated in paragraph B of this section, the 
regulations that apply to the AP600 design are in 10 CFR Parts 20, 50, 
73, and 100, codified as of December 16, 1999, that are applicable and 
technically relevant, as described in the FSER (NUREG-1512) and the 
supplementary information for this section.
    B. The AP600 design is exempt from portions of the following 
regulations:
    1. Paragraph (a)(1) of 10 CFR 50.34--whole body dose criterion;
    2. Paragraph (f)(2)(iv) of 10 CFR 50.34--Plant Safety Parameter 
Display Console;
    3. Paragraphs (f)(2)(vii), (viii), (xxvi), and (xxviii) of 10 CFR 
50.34--Accident Source Term in TID 14844;
    4. Paragraph (a)(2) of 10 CFR 50.55a--ASME Boiler and Pressure 
Vessel Code;
    5. Paragraph (c)(1) of 10 CFR 50.62--Auxiliary (or emergency) 
feedwater system;
    6. Appendix A to 10 CFR Part 50, GDC 17--Offsite Power Sources; and
    7. Appendix A to 10 CFR Part 50, GDC 19--whole body dose criterion.

                          VI. Issue Resolution

    A. The Commission has determined that the structures, systems, 
components, and design features of the AP600 design comply with the 
provisions of the Atomic Energy Act of 1954, as amended, and the 
applicable regulations identified in Section V of this appendix; and 
therefore, provide adequate protection to the health and safety of the 
public. A conclusion that a matter is resolved includes the finding that 
additional or alternative structures, systems, components, design 
features, design criteria, testing, analyses, acceptance criteria, or 
justifications are not necessary for the AP600 design.
    B. The Commission considers the following matters resolved within 
the meaning of 10 CFR 52.63(a)(4) in subsequent proceedings for issuance 
of a combined license, amendment of a combined license, or renewal of a 
combined license, proceedings held pursuant to 10 CFR 52.103, and 
enforcement proceedings involving plants referencing this appendix:
    1. All nuclear safety issues, except for the generic technical 
specifications and other operational requirements, associated with the 
information in the FSER, Tier 1, Tier 2 (including referenced 
information, which the context indicates is intended as requirements, 
and the investment protection short-term availability controls in 
Section 16.3), and the rulemaking record for certification of the AP600 
design;
    2. All nuclear safety and safeguards issues associated with the 
information in proprietary and safeguards documents, referenced and in 
context, are intended as requirements in the generic DCD for the AP600 
design;
    3. All generic changes to the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;
    4. All exemptions from the DCD pursuant to and in compliance with 
the change processes in Sections VIII.A.4 and VIII.B.4 of this appendix, 
but only for that proceeding;
    5. All departures from the DCD that are approved by license 
amendment, but only for that proceeding;
    6. Except as provided in VIII.B.5.f of this appendix, all departures 
from Tier 2 pursuant to and in compliance with the change processes in 
VIII.B.5 of this appendix that do not require prior NRC approval;
    7. All environmental issues concerning severe accident mitigation 
design alternatives (SAMDAs) associated with the information in the 
NRC's environmental assessment for the AP600 design and Appendix 1B of 
the generic DCD, for plants referencing this appendix whose site 
parameters are within those specified in the SAMDA evaluation.
    C. The Commission does not consider operational requirements for an 
applicant or licensee who references this appendix to be matters 
resolved within the meaning of 10 CFR 52.63(a)(4). The Commission 
reserves the right to require operational requirements for an applicant 
or licensee who references this appendix by rule, regulation, order, or 
license condition.
    D. Except in accordance with the change processes in Section VIII of 
this appendix, the Commission may not require an applicant or licensee 
who references this appendix to:
    1. Modify structures, systems, components, or design features as 
described in the generic DCD;
    2. Provide additional or alternative structures, systems, 
components, or design features not discussed in the generic DCD; or
    3. Provide additional or alternative design criteria, testing, 
analyses, acceptance criteria, or justification for structures, systems, 
components, or design features discussed in the generic DCD.
    E.1. Persons who wish to review proprietary and safeguards 
information or other secondary references in the AP600 DCD, in order to 
request or participate in the hearing required by 10 CFR 52.85 or the 
hearing provided under 10 CFR 52.103, or to request or

[[Page 87]]

participate in any other hearing relating to this appendix in which 
interested persons have adjudicatory hearing rights, shall first request 
access to such information from Westinghouse. The request must state 
with particularity:
    a. The nature of the proprietary or other information sought;
    b. The reason why the information currently available to the public 
at the NRC Web site, http://www.nrc.gov, and/or at the NRC's Public 
Document Room, is insufficient;
    c. The relevance of the requested information to the hearing 
issue(s) which the person proposes to raise; and
    d. A showing that the requesting person has the capability to 
understand and utilize the requested information.
    2. If a person claims that the information is necessary to prepare a 
request for hearing, the request must be filed no later than 15 days 
after publication in the Federal Register of the notice required either 
by 10 CFR 52.85 or 10 CFR 52.103. If Westinghouse declines to provide 
the information sought, Westinghouse shall send a written response 
within ten (10) days of receiving the request to the requesting person 
setting forth with particularity the reasons for its refusal. The person 
may then request the Commission (or presiding officer, if a proceeding 
has been established) to order disclosure. The person shall include 
copies of the original request (and any subsequent clarifying 
information provided by the requesting party to the applicant) and the 
applicant's response. The Commission and presiding officer shall base 
their decisions solely on the person's original request (including any 
clarifying information provided by the requesting person to 
Westinghouse), and Westinghouse's response. The Commission and presiding 
officer may order Westinghouse to provide access to some or all of the 
requested information, subject to an appropriate non-disclosure 
agreement.

                     VII. Duration of This Appendix

    This appendix may be referenced for a period of 15 years from 
January 24, 2000, except as provided for in 10 CFR 52.55(b) and 
52.57(b). This appendix remains valid for an applicant or licensee who 
references this appendix until the application is withdrawn or the 
license expires, including any period of extended operation under a 
renewed license.

               VIII. Processes for Changes and Departures

    A. Tier 1 information.
    1. Generic changes to Tier 1 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 1 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs A.3 or A.4 of this section.
    3. Departures from Tier 1 information that are required by the 
Commission through plant-specific orders are governed by the 
requirements in 10 CFR 52.63(a)(3).
    4. Exemptions from Tier 1 information are governed by the 
requirements in 10 CFR 52.63(b)(1) and Sec. 52.97(b). The Commission 
will deny a request for an exemption from Tier 1, if it finds that the 
design change will result in a significant decrease in the level of 
safety otherwise provided by the design.
    B. Tier 2 information.
    1. Generic changes to Tier 2 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 2 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
    3. The Commission may not require new requirements on Tier 2 
information by plant-specific order while this appendix is in effect 
under Secs. 52.55 or 52.61, unless:
    a. A modification is necessary to secure compliance with the 
Commission's regulations applicable and in effect at the time this 
appendix was approved, as set forth in Section V of this appendix, or to 
assure adequate protection of the public health and safety or the common 
defense and security; and
    b. Special circumstances as defined in 10 CFR 50.12(a) are present.
    4. An applicant or licensee who references this appendix may request 
an exemption from Tier 2 information. The Commission may grant such a 
request only if it determines that the exemption will comply with the 
requirements of 10 CFR 50.12(a). The Commission will deny a request for 
an exemption from Tier 2, if it finds that the design change will result 
in a significant decrease in the level of safety otherwise provided by 
the design. The grant of an exemption to an applicant must be subject to 
litigation in the same manner as other issues material to the license 
hearing. The grant of an exemption to a licensee must be subject to an 
opportunity for a hearing in the same manner as license amendments.
    5.a. An applicant or licensee who references this appendix may 
depart from Tier 2 information, without prior NRC approval, unless the 
proposed departure involves a change to or departure from Tier 1 
information, Tier 2* information, or the technical specifications, or 
involves an unreviewed safety question as defined in paragraphs B.5.b 
and B.5.c of this section. When evaluating the proposed departure, an 
applicant or

[[Page 88]]

licensee shall consider all matters described in the plant-specific DCD.
    b. A proposed departure from Tier 2, other than one affecting 
resolution of a severe accident issue identified in the plant-specific 
DCD, involves an unreviewed safety question if--
    (1) The probability of occurrence or the consequences of an accident 
or malfunction of equipment important to safety previously evaluated in 
the plant-specific DCD may be increased;
    (2) A possibility for an accident or malfunction of a different type 
than any evaluated previously in the plant-specific DCD may be created; 
or
    (3) The margin of safety as defined in the basis for any technical 
specification is reduced.
    c. A proposed departure from Tier 2 affecting resolution of a severe 
accident issue identified in the plant-specific DCD, involves an 
unreviewed safety question if--
    (1) There is a substantial increase in the probability of a severe 
accident such that a particular severe accident previously reviewed and 
determined to be not credible could become credible; or
    (2) There is a substantial increase in the consequences to the 
public of a particular severe accident previously reviewed.
    d. If a departure involves an unreviewed safety question as defined 
in paragraph B.5 of this section, it is governed by 10 CFR 50.90.
    e. A departure from Tier 2 information that is made under paragraph 
B.5 of this section does not require an exemption from this appendix.
    f. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an applicant or licensee who references 
this appendix has not complied with VIII.B.5 of this appendix when 
departing from Tier 2 information, may petition to admit into the 
proceeding such a contention. In addition to compliance with the general 
requirements of 10 CFR 2.714(b)(2), the petition must demonstrate that 
the departure does not comply with VIII.B.5 of this appendix. Further, 
the petition must demonstrate that the change bears on an asserted 
noncompliance with an ITAAC acceptance criterion in the case of a 10 CFR 
52.103 preoperational hearing, or that the change bears directly on the 
amendment request in the case of a hearing on a license amendment. Any 
other party may file a response. If, on the basis of the petition and 
any response, the presiding officer determines that a sufficient showing 
has been made, the presiding officer shall certify the matter directly 
to the Commission for determination of the admissibility of the 
contention. The Commission may admit such a contention if it determines 
the petition raises a genuine issue of fact regarding compliance with 
VIII.B.5 of this appendix.
    6.a. An applicant who references this appendix may not depart from 
Tier 2* information, which is designated with italicized text or 
brackets and an asterisk in the generic DCD, without NRC approval. The 
departure will not be considered a resolved issue, within the meaning of 
Section VI of this appendix and 10 CFR 52.63(a)(4).
    b. A licensee who references this appendix may not depart from the 
following Tier 2* matters without prior NRC approval. A request for a 
departure will be treated as a request for a license amendment under 10 
CFR 50.90.
    (1) Maximum fuel rod average burn-up.
    (2) Fuel principal design requirements.
    (3) Fuel criteria evaluation process.
    (4) Fire areas.
    (5) Human factors engineering.
    c. A licensee who references this appendix may not, before the plant 
first achieves full power following the finding required by 10 CFR 
52.103(g), depart from the following Tier 2* matters except in 
accordance with paragraph B.6.b of this section. After the plant first 
achieves full power, the following Tier 2* matters revert to Tier 2 
status and are thereafter subject to the departure provisions in 
paragraph B.5 of this section.
    (1) Nuclear Island structural dimensions.
    (2) ASME Boiler and Pressure Vessel Code, Section III, and Code Case 
N-284.
    (3) Design Summary of Critical Sections.
    (4) ACI 318, ACI 349, and ANSI/AISC--690.
    (5) Definition of critical locations and thicknesses.
    (6) Seismic qualification methods and standards.
    (7) Nuclear design of fuel and reactivity control system, except 
burn-up limit.
    (8) Motor-operated and power-operated valves.
    (9) Instrumentation and control system design processes, methods, 
and standards.
    (10) PRHR natural circulation test (first plant only).
    (11) ADS and CMT verification tests (first three plants only).
    d. Departures from Tier 2* information that are made under paragraph 
B.6 of this section do not require an exemption from this appendix.
    C. Operational requirements.
    1. Generic changes to generic technical specifications and other 
operational requirements that were completely reviewed and approved in 
the design certification rulemaking and do not require a change to a 
design feature in the generic DCD are governed by the requirements in 10 
CFR 50.109. Generic changes that do require a change to a design feature 
in the generic DCD are governed by the requirements in paragraphs A or B 
of this section.

[[Page 89]]

    2. Generic changes to generic technical specifications and other 
operational requirements are applicable to all applicants or licensees 
who reference this appendix, except those for which the change has been 
rendered technically irrelevant by action taken under paragraphs C.3 or 
C.4 of this section.
    3. The Commission may require plant-specific departures on generic 
technical specifications and other operational requirements that were 
completely reviewed and approved, provided a change to a design feature 
in the generic DCD is not required and special circumstances as defined 
in 10 CFR 2.758(b) are present. The Commission may modify or supplement 
generic technical specifications and other operational requirements that 
were not completely reviewed and approved or require additional 
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD 
is not required.
    4. An applicant who references this appendix may request an 
exemption from the generic technical specifications or other operational 
requirements. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 50.12(a). The grant of an exemption must be subject to litigation in 
the same manner as other issues material to the license hearing.
    5. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an operational requirement approved in the 
DCD or a technical specification derived from the generic technical 
specifications must be changed may petition to admit into the proceeding 
such a contention. Such petition must comply with the general 
requirements of 10 CFR 2.714(b)(2) and must demonstrate why special 
circumstances as defined in 10 CFR 2.758(b) are present, or for 
compliance with the Commission's regulations in effect at the time this 
appendix was approved, as set forth in Section V of this appendix. Any 
other party may file a response thereto. If, on the basis of the 
petition and any response, the presiding officer determines that a 
sufficient showing has been made, the presiding officer shall certify 
the matter directly to the Commission for determination of the 
admissibility of the contention. All other issues with respect to the 
plant-specific technical specifications or other operational 
requirements are subject to a hearing as part of the license proceeding.
    6. After issuance of a license, the generic technical specifications 
have no further effect on the plant-specific technical specifications 
and changes to the plant-specific technical specifications will be 
treated as license amendments under 10 CFR 50.90.

    IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)

    A.1 An applicant or licensee who references this appendix shall 
perform and demonstrate conformance with the ITAAC before fuel load. 
With respect to activities subject to an ITAAC, an applicant for a 
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 preoperational activities, even though 
the NRC may not have found that any particular ITAAC has been satisfied.
    2. The licensee who references this appendix shall notify the NRC 
that the required inspections, tests, and analyses in the ITAAC have 
been successfully completed and that the corresponding acceptance 
criteria have been met.
    3. In the event that an activity is subject to an ITAAC, and the 
applicant or licensee who references this appendix has not demonstrated 
that the ITAAC has been satisfied, the applicant or licensee may either 
take corrective actions to successfully complete that ITAAC, request an 
exemption from the ITAAC in accordance with Section VIII of this 
appendix and 10 CFR 52.97(b), or petition for rulemaking to amend this 
appendix by changing the requirements of the ITAAC, under 10 CFR 2.802 
and 52.97(b). Such rulemaking changes to the ITAAC must meet the 
requirements of paragraph VIII.A.1 of this appendix.
    B.1 The NRC shall ensure that the required inspections, tests, and 
analyses in the ITAAC are performed. The NRC shall verify that the 
inspections, tests, and analyses referenced by the licensee have been 
successfully completed and, based solely thereon, find the prescribed 
acceptance criteria have been met. At appropriate intervals during 
construction, the NRC shall publish notices of the successful completion 
of ITAAC in the Federal Register.
    2. In accordance with 10 CFR 52.99 and 52.103(g), the Commission 
shall find that the acceptance criteria in the ITAAC for the license are 
met before fuel load.
    3. After the Commission has made the finding required by 10 CFR 
52.103(g), the ITAAC do not, by virtue of their inclusion within the 
DCD, constitute regulatory requirements either for licensees or for 
renewal of the license; except for specific ITAAC, which are the subject 
of a Section 103(a) hearing, their expiration will occur upon final 
Commission action in such proceeding. However, subsequent modifications 
must comply with the Tier 1 and Tier 2 design descriptions in the plant-
specific DCD unless the licensee has complied with the applicable 
requirements of 10 CFR 52.97 and Section VIII of this appendix.

[[Page 90]]

                        X. Records and Reporting

                               A. Records

    1. The applicant for this appendix shall maintain a copy of the 
generic DCD that includes all generic changes to Tier 1 and Tier 2. The 
applicant shall maintain the proprietary and safeguards information 
referenced in the generic DCD for the period that this appendix may be 
referenced, as specified in Section VII of this appendix.
    2. An applicant or licensee who references this appendix shall 
maintain the plant-specific DCD to accurately reflect both generic 
changes to the generic DCD and plant-specific departures made pursuant 
to Section VIII of this appendix throughout the period of application 
and for the term of the license (including any period of renewal).
    3. An applicant or licensee who references this appendix shall 
prepare and maintain written safety evaluations which provide the bases 
for the determinations required by Section VIII of this appendix. These 
evaluations must be retained throughout the period of application and 
for the term of the license (including any period of renewal).

                              B. Reporting

    1. An applicant or licensee who references this appendix shall 
submit a report to the NRC containing a brief description of any 
departures from the plant-specific DCD, including a summary of the 
safety evaluation of each. This report must be filed in accordance with 
the filing requirements applicable to reports in 10 CFR 50.4.
    2. An applicant or licensee who references this appendix shall 
submit updates to its plant-specific DCD, which reflect the generic 
changes to the generic DCD and the plant-specific departures made 
pursuant to Section VIII of this appendix. These updates shall be filed 
in accordance with the filing requirements applicable to final safety 
analysis report updates in 10 CFR 50.4 and 50.71(e).
    3. The reports and updates required by paragraphs B.1 and B.2 of 
this section must be submitted as follows:
    a. On the date that an application for a license referencing this 
appendix is submitted, the application shall include the report and any 
updates to the plant-specific DCD.
    b. During the interval from the date of application to the date of 
issuance of a license, the report and any updates to the plant-specific 
DCD must be submitted annually and may be submitted along with 
amendments to the application.
    c. During the interval from the date of issuance of a license to the 
date the Commission makes its findings under 10 CFR 52.103(g), the 
report must be submitted quarterly. Updates to the plant-specific DCD 
must be submitted annually.
    d. After the Commission has made its finding under 10 CFR 52.103(g), 
reports and updates to the plant-specific DCD may be submitted annually 
or along with updates to the site-specific portion of the final safety 
analysis report for the facility at the intervals required by 10 CFR 
50.71(e), or at shorter intervals as specified in the license.

[64 FR 72015, Dec. 23, 1999]

                  Appendices D-L to Part 52  [Reserved]

Appendix M to Part 52--Standardization of Design; Manufacture of Nuclear 
  Power Reactors; Construction and Operation of Nuclear Power Reactors 
               Manufactured Pursuant to Commission License

    Section 101 of the Atomic Energy Act of 1954, as amended, and 
Sec. 50.10 of this chapter require a Commission license to transfer or 
receive in interstate commerce, manufacture, produce, transfer, acquire, 
possess, use, import, or export any production or utilization facility. 
The regulations in part 50 require the issuance of a construction permit 
by the Commission before commencement of construction of a production or 
utilization facility, and the issuance of an operating license before 
operation of the facility. The provisions of part 50 relating to the 
facility licensing process are, in general, predicated on the assumption 
that the facility will be assembled and constructed on the site at which 
it is to be operated. In those circumstances, both facility design and 
site-related issues can be considered in the initial, construction 
permit stage of the licensing process.
    However, under the Atomic Energy Act, a license may be sought and 
issued authorizing the manufacture of facilities but not their 
construction and installation at the sites on which the facilities are 
to be operated. Prior to the ``commencement of construction'', as 
defined in Sec. 50.10(c) of this chapter of a facility (manufactured 
pursuant to such a Commission license) on the site at which it is to 
operate--that is preparation of the site and installation of the 
facility--a construction permit that, among other things, reflects 
approval of the site on which the facility is to be operated, must be 
issued by the Commission. This appendix sets out the particular 
requirements and provisions applicable to such situations where nuclear 
power reactors to be manufactured pursuant to a Commission license and 
subsequently installed at the site pursuant to a Commission construction 
permit, are of the type described in Sec. 50.22 of this chapter. It thus 
codifies one approach to the standardization of nuclear power reactors.

[[Page 91]]

    1. Except as otherwise specified in this appendix or as the context 
otherwise indicates, the provisions in part 50 applicable to 
construction permits, including the requirement in Sec. 50.58 of this 
chapter for review of the application by the Advisory Committee on 
Reactor Safeguards and the holding of a public hearing, apply in 
context, with respect to matters of radiological health and safety, 
environmental protection, and the common defense and security, to 
licenses pursuant to this appendix M to manufacture nuclear power 
reactors (manufacturing licenses) to be operated at sites not identified 
in the license application.
    2. An application for a manufacturing license pursuant to this 
appendix M must be submitted, as specified in Sec. 50.4 of this chapter 
and meet all the requirements of Secs. 50.34(a) (1)-(9) and 50.34a (a) 
and (b) of this chapter except that the preliminary safety analysis 
report shall be designated as a ``design report'' and any required 
information or analyses relating to site matters shall be predicated on 
postulated site parameters which must be specified in the application. 
The application must also include information pertaining to design 
features of the proposed reactor(s) that affect plans for coping with 
emergencies in the operation of the reactor(s).
    3. An applicant for a manufacturing license pursuant to this 
appendix M shall submit with his application an environmental report as 
required of applicants for construction permits in accordance with 
subpart A of part 51 of this chapter, provided, however, that such 
report shall be directed at the manufacture of the reactor(s) at the 
manufacturing site; and, in general terms, at the construction and 
operation of the reactor(s) at a hypothetical site or sites having 
characterisitics that fall within the postulated site parameters. The 
related draft and final environmental impact statement prepared by the 
Commission's regulatory staff will be similarly directed.
    4. (a) Sections 50.10 (b) and (c), 50.12(b), 50.23, 50.30(d), 
50.34(a)(10), 50.34a(c), 50.35 (a) and (c), 50.40(a), 50.45, 50.55(d), 
50.56 of this chapter and appendix J of part 50 do not apply to 
manufacturing licenses. Appendices E and H of part 50 apply to 
manufacturing licenses only to the extent that the requirements of these 
appendices involve facility design features.
    (b) The financial information submitted pursuant to Sec. 50.33(f) of 
this chapter and appendix C of part 50 shall be directed at a 
demonstration of the financial qualifications of the applicant for the 
manufacturing license to carry out the manufacturing activity for which 
the license is sought.
    5. The Commission may issue a license to manufacture one or more 
nuclear power reactors to be operated at sites not identified in the 
license application if the Commission finds that:
    (a) The applicant has described the proposed design of and the site 
parameters postulated for the reactor(s), including, but not limited to, 
the principal architectural and engineering criteria for the design, and 
has identified the major features of components incorporated therein for 
the protection of the health and safety of the public.
    (b) Such further technical or design information as may be required 
to complete the design report and which can reasonably be left for later 
consideration, will be supplied in a supplement to the design report.
    (c) Safety features or components, if any, which require research 
and development have been described by the applicant and the applicant 
has identified, and there will be conducted a research and development 
program reasonably designed to resolve any safety questions associated 
with such features of components; and
    (d) On the basis of the foregoing, there is reasonable assurance 
that (i) such safety questions will be satisfactorily resolved before 
any of the proposed nuclear power reactor(s) are removed from the 
manufacturing site and (ii) taking into consideration the site criteria 
contained in part 100 of this chapter, the proposed reactor(s) can be 
constructed and operated at sites having characteristics that fall 
within the site parameters postulated for the design of the reactor(s) 
without undue risk to the health and safety of the public.
    (e) The applicant is technically and financially qualified to design 
and manufacture the proposed nuclear power reactor(s).
    (f) The issuance of a license to the applicant will not be inimical 
to the common defense and security or to the health and safety of the 
public.
    (g) On the basis of the evaluations and analyses of the 
environmental effects of the proposed action required by subpart A of 
part 51 of this chapter and paragraph 3 of this appendix, the action 
called for is the issuance of the license.
    Note: When an applicant has supplied initially all of the technical 
information required to complete the application, including the final 
design of the reactor(s), the findings required for the issuance of the 
license will be appropriately modified to reflect that fact.
    6. Each manufacturing license issued pursuant to this appendix will 
specify the number of nuclear power reactors authorized to be 
manufactured and the latest date for the completion of the manufacture 
of all such reactors. Upon good cause shown, the Commission will extend 
such completion date for a reasonable period of time.
    7. The holder of a manufacturing license issued pursuant to this 
appendix M shall submit to the Commission the final design of

[[Page 92]]

the nuclear power reactor(s) covered by the license as soon as such 
design has been completed. Such submittal shall be in the form of an 
application for amendment of the manufacturing license.
    8. The prohibition in Sec. 50.10(c) of this chapter against 
commencement of construction of a production or utilization facility 
prior to issuance of a construction permit applies to the transport of a 
nuclear power reactor(s) manufactured pursuant to this appendix from the 
manufacturing facility to the site at which the reactor(s) will be 
installed and operated. In addition, such nuclear power reactor(s) shall 
not be removed from the manufacturing site until the final design of the 
reactor(s) has been approved by the Commission in accordance with 
paragraph 7.
    9. An application for a permit to construct a nuclear power 
reactor(s) which is the subject of an application for a manufacturing 
license pursuant to this appendix M need not contain such information or 
analyses as have previously been submitted to the Commission in 
connection with the application for a manufacturing license, but shall 
by Secs. 50.34(a) and 50.34a of this chapter, sufficient information to 
demonstrate that the site on which the reactor(s) is to be operated 
falls within the postulated site parameters specified in the relevant 
manufacturing license application.
    10. The Commission may issue a permit to construct a nuclear power 
reactor(s) which is the subject of an application for a manufacturing 
license pursuant to this appendix M if the Commission (a) finds that the 
site on which the reactor is to be operated falls within the postulated 
site parameters specified in the relevant application for a 
manufacturing license and (b) makes the findings otherwise required by 
part 50. In no event will a construction permit be issued until the 
relevant manufacturing license has been issued.
    11. An operating license for a nuclear power reactor(s) that has 
been manufactured under a Commission license issued pursuant to this 
appendix M may be issued by the Commission pursuant to Sec. 50.57 and 
subpart A of part 51 of this chapter except that the Commission shall 
find, pursuant to Sec. 50.57(a)(1), that construction of the reactor(s) 
has been substantially completed in conformity with both the 
manufacturing license and the construction permit and the applications 
therefor, as amended, and the provisions of the Act, and the rules and 
regulations of the Commission. Notwithstanding the other provisions of 
this paragraph, no application for an operating license for a nuclear 
power reactor(s) that has been manufactured under a Commission license 
issued pursuant to this appendix M will be docketed until the 
application for an amendment to the relevant manufacturing license 
required by paragraph 7 has been docketed.
    12. In making the findings required by this part for the issuance of 
a construction permit or an operating license for a nuclear power 
reactor(s) that has been manufactured under a Commission license issued 
pursuant to this appendix, or an amendment to such a manufacturing 
license, construction permit, or operating license, the Commission will 
treat as resolved those matters which have been resolved at an earlier 
stage of the licensing process, unless there exists significant new 
information that substantially affects the conclusion(s) reached at the 
earlier stage or other good cause.

 Appendix N to Part 52--Standardization of Nuclear Power Plant Designs: 
 Licenses To Construct and Operate Nuclear Power Reactors of Duplicate 
                        Design at Multiple Sites

    Section 101 of the Atomic Energy Act of 1954, as amended, and 
Sec. 50.10 of this chapter require a Commission license to transfer or 
receive in interstate commerce, manufacture, produce, transfer, acquire, 
possess, use, import or export any production or utilization facility. 
The regulations in part 50 require the issuance of a construction permit 
by the Commission before commencement of construction of a production or 
utilization facility, except as provided in Sec. 50.10(e) of this 
chapter, and the issuance of an operating license before the operation 
of the facility.
    The Commission's regulations in part 2 of this chapter specifically 
provide for the holding of hearings on particular issues separately from 
other issues involved in hearings in licensing proceedings (Sec. 2.761a, 
appendix A, section I(c)), and for the consolidation of adjudicatory 
proceedings and of the presentations of parties in adjudicatory 
proceedings such as licensing proceedings (Secs. 2.715a, 2.716).
    This appendix sets out the particular requirements and provisions 
applicable to situations in which applications are filed by one or more 
applicants for licenses to construct and operate nuclear power reactors 
of essentially the same design to be located at different sites.\1\
---------------------------------------------------------------------------

    \1\ If the design for the power reactor(s) proposed in a particular 
application is not identical to the others, that application may not be 
processed under this appendix and subpart D of part 2 of this chapter.
---------------------------------------------------------------------------

    1. Except as otherwise specified in this appendix or as the context 
otherwise indicates, the provisions of part 50, applicable to 
construction permits and operating licenses, including the requirement 
in Sec. 50.58 of this chapter for review of the application by the 
Advisory Committee on Reactor Safeguards

[[Page 93]]

and the holding of public hearings, apply to construction permits and 
operating license subject to this appendix N.
    2. Applications for construction permits submitted pursuant to this 
appendix must include the information required by Secs. 50.33, 50.33a, 
50.34(a) and 50.34a (a) and (b) of this chapter, and be submitted as 
specified in Sec. 50.4 of this chapter. The applicant shall also submit 
the information required by Sec. 51.50 of this chapter.
    For the technical information required by Secs. 50.34(a) (1) through 
(5) and (8) and 50.34a (a) and (b) of this chapter, reference may be 
made to a single preliminary safety analysis of the design \2\ which, 
for the purposes of Sec. 50.34(a)(1) includes one set of site parameters 
postulated for the design of the reactors, and an analysis and 
evaluation of the reactors in terms of such postulated site parameters. 
Such single preliminary safety analysis shall also include information 
pertaining to design features of the proposed reactors that affect plans 
for coping with emergencies in the operation of the reactors, and shall 
describe the quality assurance program with respect to aspects of 
design, fabrication, procurement and construction that are common to all 
of the reactors.
---------------------------------------------------------------------------

    \2\ As used in this appendix, the design of a nuclear power reactor 
included in a single referenced safety analysis report means the design 
of those structures, systems and components important to radiological 
health and safety and the common defense and security.
---------------------------------------------------------------------------

    3. Applications for operating licenses submitted pursuant to this 
appendix N shall include the information required by Secs. 50.33, 50.34 
(b) and (c), and 50.34a(c) of this chapter. The applicant shall also 
submit the information required by Sec. 51.53 of this chapter. For the 
technical information required by Secs. 50.34(b) (2) through (5) and 
50.34a(c), reference may be made to a single final safety analysis of 
the design.

   Appendix O to Part 52--Standardization of Design: Staff Review of 
                            Standard Designs

    This appendix sets out procedures for the filing, staff review and 
referral to the Advisory Committee on Reactor Safeguards of standard 
designs for a nuclear power reactor of the type described in Sec. 50.22 
of this chapter or major portions thereof.
    1. Any person may submit a proposed preliminary or final standard 
design for a nuclear power reactor of the type described in Sec. 50.22 
to the regulatory staff for its review. Such a submittal may consist of 
either the preliminary or final design for the entire reactor facility 
or the preliminary or final design of major portions thereof.
    2. The submittal for review of the standard design must be made in 
the same manner and in the same number of copies as provided in 
Secs. 50.4 and 50.30 of this chapter for license applications.
    3. The submittal for review of the standard design shall include the 
information described in Secs. 50.33 (a) through (d) of this chapter and 
the applicable technical information required by Secs. 50.34 (a) and 
(b), as appropriate, and 50.34a of this chapter (other than that 
required by Secs. 50.34(a) (6) and (10), 50.34(b)(1), (6) (i), (ii), 
(iv), and (v) and 50.34(b) (7) and (8)). The submittal shall also 
include a description, analysis and evaluation of the interfaces between 
the submitted design and the balance of the nuclear power plant. With 
respect to the requirements of Secs. 50.34(a)(1) of this chapter, the 
submittal for review of a standard design shall include the site 
parameters postulated for the design, and an analysis and evaluation of 
the design in terms of such postulated site parameters. The information 
submitted pursuant to Sec. 50.34(a)(7) of this chapter, shall be limted 
to the quality assurance program to be applied to the design, 
procurement and fabrication of the structures, systems, and components 
for which design review has been requested and the information submitted 
pursuant to Sec. 50.34(a)(9) of this chapter shall be limited to the 
qualifications of the person submitting the standard design to design 
the reactor or major portion thereof. The submittal shall also include 
information pertaining to design features that affect plans for coping 
with emergencies in the operation of the reactor or major portion 
thereof.
    4. Once the regulatory staff has initiated a technical review of a 
submittal under this appendix, the submittal will be referred to the 
Advisory Committee on Reactor Safeguards (ACRS) for a review and report.
    5. Upon completion of their review of a submittal under this 
appendix, the NRC regulatory staff shall publish in the Federal Register 
a determination as to whether or not the preliminary or final design is 
acceptable, subject to such conditions as may be appropriate, and make 
available at the NRC Web site, http://www.nrc.gov, an analysis of the 
design in the form of a report. An approved design shall be utilized by 
and relied upon by the regulatory staff and the ACRS in their review of 
any individual facility license application which incorporates by 
reference a design approved in accordance with this paragraph unless 
there exists significant new information which substantially affects the 
earlier determination or other good cause.
    6. The determination and report by the regulatory staff shall not 
constitute a commitment to issue a permit or license, or in any way 
affect the authority of the Commission, Atomic Safety and Licensing 
Appeal Panel, Atomic Safety and Licensing Board

[[Page 94]]

Panel, and other presiding officers in any proceeding under subpart G of 
part 2 of this chapter.
    7. Information requests to the approval holder regarding an approved 
design shall be evaluated prior to issuance to ensure that the burden to 
be imposed on respondents is justified in view of the potential safety 
significance of the issue to be addressed in the requested information. 
Each such evaluation performed by the NRC staff shall be in accordance 
with 10 CFR 50.54(f) and shall be approved by the Executive Director for 
Operations or his or her designee prior to issuance of the request.

[54 FR 15386, Apr. 18, 1989, as amended at 61 FR 9902, Mar. 12, 1996; 64 
FR 48953, Sept. 9, 1999]

                    Appendix P to Part 52 [Reserved]

Appendix Q to Part 52--Pre-Application Early Review of Site Suitability 
                                 Issues

    This appendix sets out procedures for the filing, Staff review, and 
referral to the Advisory Committee on Reactor Safeguards (ACRS) of 
requests for early review of one or more site suitability issues 
relating to the construction and operation of certain utilization 
facilities separately from and prior to the submittal of applications 
for construction permits for the facilities. The appendix also sets out 
procedures for the preparation and issuance of Staff Site Reports and 
for their incorporation by reference in applications for the 
construction and operation of certain utilization facilities. The 
utilization facilities are those which are subject to Sec. 51.20(b) of 
this chapter and are of the type specified in Sec. 50.21(b) (2) or (3) 
or Sec. 50.22 of this chapter or are testing facilities. This appendix 
does not apply to proceedings conducted pursuant to subpart F or part 2 
of this chapter.
    1. Any person may submit information regarding one or more site 
suitability issues to the Commission's Staff for its review separately 
from and prior to an application for a construction permit for a 
facility. Such a submittal shall be accompanied by any fee required by 
part 170 of this chapter and shall consist of the portion of the 
information required of applicants for construction permits by 
Secs. 50.33 (a)-(c) and (e) of this chapter, and, insofar as it relates 
to the issue(s) of site suitability for which early review is sought, by 
Secs. 50.34(a)(1) and 50.30(f) of this chapter, except that information 
with respect to operation of the facility at the projected initial power 
level need not be supplied.
    2. The submittal for early review of site suitability issue(s) must 
be made in the same manner and in the same number of copies as provided 
in Secs. 50.4 and 50.30 of this chapter for license applications. The 
submittal must include sufficient information concerning range of 
postulated facility design and operation parameters to enable the Staff 
to perform the requested review of site suitability issues. The 
submittal must contain suggested conclusions on the issues of site 
suitability submitted for review and must be accompanied by a statement 
of the bases or the reasons for those conclusions. The submittal must 
also list, to the extent possible, any long-range objectives for 
ultimate development of the site, state whether any site selection 
process was used in preparing the submittal, describe any site selection 
process used, and explain what consideration, if any, was given to 
alternative sites.
    3. The staff shall publish a note of docketing of the submittal in 
the Federal Register, and shall send a copy of the notice of docketing 
to the Governor or other appropriate official of the State in which the 
site is located. This notice shall identify the location of the site, 
briefly describe the site suitability issue(s) under review, and invite 
comments from Federal, State, and local agencies and interested persons 
within 120 days of publication or such other time as may be specified, 
for consideration by the staff in connection with the initiation or 
outcome of the review and, if appropriate by the ACRS, in connection 
with the outcome of their review. The person requesting review shall 
serve a copy of the submittal on the Governor or other appropriate 
official of the State in which the site is located, and on the chief 
executive of the municipality in which the site is located or, if the 
site is not located in a municipality, on the chief executive of the 
county. The portion of the submittal containing information requested of 
applicants for construction permits by Secs. 50.33 (a)-(c) and (e) and 
50.34(a)(1) of this chapter will be referred to the ACRS for a review 
and report. There will be no referral to the ACRS unless early review of 
the site safety issues under Sec. 50.34(a)(1) is requested.
    4. Upon completion of review by the NRC staff and, if appropriate by 
the ACRS, of a submittal under this appendix, the NRC staff shall 
prepare a Staff Site Report which shall identify the location of the 
site, state the site suitability issues reviewed, explain the nature and 
scope of the review, state the conclusions of the staff regarding the 
issues reviewed and state the reasons for those conclusions. Upon 
issuance of an NRC Staff Site Report, the NRC staff shall publish a 
notice of the availability of the report in the Federal Register and 
shall make available a copy of the report at the NRC Web site, http://
www.nrc.gov. The NRC staff shall also send a copy of the report to the 
Governor or other appropriate official of the State in which the site is 
located, and to the chief executive of the municipality in which the 
site is located

[[Page 95]]

or, if the site is not located in a municipality, to the chief executive 
of the county.
    5. Any Staff Site Report prepared and issued in accordance with this 
appendix may be incorporated by reference, as appropriate, in an 
application for a construction permit for a utilization facility which 
is subject to Sec. 51.20(b) of this chapter and is of the type specific 
in Sec. 50.21(b) (2) or (3) or Sec. 50.22 of this chapter or is a 
testing facility. The conclusions of the Staff Site Report will be 
reexamined by the staff where five years or more have elapsed between 
the issuance of the Staff Site Report and its incorporation by reference 
in a construction permit application.
    6. Issuance of a Staff Site Report shall not constitute a commitment 
to issue a permit or license, to permit on-site work under Sec. 50.10(e) 
of this chapter, or in any way affect the authority of the Commission, 
Atomic Safety and Licensing Appeal Panel, Atomic Safety and Licensing 
Board Panel, and other presiding officers in any proceeding under 
subpart F and/or G of part 2 of this chapter.
    7. The staff will not conduct more than one review of site 
suitability issues with regard to a particular site prior to the full 
construction permit review required by subpart A of part 51 of this 
chapter. The staff may decline to prepare and issue a Staff Site Report 
in response to a submittal under this appendix where it appears that, 
(a) in cases where no review of the relative merits of the submitted 
site and alternative sites under subpart A of part 51 of this chapter is 
requested, there is a reasonable likelihood that further staff review 
would identify one or more preferable alternative sites and the staff 
review of one or more site suitability issues would lead to an 
irreversible and irretrievable commitment of resources prior to the 
submittal of the analysis of alternative sites in the Environmental 
Report that would prejudice the later review and decision on alternative 
sites under subpart F and/or G of part 2 and subpart A of part 51 of 
this chapter; or (b) in cases where, in the judgment of the staff, early 
review of any site suitability issue or issues would not be in the 
public interest, considering (1) the degree of likelihood that any early 
findings on those issues would retain their validity in later reviews, 
(2) the objections, if any, of cognizant state or local government 
agencies to the conduct of an early review on those issues, and (3) the 
possible effect on the public interest of having an early, if not 
necessarily conclusive, resolution of those issues.

[54 FR 15386, Apr. 18, 1989, as amended at 64 FR 48953, Sept. 9, 1999]

                           PART 53 [RESERVED]



PART 54--REQUIREMENTS FOR RENEWAL OF OPERATING LICENSES FOR NUCLEAR POWER PLANTS--Table of Contents




                           General Provisions

Sec.
54.1  Purpose.
54.3  Definitions.
54.4  Scope.
54.5  Interpretations.
54.7  Written communications.
54.9  Information collection requirements: OMB approval.
54.11  Public inspection of applications.
54.13  Completeness and accuracy of information.
54.15  Specific exemptions.
54.17  Filing of application.
54.19  Contents of application--general information.
54.21  Contents of application--technical information.
54.22  Contents of application--technical specifications.
54.23  Contents of application--environmental information.
54.25  Report of the Advisory Committee on Reactor Safeguards.
54.27  Hearings.
54.29  Standards for issuance of a renewed license.
54.30  Matters not subject to a renewal review.
54.31  Issuance of a renewed license.
54.33  Continuation of CLB and conditions of renewed license.
54.35  Requirements during term of renewed license.
54.37  Additional records and recordkeeping requirements.
54.41  Violations.
54.43  Criminal penalties.

    Authority: Secs. 102, 103, 104, 161, 181, 182, 183, 186, 189, 68 
Stat. 936, 937, 938, 948, 953, 954, 955, as amended, sec. 234, 83 Stat. 
1244, as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2201, 2232, 2233, 
2236, 2239, 2282); secs 201, 202, 206, 88 Stat. 1242, 1244, as amended 
(42 U.S.C. 5841, 5842), E.O. 12829, 3 CFR, 1993 Comp., p. 570; E.O. 
12958, as amended, 3 CFR, 1995 Comp., p. 333; E.O. 12968, 3 CFR, 1995 
Comp., p. 391.

    Source: 60 FR 22491, May 8, 1995, unless otherwise noted.

                           General Provisions



Sec. 54.1  Purpose.

    This part governs the issuance of renewed operating licenses for 
nuclear power plants licensed pursuant to Sections 103 or 104b of the 
Atomic Energy Act of 1954, as amended (68 Stat. 919),

[[Page 96]]

and Title II of the Energy Reorganization Act of 1974 (88 Stat. 1242).



Sec. 54.3  Definitions.

    (a) As used in this part,
    Current licensing basis (CLB) is the set of NRC requirements 
applicable to a specific plant and a licensee's written commitments for 
ensuring compliance with and operation within applicable NRC 
requirements and the plant-specific design basis (including all 
modifications and additions to such commitments over the life of the 
license) that are docketed and in effect. The CLB includes the NRC 
regulations contained in 10 CFR parts 2, 19, 20, 21, 26, 30, 40, 50, 51, 
54, 55, 70, 72, 73, 100 and appendices thereto; orders; license 
conditions; exemptions; and technical specifications. It also includes 
the plant-specific design-basis information defined in 10 CFR 50.2 as 
documented in the most recent final safety analysis report (FSAR) as 
required by 10 CFR 50.71 and the licensee's commitments remaining in 
effect that were made in docketed licensing correspondence such as 
licensee responses to NRC bulletins, generic letters, and enforcement 
actions, as well as licensee commitments documented in NRC safety 
evaluations or licensee event reports.
    Integrated plant assessment (IPA) is a licensee assessment that 
demonstrates that a nuclear power plant facility's structures and 
components requiring aging management review in accordance with 
Sec. 54.21(a) for license renewal have been identified and that the 
effects of aging on the functionality of such structures and components 
will be managed to maintain the CLB such that there is an acceptable 
level of safety during the period of extended operation.
    Nuclear power plant means a nuclear power facility of a type 
described in 10 CFR 50.21(b) or 50.22.
    Time-limited aging analyses, for the purposes of this part, are 
those licensee calculations and analyses that:
    (1) Involve systems, structures, and components within the scope of 
license renewal, as delineated in Sec. 54.4(a);
    (2) Consider the effects of aging;
    (3) Involve time-limited assumptions defined by the current 
operating term, for example, 40 years;
    (4) Were determined to be relevant by the licensee in making a 
safety determination;
    (5) Involve conclusions or provide the basis for conclusions related 
to the capability of the system, structure, and component to perform its 
intended functions, as delineated in Sec. 54.4(b); and
    (6) Are contained or incorporated by reference in the CLB.
    (b) All other terms in this part have the same meanings as set out 
in 10 CFR 50.2 or Section 11 of the Atomic Energy Act, as applicable.



Sec. 54.4  Scope.

    (a) Plant systems, structures, and components within the scope of 
this part are--
    (1) Safety-related systems, structures, and components which are 
those relied upon to remain functional during and following design-basis 
events (as defined in 10 CFR 50.49 (b)(1)) to ensure the following 
functions--
    (i) The integrity of the reactor coolant pressure boundary;
    (ii) The capability to shut down the reactor and maintain it in a 
safe shutdown condition; or
    (iii) The capability to prevent or mitigate the consequences of 
accidents which could result in potential offsite exposures comparable 
to those referred to in Sec. 50.34(a)(1), Sec. 50.67(b)(2), or 
Sec. 100.11 of this chapter, as applicable.
    (2) All nonsafety-related systems, structures, and components whose 
failure could prevent satisfactory accomplishment of any of the 
functions identified in paragraphs (a)(1) (i), (ii), or (iii) of this 
section.
    (3) All systems, structures, and components relied on in safety 
analyses or plant evaluations to perform a function that demonstrates 
compliance with the Commission's regulations for fire protection (10 CFR 
50.48), environmental qualification (10 CFR 50.49), pressurized thermal 
shock (10 CFR 50.61), anticipated transients without scram (10 CFR 
50.62), and station blackout (10 CFR 50.63).
    (b) The intended functions that these systems, structures, and 
components must be shown to fulfill in Sec. 54.21 are those functions 
that are the bases for

[[Page 97]]

including them within the scope of license renewal as specified in 
paragraphs (a) (1)-(3) of this section.

[60 FR 22491, May 8, 1995, as amended at 61 FR 65175, Dec. 11, 1996; 64 
FR 72002, Dec. 23, 1999]



Sec. 54.5  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized to be binding 
upon the Commission.



Sec. 54.7  Written communications.

    All applications, correspondence, reports, and other written 
communications shall be filed in accordance with applicable portions of 
10 CFR 50.4.



Sec. 54.9  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501, et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0155.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 54.13, 54.17, 54.19, 54.21, 54.22, 54.23, 
54.33, and 54.37.

[60 FR 22491, May 8, 1995, as amended at 62 FR 52188, Oct. 6, 1997]



Sec. 54.11  Public inspection of applications.

    Applications and documents submitted to the Commission in connection 
with renewal applications may be made available for public inspection in 
accordance with the provisions of the regulations contained in 10 CFR 
part 2.



Sec. 54.13  Completeness and accuracy of information.

    (a) Information provided to the Commission by an applicant for a 
renewed license or information required by statute or by the 
Commission's regulations, orders, or license conditions to be maintained 
by the applicant must be complete and accurate in all material respects.
    (b) Each applicant shall notify the Commission of information 
identified by the applicant as having, for the regulated activity, a 
significant implication for public health and safety or common defense 
and security. An applicant violates this paragraph only if the applicant 
fails to notify the Commission of information that the applicant has 
identified as having a significant implication for public health and 
safety or common defense and security. Notification must be provided to 
the Administrator of the appropriate regional office within 2 working 
days of identifying the information. This requirement is not applicable 
to information that is already required to be provided to the Commission 
by other reporting or updating requirements.



Sec. 54.15  Specific exemptions.

    Exemptions from the requirements of this part may be granted by the 
Commission in accordance with 10 CFR 50.12.



Sec. 54.17  Filing of application.

    (a) The filing of an application for a renewed license must be in 
accordance with subpart A of 10 CFR part 2 and 10 CFR 50.4 and 50.30.
    (b) Any person who is a citizen, national, or agent of a foreign 
country, or any corporation, or other entity which the Commission knows 
or has reason to know is owned, controlled, or dominated by an alien, a 
foreign corporation, or a foreign government, is ineligible to apply for 
and obtain a renewed license.
    (c) An application for a renewed license may not be submitted to the 
Commission earlier than 20 years before the expiration of the operating 
license currently in effect.
    (d) An applicant may combine an application for a renewed license 
with applications for other kinds of licenses.

[[Page 98]]

    (e) An application may incorporate by reference information 
contained in previous applications for licenses or license amendments, 
statements, correspondence, or reports filed with the Commission, 
provided that the references are clear and specific.
    (f) If the application contains Restricted Data or other defense 
information, it must be prepared in such a manner that all Restricted 
Data and other defense information are separated from unclassified 
information in accordance with 10 CFR 50.33(j).
    (g) As part of its application, and in any event before the receipt 
of Restricted Data or classified National Security Information or the 
issuance of a renewed license, the applicant shall agree in writing that 
it will not permit any individual to have access to or any facility to 
possess Restricted Data or classified National Security Information 
until the individual and/or facility has been approved for such access 
under the provisions of 10 CFR parts 25 and/or 95. The agreement of the 
applicant in this regard shall be deemed part of the renewed license, 
whether so stated therein or not.

[60 FR 22491, May 8, 1995, as amended at 62 FR 17690, Apr. 11, 1997]



Sec. 54.19  Contents of application--general information.

    (a) Each application must provide the information specified in 10 
CFR 50.33 (a) through (e), (h), and (i). Alternatively, the application 
may incorporate by reference other documents that provide the 
information required by this section.
    (b) Each application must include conforming changes to the standard 
indemnity agreement, 10 CFR 140.92, Appendix B, to account for the 
expiration term of the proposed renewed license.



Sec. 54.21  Contents of application--technical information.

    Each application must contain the following information:
    (a) An integrated plant assessment (IPA). The IPA must--
    (1) For those systems, structures, and components within the scope 
of this part, as delineated in Sec. 54.4, identify and list those 
structures and components subject to an aging management review. 
Structures and components subject to an aging management review shall 
encompass those structures and components--
    (i) That perform an intended function, as described in Sec. 54.4, 
without moving parts or without a change in configuration or properties. 
These structures and components include, but are not limited to, the 
reactor vessel, the reactor coolant system pressure boundary, steam 
generators, the pressurizer, piping, pump casings, valve bodies, the 
core shroud, component supports, pressure retaining boundaries, heat 
exchangers, ventilation ducts, the containment, the containment liner, 
electrical and mechanical penetrations, equipment hatches, seismic 
Category I structures, electrical cables and connections, cable trays, 
and electrical cabinets, excluding, but not limited to, pumps (except 
casing), valves (except body), motors, diesel generators, air 
compressors, snubbers, the control rod drive, ventilation dampers, 
pressure transmitters, pressure indicators, water level indicators, 
switchgears, cooling fans, transistors, batteries, breakers, relays, 
switches, power inverters, circuit boards, battery chargers, and power 
supplies; and
    (ii) That are not subject to replacement based on a qualified life 
or specified time period.
    (2) Describe and justify the methods used in paragraph (a)(1) of 
this section.
    (3) For each structure and component identified in paragraph (a)(1) 
of this section, demonstrate that the effects of aging will be 
adequately managed so that the intended function(s) will be maintained 
consistent with the CLB for the period of extended operation.
    (b) CLB changes during NRC review of the application. Each year 
following submittal of the license renewal application and at least 3 
months before scheduled completion of the NRC review, an amendment to 
the renewal application must be submitted that identifies any change to 
the CLB of the facility that materially affects the contents of the 
license renewal application, including the FSAR supplement.
    (c) An evaluation of time-limited aging analyses.

[[Page 99]]

    (1) A list of time-limited aging analyses, as defined in Sec. 54.3, 
must be provided. The applicant shall demonstrate that--
    (i) The analyses remain valid for the period of extended operation;
    (ii) The analyses have been projected to the end of the period of 
extended operation; or
    (iii) The effects of aging on the intended function(s) will be 
adequately managed for the period of extended operation.
    (2) A list must be provided of plant-specific exemptions granted 
pursuant to 10 CFR 50.12 and in effect that are based on time-limited 
aging analyses as defined in Sec. 54.3. The applicant shall provide an 
evaluation that justifies the continuation of these exemptions for the 
period of extended operation.
    (d) An FSAR supplement. The FSAR supplement for the facility must 
contain a summary description of the programs and activities for 
managing the effects of aging and the evaluation of time-limited aging 
analyses for the period of extended operation determined by paragraphs 
(a) and (c) of this section, respectively.



Sec. 54.22  Contents of application--technical specifications.

    Each application must include any technical specification changes or 
additions necessary to manage the effects of aging during the period of 
extended operation as part of the renewal application. The justification 
for changes or additions to the technical specifications must be 
contained in the license renewal application.



Sec. 54.23  Contents of application--environmental information.

    Each application must include a supplement to the environmental 
report that complies with the requirements of subpart A of 10 CFR part 
51.



Sec. 54.25  Report of the Advisory Committee on Reactor Safeguards.

    Each renewal application will be referred to the Advisory Committee 
on Reactor Safeguards for a review and report. Any report will be made 
part of the record of the application and made available to the public, 
except to the extent that security classification prevents disclosure.



Sec. 54.27  Hearings.

    A notice of an opportunity for a hearing will be published in the 
Federal Register in accordance with 10 CFR 2.105. In the absence of a 
request for a hearing filed within 30 days by a person whose interest 
may be affected, the Commission may issue a renewed operating license 
without a hearing upon 30-day notice and publication once in the Federal 
Register of its intent to do so.



Sec. 54.29  Standards for issuance of a renewed license.

    A renewed license may be issued by the Commission up to the full 
term authorized by Sec. 54.31 if the Commission finds that:
    (a) Actions have been identified and have been or will be taken with 
respect to the matters identified in paragraphs (a)(1) and (a)(2) of 
this section, such that there is reasonable assurance that the 
activities authorized by the renewed license will continue to be 
conducted in accordance with the CLB, and that any changes made to the 
plant's CLB in order to comply with this paragraph are in accord with 
the Act and the Commission's regulations. These matters are:
    (1) managing the effects of aging during the period of extended 
operation on the functionality of structures and components that have 
been identified to require review under Sec. 54.21(a)(1); and
    (2) time-limited aging analyses that have been identified to require 
review under Sec. 54.21(c).
    (b) Any applicable requirements of subpart A of 10 CFR part 51 have 
been satisfied.
    (c) Any matters raised under Sec. 2.758 have been addressed.



Sec. 54.30  Matters not subject to a renewal review.

    (a) If the reviews required by Sec. 54.21 (a) or (c) show that there 
is not reasonable assurance during the current license term that 
licensed activities will be conducted in accordance with the CLB, then 
the licensee shall take measures under its current license, as 
appropriate, to ensure that the intended

[[Page 100]]

function of those systems, structures or components will be maintained 
in accordance with the CLB throughout the term of its current license.
    (b) The licensee's compliance with the obligation under Paragraph 
(a) of this section to take measures under its current license is not 
within the scope of the license renewal review.



Sec. 54.31  Issuance of a renewed license.

    (a) A renewed license will be of the class for which the operating 
license currently in effect was issued.
    (b) A renewed license will be issued for a fixed period of time, 
which is the sum of the additional amount of time beyond the expiration 
of the operating license (not to exceed 20 years) that is requested in a 
renewal application plus the remaining number of years on the operating 
license currently in effect. The term of any renewed license may not 
exceed 40 years.
    (c) A renewed license will become effective immediately upon its 
issuance, thereby superseding the operating license previously in 
effect. If a renewed license is subsequently set aside upon further 
administrative or judicial appeal, the operating license previously in 
effect will be reinstated unless its term has expired and the renewal 
application was not filed in a timely manner.
    (d) A renewed license may be subsequently renewed in accordance with 
all applicable requirements.



Sec. 54.33  Continuation of CLB and conditions of renewed license.

    (a) Whether stated therein or not, each renewed license will contain 
and otherwise be subject to the conditions set forth in 10 CFR 50.54.
    (b) Each renewed license will be issued in such form and contain 
such conditions and limitations, including technical specifications, as 
the Commission deems appropriate and necessary to help ensure that 
systems, structures, and components subject to review in accordance with 
Sec. 54.21 will continue to perform their intended functions for the 
period of extended operation. In addition, the renewed license will be 
issued in such form and contain such conditions and limitations as the 
Commission deems appropriate and necessary to help ensure that systems, 
structures, and components associated with any time-limited aging 
analyses will continue to perform their intended functions for the 
period of extended operation.
    (c) Each renewed license will include those conditions to protect 
the environment that were imposed pursuant to 10 CFR 50.36b and that are 
part of the CLB for the facility at the time of issuance of the renewed 
license. These conditions may be supplemented or amended as necessary to 
protect the environment during the term of the renewed license and will 
be derived from information contained in the supplement to the 
environmental report submitted pursuant to 10 CFR part 51, as analyzed 
and evaluated in the NRC record of decision. The conditions will 
identify the obligations of the licensee in the environmental area, 
including, as appropriate, requirements for reporting and recordkeeping 
of environmental data and any conditions and monitoring requirements for 
the protection of the nonaquatic environment.
    (d) The licensing basis for the renewed license includes the CLB, as 
defined in Sec. 54.3(a); the inclusion in the licensing basis of matters 
such as licensee commitments does not change the legal status of those 
matters unless specifically so ordered pursuant to paragraphs (b) or (c) 
of this section.



Sec. 54.35  Requirements during term of renewed license.

    During the term of a renewed license, licensees shall be subject to 
and shall continue to comply with all Commission regulations contained 
in 10 CFR parts 2, 19, 20, 21, 26, 30, 40, 50, 51, 54, 55, 70, 72, 73, 
and 100, and the appendices to these parts that are applicable to 
holders of operating licenses.



Sec. 54.37  Additional records and recordkeeping requirements.

    (a) The licensee shall retain in an auditable and retrievable form 
for the term of the renewed operating license all information and 
documentation required by, or otherwise necessary to document compliance 
with, the provisions of this part.
    (b) After the renewed license is issued, the FSAR update required by 
10

[[Page 101]]

CFR 50.71(e) must include any systems, structures, and components newly 
identified that would have been subject to an aging management review or 
evaluation of time-limited aging analyses in accordance with Sec. 54.21. 
This FSAR update must describe how the effects of aging will be managed 
such that the intended function(s) in Sec. 54.4(b) will be effectively 
maintained during the period of extended operation.



Sec. 54.41  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of the following acts--
    (1) The Atomic Energy Act of 1954, as amended.
    (2) Title II of the Energy Reorganization Act of 1974, as amended or
    (3) A regulation or order issued pursuant to those acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under Section 234 of the Atomic Energy Act--
    (1) For violations of the following--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
Section 186 of the Atomic Energy Act of 1954, as amended.



Sec. 54.43  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violations of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 54 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 54 that are not issued under Sections 
161b, 161i, or 161o for the purposes of Section 223 are as follows: 
Secs. 54.1, 54.3, 54.4, 54.5, 54.7, 54.9, 54.11, 54.15, 54.17, 54.19, 
54.21, 54.22, 54.23, 54.25, 54.27, 54.29, 54.31, 54.41, and 54.43.



PART 55--OPERATORS' LICENSES--Table of Contents




                      Subpart A--General Provisions

Sec.
55.1  Purpose.
55.2  Scope.
55.3  License requirements.
55.4  Definitions.
55.5  Communications.
55.6  Interpretations.
55.7  Additional requirements.
55.8  Information collection requirements: OMB approval.
55.9  Completeness and accuracy of information.

                          Subpart B--Exemptions

55.11  Specific exemptions.
55.13  General exemptions.

                     Subpart C--Medical Requirements

55.21  Medical examination.
55.23  Certification.
55.25  Incapacitation because of disability or illness.
55.27  Documentation.

                         Subpart D--Applications

55.31  How to apply.
55.33  Disposition of an initial application.
55.35  Re-applications.

           Subpart E--Written Examinations and Operating Tests

55.40  Implementation.
55.41  Written examination: Operators.
55.43  Written examination: Senior operators.
55.45  Operating tests.
55.47  Waiver of examination and test requirements.
55.49  Integrity of examinations and tests.

                           Subpart F--Licenses

55.51  Issuance of licenses.
55.53  Conditions of licenses.
55.55  Expiration.
55.57  Renewal of licenses.
55.59  Requalification.

[[Page 102]]

           Subpart G--Modification and Revocation of Licenses

55.61  Modification and revocation of licenses.

                         Subpart H--Enforcement

55.71  Violations.
55.73  Criminal penalties.

    Authority: Secs. 107, 161, 182, 68 Stat. 939, 948, 953, as amended, 
sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2137, 2201, 2232, 2282); 
secs. 201, as amended, 202, 88 Stat. 1242, as amended, 1244 (42 U.S.C. 
5841, 5842).
    Sections 55.41, 55.43, 55.45, and 55.59 also issued under sec. 306, 
Pub. L. 97-425, 96 Stat. 2262 (42 U.S.C. 10226). Section 55.61 also 
issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237).

    Source: 52 FR 9460, Mar. 25, 1987, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 55.1  Purpose.

    The regulations in this part:
    (a) Establish procedures and criteria for the issuance of licenses 
to operators and senior operators of utilization facilities licensed 
pursuant to the Atomic Energy Act of 1954, as amended, or section 202 of 
the Energy Reorganization Act of 1974, as amended, and part 50 of this 
chapter,
    (b) Provide for the terms and conditions upon which the Commission 
will issue or modify these licenses, and
    (c) Provide for the terms and conditions to maintain and renew these 
licenses.



Sec. 55.2  Scope.

    The regulations in this part apply to--
    (a) Any individual who manipulates the controls of any utilization 
facility licensed pursuant to part 50 of this chapter, and
    (b) Any individual designated by a facility licensee to be 
responsible for directing any licensed activity of a licensed operator.
    (c) Any facility license.

[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994]



Sec. 55.3  License requirements.

    A person must be authorized by a license issued by the Commission to 
perform the function of an operator or a senior operator as defined in 
this part.



Sec. 55.4  Definitions.

    As used in this part:
    Act means the Atomic Energy Act of 1954, including any amendments to 
the Act.
    Actively performing the functions of an operator or senior operator 
means that an individual has a position on the shift crew that requires 
the individual to be licensed as defined in the facility's technical 
specifications, and that the individual carries out and is responsible 
for the duties covered by that position.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Controls when used with respect to a nuclear reactor means apparatus 
and mechanisms the manipulation of which directly affects the reactivity 
or power level of the reactor.
    Facility means any utilization facility as defined in part 50 of 
this chapter. In cases for which a license is issued for operation of 
two or more facilities, facility means all facilities identified in the 
license.
    Facility licensee means an applicant for or holder of a license for 
a facility.
    Licensee means an individual licensed operator or senior operator.
    Operator means any individual licensed under this part to manipulate 
a control of a facility.
    Performance testing means testing conducted to verify a simulation 
facility's performance as compared to actual or predicted reference 
plant performance.
    Physician means an individual licensed by a State or territory of 
the United States, the District of Columbia or the Commonwealth of 
Puerto Rico to dispense drugs in the practice of medicine.
    Plant-referenced simulator means a simulator modeling the systems of 
the reference plant with which the operator interfaces in the control 
room, including operating consoles, and which permits use of the 
reference plant's procedures. A plant-referenced simulator demonstrates 
expected plant response to operator input, and to normal, transient, and 
accident conditions

[[Page 103]]

to which the simulator has been designed to respond.
    Reference plant means the specific nuclear power plant from which a 
simulation facility's control room configuration, system control 
arrangement, and design data are derived.
    Senior operator means any individual licensed under this part to 
manipulate the controls of a facility and to direct the licensed 
activities of licensed operators.
    Simulation facility means one or more of the following components, 
alone or in combination, used for the partial conduct of operating tests 
for operators, senior operators, and candidates:
    (1) The plant,
    (2) A plant-referenced simulator,
    (3) Another simulation device.
    Systems approach to training means a training program that includes 
the following five elements:
    (1) Systematic analysis of the jobs to be performed.
    (2) Learning objectives derived from the analysis which describe 
desired performance after training.
    (3) Training design and implementation based on the learning 
objectives.
    (4) Evaluation of trainee mastery of the objectives during training.
    (5) Evaluation and revision of the training based on the performance 
of trained personnel in the job setting.
    United States, when used in a geographical sense, includes Puerto 
Rico and all territories and possessions of the United States.



Sec. 55.5  Communications.

    (a) Except as provided under a regional licensing program identified 
in paragraph (b) of this section, an applicant or licensee or facility 
licensee shall submit any communication or report concerning the 
regulations in this part and shall submit any application filed under 
these regulations to the Commission as follows:
    (1) By mail addressed to--Director of Nuclear Reactor Regulation, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, or
    (2) By delivery in person to the Commission's offices at 2120 L 
Street NW., Washington, DC, or at 11555 Rockville Pike, Rockville, MD.
    (b)(1) Except for test and research reactor facilities, the Director 
of Nuclear Reactor Regulation has delegated to the Regional 
Administrators of Regions I, II, III, and IV authority and 
responsibility pursuant to the regulations in this part for the issuance 
and renewal of licenses for operators and senior operators of nuclear 
power reactors licensed under 10 CFR part 50 and located in these 
regions.
    (2) Any application for a license or license renewal filed under the 
regulations in this part involving a nuclear power reactor licensed 
under 10 CFR part 50 and any related inquiry, communication, 
information, or report must be submitted by mail or in person to the 
Regional Administrator. The Regional Administrator or the 
Administrator's designee will transmit to the Director of Nuclear 
Reactor Regulation any matter that is not within the scope of the 
Regional Administrator's delegated authority.
    (i) If the nuclear power reactor is located in Region I, submission 
must be made to the Regional Administrator, Region I, U.S. Nuclear 
Regulatory Commission, 475 Allendale Road, King of Prussia, PA 19406.
    (ii) If the nuclear power reactor is located in Region II, 
submission must be made to the Regional Administrator, Region II, U.S. 
Nuclear Regulatory Commission, 101 Marietta Street, suite 2900, Atlanta, 
GA 30323.
    (iii) If the nuclear power reactor is located in Region III, 
submission must be made to the Regional Administrator, Region III, U.S. 
Nuclear Regulatory Commission, 801 Warrenville Road, Lisle, IL 60532-
4351.
    (iv) If the nuclear power reactor is located in Region IV, 
submission must be made to the Regional Administrator, Region IV, U.S. 
Nuclear Regulatory Commission, 611 Ryan Plaza Drive, suite 1000, 
Arlington, TX 76011.
    (3)(i) Any application for a license or license renewal filed under 
the regulations in this part involving a test and research reactor 
facility licensed under 10 CFR part 50 and any related inquiry, 
communication, information, or report must be submitted by mail or in 
person to the Division of Licensee Performance and Quality Evaluation at 
the

[[Page 104]]

U.S. Nuclear Regulatory Commission Headquarters in Washington, DC.
    (ii) For all test and research reactor facilities located in Regions 
I, II, III, and IV, submissions must be made to the Director, Division 
of Licensee Performance and Quality Evaluation, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555. Attention: Operator Licensing Branch.

[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 6139, Mar. 1, 1988; 53 
FR 43421, Oct. 27, 1988; 55 FR 41335, Oct. 11, 1990; 59 FR 17466, Apr. 
13, 1994; 61 FR 9902, Mar. 12, 1996]



Sec. 55.6  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized to be binding 
upon the Commission.



Sec. 55.7  Additional requirements.

    The Commission may, by rule, regulation, or order, impose upon any 
licensee such requirements, in addition to those established in the 
regulations in this part, as it deems appropriate or necessary to 
protect health and to minimize danger to life or property.



Sec. 55.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0018.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 55.31, 55.45, 55.53, and 55.59.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Secs. 55.23, 55.25, 55.27, 55.31, NRC Form 396 is approved 
under control number 3150-0024.
    (2) In Secs. 55.31, 55.35, 55.47, and 55.57, NRC Form 398 is 
approved under control number 3150-0090.
    (3) In Sec. 55.45, NRC Form 474 is approved under control number 
3150-0138.
    (4) In Secs. 55.40, 55.41, 55.43, 55.45, and 55.59, clearance is 
approved under control number 3150-0101.

[62 FR 52188, Oct. 6, 1997, as amended at 64 FR 19878, Apr. 23, 1999]



Sec. 55.9  Completeness and accuracy of information.

    Information provided to the Commission by an applicant for a license 
or by a licensee or information required by statute or by the 
Commission's regulations, orders, or license conditions to be maintained 
by the applicant or the licensee shall be complete and accurate in all 
material respects.

[52 FR 49372, Dec. 31, 1987]



                          Subpart B--Exemptions



Sec. 55.11  Specific exemptions.

    The Commission may, upon application by an interested person, or 
upon its own initiative, grant such exemptions from the requirements of 
the regulations in this part as it determines are authorized by law and 
will not endanger life or property and are otherwise in the public 
interest.



Sec. 55.13  General exemptions.

    The regulations in this part do not require a license for an 
individual who--
    (a) Under the direction and in the presence of a licensed operator 
or senior operator, manipulates the controls of--
    (1) A research or training reactor as part of the individual's 
training as a student, or
    (2) A facility as a part of the individual's training in a facility 
licensee's training program as approved by the Commission to qualify for 
an operator license under this part.

[[Page 105]]

    (b) Under the direction and in the presence of a licensed senior 
operator, manipulates the controls of a facility to load or unload the 
fuel into, out of, or within the reactor vessel.



                     Subpart C--Medical Requirements



Sec. 55.21  Medical examination.

    An applicant for a license shall have a medical examination by a 
physician. A licensee shall have a medical examination by a physician 
every two years. The physician shall determine that the applicant or 
licensee meets the requirements of Sec. 55.33(a)(1).



Sec. 55.23  Certification.

    To certify the medical fitness of the applicant, an authorized 
representative of the facility licensee shall complete and sign Form 
NRC-396, ``Certification of Medical Examination by Facility Licensee,'' 
available from Records and Reports Management Branch, Division of 
Information Support Services, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555.
    (a) Form NRC-396 must certify that a physician has conducted the 
medical examination of the applicant as required in Sec. 55.21.
    (b) When the certification requests a conditional license based on 
medical evidence, the medical evidence must be submitted on NRC Form 396 
to the Commission and the Commission then makes a determination in 
accordance with Sec. 55.33.

[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988]



Sec. 55.25  Incapacitation because of disability or illness.

    If, during the term of the license, the licensee develops a 
permanent physical or mental condition that causes the licensee to fail 
to meet the requirements of Sec. 55.21 of this part, the facility 
licensee shall notify the Commission, within 30 days of learning of the 
diagnosis, in accordance with Sec. 50.74(c). For conditions for which a 
conditional license (as described in Sec. 55.33(b) of this part) is 
requested, the facility licensee shall provide medical certification on 
Form NRC 396 to the Commission (as described in Sec. 55.23 of this 
part).

[60 FR 13617, Mar. 14, 1995]



Sec. 55.27  Documentation.

    The facility licensee shall document and maintain the results of 
medical qualifications data, test results, and each operator's or senior 
operator's medical history for the current license period and provide 
the documentation to the Commission upon request. The facility licensee 
shall retain this documentation while an individual performs the 
functions of an operator or senior operator.



                         Subpart D--Applications



Sec. 55.31  How to apply.

    (a) The applicant shall:
    (1) Complete Form NRC-398, ``Personal Qualification Statement--
Licensee,'' available from Records and Reports Management Branch, 
Division of Information Support Services, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555;
    (2) File an original and two copies of Form NRC-398, together with 
the information required in paragraphs (a)(3), (4), (5) and (6) of this 
section, with the appropriate Regional Administrator;
    (3) Submit a written request from an authorized representative of 
the facility licensee by which the applicant will be employed that the 
written examination and operating test be administered to the applicant;
    (4) Provide evidence that the applicant has successfully completed 
the facility licensee's requirements to be licensed as an operator or 
senior operator and of the facility licensee's need for an operator or a 
senior operator to perform assigned duties. An authorized representative 
of the facility licensee shall certify this evidence on Form NRC-398. 
This certification must include details of the applicant's 
qualifications, and details on courses of instruction administered by 
the facility licensee, and describe the nature of the training received 
at the facility, and the startup and shutdown experience received. In 
lieu of these details, the Commission may accept certification that the 
applicant has successfully

[[Page 106]]

completed a Commission-approved training program that is based on a 
systems approach to training and that uses a simulation facility 
acceptable to the Commission under Sec. 55.45(b) of this part;
    (5) Provide evidence that the applicant, as a trainee, has 
successfully manipulated the controls of the facility for which a 
license is sought. At a minimum, five significant control manipulations 
must be performed which affect reactivity or power level. For a facility 
that has not completed preoperational testing and initial startup test 
program as described in its Final Safety Analysis Report, as amended and 
approved by the Commission, the Commission may accept evidence of 
satisfactory performance of simulated control manipulations as part of a 
Commission-approved training program by a trainee on a simulation 
facility acceptable to the Commission under Sec. 55.45(b) of this part. 
For a facility which has (i) completed preoperational testing as 
described in its Final Safety Analysis Report, as amended and approved 
by the Commission, and (ii) is in an extended shutdown which precludes 
manipulation of the control of the facility in the control room, the 
Commission may process the application and may administer the written 
examination and operating test required by Secs. 55.41 or 55.43 and 
55.45 of this part, but may not issue the license until the required 
evidence of control manipulations is supplied. For licensed operators 
applying for a senior operator license, certification that the operator 
has successfully operated the controls of the facility as a licensed 
operator shall be accepted; and
    (6) Provide certification by the facility licensee of medical 
condition and general health on Form NRC-396, to comply with 
Secs. 55.21, 55.23 and 55.33(a)(1).
    (b) The Commission may at any time after the application has been 
filed, and before the license has expired, require futher information 
under oath or affirmation in order to enable it to determine whether to 
grant or deny the application or whether to revoke, modify, or suspend 
the license.
    (c) An applicant whose application has been denied because of a 
medical condition or general health may submit a further medical report 
at any time as a supplement to the application.
    (d) Each application and statement must contain complete and 
accurate disclosure as to all matters required to be disclosed. The 
applicant shall sign statements required by paragraphs (a) (1) and (2) 
of this section.

[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988]



Sec. 55.33  Disposition of an initial application.

    (a) Requirements for the approval of an initial application. The 
Commission will approve an initial application for a license pursuant to 
the regulations in this part, if it finds that--
    (1) Health. The applicants medical condition and general health will 
not adversely affect the performance of assigned operator job duties or 
cause operational errors endangering public health and safety. The 
Commission will base its finding upon the certification by the facility 
licensee as detailed in Sec. 55.23.
    (2) Written examination and operating test. The applicant has passed 
the requisite written examination and operating test in accordance with 
Secs. 55.41 and 55.45 or 55.43 and 55.45. These examinations and tests 
determine whether the applicant for an operator's license has learned to 
operate a facility competently and safely, and additionally, in the case 
of a senior operator, whether the applicant has learned to direct the 
licensed activities of licensed operators competently and safely.
    (b) Conditional license. If an applicant's general medical condition 
does not meet the minimum standards under Sec. 55.33(a)(1) of this part, 
the Commission may approve the application and include conditions in the 
license to accommodate the medical defect. The Commission will consider 
the recommendations and supporting evidence of the facility licensee and 
of the examining physician (provided on Form NRC-396) in arriving at its 
decision.



Sec. 55.35  Re-applications.

    (a) An applicant whose application for a license has been denied 
because of

[[Page 107]]

failure to pass the written examination or operating test, or both, may 
file a new application two months after the date of denial. The 
application must be submitted on Form NRC-398 and include a statement 
signed by an authorized representative of the facility licensee by whom 
the applicant will be employed that states in detail the extent of the 
applicant's additional training since the denial and certifies that the 
applicant is ready for re-examination. An applicant may file a third 
application six months after the date of denial of the second 
application, and may file further successive applications two years 
after the date of denial of each prior application. The applicant shall 
submit each successive application on Form NRC-398 and include a 
statement of additional training.
    (b) An applicant who has passed either the written examination or 
operating test and failed the other may request in a new application on 
Form NRC-398 to be excused from re-examination on the portions of the 
examination or test which the applicant has passed. The Commission may 
in its discretion grant the request, if it determines that sufficient 
justification is presented.



           Subpart E--Written Examinations and Operating Tests



Sec. 55.40  Implementation.

    (a) The Commission shall use the criteria in NUREG-1021, ``Operator 
Licensing Examination Standards for Power Reactors,'' \1\ in effect six 
months before the examination date to prepare the written examinations 
required by Secs. 55.41 and 55.43 and the operating tests required by 
Sec. 55.45. The Commission shall also use the criteria in NUREG-1021 to 
evaluate the written examinations and operating tests prepared by power 
reactor facility licensees pursuant to paragraph (b) of this section.
---------------------------------------------------------------------------

    \1\ Copies of NUREGs may be purchased from the Superintendent of 
Documents, U.S. Government Printing Office, P.O. Box 38082, Washington, 
DC 20402-9328. Copies are also available from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161. A copy 
is available for inspection and/or copying in the NRC Public Document 
Room, 2120 L Street, NW (Lower Level), Washington, DC.
---------------------------------------------------------------------------

    (b) Power reactor facility licensees may prepare, proctor, and grade 
the written examinations required by Secs. 55.41 and 55.43 and may 
prepare the operating tests required by Sec. 55.45, subject to the 
following conditions:
    (1) Power reactor facility licensees shall prepare the required 
examinations and tests in accordance with the criteria in NUREG-1021 as 
described in paragraph (a) of this section;
    (2) Pursuant to Sec. 55.49, power reactor facility licensees shall 
establish, implement, and maintain procedures to control examination 
security and integrity;
    (3) An authorized representative of the power reactor facility 
licensee shall approve the required examinations and tests before they 
are submitted to the Commission for review and approval; and
    (4) Power reactor facility licensees must receive Commission 
approval of their proposed written examinations and operating tests.
    (c) In lieu of paragraph (b) of this section and upon written 
request from a power reactor facility licensee pursuant to 
Sec. 55.31(a)(3), the Commission shall, for that facility licensee, 
prepare, proctor, and grade, the written examinations required by 
Secs. 55.41 and 55.43 and the operating tests required by Sec. 55.45. In 
addition, the Commission may exercise its discretion and reject a power 
reactor facility licensee's determination to elect paragraph (b) of this 
section, in which case the Commission shall prepare, proctor, and grade 
the required written examinations and operating tests for that facility 
licensee.
    (d) The Commission shall prepare, proctor, and grade the written 
examinations required by Secs. 55.41 and 55.43 and the operating tests 
required by Sec. 55.45 for non-power reactor facility licensees.

[64 FR 19878, Apr. 23, 1999]



Sec. 55.41  Written examination: Operators.

    (a) Content. The written examination for an operator will contain a 
representative selection of questions on the knowledge, skills, and 
abilities needed to perform licensed operator

[[Page 108]]

duties. The knowledge, skills, and abilities will be identified, in 
part, from learning objectives derived from a systematic analysis of 
licensed operator duties performed by each facility licensee and 
contained in its training program and from information in the Final 
Safety Analysis Report, system description manuals and operating 
procedures, facility license and license amendments, Licensee Event 
Reports, and other materials requested from the facility licensee by the 
Commission.
    (b) The written examination for an operator for a facility will 
include a representative sample from among the following 14 items, to 
the extent applicable to the facility.
    (1) Fundamentals of reactor theory, including fission process, 
neutron multiplication, source effects, control rod effects, criticality 
indications, reactivity coefficients, and poison effects.
    (2) General design features of the core, including core structure, 
fuel elements, control rods, core instrumentation, and coolant flow.
    (3) Mechanical components and design features of the reactor primary 
system.
    (4) Secondary coolant and auxiliary systems that affect the 
facility.
    (5) Facility operating characteristics during steady state and 
transient conditions, including coolant chemistry, causes and effects of 
temperature, pressure and reactivity changes, effects of load changes, 
and operating limitations and reasons for these operating 
characteristics.
    (6) Design, components, and functions of reactivity control 
mechanisms and instrumentation.
    (7) Design, components, and functions of control and safety systems, 
including instrumentation, signals, interlocks, failure modes, and 
automatic and manual features.
    (8) Components, capacity, and functions of emergency systems.
    (9) Shielding, isolation, and containment design features, including 
access limitations.
    (10) Administrative, normal, abnormal, and emergency operating 
procedures for the facility.
    (11) Purpose and operation of radiation monitoring systems, 
including alarms and survey equipment.
    (12) Radiological safety principles and procedures.
    (13) Procedures and equipment available for handling and disposal of 
radioactive materials and effluents.
    (14) Principles of heat transfer thermodynamics and fluid mechanics.



Sec. 55.43  Written examination: Senior operators.

    (a) Content. The written examination for a senior operator will 
contain a representative selection of questions on the knowledge, 
skills, and abilities needed to perform licensed senior operator duties. 
The knowledge, skills, and abilities will be identified, in part, from 
learning objectives derived from a systematic analysis of licensed 
senior operator duties performed by each facility licensee and contained 
in its training program and from information in the Final Safety 
Analysis Report, system description manuals and operating procedures, 
facility license and license amendments, Licensee Event Reports, and 
other materials requested from the facility licensee by the Commission.
    (b) The written examination for a senior operator for a facility 
will include a representative sample from among the following seven 
items and the 14 items specified in Sec. 55.41 of this part, to the 
extent applicable to the facility:
    (1) Conditions and limitations in the facility license.
    (2) Facility operating limitations in the technical specifications 
and their bases.
    (3) Facility licensee procedures required to obtain authority for 
design and operating changes in the facility.
    (4) Radiation hazards that may arise during normal and abnormal 
situations, including maintenance activities and various contamination 
conditions.
    (5) Assessment of facility conditions and selection of appropriate 
procedures during normal, abnormal, and emergency situations.
    (6) Procedures and limitations involved in initial core loading, 
alterations in core configuration, control rod programming, and 
determination of various internal and external effects on core 
reactivity.

[[Page 109]]

    (7) Fuel handling facilities and procedures.



Sec. 55.45  Operating tests.

    (a) Content. The operating tests administered to applicants for 
operator and senior operator licenses in accordance with paragraph 
(b)(1) of this section are generally similar in scope. The content will 
be identified, in part, from learning objectives derived from a 
systematic analysis of licensed operator or senior operator duties 
performed by each facility licensee and contained in its training 
program and from information in the Final Safety Analysis Report, system 
description manuals and operating procedures, facility license and 
license amendments, Licensee Event Reports, and other materials 
requested from the facility licensee by the Commission. The operating 
test, to the extent applicable, requires the applicant to demonstrate an 
understanding of and the ability to perform the actions necessary to 
accomplish a representative sample from among the following 13 items.
    (1) Perform pre-startup procedures for the facility, including 
operating of those controls associated with plant equipment that could 
affect reactivity.
    (2) Manipulate the console controls as required to operate the 
facility between shutdown and designated power levels.
    (3) Identify annunciators and condition-indicating signals and 
perform appropriate remedial actions where appropriate.
    (4) Identify the instrumentation systems and the significance of 
facility instrument readings.
    (5) Observe and safely control the operating behavior 
characteristics of the facility.
    (6) Perform control manipulations required to obtain desired 
operating results during normal, abnormal, and emergency situations.
    (7) Safely operate the facility's heat removal systems, including 
primary coolant, emergency coolant, and decay heat removal systems, and 
identify the relations of the proper operation of these systems to the 
operation of the facility.
    (8) Safely operate the facility's auxiliary and emergency systems, 
including operation of those controls associated with plant equipment 
that could affect reactivity or the release of radioactive materials to 
the environment.
    (9) Demonstrate or describe the use and function of the facility's 
radiation monitoring systems, including fixed radiation monitors and 
alarms, portable survey instruments, and personnel monitoring equipment.
    (10) Demonstrate knowledge of significant radiation hazards, 
including permissible levels in excess of those authorized, and ability 
to perform other procedures to reduce excessive levels of radiation and 
to guard against personnel exposure.
    (11) Demonstrate knowledge of the emergency plan for the facility, 
including, as appropriate, the operator's or senior operator's 
responsibility to decide whether the plan should be executed and the 
duties under the plan assigned.
    (12) Demonstrate the knowledge and ability as appropriate to the 
assigned position to assume the responsibilities associated with the 
safe operation of the facility.
    (13) Demonstrate the applicant's ability to function within the 
control room team as appropriate to the assigned position, in such a way 
that the facility licensee's procedures are adhered to and that the 
limitations in its license and amendments are not violated.
    (b) Implementation--(1) Administration. The operating test will be 
administered in a plant walkthrough and in either--
    (i) A simulation facility which the Commission has approved for use 
after application has been made by the facility licensee, or
    (ii) A simulation facility consisting solely of a plant-referenced 
simulator which has been certified to the Commission by the facility 
licensee.
    (2) Schedule for facility licensees. (i) Within one year after the 
effective date of this part, each facility licensee which proposes to 
use a simulation facility pursuant to paragraph (b)(1)(i) of this 
section, except test and research reactors, shall submit a plan by which 
its simulation facility will be developed and by which an application 
will be submitted for its use.
    (ii) Those facility licensees which propose to conform with 
paragraph

[[Page 110]]

(b)(1)(i) of this section, not later than 42 months after the effective 
date of this rule, shall submit an application for use of this 
simulation facility to the Commission, in accordance with paragraph 
(b)(4)(i) of this section.
    (iii) Those facility licensees which propose to conform with 
paragraph (b)(1)(ii) of this section, not later than 46 months after the 
effective date of this rule, shall submit a certification for use of 
this simulation facility to the Commission on Form NRC-474, ``Simulation 
Facility Certification,'' available from Records and Reports Management 
Branch, Division of Information Support Services, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555, in accordance with 
paragraph (b)(5)(i) of this section.
    (iv) The simulation facility portion of the operating test will not 
be administered on other than a certified or an approved simulation 
facility after May 26, 1991.
    (3) Schedule for facility applicants. (i) For facility licensee 
applications after the effective date of this rule, except test and 
research reactors, the applicant shall submit a plan which identifies 
whether its simulation facility will conform with paragraph (b)(1)(i) or 
(b)(1)(ii) of this section at the time of application.
    (ii) Those applicants which propose to conform with paragraph 
(b)(1)(i) of this section, not later than 180 days before the date when 
the applicant proposes that the Commission conduct operating tests, 
shall submit an application for use of its simulation facility to the 
NRC, in accordance with paragraph (b)(4)(i) of this section.
    (iii) Those applicants which propose to conform with paragraph 
(b)(1)(ii) of this section, not later than 60 days before the date when 
the applicant proposes that NRC conduct operating tests, shall submit a 
certification for use of its simulation facility to the Commission on 
Form NRC-474, in accordance with paragraph (b)(5)(i) of this section.
    (4) Application for and approval of simulation facilities. Those 
facility licensees which propose, in accordance with paragraph (b)(1)(i) 
of this section, to use a simulation facility that is other than solely 
a plant-referenced simulator as defined in Sec. 55.4 shall--
    (i) In accordance with the plan submitted pursuant to paragraph 
(b)(2)(i) or (b)(3)(i) of this section, as applicable submit an 
application for approval of the simulation facility to the Commission, 
in accordance with the schedule in paragraph (b)(2)(ii) or (b)(3)(ii) of 
this section, as appropriate. This application must include:
    (A) A statement that the simulation facility meets the plan 
submitted to the Commission pursuant to paragraph (b)(2)(i) or (b)(3)(i) 
of this section, as applicable;
    (B) A description of the components of the simulation facility which 
are intended to be used for each part of the operating test; and
    (C) A description of the performance tests as part of the 
application, and the results of such tests.
    (ii) The Commission will approve a simulation facility if it finds 
that the simulation facility and its proposed use are suitable for the 
conduct of operating tests for the facility licensee's reference plant, 
in accordance with paragraph (a) of this section.
    (iii) Submit, every four years on the anniversary of the 
application, a report to the Commission which identifies any uncorrected 
performance test failures, and submit a schedule for correction of these 
performance test failures, if any.
    (iv) Retain the results of the performance test conducted until four 
years after the submittal of the application under paragraph (b)(4)(i), 
each report pursuant to paragraph (b)(4)(iii), or any reapplication 
under paragraph (b)(4)(iv) of this section, as appropriate.
    (v) If the Commission determines, based upon the results of 
performance testing, that an approved simulation facility does not meet 
the requirements of this part, the simulation facility may not be used 
to conduct operating tests.
    (vi) If the Commission determines, pursuant to paragraph (b)(4)(v) 
of this section, that an approved simulation facility does not meet the 
requirements of this part, the facility licensee may again submit an 
application for

[[Page 111]]

approval. This application must include a description of corrective 
actions taken, including results of completed performance testing as 
required for approval.
    (vii) Any application or report submitted pursuant to paragraphs 
(b)(4)(i), (b)(4)(iii) and (b)(4)(vi) of this section must include a 
description of the performance testing completed for the simulation 
facility, and must include a description of performance tests, if 
different, to be conducted on the simulation facility during the 
subsequent four-year period, and a schedule for the conduct of 
approximately 25 percent of the performance tests per year for the 
subsequent four years.
    (5) Certification of simulation facilities. Those facility licensees 
which propose, in accordance with paragraph (b)(1)(ii) of this section, 
to use a simulation facility consisting solely of a plant-referenced 
simulator as defined in Sec. 55.4, shall--
    (i) Submit a certification to the Commission that the simulation 
facility meets the Commission's regulations. The facility licensee shall 
provide this certification on Form NRC-474 in accordance with the 
schedule in paragraph (b)(2)(iii) or (b)(3)(iii) of this section, as 
applicable.
    (ii) Submit, every four years on the anniversary of the 
certification, a report to the Commission which identifies any 
uncorrected performance test failures, and submit a schedule for 
correction of such performance test failures, if any.
    (iii) Retain the results of the performance test conducted until 
four years after the submittal of certification under paragraph 
(b)(5)(i), each report pursuant to paragraph (b)(5)(ii), or 
recertification under paragraph (b)(5)(v) of this section, as 
applicable.
    (iv) If the Commission determines, based upon the results of 
performance testing, that a certified simulation facility does not meet 
the requirements of this part, the simulation facility may not be used 
to conduct operating tests.
    (v) If the Commission determines, pursuant to paragraph (b)(5)(iv) 
of this section, that a certified simulation facility does not meet the 
requirements of this part, the facility licensee may submit a 
recertification to the Commission on Form NRC-474. This recertification 
must include a description of corrective actions taken, including 
results of completed performance testing as required for 
recertification.
    (vi) Any certification report, or recertification submitted pursuant 
to paragraph (b)(5)(i), (b)(5)(ii) or (b)(5)(v) of this section must 
include a description of performance testing completed for the 
simulation facility, and must include a description of the performance 
tests, if different, to be conducted on the simulation facility during 
the subsequent four-year period, and a schedule for the conduct of 
approximately 25 percent of the performance tests per year for the 
subsequent four years.

[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988; 62 
FR 59276, Nov. 3, 1997]



Sec. 55.47  Waiver of examination and test requirements.

    (a) On application, the Commission may waive any or all of the 
requirements for a written examination and operating test, if it finds 
that the applicant--
    (1) Has had extensive actual operating experience at a comparable 
facility, as determined by the Commission, within two years before the 
date of application;
    (2) Has discharged his or her responsibilities competently and 
safely and is capable of continuing to do so; and
    (3) Has learned the operating procedures for and is qualified to 
operate competently and safely the facility designated in the 
application.
    (b) The Commission may accept as proof of the applicant's past 
performance a certification of an authorized representative of the 
facility licensee or of a holder of an authorization by which the 
applicant was previously employed. The certification must contain a 
description of the applicant's operating experience, including an 
approximate number of hours the applicant operated the controls of the 
facility, the duties performed, and the extent of the applicant's 
responsibility.

[[Page 112]]

    (c) The Commission may accept as proof of the applicant's current 
qualifications a certification of an authorized representative of the 
facility licensee or of a holder of an authorization where the 
applicant's services will be utilized.



Sec. 55.49  Integrity of examinations and tests.

    Applicants, licensees, and facility licensees shall not engage in 
any activity that compromises the integrity of any application, test, or 
examination required by this part. The integrity of a test or 
examination is considered compromised if any activity, regardless of 
intent, affected, or, but for detection, would have affected the 
equitable and consistent administration of the test or examination. This 
includes activities related to the preparation and certification of 
license applications and all activities related to the preparation, 
administration, and grading of the tests and examinations required by 
this part.

[64 FR 19878, Apr. 23, 1999]



                           Subpart F--Licenses



Sec. 55.51  Issuance of licenses.

    Operator and senior operator licenses. If the Commission determines 
that an applicant for an operator license or a senior operator license 
meets the requirements of the Act and its regulations, it will issue a 
license in the form and containing any conditions and limitations it 
considers appropriate and necessary.



Sec. 55.53  Conditions of licenses.

    Each license contains and is subject to the following conditions 
whether stated in the license or not:
    (a) Neither the license nor any right under the license may be 
assigned or otherwise transferred.
    (b) The license is limited to the facility for which it is issued.
    (c) The license is limited to those controls of the facility 
specified in the license.
    (d) The license is subject to, and the licensee shall observe, all 
applicable rules, regulations, and orders of the Commission.
    (e) If a licensee has not been actively performing the functions of 
an operator or senior operator, the licensee may not resume activities 
authorized by a license issued under this part except as permitted by 
paragraph (f) of this section. To maintain active status, the licensee 
shall actively perform the functions of an operator or senior operator 
on a minimum of seven 8-hour or five 12-hour shifts per calendar 
quarter. For test and research reactors, the licensee shall actively 
perform the functions of an operator or senior operator for a minimum of 
four hours per calendar quarter.
    (f) If paragraph (e) of this section is not met, before resumption 
of functions authorized by a license issued under this part, an 
authorized representative of the facility licensee shall certify the 
following:
    (1) That the qualifications and status of the licensee are current 
and valid; and
    (2) That the licensee has completed a minimum of 40 hours of shift 
functions under the direction of an operator or senior operator as 
appropriate and in the position to which the individual will be 
assigned. The 40 hours must have included a complete tour of the plant 
and all required shift turnover procedures. For senior operators limited 
to fuel handling under paragraph (c) of this section, one shift must 
have been completed. For test and research reactors, a minimum of six 
hours must have been completed.
    (g) The licensee shall notify the Commission within 30 days about a 
conviction for a felony.
    (h) The licensee shall complete a requalification program as 
described by Sec. 55.59.
    (i) The licensee shall have a biennial medical examination.
    (j) The licensee shall not consume or ingest alcoholic beverages 
within the protected area of power reactors, or the controlled access 
area of non-power reactors. The licensee shall not use, possess, or sell 
any illegal drugs. The licensee shall not perform activities authorized 
by a license issued under this part while under the influence of alcohol 
or any prescription, over-the-counter, or illegal substance that could 
adversely affect his or her ability to

[[Page 113]]

safely and competently perform his or her licensed duties. For the 
purpose of this paragraph, with respect to alcoholic beverages and 
drugs, the term ``under the influence'' means the licensee exceeded, as 
evidenced by a confirmed positive test, the lower of the cutoff levels 
for drugs or alcohol contained in 10 CFR part 26, appendix A, of this 
chapter, or as established by the facility licensee. The term ``under 
the influence'' also means the licensee could be mentally or physically 
impaired as a result of substance use including prescription and over-
the-counter drugs, as determined under the provisions, policies, and 
procedures established by the facility licensee for its fitness-for-duty 
program, in such a manner as to adversely affect his or her ability to 
safely and competently perform licensed duties.
    (k) Each licensee at power reactors shall participate in the drug 
and alcohol testing programs established pursuant to 10 CFR part 26. 
Each licensee at non-power reactors shall participate in any drug and 
alcohol testing program that may be established for that non-power 
facility.
    (l) The licensee shall comply with any other conditions that the 
Commission may impose to protect health or to minimize danger to life or 
property.

[52 FR 9460, Mar. 25, 1987, as amended at 56 FR 32070, July 15, 1991]



Sec. 55.55  Expiration.

    (a) Each operator license and senior operator license expires six 
years after the date of issuance, upon termination of employment with 
the facility licensee, or upon determination by the facility licensee 
that the licensed individual no longer needs to maintain a license.
    (b) If a licensee files an application for renewal or an upgrade of 
an existing license on Form NRC-398 at least 30 days before the 
expiration of the existing license, it does not expire until disposition 
of the application for renewal or for an upgraded license has been 
finally determined by the Commission. Filing by mail or telegram will be 
deemed to be complete at the time the application is deposited in the 
mail or with a telegraph company.



Sec. 55.57  Renewal of licenses.

    (a) The applicant for renewal of a license shall--
    (1) Complete and sign Form NRC-398 and include the number of the 
license for which renewal is sought.
    (2) File an original and two copies of Form NRC-398 with the 
appropriate Regional Administrator specified in Sec. 55.5(b).
    (3) Provide written evidence of the applicant's experience under the 
existing license and the approximate number of hours that the licensee 
has operated the facility.
    (4) Provide a statement by an authorized representative of the 
facility licensee that during the effective term of the current license 
the applicant has satisfactorily completed the requalification program 
for the facility for which operator or senior operator license renewal 
is sought.
    (5) Provide evidence that the applicant has discharged the license 
responsibilities competently and safely. The Commission may accept as 
evidence of the applicant's having met this requirement a certificate of 
an authorized representative of the facility licensee or holder of an 
authorization by which the licensee has been employed.
    (6) Provide certification by the facility licensee of medical 
condition and general health on Form NRC-396, to comply with 
Secs. 55.21, 55.23 and 55.27.
    (b) The license will be renewed if the Commission finds that--
    (1) The medical condition and the general health of the licensee 
continue to be such as not to cause operational errors that endanger 
public health and safety. The Commission will base this finding upon the 
certification by the facility licensee as described in Sec. 55.23.
    (2) The licensee--
    (i) Is capable of continuing to competently and safely assume 
licensed duties;
    (ii) Has successfully completed a requalification program that has 
been approved by the Commission as required by Sec. 55.59; and
    (iii) Has passed the requalification examinations and annual 
operating tests as required by Sec. 55.59.

[[Page 114]]

    (3) There is a continued need for a licensee to operate or for a 
senior operator to direct operators at the facility designated in the 
application.
    (4) The past performance of the licensee has been satisfactory to 
the Commission. In making its finding, the Commission will include in 
its evaluation information such as notices of violations or letters of 
reprimand in the licensee's docket.

[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994]



Sec. 55.59  Requalification.

    (a) Requalification requirements. Each licensee shall--
    (1) Successfully complete a requalification program developed by the 
facility licensee that has been approved by the Commission. This program 
shall be conducted for a continuous period not to exceed 24 months in 
duration.
    (2) Pass a comprehensive requalification written examination and an 
annual operating test.
    (i) The written examination will sample the items specified in 
Secs. 55.41 and 55.43 of this part, to the extent applicable to the 
facility, the licensee, and any limitation of the license under 
Sec. 55.53(c) of this part.
    (ii) The operating test will require the operator or senior operator 
to demonstrate an understanding of and the ability to perform the 
actions necessary to accomplish a comprehensive sample of items 
specified in Sec. 55.45(a) (2) through (13) inclusive to the extent 
applicable to the facility.
    (iii) In lieu of the Commission accepting a certification by the 
facility licensee that the licensee has passed written examinations and 
operating tests administered by the facility licensee within its 
Commission-approved program developed by using a systems approach to 
training under paragraph (c) of this section, the Commission may 
administer a comprehensive requalification written examination and an 
annual operating test.
    (b) Additional training. If the requirements of paragraphs (a) (1) 
and (2) of this section are not met, the Commission may require the 
licensee to complete additional training and to submit evidence to the 
Commission of successful completion of this training before returning to 
licensed duties.
    (c) Requalification program requirements. A facility licensee shall 
have a requalification program reviewed and approved by the Commission 
and shall, upon request consistent with the Commission's inspection 
program needs, submit to the Commission a copy of its comprehensive 
requalification written examinations or annual operating tests. The 
requalification program must meet the requirements of paragraphs (c) (1) 
through (7) of this section. In lieu of paragraphs (c) (2), (3), and (4) 
of this section, the Commission may approve a program developed by using 
a systems approach to training.
    (1) Schedule. The requalification program must be conducted for a 
continuous period not to exceed two years, and upon conclusion must be 
promptly followed, pursuant to a continuous schedule, by successive 
requalification programs.
    (2) Lectures. The requalification program must include preplanned 
lectures on a regular and continuing basis throughout the license period 
in those areas where operator and senior operator written examinations 
and facility operating experience indicate that emphasis in scope and 
depth of coverage is needed in the following subjects:
    (i)  Theory and principles of operation.
    (ii)  General and specific plant operating characteristics.
    (iii)  Plant instrumentation and control systems.
    (iv)  Plant protection systems.
    (v)  Engineered safety systems.
    (vi)  Normal, abnormal, and emergency operating procedures.
    (vii)  Radiation control and safety.
    (viii)  Technical specifications.
    (ix)  Applicable portions of title 10, chapter I, Code of Federal 
Regulations.
    (3) On-the-job training. The requalification program must include 
on-the-job training so that--
    (i) Each licensed operator of a utilization facility manipulates the 
plant controls and each licensed senior operator either manipulates the 
controls or directs the activities of individuals during plant control 
manipulations during the term of the licensed operator's or senior 
operator's license. For

[[Page 115]]

reactor operators and senior operators, these manipulations must consist 
of the following control manipulations and plant evolutions if they are 
applicable to the plant design. Items described in paragraphs (c)(3)(i) 
(A) through (L) of this section must be performed annually; all other 
items must be performed on a two-year cycle. However, the 
requalification programs must contain a commitment that each individual 
shall perform or participate in a combination of reactivity control 
manipulations based on the availability of plant equipment and systems. 
Those control manipulations which are not performed at the plant may be 
performed on a simulator. The use of the Technical Specifications should 
be maximized during the simulator control manipulations. Senior operator 
licensees are credited with these activities if they direct control 
manipulations as they are performed.
    (A) Plant or reactor startups to include a range that reactivity 
feedback from nuclear heat addition is noticeable and heatup rate is 
established.
    (B) Plant shutdown.
    (C) Manual control of steam generators or feedwater or both during 
startup and shutdown.
    (D) Boration or dilution during power operation.
    (E) Significant (10 percent) power changes in manual rod 
control or recirculation flow.
    (F) Reactor power change of 10 percent or greater where load change 
is performed with load limit control or where flux, temperature, or 
speed control is on manual (for HTGR).
    (G) Loss of coolant, including--
    (1)  Significant PWR steam generator leaks
    (2)  Inside and outside primary containment
    (3)  Large and small, including lead-rate determination
    (4)  Saturated reactor coolant response (PWR).
    (H) Loss of instrument air (if simulated plant specific).
    (I) Loss of electrical power (or degraded power sources).
    (J) Loss of core coolant flow/natural circulation.
    (K) Loss of feedwater (normal and emergency).
    (L) Loss of service water, if required for safety.
    (M) Loss of shutdown cooling.
    (N) Loss of component cooling system or cooling to an individual 
component.
    (O) Loss of normal feedwater or normal feedwater system failure.
    (P) Loss of condenser vacuum.
    (Q) Loss of protective system channel.
    (R) Mispositioned control rod or rods (or rod drops).
    (S) Inability to drive control rods.
    (T) Conditions requiring use of emergency boration or standby liquid 
control system.
    (U) Fuel cladding failure or high activity in reactor coolant or 
offgas.
    (V) Turbine or generator trip.
    (W) Malfunction of an automatic control system that affects 
reactivity.
    (X) Malfunction of reactor coolant pressure/volume control system.
    (Y) Reactor trip.
    (Z) Main steam line break (inside or outside containment).
    (AA) A nuclear instrumentation failure.
    (ii) Each licensed operator and senior operator has demonstrated 
satisfactory understanding of the operation of the apparatus and 
mechanisms associated with the control manipulations in paragraph 
(c)(3)(i) of this section, and knows the operating procedures in each 
area for which the operator or senior operator is licensed.
    (iii) Each licensed operator and senior operator is cognizant of 
facility design changes, procedure changes, and facility license 
changes.
    (iv) Each licensed operator and senior operator reviews the contents 
of all abnormal and emergency procedures on a regularly scheduled basis.
    (v) A simulator may be used in meeting the requirements of 
paragraphs (c) (3)(i) and (3)(ii) of this section, if it reproduces the 
general operating characteristics of the facility involved and the 
arrangement of the instrumentation and controls of the simulator is 
similar to that of the facility involved. If the simulator or simulation 
device is used to administer operating tests for a facility, as provided 
in Sec. 55.45(b)(1), the device approved to meet the requirements of 
Sec. 55.45(b)(1) must be used for

[[Page 116]]

credit to be given for meeting the requirements of paragraphs (c)(3)(i) 
(G through AA) of this section.
    (4) Evaluation. The requalification program must include--
    (i) Comprehensive requalification written examinations and annual 
operating tests which determine areas in which retraining is needed to 
upgrade licensed operator and senior operator knowledge.
    (ii) Written examinations which determine licensed operators' and 
senior operators' knowledge of subjects covered in the requalification 
program and provide a basis for evaluating their knowledge of abnormal 
and emergency procedures.
    (iii) Systematic observation and evaluation of the performance and 
competency of licensed operators and senior operators by supervisors 
and/or training staff members, including evaluation of actions taken or 
to be taken during actual or simulated abnormal and emergency 
procedures.
    (iv) Simulation of emergency or abnormal conditions that may be 
accomplished by using the control panel of the facility involved or by 
using a simulator. Where the control panel of the facility is used for 
simulation, the actions taken or to be taken for the emergency or 
abnormal condition shall be discussed; actual manipulation of the plant 
controls is not required. If a simulator is used in meeting the 
requirements of paragraph (c)(4)(iii) of this section, it shall 
accurately reproduce the operating characteristics of the facility 
involved and the arrangement of the instrumentation and controls of the 
simulator shall closely parallel that of the facility involved. After 
the provisions of Sec. 55.45(b) have been implemented at a facility, the 
certified or approved simulation facility must be used to comply with 
this paragraph.
    (v) Provisions for each licensed operator and senior operator to 
participate in an accelerated requalification program where performance 
evaluations conducted pursuant to paragraphs (c)(4) (i) through (iv) of 
this section clearly indicated the need.
    (5) Records. The requalification program documentation must include 
the following:
    (i) The facility licensee shall maintain records documenting the 
participation of each licensed operator and senior operator in the 
requalification program. The records must contain copies of written 
examinations administered, the answers given by the licensee, and the 
results of evaluations and documentation of operating tests and of any 
additional training administered in areas in which an operator or senior 
operator has exhibited deficiencies. The facility licensee shall retain 
these records until the operator's or senior operator's license is 
renewed.
    (ii) Each record required by this part must be legible throughout 
the retention period specified by each Commission regulation. The record 
may be the original or a reproduced copy or a microform provided that 
the copy or microform is authenticated by authorized personnel and that 
the microform is capable of producing a clear copy throughout the 
required retention period.
    (iii) If there is a conflict between the Commission's regulations in 
this part, and any license condition, or other written Commission 
approval or authorization pertaining to the retention period for the 
same type of record, the retention period specified for these records by 
the regulations in this part apply unless the Commission, pursuant to 
Sec. 55.11, grants a specific exemption from this record retention 
requirement.
    (6) Alternative training programs. The requirements of this section 
may be met by requalification programs conducted by persons other than 
the facility licensee if the requalification programs are similar to the 
program described in paragraphs (c) (1) through (5) of this section and 
the alternative program has been approved by the Commission.
    (7) Applicability to research and test reactor facilities. To 
accommodate specialized modes of operation and differences in control, 
equipment, and operator skills and knowledge, the requalification 
program for each licensed operator and senior operator of a research 
reactor or test reactor facility must conform generally but need not be 
identical to the requalification program outlined in paragraphs (c) (1)

[[Page 117]]

through (6) of this section. Significant deviations from the 
requirements of paragraphs (c) (1) through (6) of this section will be 
permitted only if supported by written justification and approved by the 
Commission.

[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994]



           Subpart G--Modification and Revocation of Licenses



Sec. 55.61  Modification and revocation of licenses.

    (a) The terms and conditions of all licenses are subject to 
amendment, revision, or modification by reason of rules, regulations, or 
orders issued in accordance with the Act or any amendments thereto.
    (b) Any license may be revoked, suspended, or modified, in whole or 
in part:
    (1) For any material false statement in the application or in any 
statement of fact required under section 182 of the Act,
    (2) Because of conditions revealed by the application or statement 
of fact or any report, record, inspection or other means that would 
warrant the Commission to refuse to grant a license on an original 
application,
    (3) For willful violation of, or failure to observe any of the terms 
and conditions of the Act, or the license, or of any rule, regulation, 
or order of the Commission, or
    (4) For any conduct determined by the Commission to be a hazard to 
safe operation of the facility.
    (5) For the sale, use or possession of illegal drugs, or refusal to 
participate in the facility drug and alcohol testing program, or a 
confirmed positive test for drugs, drug metabolites, or alcohol in 
violation of the conditions and cutoff levels established by 
Sec. 55.53(j) or the consumption of alcoholic beverages within the 
protected area of power reactors or the controlled access area of non-
power reactors, or a determination of unfitness for scheduled work as a 
result of the consumption of alcoholic beverages.

[52 FR 9460, Mar. 25, 1987, as amended at 56 FR 32070, July 15, 1991]



                         Subpart H--Enforcement



Sec. 55.71  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55076, Nov. 24, 1992]



Sec. 55.73  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy of violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 55 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 55 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 55.1, 55.2, 55.4, 55.5, 55.6, 55.7, 55.8, 55.11. 55.13, 55.31, 
55.33, 55.35, 55.41, 55.43, 55.47, 55.51, 55.55, 55.57, 55.61, 55.71, 
and 55.73.

[57 FR 55076, Nov. 24, 1992]

[[Page 118]]



PART 60--DISPOSAL OF HIGH-LEVEL RADIOACTIVE WASTES IN GEOLOGIC REPOSITORIES--Table of Contents




                      Subpart A--General Provisions

Sec.
60.1  Purpose and scope.
60.2  Definitions.
60.3  License required.
60.4  Communications and records.
60.5  Interpretations.
60.6  Exemptions.
60.7  License not required for certain preliminary activities.
60.8  Information collection requirements: Approval.
60.9  Employee protection.
60.10  Completeness and accuracy of information.
60.11  Deliberate misconduct.

                           Subpart B--Licenses

                          Preapplication Review

60.15  Site characterization.
60.16  Site characterization plan required.
60.17  Contents of site characterization plan.
60.18  Review of site characterization activities.

                          License Applications

60.21  Content of application.
60.22  Filing and distribution of application.
60.23  Elimination of repetition.
60.24  Updating of application and environmental impact statement.

                       Construction Authorization

60.31  Construction authorization.
60.32  Conditions of construction authorization.
60.33  Amendment of construction authorization.

                     License Issuance and Amendment

60.41  Standards for issuance of a license.
60.42  Conditions of license.
60.43  License specification.
60.44  Changes, tests, and experiments.
60.45  Amendment of license.
60.46  Particular activities requiring license amendment.

                            Permanent Closure

60.51  License amendment for permanent closure.
60.52  Termination of license.

Subpart C--Participation by State Governments and Affected Indian Tribes

60.61  Provision of information.
60.62  Site review.
60.63  Participation in license reviews.
60.64  Notice to States.
60.65  Representation.

           Subpart D--Records, Reports, Tests, and Inspections

60.71  Records and reports.
60.72  Construction records.
60.73  Reports of deficiencies.
60.74  Tests.
60.75  Inspections.
60.78  Material control and accounting records and reports.

                      Subpart E--Technical Criteria

60.101  Purpose and nature of findings.
60.102  Concepts.

                         Performance Objectives

60.111  Performance of the geologic repository operations area through 
          permanent closure.
60.112  Overall system performance objective for the geologic repository 
          after permanent closure.
60.113  Performance of particular barriers after permanent closure.

                       Land Ownership and Control

60.121  Requirements for ownership and control interests in land.

                             Siting Criteria

60.122  Siting criteria.

       Design Criteria for the Geologic Repository Operations Area

60.130  General considerations.
60.131  General design criteria for the geologic repository operations 
          area.
60.132  Additional design criteria for surface facilities in the 
          geologic repository operations area.
60.133  Additional design criteria for the underground facility.
60.134  Design of seals for shafts and boreholes.

                  Design Criteria for the Waste Package

60.135  Criteria for the waste package and its components.

                       Preclosure Controlled Area

60.136  Preclosure controlled area.

                  Performance Confirmation Requirements

60.137  General requirements for performance confirmation.

               Subpart F--Performance Confirmation Program

60.140  General requirements.
60.141  Confirmation of geotechnical and design parameters.

[[Page 119]]

60.142  Design testing.
60.143  Monitoring and testing waste packages.

                      Subpart G--Quality Assurance

60.150  Scope.
60.151  Applicability.
60.152  Implementation.

           Subpart H--Training and Certification of Personnel

60.160  General requirements.
60.161  Training and certification program.
60.162  Physical requirements.

Subpart I--Emergency Planning Criteria [Reserved]

                          Subpart J--Violations

60.181  Violations.
60.183  Criminal penalties.

    Authority: Secs. 51, 53, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 
929, 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2071, 
2073, 2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88 
Stat. 1244, 1246 (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-
601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851); sec. 102, Pub. L. 91-190, 
83 Stat. 853 (42 U.S.C. 4332); secs. 114, 121, Pub. L. 97-425, 96 Stat. 
2213g, 2228, as amended (42 U.S.C. 10134, 10141), and Pub. L. 102-486, 
sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851).

    Source: 46 FR 13980, Feb. 25, 1981, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 60.1  Purpose and scope.

    This part prescribes rules governing the licensing of the U.S. 
Department of Energy to receive and possess source, special nuclear, and 
byproduct material at a geologic repository operations area sited, 
constructed, or operated in accordance with the Nuclear Waste Policy Act 
of 1982. This part does not apply to any activity licensed under another 
part of this chapter. This part also gives notice to all persons who 
knowingly provide to any licensee, applicant, contractor, or 
subcontractor, components, equipment, materials, or other goods or 
services, that relate to a licensee's or applicant's activities subject 
to this part, that they may be individually subject to NRC enforcement 
action for violation of Sec. 60.11.

[63 FR 1898, Jan. 13, 1998]



Sec. 60.2  Definitions.

    As used in this part:
    Accessible environment means:
    (1) The atmosphere;
    (2) The land surface;
    (3) Surface water;
    (4) Oceans; and
    (5) The portion of the lithosphere that is outside the postclosure 
controlled area.
    Affected Indian Tribe means any Indian Tribe (1) within whose 
reservation boundaries a repository for high-level radioactive waste or 
spent fuel is proposed to be located; or (2) whose Federally defined 
possessory or usage rights to other lands outside of the reservation's 
boundaries arising out of Congressionally ratified treaties or other 
Federal law may be substantially and adversely affected by the locating 
of such a facility; Provided, That the Secretary of the Interior finds, 
upon the petition of the appropriate governmental officials of the 
Tribe, that such effects are both substantial and adverse to the Tribe.
    Anticipated processes and events means those natural processes and 
events that are reasonably likely to occur during the period the 
intended performance objective must be achieved. To the extent 
reasonable in the light of the geologic record, it shall be assumed that 
those processes operating in the geologic setting during the Quaternary 
Period continue to operate but with the perturbations caused by the 
presence of emplaced radioactive waste superimposed thereon.
    Barrier means any material or structure that prevents or 
substantially delays movement of water or radionuclides.
    Candidate area means a geologic and hydrologic system within which a 
geologic repository may be located.
    Commencement of construction means clearing of land, surface or 
subsurface excavation, or other substantial action that would adversely 
affect the environment of a site, but does not include changes desirable 
for the temporary use of the land for public recreational uses, site 
characterization activities, other preconstruction monitoring and 
investigation necessary to establish background information related to 
the

[[Page 120]]

suitability of a site or to the protection of environmental values, or 
procurement or manufacture of components of the geologic repository 
operations area.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Containment means the confinement of radioactive waste within a 
designated boundary.
    Controlled area means a surface location, to be marked by suitable 
monuments, extending horizontally no more than 10 kilometers in any 
direction from the outer boundary of the underground facility, and the 
underlying subsurface, which area has been committed to use as a 
geologic repository and from which incompatible activities would be 
restricted following permanent closure.
    Design bases means that information that identifies the specific 
functions to be performed by a structure, system, or component of a 
facility and the specific values or ranges of values chosen for 
controlling parameters as reference bounds for design. These values may 
be restraints derived from generally accepted ``state-of-the-art'' 
practices for achieving functional goals or requirements derived from 
analysis (based on calculation or experiments) of the effects of a 
postulated event under which a structure, system, or component must meet 
its functional goals. The values for controlling parameters for external 
events include:
    (1) Estimates of severe natural events to be used for deriving 
design bases that will be based on consideration of historical data on 
the associated parameters, physical data, or analysis of upper limits of 
the physical processes involved; and
    (2) Estimates of severe external man-induced events, to be used for 
deriving design bases, that will be based on analysis of human activity 
in the region, taking into account the site characteristics and the 
risks associated with the event.
    Design basis events means:
    (1)(i) Those natural and human-induced events that are reasonably 
likely to occur regularly, moderately frequently, or one or more times 
before permanent closure of the geologic repository operations area; and
    (ii) Other natural and man-induced events that are considered 
unlikely, but sufficiently credible to warrant consideration, taking 
into account the potential for significant radiological impacts on 
public health and safety.
    (2) The events described in paragraph (1)(i) of this definition are 
referred to as ``Category 1'' design basis events. The events described 
in paragraph (1)(ii) of this definition are referred to as ``Category 
2'' design basis events.
    Director means the Director of the Nuclear Regulatory Commission's 
Office of Nuclear Material Safety and Safeguards.
    Disposal means the isolation of radioactive wastes from the 
accessible environment.
    Disturbed zone means that portion of the postclosure controlled 
area, the physical or chemical properties of which have changed as a 
result of underground facility construction or as a result of heat 
generated by the emplaced radioactive wastes, such that the resultant 
change of properties may have a significant effect on the performance of 
the geologic repository.
    DOE means the U.S. Department of Energy or its duly authorized 
representatives.
    Engineered barrier system means the waste packages and the 
underground facility.
    Geologic repository means a system which is intended to be used for, 
or may be used for, the disposal of radioactive wastes in excavated 
geologic media. A geologic repository includes: (1) The geologic 
repository operations area, and (2) the portion of the geologic setting 
that provides isolation of the radioactive waste.
    Geologic repository operations area means a high-level radioactive 
waste facility that is part of a geologic repository, including both 
surface and subsurface areas, where waste handling activities are 
conducted.
    Geologic setting means the geologic, hydrologic, and geochemical 
systems of the region in which a geologic repository operations area is 
or may be located.
    Groundwater means all water which occurs below the land surface.

[[Page 121]]

    High-level radioactive waste or HLW means: (1) Irradiated reactor 
fuel, (2) liquid wastes resulting from the operation of the first cycle 
solvent extraction system, or equivalent, and the concentrated wastes 
from subsequent extraction cycles, or equivalent, in a facility for 
reprocessing irradiated reactor fuel, and (3) solids into which such 
liquid wastes have been converted.
    HLW facility means a facility subject to the licensing and related 
regulatory authority of the Commission pursuant to Sections 202(3) and 
202(4) of the Energy Reorganization Act of 1974 (88 Stat. 
1244).1
---------------------------------------------------------------------------

    \1\ These are DOE ``facilities used primarily for the receipt and 
storage of high-level radioactive wastes resulting from activities 
licensed under such Act [the Atomic Energy Act]'' and ``Retrievable 
Surface Storage Facilities and other facilities authorized for the 
express purpose of subsequent long-term storage of high-level 
radioactive wastes generated by [DOE], which are not used for, or are 
part of, research and development activities.''
---------------------------------------------------------------------------

    Host rock means the geologic medium in which the waste is emplaced.
    Important to safety, with reference to structures, systems, and 
components, means those engineered features of the repository whose 
function is:
    (1) To provide reasonable assurance that high-level waste can be 
received, handled, packaged, stored, emplaced, and retrieved without 
exceeding the requirements of Sec. 60.111(a) for Category 1 design basis 
events; or
    (2) To prevent or mitigate Category 2 design basis events that could 
result in doses equal to or greater than the values specified in 
Sec. 60.136 to any individual located on or beyond any point on the 
boundary of the preclosure controlled area.
    Isolation means inhibiting the transport of radioactive material so 
that amounts and concentrations of this material entering the accessible 
environment will be kept within prescribed limits.
    NRC Public Document Room means the facility at 2120 L Street, NW., 
Washington, DC where certain public records of the NRC that were made 
available for public inspection in paper or microfiche prior to the 
implementation of the NRC Agencywide Documents Access and Management 
System, commonly referred to as ADAMS, will remain available for public 
inspection. It is also the place where computer terminals are available 
to access the Electronic Reading Room component of ADAMS on the NRC Web 
site, http://www.nrc.gov, where copies can be made or ordered as set 
forth in Sec. 9.35 of this chapter. The facility is staffed with 
reference librarians to assist the public in identifying and locating 
documents and in using the NRC Web site and ADAMS. The NRC Public 
Document Room is open from 7:45 am to 4:15 pm, Monday through Friday, 
except on Federal holidays. Reference service and access to documents 
may also be requested by telephone (202-634-3273 or 800-397-4209) 
between 8:30 am and 4:15 pm, or by e-mail (PDR@nrc.gov), fax (202-634-
3343), or letter (NRC Public Document Room, LL-6, Washington, DC 20555-
0001).
    NRC Web site, http://www.nrc.gov is the Internet uniform resource 
locator name for the Internet address of the Web site where NRC will 
ordinarily make available its public records for inspection.
    Permanent closure means final backfilling of the underground 
facility and the sealing of shafts and boreholes.
    Performance confirmation means the program of tests, experiments, 
and analyses which is conducted to evaluate the accuracy and adequacy of 
the information used to determine with reasonable assurance that the 
performance objectives for the period after permanent closure will be 
met.
    Postclosure controlled area means a surface location, to be marked 
by suitable monuments, extending horizontally no more than 10 kilometers 
in any direction from the outer boundary of the underground facility, 
and the underlying subsurface, which area has been committed to use as a 
geologic repository and from which incompatible activities would be 
restricted following permanent closure.
    Preclosure controlled area means that surface area surrounding the 
geologic repository operations area for which the licensee exercises 
authority over

[[Page 122]]

its use, in accordance with the provisions of this part, until permanent 
closure has been completed.
    Radioactive waste or waste means HLW and other radioactive materials 
other than HLW that are received for emplacement in a geologic 
repository.
    Restricted area means an area, access to which is limited by the 
licensee for the purpose of protecting individuals against undue risks 
from exposure to radiation and radioactive materials. Restricted area 
does not include areas used as residential quarters, but separate rooms 
in a residential building may be set aside as a restricted area.
    Retrieval means the act of intentionally removing radioactive waste 
from the underground location at which the waste had been previously 
emplaced for disposal.
    Saturated zone means that part of the earth's crust beneath the 
regional water table in which all voids, large and small, are ideally 
filled with water under pressure greater than atmospheric.
    Site means the location of the preclosure controlled area, or of the 
postclosure controlled area, or both.
    Site characterization means the program of exploration and research, 
both in the laboratory and in the field, undertaken to establish the 
geologic conditions and the ranges of those parameters of a particular 
site relevant to the procedures under this part. Site characterization 
includes borings, surface excavations, excavation of exploratory shafts, 
limited subsurface lateral excavations and borings, and in situ testing 
at depth needed to determine the suitability of the site for a geologic 
repository, but does not include preliminary borings and geophysical 
testing needed to decide whether site characterization should be 
undertaken.
    Unanticipated processes and events means those processes and events 
affecting the geologic setting that are judged not to be reasonably 
likely to occur during the period the intended performance objective 
must be achieved, but which are nevertheless sufficiently credible to 
warrant consideration. Unanticipated processes and events may be either 
natural processes or events or processes and events initiated by human 
activities other than those activities licensed under this part. 
Processes and events initiated by human activities may only be found to 
be sufficiently credible to warrant consideration if it is assumed that: 
(1) The monuments provided for by this part are sufficiently permanent 
to serve their intended purpose; (2) the value to future generations of 
potential resources within the site can be assessed adequately under the 
applicable provisions of this part; (3) an understanding of the nature 
of radioactivity, and an appreciation of its hazards, have been retained 
in some functioning institutions; (4) institutions are able to assess 
risk and to take remedial action at a level of social organization and 
technological competence equivalent to, or superior to, that which was 
applied in initiating the processes or events concerned; and (5) 
relevant records are preserved, and remain accessible, for several 
hundred years after permanent closure.
    Underground facility means the underground structure, including 
openings and backfill materials, but excluding shafts, boreholes, and 
their seals.
    Unrestricted area means an area, access to which is neither limited 
nor controlled by the licensee.
    Unsaturated zone means the zone between the land surface and the 
regional water table. Generally, fluid pressure in this zone is less 
than atmospheric pressure, and some of the voids may contain air or 
other gases at atmospheric pressure. Beneath flooded areas or in perched 
water bodies the fluid pressure locally may be greater than atmospheric.
    Waste form means the radioactive waste materials and any 
encapsulating or stabilizing matrix.
    Waste package means the waste form and any containers, shielding, 
packing and other absorbent materials immediately surrounding an 
individual waste container.
    Water table means that surface in a groundwater body at which the 
water pressure is atmospheric.

[48 FR 28217, June 21, 1983, as amended at 50 FR 29647, July 22, 1985; 
51 FR 27162, July 30, 1986; 53 FR 43421, Oct. 27, 1988; 61 FR 64267, 
Dec. 4, 1996; 64 FR 48953, Sept. 9, 1999]

[[Page 123]]



Sec. 60.3  License required.

    (a) DOE shall not receive or possess source, special nuclear, or 
byproduct material at a geologic repository operations area except as 
authorized by a license issued by the Commission pursuant to this part.
    (b) DOE shall not commence construction of a geologic repository 
operations area unless it has filed an application with the Commission 
and has obtained construction authorization as provided in this part. 
Failure to comply with this requirement shall be grounds for denial of a 
license.



Sec. 60.4  Communications and records.

    (a) Except where otherwise specified, all communications and reports 
concerning the regulations in this part and applications filed under 
them should be addressed to the Director of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555. 
Communications reports, and applications may be delivered in person at 
the Commission's offices at 2120 L Street NW., Washington DC, or 11555 
Rockville Pike, Rockville, MD.
    (b) Each record required by this part must be legible throughout the 
retention period specified by each Commission regulation. The record may 
be the original or a reproduced copy or a microform provided that the 
copy or microform is authenticated by authorized personnel and that the 
microform is capable of producing a clear copy throughout the required 
retention period. The record may also be stored in electronic media with 
the capability for producing legible, accurate, and complete records 
during the required retention period. Records such as letters, drawings, 
specifications, must include all pertinent information such as stamps, 
initials, and signatures. The licensee shall maintain adequate 
safeguards against tampering with and loss of records.

[53 FR 19251, May 27, 1988, as amended at 53 FR 43421, Oct. 27, 1988]



Sec. 60.5  Interpretations.

    Except as specifically authorized by the Commission, in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be considered binding upon 
the Commission.



Sec. 60.6  Exemptions.

    The Commission may, upon application by DOE, any interested person, 
or upon its own initiative, grant such exemptions from the requirements 
of the regulations in this part as it determines are authorized by law, 
will not endanger life or property or the common defense and security, 
and are otherwise in the public interest.



Sec. 60.7  License not required for certain preliminary activities.

    The requirement for a license set forth in Sec. 60.3(a) of this part 
is not applicable to the extent that DOE receives and possesses source, 
special nuclear, and byproduct material at a geologic repository:
    (a) For purposes of site characterization; or
    (b) For use, during site characterization or construction, as 
components of radiographic, radiation monitoring, or similar equipment 
or instrumentation.



Sec. 60.8  Information collection requirements: Approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0127.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 60.62, 60.63, and 60.65.

[61 FR 64268, Dec. 4, 1996, as amended at 62 FR 52188, Oct. 6, 1997]

[[Page 124]]



Sec. 60.9  Employee protection.

    (a) Discrimination by a Commission licensee, an applicant for a 
Commission license, or a contractor or subcontractor of a Commission 
licensee or applicant against an employee for engaging in certain 
protected activities is prohibited. Discrimination includes discharge 
and other actions that relate to compensation, terms, conditions, or 
privileges of employment. The protected activities are established in 
section 211 of the Energy Reorganization Act of 1974, as amended, and in 
general are related to the administration or enforcement of a 
requirement imposed under the Atomic Energy Act or the Energy 
Reorganization Act.
    (1) The protected activities include but are not limited to:
    (i) Providing the Commission or his or her employer information 
about alleged violations of either of the statutes named in paragraph 
(a) introductory text of this section or possible violations of 
requirements imposed under either of those statutes;
    (ii) Refusing to engage in any practice made unlawful under either 
of the statutes named in paragraph (a) introductory text or under these 
requirements if the employee has identified the alleged illegality to 
the employer;
    (iii) Requesting the Commission to institute action against his or 
her employer for the administration or enforcement of these 
requirements;
    (iv) Testifying in any Commission proceeding, or before Congress, or 
at any Federal or State proceeding regarding any provision (or proposed 
provision) of either of the statutes named in paragraph (a) introductory 
text.
    (v) Assisting or participating in, or is about to assist or 
participate in, these activities.
    (2) These activities are protected even if no formal proceeding is 
actually initiated as a result of the employee assistance or 
participation.
    (3) This section has no application to any employee alleging 
discrimination prohibited by this section who, acting without direction 
from his or her employer (or the employer's agent), deliberately causes 
a violation of any requirement of the Energy Reorganization Act of 1974, 
as amended, or the Atomic Energy Act of 1954, as amended.
    (b) Any employee who believes that he or she has been discharged or 
otherwise discriminated against by any person for engaging in protected 
activities specified in paragraph (a)(1) of this section may seek a 
remedy for the discharge or discrimination through an administrative 
proceeding in the Department of Labor. The administrative proceeding 
must be initiated within 180 days after an alleged violation occurs. The 
employee may do this by filing a complaint alleging the violation with 
the Department of Labor, Employment Standards Administration, Wage and 
Hour Division. The Department of Labor may order reinstatement, back 
pay, and compensatory damages.
    (c) A violation of paragraph (a), (e), or (f) of this section by a 
Commission licensee, an applicant for a Commission license, or a 
contractor or subcontractor of a Commission licensee or applicant may be 
grounds for--
    (1) Denial, revocation, or suspension of the license.
    (2) Imposition of a civil penalty on the licensee or applicant.
    (3) Other enforcement action.
    (d) Actions taken by an employer, or others, which adversely affect 
an employee may be predicated upon nondiscriminatory grounds. The 
prohibition applies when the adverse action occurs because the employee 
has engaged in protected activities. An employee's engagement in 
protected activities does not automatically render him or her immune 
from discharge or discipline for legitimate reasons or from adverse 
action dictated by nonprohibited considerations.
    (e)(1) Each licensee and each applicant for a license shall 
prominently post the revision of NRC Form 3, ``Notice to Employees,'' 
referenced in 10 CFR 19.11(c). This form must be posted at locations 
sufficient to permit employees protected by this section to observe a 
copy on the way to or from their place of work. Premises must be posted 
not later than 30 days after an application is docketed and remain 
posted while the application is pending before the Commission, during 
the term of the license, and for 30 days following license termination.

[[Page 125]]

    (2) Copies of NRC Form 3 may be obtained by writing to the Regional 
Administrator of the appropriate U.S. Nuclear Regulatory Commission 
Regional Office listed in Appendix D to Part 20 of this chapter or by 
calling the NRC Information and Records Management Branch at 301-415-
7230.
    (f) No agreement affecting the compensation, terms, conditions, or 
privileges of employment, including an agreement to settle a complaint 
filed by an employee with the Department of Labor pursuant to section 
211 of the Energy Reorganization Act of 1974, as amended, may contain 
any provision which would prohibit, restrict, or otherwise discourage an 
employee from participating in protected activity as defined in 
paragraph (a)(1) of this section including, but not limited to, 
providing information to the NRC or to his or her employer on potential 
violations or other matters within NRC's regulatory responsibilities.

[58 FR 52411, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 
FR 6765, Feb. 22, 1996]



Sec. 60.10  Completeness and accuracy of information.

    (a) Information provided to the Commission by an applicant for a 
license or by a licensee or information required by statute or by the 
Commission's regulations, orders, or license conditions to be maintained 
by the applicant or the licensee shall be complete and accurate in all 
material respects.
    (b) Each applicant or licensee shall notify the Commission of 
information identified by the applicant or licensee as having for the 
regulated activity a significant implication for public health and 
safety or common defense and security. An applicant or licensee violates 
this paragraph only if the applicant or licensee fails to notify the 
Commission of information that the applicant or licensee has identified 
as having a significant implication for public health and safety or 
common defense and security. Notification shall be provided to the 
Administrator of the appropriate Regional Office within two working days 
of identifying the information. This requirement is not applicable to 
information which is already required to be provided to the Commission 
by other reporting or updating requirements.

[52 FR 49372, Dec. 31, 1987]



Sec. 60.11  Deliberate misconduct.

    (a) Any licensee, applicant for a license, employee of a licensee or 
applicant; or any contractor (including a supplier or consultant), 
subcontractor, employee of a contractor or subcontractor of any licensee 
or applicant for a license who knowingly provides to any licensee, 
applicant, contractor, or subcontractor, any components, equipment, 
materials, or other goods or services that relate to a licensee's or 
applicant's activities in this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a licensee or applicant to be in violation of 
any rule, regulation, or order; or any term, condition, or limitation of 
any license issued by the Commission; or
    (2) Deliberately submit to the NRC, a licensee, an applicant, or a 
licensee's or applicant's contractor or subcontractor, information that 
the person submitting the information knows to be incomplete or 
inaccurate in some respect material to the NRC.
    (b) A person who violates paragraph (a)(1) or (a)(2) of this section 
may be subject to enforcement action in accordance with the procedures 
in 10 CFR part 2, subpart B.
    (c) For the purposes of paragraph (a)(1) of this section, deliberate 
misconduct by a person means an intentional act or omission that the 
person knows:
    (1) Would cause a licensee or applicant to be in violation of any 
rule, regulation, or order; or any term, condition, or limitation, of 
any license issued by the Commission; or
    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order, or policy of a licensee, 
applicant, contractor, or subcontractor.

[63 FR 1898, Jan. 13, 1998]

[[Page 126]]



                           Subpart B--Licenses

                          Preapplication Review



Sec. 60.15  Site characterization.

    (a) Prior to submittal of an application for a license to be issued 
under this part DOE shall conduct a program of site characterization 
with respect to the site to be described in such application.
    (b) Unless the Commission determines with respect to the site 
described in the application that it is not necessary, site 
characterization shall include a program of in situ exploration and 
testing at the depths that wastes would be emplaced.
    (c) The program of site characterization shall be conducted in 
accordance with the following:
    (1) Investigations to obtain the required information shall be 
conducted in such a manner as to limit adverse effects on the long-term 
performance of the geologic repository to the extent practical.
    (2) The number of exploratory boreholes and shafts shall be limited 
to the extent practical consistent with obtaining the information needed 
for site characterization.
    (3) To the extent practical, exploratory boreholes and shafts in the 
geologic repository operations area shall be located where shafts are 
planned for underground facility construction and operation or where 
large unexcavated pillars are planned.
    (4) Subsurface exploratory drilling, excavation, and in situ testing 
before and during construction shall be planned and coordinated with 
geologic repository operations area design and construction.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28219, June 21, 1983. 
Redesignated and amended at 51 FR 27162, July 30, 1986; 54 FR 27871, 
July 3, 1989]



Sec. 60.16  Site characterization plan required.

    Before proceeding to sink shafts at any area which has been approved 
by the President for site characterization, DOE shall submit to the 
Director, for review and comment, a site characterization plan for such 
area. DOE shall defer the sinking of such shafts until such time as 
there has been an opportunity for Commission comments thereon to have 
been solicited and considered by DOE.

[51 FR 27162, July 30, 1986]



Sec. 60.17  Contents of site characterization plan.

    The site characterization plan shall contain--
    (a) A general plan for site characterization activities to be 
conducted at the area to be characterized, which general plan shall 
include:
    (1) A description of such area, including information on quality 
assurance programs that have been applied to the collection, recording, 
and retention of information used in preparing such description.
    (2) A description of such site characterization activities, 
including the following--
    (i) The extent of planned excavations;
    (ii) Plans for any onsite testing with radioactive material, 
including radioactive tracers, or nonradioactive material;
    (iii) Plans for any investigation activities that may affect the 
capability of such area to isolate high-level radioactive waste;
    (iv) Plans to control any adverse impacts from such site 
characterization activities that are important to safety or that are 
important to waste isolation; and
    (v) Plans to apply quality assurance to data collection, recording, 
and retention.
    (3) Plans for the decontamination and decommissioning of such area, 
and for the mitigation of any significant adverse environmental impacts 
caused by site characterization activities, if such area is determined 
unsuitable for application for a construction authorization for a 
geologic repository operations area;
    (4) Criteria, developed pursuant to section 112(a) of the Nuclear 
Waste Policy Act of 1982, to be used to determine the suitability of 
such area for the location of a geologic repository; and
    (5) Any other information which the Commission, by rule or order, 
requires.
    (b) A description of the possible waste form or waste package for 
the

[[Page 127]]

high-level radioactive waste to be emplaced in such geologic repository, 
a description (to the extent practicable) of the relationship between 
such waste form or waste package and the host rock at such area, and a 
description of the activities being conducted by DOE with respect to 
such possible waste form or waste package or their relationship; and
    (c) A conceptual design for the geologic repository operations area 
that takes into account likely site-specific requirements.

[51 FR 27163, July 30, 1986]



Sec. 60.18  Review of site characterization activities.\2\
---------------------------------------------------------------------------

    \2\ In addition to the review of site characterization activities 
specified in this section, the Commission contemplates an ongoing review 
of other information on site investigation and site characterization, in 
order to allow early identification of potential licensing issues for 
timely resolution. This activity will include, for example, a review of 
the environmental assessments prepared by DOE at the time of site 
nomination, and review of issues related to long lead time exploratory 
shaft planning and procurement actions by DOE prior to issuance of site 
characterization plans.
---------------------------------------------------------------------------

    (a) The Director shall cause to be published in the Federal Register 
a notice that a site characterization plan has been received from DOE 
and that a staff review of such plan has begun. The notice shall 
identify the area to be characterized and the NRC staff members to be 
consulted for further information.
    (b) The Director shall make a copy of the site characterization plan 
available at the Public Document Room. The Director shall also transmit 
copies of the published notice of receipt to the Governor and 
legislature of the State in which the area to be characterized is 
located and to the governing body of any affected Indian Tribe. The 
Director shall provide an opportunity, with respect to any area to be 
characterized, for the State in which such area is located and for 
affected Indian Tribes to present their views on the site 
characterization plan and their suggestions with respect to comments 
thereon which may be made by NRC. In addition, the Director shall make 
NRC staff available to consult with States and affected Indian Tribes as 
provided in Subpart C of this part.
    (c) The Director shall review the site characterization plan and 
prepare a site characterization analysis with respect to such plan. In 
the preparation of such site characterization analysis, the Director may 
invite and consider the views of interested persons on DOE's site 
characterization plan and may review and consider comments made in 
connection with public hearings held by DOE.
    (d) The Director shall provide to DOE the site characterization 
analysis together with such additional comments as may be warranted. 
These comments shall include either a statement that the Director has no 
objection to the DOE's site characterization program, if such a 
statement is appropriate, or specific objections with respect to DOE's 
program for characterization of the area concerned. In addition, the 
Director may make specific recommendations pertinent to DOE's site 
characterization program.
    (e) If DOE's planned site characterization activities include onsite 
testing with radioactive material, including radioactive tracers, the 
Director's comments shall include a determination regarding whether or 
not the Commission concurs that the proposed use of such radioactive 
material is necessary to provide data for the preparation of the 
environmental reports required by law and for an application to be 
submitted under Sec. 60.22 of this part.
    (f) The Director shall publish in the Federal Register a notice of 
availability of the site characterization analysis and a request for 
public comment within a reasonable period, as specified (not less than 
90 days). The notice along with copies of the site characterization 
analysis shall be available at the NRC Web site, http://www.nrc.gov, and 
copies of any comments received will also be made available there.
    (g) During the conduct of site characterization activities, DOE 
shall report not less than once every six months to the Commission on 
the nature and extent of such activities and the information that has 
been developed, and on the progress of waste form and waste

[[Page 128]]

package research and development. The semiannual reports shall include 
the results of site characterization studies, the identification of new 
issues, plans for additional studies to resolve new issues, elimination 
of planned studies no longer necessary, identification of decision 
points reached and modifications to schedules where appropriate. DOE 
shall also report its progress in developing the design of a geologic 
repository operations area appropriate for the area being characterized, 
noting when key design parameters or features which depend upon the 
results of site characterization will be established. Other topics 
related to site characterization shall also be covered if requested by 
the Director.
    (h) During the conduct of site characterization activities, NRC 
staff shall be permitted to visit and inspect the locations at which 
such activities are carried out and to observe excavations, borings, and 
in situ tests as they are done.
    (i) The Director may comment at any time in writing to DOE, 
expressing current views on any aspect of site characterization. In 
particular, such comments shall be made whenever the Director, upon 
review of comments invited on the site characterization analysis or upon 
review of DOE's semiannual reports, determines that there are 
substantial new grounds for making recommendations or stating objections 
to DOE's site characterization program. The Director shall invite public 
comment on any comments which the Director makes to DOE upon review of 
the DOE semiannual reports or on any other comments which the Director 
makes to DOE on site characterization.
    (j) The Director shall transmit copies of the site characterization 
analysis and all comments to DOE made by the Director under this section 
to the Governor and legislature of the State in which the area to be 
characterized is located and to the governing body of any affected 
Indian Tribe. When transmitting the site characterization analysis under 
this paragraph, the Director shall invite the addressees to review and 
comment thereon.
    (k) All correspondence between DOE and the NRC under this section, 
including the reports described in paragraph (g), shall be placed in the 
Public Document Room.
    (l) The activities described in paragraphs (a) through (k) of this 
section constitute informal conference between a prospective applicant 
and the staff, as described in Sec. 2.101(a)(1) of this chapter, and are 
not part of a proceeding under the Atomic Energy Act of 1954, as 
amended. Accordingly, neither the issuance of a site characterization 
analysis nor any other comments of the Director made under this section 
constitutes a commitment to issue any authorization or license or in any 
way affect the authority of the Commission, the Atomic Safety and 
Licensing Appeal Board, Atomic Safety and Licensing Boards, other 
presiding officers, or the Director, in any such proceeding.

[51 FR 27163, July 30, 1986, as amended at 64 FR 48954, Sept. 9, 1999]

                          License Applications



Sec. 60.21  Content of application.

    (a) An application shall consist of general information and a Safety 
Analysis Report. An environmental impact statement shall be prepared in 
accordance with the Nuclear Waste Policy Act of 1982, as amended, and 
shall accompany the application. Any Restricted Data or National 
Security Information shall be separated from unclassified information.
    (b) The general information shall include:
    (1) A general description of the proposed geologic repository 
identifying the location of the geologic repository operations area, the 
general character of the proposed activities, and the basis for the 
exercise of licensing authority by the Commission.
    (2) Proposed schedules for construction, receipt of waste, and 
emplacement of wastes at the proposed geologic repository operations 
area.
    (3) A detailed plan to provide physical protection of high-level 
radioactive waste in accordance with Sec. 73.51 of this chapter. This 
plan must include the design for physical protection, the licensee's 
safeguards contingency plan,

[[Page 129]]

and security organization personnel training and qualification plan. The 
plan must list tests, inspections, audits, and other means to be used to 
demonstrate compliance with such requirements.
    (4) A description of the program to meet the requirements of 
Sec. 60.78.
    (5) A description of site characterization work actually conducted 
by DOE at all sites considered in the application and, as appropriate, 
explanations of why such work differed from the description of the site 
characterization program described in the Site Characterization Report 
for each site.
    (c) The Safety Analysis Report shall include:
    (1) A description and assessment of the site at which the proposed 
geologic repository operations area is to be located with appropriate 
attention to those features of the site that might affect geologic 
repository operations area design and performance. The description of 
the site shall identify the location of the geologic repository 
operations area with respect to the boundary of the accessible 
environment.
    (i) The description of the site shall also include the following 
information regarding subsurface conditions. This description shall, in 
all cases, include this information with respect to the postclosure 
controlled area. In addition, where subsurface conditions outside the 
postclosure controlled area may affect isolation within the postclosure 
controlled area, the description shall include information with respect 
to subsurface conditions outside the postclosure controlled area to the 
extent the information is relevant and material. The detailed 
information referred to in this paragraph shall include:
    (A) The orientation, distribution, aperture in-filling and origin of 
fractures, discontinuities, and heterogeneities;
    (B) The presence and characteristics of other potential pathways 
such as solution features, breccia pipes, or other potentially permeable 
features;
    (C) The geomechanical properties and conditions, including pore 
pressure and ambient stress conditions;
    (D) The hydrogeologic properties and conditions;
    (E) The geochemical properties; and
    (F) The anticipated response of the geomechanical, hydrogeologic, 
and geochemical systems to the maximum design thermal loading, given the 
pattern of fractures and other discontinuities and the heat transfer 
properties of the rock mass and groundwater.
    (ii) The assessment shall contain:
    (A) An analysis of the geology, geophysics, hydrogeology, 
geochemistry, climatology, and meteorology of the site,
    (B) Analyses to determine the degree to which each of the favorable 
and potentially adverse conditions, if present, has been characterized, 
and the extent to which it contributes to or detracts from isolation. 
For the purpose of determining the presence of the potentially adverse 
conditions, investigations shall extend from the surface to a depth 
sufficient to determine critical pathways for radionuclide migration 
from the underground facility to the accessible environment. Potentially 
adverse conditions shall be investigated outside of the postclosure 
controlled area if they affect isolation within the postclosure 
controlled area.
    (C) An evaluation of the performance of the proposed geologic 
repository for the period after permanent closure, assuming anticipated 
processes and events, giving the rates and quantities of releases of 
radionuclides to the accessible environment as a function of time; and a 
similar evaluation which assumes the occurrence of unanticipated 
processes and events.
    (D) The effectiveness of engineered and natural barriers, including 
barriers that may not be themselves a part of the geologic repository 
operations area, against the release of radioactive material to the 
environment. The analysis shall also include a comparative evaluation of 
alternatives to the major design features that are important to waste 
isolation, with particular attention to the alternatives that would 
provide longer radionuclide containment and isolation.
    (E) An analysis of the performance of the major design structures, 
systems, and components, both surface and subsurface, to identify those 
that are important to safety. For the purposes of this analysis, it 
shall be assumed that

[[Page 130]]

operations at the geologic repository operations area will be carried 
out at the maximum capacity and rate of receipt of radioactive waste 
stated in the application.
    (F) An explanation of measures used to support the models used to 
perform the assessments required in paragraphs (A) through (D). Analyses 
and models that will be used to predict future conditions and changes in 
the geologic setting shall be supported by using an appropriate 
combination of such methods as field tests, in situ tests, laboratory 
tests which are representative of field conditions, monitoring data, and 
natural analog studies.
    (2) A description and discussion of the design, both surface and 
subsurface, of the geologic repository operations area including: (i) 
the principal design criteria and their relationship to any general 
performance objectives promulgated by the Commission, (ii) the design 
bases and the relation of the design bases to the principal design 
criteria, (iii) information relative to materials of construction 
(including geologic media, general arrangement, and approximate 
dimensions), and (iv) codes and standards that DOE proposes to apply to 
the design and construction of the geologic repository operations area.
    (3) A description and analysis of the design and performance 
requirements for structures, systems, and components of the geologic 
repository that are important to safety. The analysis must include a 
demonstration that--
    (i) The requirements of Sec. 60.111(a) will be met, assuming 
occurrence of Category 1 design basis events; and
    (ii) The requirements of Sec. 60.136 will be met, assuming 
occurrence of Category 2 design basis events.
    (4) A description of the quality assurance program to be applied to 
the structures, systems, and components important to safety and to the 
engineered and natural barriers important to waste isolation.
    (5) A description of the kind, amount, and specifications of the 
radioactive material proposed to be received and possessed at the 
geologic repository operations area.
    (6) An identification and justification for the selection of those 
variables, conditions, or other items which are determined to be 
probable subjects of license specifications. Special attention shall be 
given to those items that may significantly influence the final design.
    (7) A description of the program for control and monitoring of 
radioactive effluents and occupational radiation exposures to maintain 
such effluents and exposures in accordance with the requirements of part 
20 of this chapter.
    (8) A description of the controls that the applicant will apply to 
restrict access and to regulate land use at the site and adjacent areas, 
including a conceptual design of monuments which would be used to 
identify the postclosure controlled area after permanent closure.
    (9) Plans for coping with radiological emergencies at any time prior 
to permanent closure and decontamination or dismantlement of surface 
facilities.
    (10) A description of the program to be used to maintain the records 
described in Secs. 60.71 and 60.72.
    (11) A description of design considerations that are intended to 
facilitate permanent closure and decontamination or dismantlement of 
surface facilities.
    (12) A description of plans for retrieval and alternate storage of 
the radioactive wastes should the geologic repository prove to be 
unsuitable for disposal of radioactive wastes.
    (13) An identification and evaluation of the natural resources of 
the geologic setting, including estimates as to undiscovered deposits, 
the exploitation of which could affect the ability of the geologic 
repository to isolate radioactive wastes. Undiscovered deposits of 
resources characteristic of the area shall be estimated by reasonable 
inference based on geological and geophysical evidence. This evaluation 
of resources, including undiscoverd deposits, shall be conducted for the 
site and for areas of similar size that are representative of and are 
within the geologic setting. For natural resources with current markets 
the resources shall be assessed, with estimates provided of both gross 
and net value. The estimate of net value shall take into account current 
development, extraction and marketing costs. For natural

[[Page 131]]

resources without current markets, but which would be marketable given 
credible projected changes in economic or technological factors, the 
resources shall be described by physical factors such as tonnage or 
other amount, grade, and quality.
    (14) An identification of those structures, systems, and components 
of the geologic repository, both surface and subsurface, which require 
research and development to confirm the adequacy of design. For 
structures, systems, and components important to safety and for the 
engineered and natural barriers important to waste isolation, DOE shall 
provide a detailed description of the programs designed to resolve 
safety questions, including a schedule indicating when these questions 
would be resolved.
    (15) The following information concerning activities at the geologic 
repository operations area:
    (i) The organizational structure of DOE as it pertains to 
construction and operation of the geologic repository operations area 
including a description of any delegations of authority and assignments 
of responsibilities, whether in the form of regulations, administrative 
directives, contract provisions, or otherwise.
    (ii) Identification of key positions which are assigned 
responsibility for safety at and operation of the geologic repository 
operations area.
    (iii) Personnel qualifications and training requirements.
    (iv) Plans for startup activities and startup testing.
    (v) Plans for conduct of normal activities, including maintenance, 
surveillance, and periodic testing of structures, systems, and 
components of the geologic repository operation area.
    (vi) Plans for permanent closure and plans for the decontamination 
or dismantlement of surface facilities.
    (vii) Plans for any uses of the geologic repository operations area 
for purposes other than disposal of radioactive wastes, with an analysis 
of the effects, if any, that such uses may have upon the operation of 
the structures, systems, and components important to safety and the 
engineered and natural barriers important to waste isolation.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28219, June 21, 1983; 
54 FR 27871, July 3, 1989; 61 FR 64268, Dec. 4, 1996; 63 FR 26961, May 
15, 1998]



Sec. 60.22  Filing and distribution of application.

    (a) An application for a license to receive and possess source, 
special nuclear, or byproduct material at a geologic repository 
operations area at a site which has been characterized, and any 
amendments thereto, and an accompanying environmental impact statement 
and any supplements, shall be signed by the Secretary of Energy or the 
Secretary's authorized representative and shall be filed in triplicate 
with the Director.
    (b) Each portion of such application and any amendments, and each 
environmental impact statement and any supplements, shall be accompanied 
by 30 additional copies. Another 120 copies shall be retained by DOE for 
distribution in accordance with written instructions from the Director 
or the Director's designee.
    (c) DOE shall, upon notification of the appointment of an Atomic 
Safety and Licensing Board, update the application, eliminating all 
superseded information, and supplement the environmental impact 
statement if necessary, and serve the updated application and 
environmental impact statement (as it may have been supplemented) as 
directed by the Board. At that time DOE shall also serve one such copy 
of the application and environmental impact statement on the Atomic 
Safety and Licensing Appeal Panel. Any subsequent amendments to the 
application or supplements to the environmental impact statement shall 
be served in the same manner.
    (d) At the time of filing of an application and any amendments 
thereto, one copy shall be made available in an appropriate location 
near the proposed geologic repository operations area (which shall be a 
public document room, if one has been established) for inspection by the 
public and updated as amendments to the application are made. The 
environmental impact

[[Page 132]]

statement and any supplements thereto shall be made available in the 
same manner. An updated copy of the application, and the environmental 
impact statement and supplements, shall be produced at any public 
hearing held by the Commission on the application, for use by any party 
to the proceeding.
    (e) The DOE shall certify that the updated copies of the 
application, and the environmental impact statement as it may have been 
supplemented, as referred to in paragraphs (c) and (d) of this section, 
contain the current contents of such documents submitted in accordance 
with the requirements of this part.

[54 FR 27871, July 3, 1989]



Sec. 60.23  Elimination of repetition.

    In its application, environmental report, or Site Characterization 
Report, the DOE may incorporate by reference information contained in 
previous applications, statements, or reports filed with the Commission: 
Provided, That such references are clear and specific and that copies of 
the information so incorporated are available in the public document 
room located near the site of the proposed geologic repository.



Sec. 60.24  Updating of application and environmental impact statement.

    (a) The application shall be as complete as possible in the light of 
information that is reasonably available at the time of docketing.
    (b) The DOE shall update its application in a timely manner so as to 
permit the Commission to review, prior to issuance of a license:
    (1) Additional geologic, geophysical, geochemical, hydrologic, 
meteorologic and other data obtained during construction.
    (2) Conformance of construction of structures, systems, and 
components with the design.
    (3) Results of research programs carried out to confirm the adequacy 
of designs.
    (4) Other information bearing on the Commission's issuance of a 
license that was not available at the time a construction authorization 
was issued.
    (c) The DOE shall supplement its environmental impact statement in a 
timely manner so as to take into account the environmental impacts of 
any substantial changes in its proposed actions or any significant new 
circumstances or information relevant to environmental concerns and 
bearing on the proposed action or its impacts.

[46 FR 13980, Feb. 25, 1981, as amended at 54 FR 27872, July 3, 1989]

                       Construction Authorization



Sec. 60.31  Construction authorization.

    Upon review and consideration of an application and environmental 
impact statement submitted under this part, the Commission may authorize 
construction if it determines:
    (a) Safety. That there is reasonable assurance that the types and 
amounts of radioactive materials described in the application can be 
received, possessed, and disposed of in a geologic repository operations 
area of the design proposed without unreasonable risk to the health and 
safety of the public. In arriving at this determination, the Commission 
shall consider whether:
    (1) DOE has described the proposed geologic repository including but 
not limited to: (i) The geologic, geophysical, geochemical and 
hydrologic characteristics of the site; (ii) the kinds and quantities of 
radioactive waste to be received, possessed, stored, and disposed of in 
the geologic repository operations area; (iii) the principal 
architectural and engineering criteria for the design of the geologic 
repository operations area; (iv) construction procedures which may 
affect the capability of the geologic repository to serve its intended 
function; and (v) features or components incorporated in the design for 
the protection of the health and safety of the public.
    (2) The site and design comply with the performance objectives and 
criteria contained in Subpart E of this part.
    (3) The DOE's quality assurance program complies with the 
requirements of Subpart G of this part.
    (4) The DOE's personnel training program complies with the criteria 
contained in Subpart H of this part.
    (5) The DOE's emergency plan complies with the criteria contained in 
Subpart I of this part.
    (6) The DOE's proposed operating procedures to protect health and to

[[Page 133]]

minimize danger to life or property are adequate.
    (b) Common defense and security. That there is reasonable assurance 
that the activities proposed in the application will not be inimical to 
the common defense and security.
    (c) Environmental. That, after weighing the environmental, economic, 
technical and other benefits against environmental costs and considering 
available alternatives, the action called for is issuance of the 
construction authorization, with any appropriate conditions to protect 
environmental values.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28220, June 21, 1983; 
54 FR 27872, July 3, 1989; 63 FR 26961, May 15, 1998]



Sec. 60.32  Conditions of construction authorization.

    (a) A construction authorization shall include such conditions as 
the Commission finds to be necessary to protect the health and safety of 
the public, the common defense and security, or environmental values.
    (b) The Commission will incorporate in the construction 
authorization provisions requiring DOE to furnish periodic or special 
reports regarding: (1) Progress of construction, (2) any data about the 
site obtained during construction which are not within the predicted 
limits upon which the facility design was based, (3) any deficiencies in 
design and construction which, if uncorrected, could adversely affect 
safety at any future time, and (4) results of research and development 
programs being conducted to resolve safety questions.
    (c) The construction authorization will include restrictions on 
subsequent changes to the features of the geologic repository and the 
procedures authorized. The restrictions that may be imposed under this 
paragraph can include measures to prevent adverse effects on the 
geologic setting as well as measures related to the design and 
construction of the geologic repository operations area. These 
restrictions will fall into three categories of descending importance to 
public health and safety as follows: (1) Those features and procedures 
which may not be changed without: (i) 60 days prior notice to the 
Commission (ii) 30 days notice of opportunity for a prior hearing, and 
(iii) prior Commission approval; (2) those features and procedures which 
may not be changed without (i) 60 days prior notice to the Commission, 
and (ii) prior Commission approval; and (3) those features and 
procedures which may not be changed without 60 days notice to the 
Commission. Features and procedures falling in paragraph (c)(3) of this 
section may not be changed without prior Commission approval if the 
Commission, after having received the required notice, so orders.
    (d) A construction authorization shall be subject to the limitation 
that a license to receive and possess source, special nuclear, or 
byproduct material at the geologic repository operations area shall not 
be issued by the Commission until (1) the DOE has updated its 
application as specified in Sec. 60.24, and (2) the Commission has made 
the findings stated in Sec. 60.41.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983]



Sec. 60.33  Amendment of construction authorization.

    (a) An application for amendment of a construction authorization 
shall be filed with the Commission fully describing any changes desired 
and following as far as applicable the format prescribed in Sec. 60.21.
    (b) In determining whether an amendment of a construction 
authorization will be approved, the Commission will be guided by the 
considerations which govern the issuance of the initial construction 
authorization, to the extent applicable.

                     License Issuance and Amendment



Sec. 60.41  Standards for issuance of a license.

    A license to receive and possess source, special nuclear, or 
byproduct material at a geologic repository operations area may be 
issued by the Commission upon finding that:
    (a) Construction of the geologic repository operations area has been 
substantially completed in conformity with the application as amended, 
the provisions of the Atomic Energy Act, and the rules and regulations 
of the Commission. Construction may be

[[Page 134]]

deemed to be substantially complete for the purposes of this paragraph 
if the construction of (1) surface and interconnecting structures, 
systems, and components, and (2) any underground storage space required 
for initial operation are substantially complete.
    (b) The activities to be conducted at the geologic repository 
operations area will be in conformity with the application as amended, 
the provisions of the Atomic Energy Act and the Energy Reorganization 
Act, and the rules and regulations of the Commission.
    (c) The issuance of the license will not be inimical to the common 
defense and security and will not constitute an unreasonable risk to the 
health and safety of the public.
    (d) All applicable requirements of part 51 have been satisfied.

[46 FR 13980, Feb. 25, 1981, as amended at 63 FR 26961, May 15, 1998]



Sec. 60.42  Conditions of license.

    (a) A license issued pursuant to this part shall include such 
conditions, including license specifications, as the Commission finds to 
be necessary to protect the health and safety of the public, the common 
defense and security, and environmental values.
    (b) Whether stated therein or not, the following shall be deemed 
conditions in every license issued:
    (1) The license shall be subject to revocation, suspension, 
modification, or amendment for cause as provided by the Atomic Energy 
Act and the Commission's regulations.
    (2) The DOE shall at any time while the license is in effect, upon 
written request of the Commission, submit written statements to enable 
the Commission to determine whether or not the license should be 
modified, suspended or revoked.
    (3) The license shall be subject to the provisions of the Atomic 
Energy Act now or hereafter in effect and to all rules, regulations, and 
orders of the Commission. The terms and conditions of the license shall 
be subject to amendment, revision, or modification, by reason of 
amendments to or by reason of rules, regulations, and orders issued in 
accordance with the terms of the Atomic Energy Act.
    (c) Each license shall be deemed to contain the provisions set forth 
in Section 183 b-d, inclusive, of the Atomic Energy Act, whether or not 
these provisions are expressly set forth in the license.



Sec. 60.43  License specification.

    (a) A license issued under this part shall include license 
conditions derived from the analyses and evaluations included in the 
application, including amendments made before a license is issued, 
together with such additional conditions as the Commission finds 
appropriate.
    (b) License conditions shall include items in the following 
categories:
    (1) Restrictions as to the physical and chemical form and 
radioisotopic content of radioactive waste.
    (2) Restrictions as to size, shape, and materials and methods of 
construction of radioactive waste packaging.
    (3) Restrictions as to the amount of waste permitted per unit volume 
of storage space considering the physical characteristics of both the 
waste and the host rock.
    (4) Requirements relating to test, calibration, or inspection to 
assure that the foregoing restrictions are observed.
    (5) Controls to be applied to restricted access and to avoid 
disturbance to the postclosure controlled area and to areas outside the 
controlled area where conditions may affect isolation within the 
controlled area.
    (6) Administrative controls, which are the provisions relating to 
organization and management, procedures, recordkeeping, review and 
audit, and reporting necessary to assure that activities at the facility 
are conducted in a safe manner and in conformity with the other license 
specifications.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983; 
61 FR 64268, Dec. 4, 1996]



Sec. 60.44  Changes, tests, and experiments.

    (a)(1) Following authorization to receive and possess source, 
special nuclear, or byproduct material at a geologic repository 
operations area, the

[[Page 135]]

DOE may (i) make changes in the geologic repository operations area as 
described in the application, (ii) make changes in the procedures as 
described in the application, and (iii) conduct tests or experiments not 
described in the application, without prior Commission approval, 
provided the change, test, or experiment involves neither a change in 
the license conditions incorporated in the license nor an unreviewed 
safety question.
    (2) A proposed change, test, or experiment shall be deemed to 
involve an unreviewed safety question if (i) the likelihood of 
occurrence or the consequences of an accident or malfunction of 
equipment important to safety previously evaluated in the application is 
increased, (ii) the possibility of an accident or malfunction of a 
different type than any previously evaluated in the application is 
created, or (iii) the margin of safety as defined in the basis for any 
license condition is reduced.
    (b) The DOE shall maintain records of changes in the geologic 
repository operations area and of changes in procedures made pursuant to 
this section, to the extent that such changes constitute changes in the 
geologic repository operations area or procedures as described in the 
application. Records of tests and experiments carried out pursuant to 
paragraph (a) of this section shall also be maintained. These records 
shall include a written safety evaluation which provides the basis for 
the determination that the change, test, or experiment does not involve 
an unreviewed safety question. The DOE shall prepare annually, or at 
such shorter intervals as may be specified in the license, a report 
containing a brief description of such changes, tests, and experiments, 
including a summary of the safety evaluation of each. The DOE shall 
furnish the report to the appropriate NRC Regional Office shown in 
Appendix D of part 20 of this chapter with a copy to the Director, 
Office of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, D.C. 20555. Any report submitted 
pursuant to this paragraph shall be made a part of the public record of 
the licensing proceedings.

[46 FR 13980, Feb. 25, 1981, as amended at 52 FR 31612, Aug. 21, 1987]



Sec. 60.45  Amendment of license.

    (a) An application for amendment of a license may be filed with the 
Commission fully describing the changes desired and following as far as 
applicable the format prescribed for license applications.
    (b) In determining whether an amendment of a license will be 
approved, the Commission will be guided by the considerations that 
govern the issuance of the initial license, to the extent applicable.



Sec. 60.46  Particular activities requiring license amendment.

    (a) Unless expressly authorized in the license, an amendment of the 
license shall be required with respect to any of the following 
activities:
    (1) Any action which would make emplaced high-level radioactive 
waste irretrievable or which would substantially increase the difficulty 
of retrieving such emplaced waste.
    (2) Dismantling of structures.
    (3) Removal or reduction of controls applied to restrict access to 
or avoid disturbance of the controlled area and to areas outside the 
postclosure controlled area where conditions may affect isolation within 
the controlled area.
    (4) Destruction or disposal of records required to be maintained 
under the provisions of this part.
    (5) Any substantial change to the design or operating procedures 
from that specified in the license.
    (6) Permanent closure.
    (7) Any other activity involving an unreviewed safety question.
    (b) An application for such an amendment shall be filed, and shall 
be reviewed, in accordance with the provisions of Sec. 60.45.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983; 
61 FR 64268, Dec. 4, 1996]

[[Page 136]]

                            Permanent Closure



Sec. 60.51  License amendment for permanent closure.

    (a) DOE shall submit an application to amend the license prior to 
permanent closure. The submission shall consist of an update of the 
license application submitted under Secs. 60.21 and 60.22, including:
    (1) A description of the program for post-permanent closure 
monitoring of the geologic repository.
    (2) A detailed description of the measures to be employed--such as 
land use controls, construction of monuments, and preservation of 
records--to regulate or prevent activities that could impair the long-
term isolation of emplaced waste within the geologic repository and to 
assure that relevant information will be preserved for the use of future 
generations. As a minimum, such measures shall include:
    (i) Identification of the postclosure controlled area and geologic 
repository operations area by monuments that have been designed, 
fabricated, and emplaced to be as permanent as is practicable; and
    (ii) Placement of records in the archives and land record systems of 
local State, and Federal government agencies, and archives elsewhere in 
the world, that would be likely to be consulted by potential human 
intruders--such records to identify the location of the geologic 
repository operations area, including the underground facility, 
boreholes and shafts, and the boundaries of the postclosure controlled 
area, and the nature and hazard of the waste.
    (3) Geologic, geophysical, geochemical, hydrologic, and other site 
data that are obtained during the operational period pertinent to the 
long-term isolation of emplaced radioactive wastes.
    (4) The results of tests, experiments, and any other analyses 
relating to backfill of excavated areas, shaft sealing, waste 
interaction with the host rock, and any other tests, experiments, or 
analyses pertinent to the long-term isolation of emplaced wastes within 
the geologic repository.
    (5) Any substantial revision of plans for permanent closure.
    (6) Other information bearing upon permanent closure that was not 
available at the time a license was issued.
    (b) If necessary, so as to take into account the environmental 
impact of any substantial changes in the permanent closure activities 
proposed to be carried out or any significant new information regarding 
the environmental impacts of such closure, DOE shall also supplement its 
environmental impact statement and submit such statement, as 
supplemented, with the application for license amendment.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983; 
54 FR 27872, July 3, 1989; 61 FR 64268, Dec. 4, 1996]



Sec. 60.52  Termination of license.

    (a) Following permanent closure and the decontamination or 
dismantlement of surface facilities, DOE may apply for an amendment to 
terminate the license.
    (b) Such application shall be filed, and will be reviewed, in 
accordance with the provisions of Sec. 60.45 and this section.
    (c) A license shall be terminated only when the Commission finds 
with respect to the geologic repository:
    (1) That the final disposition of radioactive wastes has been made 
in conformance with the DOE's plan, as amended and approved as part of 
the license.
    (2) That the final state of the geologic repository operations area 
conforms to DOE's plans for permanent closure and DOE's plans for the 
decontamination or dismantlement of surface facilities, as amended and 
approved as part of the license.
    (3) That the termination of the license is authorized by law, 
including sections 57, 62, and 81 of the Atomic Energy Act, as amended.

[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28222, June 21, 1983]



Subpart C--Participation by State Governments and Affected Indian Tribes

    Source: 51 FR 27164, July 30, 1986, unless otherwise noted.

[[Page 137]]



Sec. 60.61  Provision of information.

    (a) The Director shall provide to the Governor and legislature of 
any State in which a geologic repository operations area is or may be 
located, and to the governing body of any affected Indian Tribe, timely 
and complete information regarding determinations or plans made by the 
Commission with respect to the site characterization, siting, 
development, design, licensing, construction, operation, regulation, 
permanent closure, or decontamination and dismantlement of surface 
facilities, of such geologic repository operations area.
    (b) For purposes of this section, a geologic repository operations 
area shall be considered to be one which ``may be located'' in a State 
if the location thereof in such State has been described in a site 
characterization plan submitted to the Commission under this part.
    (c) Notwithstanding paragraph (a) of this section, the Director is 
not required to distribute any document to any entity if, with respect 
to such document, that entity or its counsel is included on a service 
list prepared pursuant to part 2 of this chapter.
    (d) Copies of all communications by the Director under this section 
are available at the NRC Web site, http://www.nrc.gov, and/or at the NRC 
Public Document Room, and copies are furnished to DOE.

[51 FR 27164, July 30, 1986, as amended at 64 FR 48954, Sept. 9, 1999]



Sec. 60.62  Site review.

    (a) Whenever an area has been approved by the President for site 
characterization, and upon request of a State or an affected Indian 
Tribe, the Director shall make NRC staff available to consult with 
representatives of such States and Tribes.
    (b) Requests for consultation shall be made in writing to the 
Director.
    (c) Consultation under this section may include:
    (1) Keeping the parties informed of the Director's views on the 
progress of site characterization.
    (2) Review of applicable NRC regulations, licensing procedures, 
schedules, and opportunities for State and Tribe participation in the 
Commission's regulatory activities.
    (3) Cooperation in development of proposals for State and Tribe 
participation in license reviews.



Sec. 60.63  Participation in license reviews.

    (a) State and local governments and affected Indian Tribes may 
participate in license reviews as provided in subpart G of part 2 of 
this chapter. A State in which a repository for high-level radioactive 
waste is proposed to be located and any affected Indian Tribe shall have 
an unquestionable legal right to participate as a party in such 
proceedings.
    (b) In addition, whenever an area has been approved by the President 
for site characterization, a State or an affected Indian Tribe may 
submit to the Director a proposal to facilitate its participation in the 
review of a site characterization plan and/or license application. The 
proposal may be submitted at any time and must contain a description and 
schedule of how the State or affected Indian Tribe wishes to participate 
in the review, or what services or activities the State or affected 
Indian Tribe wishes NRC to carry out, and how the services or activities 
proposed to be carried out by NRC would contribute to such 
participation. The proposal may include educational or information 
services (seminars, public meetings) or other actions on the part of 
NRC, such as employment or exchange of State personnel under the 
Intergovernmental Personnel Act.
    (c) The Director shall arrange for a meeting between the 
representatives of the State or affected Indian Tribe and the NRC staff 
to discuss any proposal submitted under paragraph (b) of this section, 
with a view to identifying any modifications that may contribute to the 
effective participation by such State or Tribe.
    (d) Subject to the availability of funds, the Director shall approve 
all or any part of a proposal, as it may be modified through the meeting 
described above, if it is determined that:
    (1) The proposed activities are suitable in light of the type and 
magnitude of impacts which the State or affected Indian Tribe may bear;

[[Page 138]]

    (2) The proposed activities:
    (i) Will enhance communications between NRC and the State or 
affected Indian Tribe;
    (ii) Will make a productive and timely contribution to the review; 
and
    (iii) Are authorized by law.
    (e) The Director will advise the State or affected Indian Tribe 
whether its proposal has been accepted or denied, and if all or any part 
of proposal is denied, the Director shall state the reason for the 
denial.
    (f) Proposals submitted under this section, and responses thereto, 
shall be made available at the NRC Web site, http://www.nrc.gov, and/or 
at the NRC Public Document Room.

[51 FR 27164, July 30, 1986, as amended at 64 FR 48954, Sept. 9, 1999]



Sec. 60.64  Notice to States.

    If the Governor and legislature of a State have jointly designated 
on their behalf a single person or entity to receive notice and 
information from the Commission under this part, the Commission will 
provide such notice and information to the jointly designated person or 
entity instead of the Governor and legislature separately.



Sec. 60.65  Representation.

    Any person who acts under this subpart as a representative for a 
State (or for the Governor or legislature thereof) or for an affected 
Indian Tribe shall include in the request or other submission, or at the 
request of the Commission, a statement of the basis of his or her 
authority to act in such representative capacity.



           Subpart D--Records, Reports, Tests, and Inspections



Sec. 60.71  Records and reports.

    (a) DOE shall maintain such records and make such reports in 
connection with the licensed activity as may be required by the 
conditions of the license or by rules, regulations, and orders of the 
Commission as authorized by the Atomic Energy Act and the Energy 
Reorganization Act.
    (b) Records of the receipt, handling, and disposition of radioactive 
waste at a geologic repository operations area shall contain sufficient 
information to provide a complete history of the movement of the waste 
from the shipper through all phases of storage and disposal. DOE shall 
retain these records in a manner that ensures their useability for 
future generations in accordance with Sec. 60.51(a)(2).

[48 FR 28222, June 21, 1983, as amended at 53 FR 19251, May 27, 1988]



Sec. 60.72  Construction records.

    (a) DOE shall maintain records of construction of the geologic 
repository operations area in a manner that ensures their useability for 
future generations in accordance with Sec. 60.51(a)(2).
    (b) The records required under paragraph (a) shall include at least 
the following:
    (1) Surveys of the underground facility excavations, shafts, and 
boreholes referenced to readily identifiable surface features or 
monuments;
    (2) A description of the materials encountered;
    (3) Geologic maps and geologic cross sections;
    (4) Locations and amount of seepage;
    (5) Details of equipment, methods, progress, and sequence of work;
    (6) Construction problems;
    (7) Anomalous conditions encountered;
    (8) Instrument locations, readings, and analysis;
    (9) Location and description of structural support systems;
    (10) Location and description of dewatering systems; and
    (11) Details, methods of emplacement, and location of seals used.

[48 FR 28222, June 21, 1983, as amended at 53 FR 19251, May 27, 1988]



Sec. 60.73  Reports of deficiencies.

    DOE shall promptly notify the Commission of each deficiency found in 
the characteristics of the site, and design and construction of the 
geologic repository operations area which, were it to remain 
uncorrected, could: (a) Be a substantial safety hazard, (b) represent a 
significant deviation from the design criteria and design bases stated 
in the application, or (c) represent a deviation from the conditions 
stated in the terms of a construction authorization

[[Page 139]]

or the license, including license specifications. The notification shall 
be in the form of a written report, copies of which shall be sent to the 
Director and to the appropriate Nuclear Regulatory Commission Regional 
Office listed in appendix D of part 20 of this chapter.

[48 FR 28222, June 21, 1983]



Sec. 60.74  Tests.

    (a) DOE shall perform, or permit the Commission to perform, such 
tests as the Commission deems appropriate or necessary for the 
administration of the regulations in this part. These may include tests 
of:
    (1) Radioactive waste,
    (2) The geologic repository including its structures, systems, and 
components,
    (3) Radiation detection and monitoring instruments, and
    (4) Other equipment and devices used in connection with the receipt, 
handling, or storage of radioactive waste.
    (b) The tests required under this section shall include a 
performance confirmation program carried out in accordance with subpart 
F of this part.

[48 FR 28222, June 21, 1983]



Sec. 60.75  Inspections.

    (a) DOE shall allow the Commission to inspect the premises of the 
geologic repository operations area and adjacent areas to which DOE has 
rights of access.
    (b) DOE shall make available to the Commission for inspection, upon 
reasonable notice, records kept by DOE pertaining to activities under 
this part.
    (c)(1) DOE shall upon requests by the Director, Office of Nuclear 
Material Safety and Safeguards, provide rent-free office space for the 
exclusive use of the Commission inspection personnel. Heat, air-
conditioning, light, electrical outlets and janitorial services shall be 
furnished by DOE. The office shall be convenient to and have full access 
to the facility and shall provide the inspector both visual and acoustic 
privacy.
    (2) The space provided shall be adequate to accommodate a full-time 
inspector, a part-time secretary and transient NRC personnel and will be 
generally commensurate with other office facilities at the geologic 
repository operations area. A space of 250 square feet either within the 
geologic repository operations area's office complex or in an office 
trailer or other onsite space at the geologic repository operations area 
is suggested as a guide. For locations at which activities are carried 
out under licenses issued under other parts of this chapter, additional 
space may be requested to accomodate additional full-time inspectors. 
The Office space that is provided shall be subject to the approval of 
the Director, Office of Nuclear Material Safety and Safeguards. All 
furniture, supplies and communication equipment will be furnished by the 
Commission.
    (3) DOE shall afford any NRC resident inspector assigned to that 
location, or other NRC inspectors identified by the Regional 
Administrator as likely to inspect the facility, immediate unfettered 
access, equivalent to access provided regular employees, following 
proper identification and compliance with applicable access control 
measures for security, radiological protection and personal safety.

[48 FR 28222, June 21, 1983, as amended at 52 FR 31612, Aug. 21, 1987]



Sec. 60.78  Material control and accounting records and reports.

    DOE shall implement a program of material control and accounting 
(and accidental criticality reporting) that is the same as that 
specified in Secs. 72.72, 72.74, 72.76, and 72.78 of this chapter.

[63 FR 26961, May 15, 1998]



                      Subpart E--Technical Criteria

    Source: 48 FR 28222, June 21, 1983, unless otherwise noted.



Sec. 60.101  Purpose and nature of findings.

    (a)(1) Subpart B of this part prescribes the standards for issuance 
of a license to receive and possess source, special nuclear, or 
byproduct material at a geologic repository operations area. In 
particular, Sec. 60.41(c) requires a finding that the issuance of a 
license will not constitute an unreasonable risk to the health and 
safety of the public. The purpose of this subpart is

[[Page 140]]

to set out performance objectives and site and design criteria which, if 
satisfied, will support such a finding of no unreasonable risk.
    (2) While these performance objectives and criteria are generally 
stated in unqualified terms, it is not expected that complete assurance 
that they will be met can be presented. A reasonable assurance, on the 
basis of the record before the Commission, that the objectives and 
criteria will be met is the general standard that is required. For 
Sec. 60.112, and other portions of this subpart that impose objectives 
and criteria for repository performance over long times into the future, 
there will inevitably be greater uncertainties. Proof of the future 
performance of engineered barrier systems and the geologic setting over 
time periods of many hundreds or many thousands of years is not to be 
had in the ordinary sense of the word. For such long-term objectives and 
criteria, what is required is reasonable assurance, making allowance for 
the time period, hazards, and uncertainties involved, that the outcome 
will be in conformance with those objectives and criteria. Demonstration 
of compliance with such objectives and criteria will involve the use of 
data from accelerated tests and predictive models that are supported by 
such measures as field and laboratory tests, monitoring data and natural 
analog studies.
    (b) Subpart B of this part also lists findings that must be made in 
support of an authorization to construct a geologic repository 
operations area. In particular, Sec. 60.31(a) requires a finding that 
there is reasonable assurance that the types and amounts of radioactive 
materials described in the application can be received, possessed, and 
disposed of in a geologic repository operations area of the design 
proposed without unreasonable risk to the health and safety of the 
public. As stated in that paragraph, in arriving at this determination, 
the Commission will consider whether the site and design comply with the 
criteria contained in this subpart. Once again, while the criteria may 
be written in unqualified terms, the demonstration of compliance may 
take uncertainties and gaps in knowledge into account, provided that the 
Commission can make the specified finding of reasonable assurance as 
specified in paragraph (a) of this section.



Sec. 60.102  Concepts.

    This section provides a functional overview of subpart E. In the 
event of any inconsistency with definitions found in Sec. 60.2, those 
definitions shall prevail.
    (a) The HLW facility. NRC exercises licensing and related regulatory 
authority over those facilities described in section 202 (3) and (4) of 
the Energy Reorganization Act of 1974. Any of these facilities is 
designated a HLW facility.
    (b) The geologic repository operations area. (1) This part deals 
with the exercise of authority with respect to a particular class of HLW 
facility--namely a geologic repository operations area.
    (2) A geologic repository operations area consists of those surface 
and subsurface areas that are part of a geologic repository where 
radioactive waste handling activities are conducted. The underground 
structure, including openings and backfill materials, but excluding 
shafts, boreholes, and their seals, is designated the underground 
facility.
    (3) The exercise of Commission authority requires that the geologic 
repository operations area be used for storage (which includes disposal) 
of high-level radioactive wastes (HLW).
    (4) HLW includes irradiated reactor fuel as well as reprocessing 
wastes. However, if DOE proposes to use the geologic repository 
operations area for storage of radioactive waste other than HLW, the 
storage of this radioactive waste is subject to the requirements of this 
part.
    (c) Areas related to isolation. Although the activities subject to 
regulation under this part are those to be carried out at the geologic 
repository operations area, the licensing process also considers 
characteristics of adjacent areas that are defined in other ways. There 
is to be an area surrounding the underground facility referred to above,

[[Page 141]]

which is designated the postclosure controlled area, within which DOE is 
to exercise specified controls to prevent adverse human actions 
following permanent closure. The location of the controlled area is the 
site. The accessible environment is the atmosphere, land surface, 
surface water, oceans, and the portion of the lithosphere that is 
outside the controlled area. There is an area, designated the geologic 
setting, which includes the geologic, hydrologic, and geochemical 
systems of the region in which a geologic repository operations area is 
or may be located. The geologic repository operations area plus the 
portion of the geologic setting that provides isolation of the 
radioactive waste make up the geologic repository.
    (d) Stages in the licensing process. There are several stages in the 
licensing process. The site characterization stage, though begun before 
submission of a license application, may result in consequences 
requiring evaluation in the license review. The construction stage would 
follow, after issuance of a construction authorization. A period of 
operations follows the issuance of a license by the Commission. The 
period of operations includes the time during which emplacement of 
wastes occurs; any subsequent period before permanent closure during 
which the emplaced wastes are retrievable; and permanent closure, which 
includes sealing of shafts. Permanent closure represents the end of 
active human intervention with respect to the engineered barrier system.
    (e) Isolation of waste. (1) During the first several hundred years 
following permanent closure of a geologic repository, when radiation and 
thermal levels are high and the uncertainties in assessing repository 
performance are large, special emphasis is placed upon the ability to 
contain the wastes by waste packages within an engineered barrier 
system. This is known as the containment period. The engineered barrier 
system includes the waste packages and the underground facility. A waste 
package is composed of the waste form and any containers, shielding, 
packing, and absorbent materials immediately surrounding an individual 
waste container. The underground facility means the underground 
structure, including openings and backfill materials, but excluding, 
shafts, boreholes, and their seals.
    (2) Following the containment period special emphasis is placed upon 
the ability to achieve isolation of the wastes by virtue of the 
characteristics of the geologic repository. The engineered barrier 
system works to control the release of radioactive material to the 
geologic setting and the geologic setting works to control the release 
of radioactive material to the accessible environment. Isolation means 
inhibiting the transport of radioactive material so that amounts and 
concentrations of the materials entering the accessible environment will 
be kept within prescribed limits.

[48 FR 28222, June 21, 1983, as amended at 61 FR 64268, Dec. 4, 1996]

                         Performance Objectives



Sec. 60.111  Performance of the geologic repository operations area through permanent closure.

    (a) Protection against radiation exposures and releases of 
radioactive material. The geologic repository operations area shall be 
designed so that until permanent closure has been completed, radiation 
exposures and radiation levels, and releases of radioactive materials to 
unrestricted areas, will be maintained within the limits specified in 
part 20 of this chapter and such generally applicable environmental 
standards for radioactivity as may have been established by the 
Environmental Protection Agency.
    (b) Retrievability of waste. (1) The geologic repository operations 
area shall be designed to preserve the option of waste retrieval 
throughout the period during which wastes are being emplaced and, 
thereafter, until the completion of a preformance confirmation program 
and Commission review of the information obtained from such a program. 
To satisfy this objective, the geologic repository operations area shall 
be designed so that any or all of the emplaced waste could be retrieved 
on a reasonable schedule starting at any time up to 50 years after waste 
emplacement operations are initiated, unless a different time period is 
approved

[[Page 142]]

or specified by the Commission. This different time period may be 
established on a case-by-case basis consistent with the emplacement 
schedule and the planned performance confirmation program.
    (2) This requirement shall not preclude decisions by the Commission 
to allow backfilling part or all of, or permanent closure of, the 
geologic repository operations area prior to the end of the period of 
design for retrievability.
    (3) For purposes of this paragraph, a reasonable schedule for 
retrieval is one that would permit retrieval in about the same time as 
that devoted to construction of the geologic repository operations area 
and the emplacement of wastes.

[48 FR 28222, June 21, 1983, as amended at 61 FR 64268, Dec. 4, 1996; 62 
FR 59276, Nov. 3, 1997]



Sec. 60.112  Overall system performance objective for the geologic repository after permanent closure.

    The geologic setting shall be selected and the engineered barrier 
system and the shafts, boreholes and their seals shall be designed to 
assure that releases of radioactive materials to the accessible 
environment following permanent closure conform to such generally 
applicable environmental standards for radioactivity as may have been 
established by the Environmental Protection Agency with respect to both 
anticipated processes and events and unanticipated processes and events.



Sec. 60.113  Performance of particular barriers after permanent closure.

    (a) General provisions--(1) Engineered barrier system. (i) The 
engineered barrier system shall be designed so that assuming anticipated 
processes and events: (A) Containment of HLW will be substantially 
complete during the period when radiation and thermal conditions in the 
engineered barrier system are dominated by fission product decay; and 
(B) any release of radionuclides from the engineered barrier system 
shall be a gradual process which results in small fractional releases to 
the geologic setting over long times. For disposal in the saturated 
zone, both the partial and complete filling with groundwater of 
available void spaces in the underground facility shall be appropriately 
considered and analysed among the anticipated processes and events in 
designing the engineered barrier system.
    (ii) In satisfying the preceding requirement, the engineered barrier 
system shall be designed, assuming anticipated processes and events, so 
that:
    (A) Containment of HLW within the waste packages will be 
substantially complete for a period to be determined by the Commission 
taking into account the factors specified in Sec. 60.113(b) provided, 
that such period shall be not less than 300 years nor more than 1,000 
years after permanent closure of the geologic repository; and
    (B) The release rate of any radionuclide from the engineered barrier 
system following the containment period shall not exceed one part in 
100,000 per year of the inventory of that radionuclide calculated to be 
present at 1,000 years following permanent closure, or such other 
fraction of the inventory as may be approved or specified by the 
Commission; provided, that this requirement does not apply to any 
radionuclide which is released at a rate less than 0.1% of the 
calculated total release rate limit. The calculated total release rate 
limit shall be taken to be one part in 100,000 per year of the inventory 
of radioactive waste, originally emplaced in the underground facility, 
that remains after 1,000 years of radioactive decay.
    (2) Geologic setting. The geologic repository shall be located so 
that pre-waste-emplacement groundwater travel time along the fastest 
path of likely radionuclide travel from the disturbed zone to the 
accessible environment shall be at least 1,000 years or such other 
travel time as may be approved or specified by the Commission.
    (b) On a case-by-case basis, the Commission may approve or specify 
some other radionuclide release rate, designed containment period or 
pre-waste-emplacement groundwater travel time, provided that the overall 
system performance objective, as it relates to anticipated processes and 
events, is satisfied. Among the factors that the Commission may take 
into account are:

[[Page 143]]

    (1) Any generally applicable environmental standard for 
radioactivity established by the Environmental Protection Agency;
    (2) The age and nature of the waste, and the design of the 
underground facility, particularly as these factors bear upon the time 
during which the thermal pulse is dominated by the decay heat from the 
fission products;
    (3) The geochemical characteristics of the host rock, surrounding 
strata and groundwater; and
    (4) Particular sources of uncertainty in predicting the performance 
of the geologic repository.
    (c) Additional requirements may be found to be necessary to satisfy 
the overall system performance objective as it relates to unanticipated 
processes and events.

                       Land Ownership and Control



Sec. 60.121  Requirements for ownership and control of interests in land.

    (a) Ownership of land. (1) Both the geologic repository operations 
area and the postclosure controlled area shall be located in and on 
lands that are either acquired lands under the jurisdiction and control 
of DOE, or lands permanently withdrawn and reserved for its use.
    (2) These lands shall be held free and clear of all encumbrances, if 
significant, such as: (i) Rights arising under the general mining laws; 
(ii) easements for right-of-way; and (iii) all other rights arising 
under lease, rights of entry, deed, patent, mortgage, appropriation, 
prescription, or otherwise.
    (b) Additional controls. Appropriate controls shall be established 
outside of the postclosure controlled area. DOE shall exercise any 
jurisdiction and control over surface and subsurface estates necessary 
to prevent adverse human actions that could significantly reduce the 
geologic repository's ability to achieve isolation. The rights of DOE 
may take the form of appropriate possessory interests, servitudes, or 
withdrawals from location or patent under the general mining laws.
    (c) Water rights. (1) DOE shall also have obtained such water rights 
as may be needed to accomplish the purpose of the geologic repository 
operations area.
    (2) Water rights are included in the additional controls to be 
established under paragraph (b) of this section.

[48 FR 28222, June 21, 1983, as amended at 61 FR 64268, Dec. 4, 1996]

                             Siting Criteria



Sec. 60.122  Siting criteria.

    (a)(1) A geologic setting shall exhibit an appropriate combination 
of the conditions specified in paragraph (b) of this section so that, 
together with the engineered barriers system, the favorable conditions 
present are sufficient to provide reasonable assurance that the 
performance objectives relating to isolation of the waste will be met.
    (2) If any of the potentially adverse conditions specified in 
paragraph (c) of this section is present, it may compromise the ability 
of the geologic repository to meet the performance objectives relating 
to isolation of the waste. In order to show that a potentially adverse 
condition does not so compromise the performance of the geologic 
repository the following must be demonstrated:
    (i) The potentially adverse human activity or natural condition has 
been adequately investigated, including the extent to which the 
condition may be present and still be undetected taking into account the 
degree of resolution achieved by the investigations; and
    (ii) The effect of the potentially adverse human activity or natural 
condition on the site has been adequately evaluated using analyses which 
are sensitive to the potentially adverse human activity or natural 
condition and assumptions which are not likely to underestimate its 
effect; and
    (iii)(A) The potentially adverse human activity or natural condition 
is shown by analysis pursuant to paragraph (a)(2)(ii) of this section 
not to affect significantly the ability of the geologic repository to 
meet the performance objectives relating to isolation of the waste, or
    (B) The effect of the potentially adverse human activity or natural 
condition is compensated by the presence of

[[Page 144]]

a combination of the favorable characteristics so that the performance 
objectives relating to isolation of the waste are met, or
    (C) The potentially adverse human activity or natural condition can 
be remedied.
    (b) Favorable conditions. (1) The nature and rates of tectonic, 
hydrogeologic, geochemical, and geomorphic processes (or any of such 
processes) operating within the geologic setting during the Quaternary 
Period, when projected, would not affect or would favorably affect the 
ability of the geologic repository to isolate the waste.
    (2) For disposal in the saturated zone, hydrogeologic conditions 
that provide:
    (i) A host rock with low horizontal and vertical permeability;
    (ii) Downward or dominantly horizontal hydraulic gradient in the 
host rock and immediately surrounding hydrogeologic units; and
    (iii) Low vertical permeability and low hydraulic gradient between 
the host rock and the surrounding hydrogeologic units.
    (3) Geochemical conditions that:
    (i) Promote precipitation or sorption of radionuclides;
    (ii) Inhibit the formation of particulates, colloids, and inorganic 
and organic complexes that increase the mobility of radionuclides; or
    (iii) Inhibit the transport of radionuclides by particulates, 
colloids, and complexes.
    (4) Mineral assemblages that, when subjected to anticipated thermal 
loading, will remain unaltered or alter to mineral assemblages having 
equal or increased capacity to inhibit radionuclide migration.
    (5) Conditions that permit the emplacement of waste at a minimum 
depth of 300 meters from the ground surface. (The ground surface shall 
be deemed to be the elevation of the lowest point on the surface above 
the disturbed zone.)
    (6) A low population density within the geologic setting and a 
postclosure controlled area that is remote from population centers.
    (7) Pre-waste-emplacement groundwater travel time along the fastest 
path of likely radionuclide travel from the disturbed zone to the 
accessible environment that substantially exceeds 1,000 years.
    (8) For disposal in the unsaturated zone, hydrogeologic conditions 
that provide--
    (i) Low moisture flux in the host rock and in the overlying and 
underlying hydrogeologic units;
    (ii) A water table sufficiently below the underground facility such 
that fully saturated voids contiguous with the water table do not 
encounter the underground facility;
    (iii) A laterally extensive low-permeability hydrogeologic unit 
above the host rock that would inhibit the downward movement of water or 
divert downward moving water to a location beyond the limits of the 
underground facility;
    (iv) A host rock that provides for free drainage; or
    (v) A climatic regime in which the average annual historic 
precipitation is a small percentage of the average annual potential 
evapotranspiration.
    (c) Potentially adverse conditions. The following conditions are 
potentially adverse conditions if they are characteristic of the 
postclosure controlled area or may affect isolation within the 
controlled area.
    (1) Potential for flooding of the underground facility, whether 
resulting from the occupancy and modification of floodplains or from the 
failure of existing or planned man-made surface water impoundments.
    (2) Potential for foreseeable human activity to adversely affect the 
groundwater flow system, such as groundwater withdrawal, extensive 
irrigation, subsurface injection of fluids, underground pumped storage, 
military activity or construction of large scale surface water 
impoundments.
    (3) Potential for natural phenomena such as landslides, subsidence, 
or volcanic activity of such a magnitude that large-scale surface water 
impoundments could be created that could change the regional groundwater 
flow system and thereby adversely affect the performance of the geologic 
repository.
    (4) Structural deformation, such as uplift, subsidence, folding, or 
faulting

[[Page 145]]

that may adversely affect the regional groundwater flow system.
    (5) Potential for changes in hydrologic conditions that would affect 
the migration of radionuclides to the accessible environment, such as 
changes in hydraulic gradient, average interstitial velocity, storage 
coefficient, hydraulic conductivity, natural recharge, potentiometric 
levels, and discharge points.
    (6) Potential for changes in hydrologic conditions resulting from 
reasonably foreseeable climatic changes.
    (7) Groundwater conditions in the host rock, including chemical 
composition, high ionic strength or ranges of Eh-pH, that could increase 
the solubility or chemical reactivity of the engineered barrier system.
    (8) Geochemical processes that would reduce sorption of 
radionuclides, result in degradation of the rock strength, or adversely 
affect the performance of the engineered barrier system.
    (9) Groundwater conditions in the host rock that are not reducing.
    (10) Evidence of dissolutioning such as breccia pipes, dissolution 
cavities, or brine pockets.
    (11) Structural deformation such as uplift, subsidence, folding, and 
faulting during the Quaternary Period.
    (12) Earthquakes which have occurred historically that if they were 
to be repeated could affect the site significantly.
    (13) Indications, based on correlations of earthquakes with tectonic 
processes and features, that either the frequency of occurrence or 
magnitude of earthquakes may increase.
    (14) More frequent occurrence of earthquakes or earthquakes of 
higher magnitude than is typical of the area in which the geologic 
setting is located.
    (15) Evidence of igneous activity since the start of the Quaternary 
Period.
    (16) Evidence of extreme erosion during the Quaternary Period.
    (17) The presence of naturally occurring materials, whether 
identified or undiscovered, within the site, in such form that:
    (i) Economic extraction is currently feasible or potentially 
feasible during the foreseeable future; or
    (ii) Such materials have greater gross value or net value than the 
average for other areas of similar size that are representative of and 
located within the geologic setting.
    (18) Evidence of subsurface mining for resources within the site.
    (19) Evidence of drilling for any purpose within the site.
    (20) Rock or groundwater conditions that would require complex 
engineering measures in the design and construction of the underground 
facility or in the sealing of boreholes and shafts.
    (21) Geomechanical properties that do not permit design of 
underground opening that will remain stable through permanent closure.
    (22) Potential for the water table to rise sufficiently so as to 
cause saturation of an underground facility located in the unsaturated 
zone.
    (23) Potential for existing or future perched water bodies that may 
saturate portions of the underground facility or provide a faster flow 
path from an underground facility located in the unsaturated zone to the 
accessible environment.
    (24) Potential for the movement of radionuclides in a gaseous state 
through air-filled pore spaces of an unsaturated geologic medium to the 
accessible environment.

[48 FR 28222, June 21, 1983, as amended at 50 FR 29647, July 22, 1985; 
61 FR 64269, Dec. 4, 1996]

       Design Criteria for the Geologic Repository Operations Area



Sec. 60.130  General considerations.

    Pursuant to the provisions of Sec. 60.21(c)(2)(i), an application to 
receive, possess, store, and dispose of high-level radioactive waste in 
the geologic repository operations area must include the principal 
design criteria for a proposed facility. The principal design criteria 
establish the necessary design, fabrication, construction, testing, 
maintenance, and performance requirements for structures, systems, and 
components important to safety and/or important to waste isolation. 
Sections 60.131 through 60.134 specify minimum requirements for the 
principal design

[[Page 146]]

criteria for the geologic repository operations area.
    These design criteria are not intended to be exhaustive. However, 
omissions in Secs. 60.131 through 60.134 do not relieve DOE from any 
obligation to provide such features in a specific facility needed to 
achieve the performance objectives.

[61 FR 64269, Dec. 4, 1996]



Sec. 60.131  General design criteria for the geologic repository operations area.

    (a) Radiological protection. The geologic repository operations area 
shall be designed to maintain radiation doses, levels, and 
concentrations of radioactive material in air in restricted areas within 
the limits specified in part 20 of this chapter. Design shall include:
    (1) Means to limit concentrations of radioactive material in air;
    (2) Means to limit the time required to perform work in the vicinity 
of radioactive materials, including, as appropriate, designing equipment 
for ease of repair and replacement and providing adequate space for ease 
of operation;
    (3) Suitable shielding;
    (4) Means to monitor and control the dispersal of radioactive 
contamination;
    (5) Means to control access to high radiation areas or airborne 
radioactivity areas; and
    (6) A radiation alarm system to warn of significant increases in 
radiation levels, concentrations of radioactive material in air, and of 
increased radioactivity released in effluents. The alarm system shall be 
designed with provisions for calibration and for testing its 
operability.
    (b) Protection against design basis events. The structures, systems, 
and components important to safety shall be designed so that they will 
perform their necessary safety functions, assuming occurrence of design 
basis events.
    (c) Protection against dynamic effects of equipment failure and 
similar events. The structures, systems, and components important to 
safety shall be designed to withstand dynamic effects such as missile 
impacts, that could result from equipment failure, and similar events 
and conditions that could lead to loss of their safety functions.
    (d) Protection against fires and explosions. (1) The structures, 
systems, and components important to safety shall be designed to perform 
their safety functions during and after credible fires or explosions in 
the geologic repository operations area.
    (2) To the extent practicable, the geologic repository operations 
area shall be designed to incorporate the use of noncombustible and heat 
resistant materials.
    (3) The geologic repository operations area shall be designed to 
include explosion and fire detection alarm systems and appropriate 
suppression systems with sufficient capacity and capability to reduce 
the adverse effects of fires and explosions on structures, systems, and 
components important to safety.
    (4) The geologic repository operations area shall be designed to 
include means to protect systems, structures, and components important 
to safety against the adverse effects of either the operation or failure 
of the fire suppression systems.
    (e) Emergency capability. (1) The structures, systems, and 
components important to safety shall be designed to maintain control of 
radioactive waste and radioactive effluents, and permit prompt 
termination of operations and evacuation of personnel during an 
emergency.
    (2) The geologic repository operations area shall be designed to 
include onsite facilities and services that ensure a safe and timely 
response to emergency conditions and that facilitate the use of 
available offsite services (such as fire, police, medical, and ambulance 
service) that may aid in recovery from emergencies.
    (f) Utility services. (1) Each utility service system that is 
important to safety shall be designed so that essential safety functions 
can be performed, assuming occurrence of the design basis events.
    (2) The utility services important to safety shall include redundant 
systems to the extent necessary to maintain, with adequate capacity, the 
ability to perform their safety functions.

[[Page 147]]

    (3) Provisions shall be made so that, if there is a loss of the 
primary electric power source or circuit, reliable and timely emergency 
power can be provided to instruments, utility service systems, and 
operating systems, including alarm systems, important to safety.
    (g) Inspection, testing, and maintenance. The structures, systems, 
and components important to safety shall be designed to permit periodic 
inspection, testing, and maintenance, as necessary, to ensure their 
continued functioning and readiness.
    (h) Criticality control. All systems for processing, transporting, 
handling, storage, retrieval, emplacement, and isolation of radioactive 
waste shall be designed to ensure that nuclear criticality is not 
possible unless at least two unlikely, independent, and concurrent or 
sequential changes have occurred in the conditions essential to nuclear 
criticality safety. Each system must be designed for criticality safety 
assuming occurrence of design basis events. The calculated effective 
multiplication factor (keff) must be sufficiently below unity 
to show at least a 5 percent margin, after allowance for the bias in the 
method of calculation and the uncertainty in the experiments used to 
validate the method of calculation.
    (i) Instrumentation and control systems. The design shall include 
provisions for instrumentation and control systems to monitor and 
control the behavior of systems important to safety, assuming occurrence 
of design basis events.
    (j) Compliance with mining regulations. To the extent that DOE is 
not subject to the Federal Mine Safety and Health Act of 1977, as to the 
construction and operation of the geologic repository operations area, 
the design of the geologic repository operations area shall nevertheless 
include provisions for worker protection necessary to provide reasonable 
assurance that all structures, systems, and components important to 
safety can perform their intended functions. Any deviation from relevant 
design requirements in 30 CFR, chapter I, subchapters D, E, and N will 
give rise to a rebuttable presumption that this requirement has not been 
met.
    (k) Shaft conveyances used in radioactive waste handling. (1) Hoists 
important to safety shall be designed to preclude cage free fall.
    (2) Hoists important to safety shall be designed with a reliable 
cage location system.
    (3) Loading and unloading systems for hoists important to safety 
shall be designed with a reliable system of interlocks that will fail 
safely upon malfunction.
    (4) Hoists important to safety shall be designed to include two 
independent indicators to indicate when waste packages are in place and 
ready for transfer.

[48 FR 28222, June 21, 1983, as amended at 61 FR 64269, Dec. 4, 1996]



Sec. 60.132  Additional design criteria for surface facilities in the geologic repository operations area.

    (a) Facilities for receipt and retrieval of waste. Surface 
facilities in the geologic repository operations area shall be designed 
to allow safe handling and storage of wastes at the geologic repository 
operations area, whether these wastes are on the surface before 
emplacement or as a result of retrieval from the underground facility.
    (b) Surface facility ventilation. Surface facility ventilation 
systems supporting waste transfer, inspection, decontamination, 
processing, or packaging shall be designed to provide protection against 
radiation exposures and offsite releases as provided in Sec. 60.111(a).
    (c) Radiation control and monitoring--(1) Effluent control. The 
surface facilities shall be designed to control the release of 
radioactive materials in effluents during Category 1 design basis events 
so as to meet the performance objectives of Sec. 60.111(a).
    (2) Effluent monitoring. The effluent monitoring systems shall be 
designed to measure the amount and concentration of radionuclides in any 
effluent with sufficient precision to determine whether releases conform 
to the design requirement for effluent control. The monitoring systems 
shall be designed to include alarms that can be periodically tested.
    (d) Waste treatment. Radioactive waste treatment facilities shall be 
designed to process any radioactive

[[Page 148]]

wastes generated at the geologic repository operations area into a form 
suitable to permit safe disposal at the geologic repository operations 
area or to permit safe transportation and conversion to a form suitable 
for disposal at an alternative site in accordance with any regulations 
that are applicable.
    (e) Consideration of decommissioning. The surface facility shall be 
designed to facilitate decontamination or dismantlement to the same 
extent as would be required, under other parts of this chapter, with 
respect to equivalent activities licensed thereunder.

[48 FR 28222, June 21, 1983, as amended at 61 FR 64270, Dec. 4, 1996]



Sec. 60.133  Additional design criteria for the underground facility.

    (a) General criteria for the underground facility. (1) The 
orientation, geometry, layout, and depth of the underground facility, 
and the design of any engineered barriers that are part of the 
underground facility shall contribute to the containment and isolation 
of radionuclides.
    (2) The underground facility shall be designed so that the effects 
of credible disruptive events during the period of operations, such as 
flooding, fires and explosions, will not spread through the facility.
    (b) Flexibility of design. The underground facility shall be 
designed with sufficient flexibility to allow adjustments where 
necessary to accommodate specific site conditions identified through in 
situ monitoring, testing, or excavation.
    (c) Retrieval of waste. The underground facility shall be designed 
to permit retrieval of waste in accordance with the performance 
objectives of Sec. 60.111.
    (d) Control of water and gas. The design of the underground facility 
shall provide for control of water or gas intrusion.
    (e) Underground openings. (1) Openings in the underground facility 
shall be designed so that operations can be carried out safely and the 
retrievability option maintained.
    (2) Openings in the underground facility shall be designed to reduce 
the potential for deleterious rock movement or fracturing of overlying 
or surrounding rock.
    (f) Rock excavation. The design of the underground facility shall 
incorporate excavation methods that will limit the potential for 
creating a preferential pathway for groundwater to contact the waste 
packages or radionuclide migration to the accessible environment.
    (g) Underground facility ventilation. The ventilation system shall 
be designed to:
    (1) Control the transport of radioactive particulates and gases 
within and releases from the underground facility in accordance with the 
performance objectives of Sec. 60.111(a),
    (2) Assure the ability to perform essential safety functions 
assuming occurrence of design basis events.
    (3) Separate the ventilation of excavation and waste emplacement 
areas.
    (h) Engineered barriers. Engineered barriers shall be designed to 
assist the geologic setting in meeting the performance objectives for 
the period following permanent closure.
    (i) Thermal loads. The underground facility shall be designed so 
that the performance objectives will be met taking into account the 
predicted thermal and thermomechanical response of the host rock, and 
surrounding strata, groundwater system.

[48 FR 28222, June 21, 1983, as amended at 50 FR 29648, July 22, 1985; 
61 FR 64270, Dec. 4, 1996]



Sec. 60.134  Design of seals for shafts and boreholes.

    (a) General design criterion. Seals for shafts and boreholes shall 
be designed so that following permanent closure they do not become 
pathways that compromise the geologic repository's ability to meet the 
performance objectives or the period following permanent closure.
    (b) Selection of materials and placement methods. Materials and 
placement methods for seals shall be selected to reduce, to the extent 
practicable:
    (1) The potential for creating a preferential pathway for 
groundwater to contact the waste packages or
    (2) For radionuclide migration through existing pathways.

[48 FR 28222, June 21, 1983, as amended at 50 FR 29648, July 22, 1985]

[[Page 149]]

                  Design Criteria for the Waste Package



Sec. 60.135  Criteria for the waste package and its components.

    (a) High-level-waste package design in general. (1) Packages for HLW 
shall be designed so that the in situ chemical, physical, and nuclear 
properties of the waste package and its interactions with the 
emplacement environment do not compromise the function of the waste 
packages or the performance of the underground facility or the geologic 
setting.
    (2) The design shall include but not be limited to consideration of 
the following factors: solubility, oxidation/reduction reactions, 
corrosion, hydriding, gas generation, thermal effects, mechanical 
strength, mechanical stress, radiolysis, radiation damage, radionuclide 
retardation, leaching, fire and explosion hazards, thermal loads, and 
synergistic interactions.
    (b) Specific criteria for HLW package design--(1) Explosive, 
pyrophoric, and chemically reactive materials. The waste package shall 
not contain explosive or pyrophoric materials or chemically reactive 
materials in an amount that could compromise the ability of the 
underground facility to contribute to waste isolation or the ability of 
the geologic repository to satisfy the performance objectives.
    (2) Free liquids. The waste package shall not contain free liquids 
in an amount that could compromise the ability of the waste packages to 
achieve the performance objectives relating to containment of HLW 
(because of chemical interactions or formation of pressurized vapor) or 
result in spillage and spread of contamination in the event of waste 
package perforation during the period through permanent closure.
    (3) Handling. Waste packages shall be designed to maintain waste 
containment during transportation, emplacement, and retrieval.
    (4) Unique identification. A label or other means of identification 
shall be provided for each waste package. The identification shall not 
impair the integrity of the waste package and shall be applied in such a 
way that the information shall be legible at least to the end of the 
period of retrievability. Each waste package identification shall be 
consistent with the waste package's permanent written records.
    (c) Waste form criteria for HLW. High-level radioactive waste that 
is emplaced in the underground facility shall be designed to meet the 
following criteria:
    (1) Solidification. All such radioactive wastes shall be in solid 
form and placed in sealed containers.
    (2) Consolidation. Particulate waste forms shall be consolidated 
(for example, by incorporation into an encapsulating matrix) to limit 
the availability and generation of particulates.
    (3) Combustibles. All combustible radioactive wastes shall be 
reduced to a noncombustible form unless it can be demonstrated that a 
fire involving the waste packages containing combustibles will not 
compromise the integrity of other waste packages, adversely affect any 
structures, systems, or components important to safety, or compromise 
the ability of the underground facility to contribute to waste 
isolation.
    (d) Design criteria for other radioactive wastes. Design criteria 
for waste types other than HLW will be addressed on an individual basis 
if and when they are proposed for disposal in a geologic repository.

                       Preclosure Controlled Area



Sec. 60.136  Preclosure controlled area.

    (a) A preclosure controlled area must be established for the 
geologic repository operations area.
    (b) The geologic repository operations area shall be designed so 
that, for Category 2 design basis events, no individual located on or 
beyond any point on the boundary of the preclosure controlled area will 
receive the more limiting of a total effective dose equivalent of 0.05 
Sv (5 rem), or the sum of the deep-dose equivalent and the committed 
dose equivalent to any individual organ or tissue (other than the lens 
of the eye) of 0.5 Sv (50 rem). The eye dose equivalent shall not exceed 
0.15 Sv (15 rem), and the shallow dose equivalent to skin shall not 
exceed 0.5 Sv (50 rem). The minimum distance

[[Page 150]]

from the surface facilities in the geologic repository operations area 
to the boundary of the preclosure controlled area must be at least 100 
meters.
    (c) The preclosure controlled area may be traversed by a highway, 
railroad, or waterway, so long as appropriate and effective arrangements 
are made to control traffic and to protect public health and safety.

[61 FR 64270, Dec. 4, 1996]

                  Performance Confirmation Requirements



Sec. 60.137  General requirements for performance confirmation.

    The geologic repository operations area shall be designed so as to 
permit implementation of a performance confirmation program that meets 
the requirements of subpart F of this part.



               Subpart F--Performance Confirmation Program

    Source: 48 FR 28228, June 21, 1983, unless otherwise noted.



Sec. 60.140  General requirements.

    (a) The performance confirmation program shall provide data which 
indicates, where practicable, whether:
    (1) Actual subsurface conditions encountered and changes in those 
conditions during construction and waste emplacement operations are 
within the limits assumed in the licensing review; and
    (2) Natural and engineered systems and components required for 
repository operation, or which are designed or assumed to operate as 
barriers after permanent closure, are functioning as intended and 
anticipated.
    (b) The program shall have been started during site characterization 
and it will continue until permanent closure.
    (c) The program shall include in situ monitoring, laboratory and 
field testing, and in situ experiments, as may be appropriate to 
accomplish the objective as stated above.
    (d) The program shall be implemented so that:
    (1) It does not adversely affect the ability of the natural and 
engineered elements of the geologic repository to meet the performance 
objectives.
    (2) It provides baseline information and analysis of that 
information on those parameters and natural processes pertaining to the 
geologic setting that may be changed by site characterization, 
construction, and operational activities.
    (3) It monitors and analyzes changes from the baseline condition of 
parameters that could affect the performance of a geologic repository.
    (4) It provides an established plan for feedback and analysis of 
data, and implementation of appropriate action.



Sec. 60.141  Confirmation of geotechnical and design parameters.

    (a) During repository construction and operation, a continuing 
program of surveillance, measurement, testing, and geologic mapping 
shall be conducted to ensure that geotechnical and design parameters are 
confirmed and to ensure that appropriate action is taken to inform the 
Commission of changes needed in design to accommodate actual field 
conditions encountered.
    (b) Subsurface conditions shall be monitored and evaluated against 
design assumptions.
    (c) As a minimum, measurements shall be made of rock deformations 
and displacement, changes in rock stress and strain, rate and location 
of water inflow into subsurface areas, changes in groundwater 
conditions, rock pore water pressures including those along fractures 
and joints, and the thermal and thermomechanical response of the rock 
mass as a result of development and operations of the geologic 
repository.
    (d) These measurements and observations shall be compared with the 
original design bases and assumptions. If significant differences exist 
between the measurements and observations and the original design bases 
and assumptions, the need for modifications to the design or in 
construction methods shall be determined and these differences and the 
recommended changes reported to the Commission.
    (e) In situ monitoring of the thermomechanical response of the 
underground facility shall be conducted until permanent closure to 
ensure that

[[Page 151]]

the performance of the natural and engineering features are within 
design limits.



Sec. 60.142  Design testing.

    (a) During the early or developmental stages of construction, a 
program for in situ testing of such features as borehole and shaft 
seals, backfill, and the thermal interaction effects of the waste 
packages, backfill, rock, and groundwater shall be conducted.
    (b) The testing shall be initiated as early as is practicable.
    (c) A backfill test section shall be constructed to test the 
effectiveness of backfill placement and compaction procedures against 
design requirements before permanent backfill placement is begun.
    (d) Test sections shall be established to test the effectiveness of 
borehole and shaft seals before full-scale operation proceeds to seal 
boreholes and shafts.



Sec. 60.143  Monitoring and testing waste packages.

    (a) A program shall be established at the geologic repository 
operations area for monitoring the condition of the waste packages. 
Waste packages chosen for the program shall be representative of those 
to be emplaced in the underground facility.
    (b) Consistent with safe operation at the geologic repository 
operations area, the environment of the waste packages selected for the 
waste package monitoring program shall be representative of the 
environment in which the wastes are to be emplaced.
    (c) The waste package monitoring program shall include laboratory 
experiments which focus on the internal condition of the waste packages. 
To the extent practical, the environment experienced by the emplaced 
waste packages within the underground facility during the waste package 
monitoring program shall be duplicated in the laboratory experiments.
    (d) The waste package monitoring program shall continue as long as 
practical up to the time of permanent closure.



                      Subpart G--Quality Assurance

    Source: 48 FR 28228, June 21, 1983, unless otherwise noted.



Sec. 60.150  Scope.

    As used in this part, quality assurance comprises all those planned 
and systematic actions necessary to provide adequate confidence that the 
geologic repository and its subsystems or components will perform 
satisfactorily in service. Quality assurance includes quality control, 
which comprises those quality assurance actions related to the physical 
characteristics of a material, structure, component, or system which 
provide a means to control the quality of the material, structure, 
component, or system to predetermined requirements.



Sec. 60.151  Applicability.

    The quality assurance program applies to all systems, structures and 
components important to safety, to design and characterization of 
barriers important to waste isolation and to activities related thereto. 
These activities include: site characterization, facility and equipment 
construction, facility operation, performance confirmation, permanent 
closure, and decontamination and dismantling of surface facilities.



Sec. 60.152  Implementation.

    DOE shall implement a quality assurance program based on the 
criteria of appendix B of 10 CFR part 50 as applicable, and 
appropriately supplemented by additional criteria as required by 
Sec. 60.151.



           Subpart H--Training and Certification of Personnel

    Source: 48 FR 28229, June 21, 1983, unless otherwise noted.



Sec. 60.160  General requirements.

    Operations of systems and components that have been identified as 
important to safety in the Safety Analysis Report and in the license 
shall be performed only by trained and certified personnel or by 
personnel under the direct visual supervision of an individual

[[Page 152]]

with training and certification in such operation. Supervisory personnel 
who direct operations that are important to safety must also be 
certified in such operations.



Sec. 60.161  Training and certification program.

    DOE shall establish a program for training, proficiency testing, 
certification and requalification of operating and supervisory 
personnel.



Sec. 60.162  Physical requirements.

    The physical condition and the general health of personnel certified 
for operations that are important to safety shall not be such as might 
cause operational errors that could endanger the public health and 
safety. Any condition which might cause impaired judgment or motor 
coordination must be considered in the selection of personnel for 
activities that are important to safety. These conditions need not 
categorically disqualify a person, so long as appropriate provisions are 
made to accommodate such conditions.

Subpart I--Emergency Planning Criteria [Reserved]



                          Subpart J--Violations



Sec. 60.181  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55076, Nov. 24, 1992]



Sec. 60.183  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 60 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 60 that are not issued under sections 
161b, 161i, or 161o for the purposes of section 223 are as follows: 
Secs. 60.1, 60.2, 60.3, 60.5, 60.6, 60.7, 60.8, 60.15, 60.16, 60.17, 
60.18, 60.21, 60.22, 60.23, 60.24, 60.31, 60.32, 60.33, 60.41, 60.42, 
60.43, 60.44, 60.45, 60.46, 60.51, 60.52, 60.61, 60.62, 60.63, 60.64, 
60.65, 60.101, 60.102, 60.111, 60.112, 60.113, 60.121, 60.122, 60.130, 
60.131, 60.132, 60.133, 60.134, 60.135, 60.137, 60.140, 60.141, 60.142, 
60.143, 60.150, 60.151, 60.152, 60.162, 60.181, and 60.183.

[57 FR 55076, Nov. 24, 1992]



PART 61--LICENSING REQUIREMENTS FOR LAND DISPOSAL OF RADIOACTIVE WASTE--Table of Contents




                      Subpart A--General Provisions

Sec.
61.1  Purpose and scope.
61.2  Definitions.
61.3  License required.
61.4  Communications.
61.5  Interpretations.
61.6  Exemptions.
61.7  Concepts.
61.8  Information collection requirements: OMB approval.
61.9  Employee protection.
61.9a  Completeness and accuracy of information.
61.9b  Deliberate misconduct.

[[Page 153]]

                           Subpart B--Licenses

61.10  Content of application.
61.11  General information.
61.12  Specific technical information.
61.13  Technical analyses.
61.14  Institutional information.
61.15  Financial information.
61.16  Other information.
61.20  Filing and distribution of application.
61.21  Elimination of repetition.
61.22  Updating of application.
61.23  Standards for issuance of a license.
61.24  Conditions of licenses.
61.25  Changes.
61.26  Amendment of license.
61.27  Application for renewal or closure.
61.28  Contents of application for closure.
61.29  Post-closure observation and maintenance.
61.30  Transfer of license.
61.31  Termination of license.

                    Subpart C--Performance Objectives

61.40  General requirement.
61.41  Protection of the general population from releases of 
          radioactivity.
61.42  Protection of individuals from inadvertent intrusion.
61.43  Protection of individuals during operations.
61.44  Stability of the disposal site after closure.

     Subpart D--Technical Requirements for Land Disposal Facilities

61.50  Disposal site suitability requirements for land disposal.
61.51  Disposal site design for land disposal.
61.52  Land disposal facility operation and disposal site closure.
61.53  Environmental monitoring.
61.54  Alternative requirements for design and operations.
61.55  Waste classification.
61.56  Waste characteristics.
61.57  Labeling.
61.58  Alternative requirements for waste classification and 
          characteristics.
61.59  Institutional requirements.

                     Subpart E--Financial Assurances

61.61  Applicant qualifications and assurances.
61.62  Funding for disposal site closure and stabilization.
61.63  Financial assurances for institutional controls.

     Subpart F--Participation by State Governments and Indian Tribes

61.70  Scope.
61.71  State and Tribal government consultation.
61.72  Filing of proposals for State and Tribal participation.
61.73  Commission approval of proposals.

           Subpart G--Records, Reports, Tests, and Inspections

61.80  Maintenance of records, reports, and transfers.
61.81  Tests at land disposal facilities.
61.82  Commission inspections of land disposal facilities.
61.83  Violations.
61.84  Criminal penalties.

    Authority: Secs. 53, 57, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 
930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2073, 2077, 
2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88 Stat. 
1244, 1246, (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-601, 92 
Stat. 2951 (42 U.S.C. 2021a and 5851) and Pub. L. 102-486, sec. 2902, 
106 Stat. 3123, (42 U.S.C. 5851).

    Source: 47 FR 57463, Dec. 27, 1982, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 61.1  Purpose and scope.

    (a) The regulations in this part establish, for land disposal of 
radioactive waste, the procedures, criteria, and terms and conditions 
upon which the Commission issues licenses for the disposal of 
radioactive wastes containing byproduct, source and special nuclear 
material received from other persons. Disposal of waste by an individual 
licensee is set forth in part 20 of this chapter. Applicability of the 
requirements in this part to Commission licenses for waste disposal 
facilities in effect on the effective date of this rule will be 
determined on a case-by-case basis and implemented through terms and 
conditions of the license or by orders issued by the Commission.
    (b) Except as provided in part 150 of this chapter, which addresses 
assumption of certain regulatory authority by Agreement States, and 
Sec. 61.6 ``Exemptions,'' the regulations in this part apply to all 
persons in the United States. The regulations in this part do not apply 
to (1) disposal of high-level waste as provided for in part 60 of this 
chapter; (2) disposal of uranium or thorium tailings or wastes 
(byproduct material as defined in Sec. 40.4(a-1)) as provided for in 
part 40 of this chapter in quantities greater than 10,000 kilograms and 
containing more than five

[[Page 154]]

(5) millicuries of radium-226; or (3) disposal of licensed material as 
provided for in part 20 of this chapter.
    (c) This part also gives notice to all persons who knowingly provide 
to any licensee, applicant, contractor, or subcontractor, components, 
equipment, materials, or other goods or services, that relate to a 
licensee's or applicant's activities subject to this part, that they may 
be individually subject to NRC enforcement action for violation of 
Sec. 61.9b.

[47 FR 57463, Dec. 27, 1982, as amended at 56 FR 40690, Aug. 15, 1991; 
63 FR 1898, Jan. 13, 1998]



Sec. 61.2  Definitions.

    As used in this part:
    Active maintenance means any significant remedial activity needed 
during the period of institutional control to maintain a reasonable 
assurance that the performance objectives in Secs. 61.41 and 61.42 are 
met. Such active maintenance includes ongoing activities such as the 
pumping and treatment of water from a disposal unit or one-time measures 
such as replacement of a disposal unit cover. Active maintenance does 
not include custodial activities such as repair of fencing, repair or 
replacement of monitoring equipment, revegetation, minor additions to 
soil cover, minor repair of disposal unit covers, and general disposal 
site upkeep such as mowing grass.
    Buffer zone is a portion of the disposal site that is controlled by 
the licensee and that lies under the disposal units and between the 
disposal units and the boundary of the site.
    Chelating agent means amine polycarboxylic acids (e.g., EDTA, DTPA), 
hydroxy-carboxylic acids, and polycarboxylic acids (e.g., citric acid, 
carbolic acid, and glucinic acid).
    Commencement of construction means any clearing of land, excavation, 
or other substantial action that would adversely affect the environment 
of a land disposal facility. The term does not mean disposal site 
exploration, necessary roads for disposal site exploration, borings to 
determine foundation conditions, or other preconstruction monitoring or 
testing to establish background information related to the suitability 
of the disposal site or the protection of environmental values.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Custodial Agency means an agency of the government designated to act 
on behalf of the government owner of the disposal site.
    Director means the Director, Office of Nuclear Material Safety and 
Safeguards, U. S. Nuclear Regulatory Commission.
    Disposal means the isolation of radioactive wastes from the 
biosphere inhabited by man and containing his food chains by emplacement 
in a land disposal facility.
    Disposal site means that portion of a land disposal facility which 
is used for disposal of waste. It consists of disposal units and a 
buffer zone.
    Disposal unit means a discrete portion of the disposal site into 
which waste is placed for disposal. For near-surface disposal the unit 
is usually a trench.
    Engineered barrier means a man-made structure or device that is 
intended to improve the land disposal facility's ability to meet the 
performance objectives in subpart C.
    Explosive material means any chemical compound, mixture, or device, 
which produces a substantial instantaneous release of gas and heat 
spontaneously or by contact with sparks or flame.
    Government agency means any executive department, commission, 
independent establishment, or corporation, wholly or partly owned by the 
United States of America which is an instrumentality of the United 
States; or any board, bureau, division, service, office, officer, 
authority, administration, or other establishment in the executive 
branch of the government.
    Hazardous waste means those wastes designated as hazardous by 
Environmental Protection Agency regulations in 40 CFR part 261.
    Hydrogeologic unit means any soil or rock unit or zone which by 
virtue of its porosity or permeability, or lack thereof, has a distinct 
influence on the storage or movement of groundwater.
    Inadvertent intruder means a person who might occupy the disposal 
site

[[Page 155]]

after closure and engage in normal activities, such as agriculture, 
dwelling construction, or other pursuits in which the person might be 
unknowingly exposed to radiation from the waste.
    Indian Tribe means an Indian tribe as defined in the Indian Self-
Determination and Education Assistance Act (25 U.S.C. 450).
    Intruder barrier means a sufficient depth of cover over the waste 
that inhibits contact with waste and helps to ensure that radiation 
exposures to an inadvertent intruder will meet the performance 
objectives set forth in this part, or engineered structures that provide 
equivalent protection to the inadvertent intruder.
    Land disposal facility means the land, buildings and structures, and 
equipment which are intended to be used for the disposal of radioactive 
wastes. For purposes of this chapter, a ``geologic repository'' as 
defined in part 60 is not considered a ``land disposal facility.''
    License means a license issued under the regulations in part 61 of 
this chapter. Licensee means the holder of such a license.
    Monitoring means observing and making measurements to provide data 
to evaluate the performance and characteristics of the disposal site.
    Near-surface disposal facility means a land disposal facility in 
which radioactive waste is disposed of in or within the upper 30 meters 
of the earth's surface.
    Person means (1) any individual, corporation, partnership, firm, 
association, trust, estate, public or private institution, group, 
government agency other than the Commission or the Department of Energy 
(except that the Department of Energy is considered a person within the 
meaning of the regulations in this part to the extent that its 
facilities and activities are subject to the licensing and related 
regulatory authority of the Commission pursuant to law), any State or 
any political subdivision of or any political entity within a State, any 
foreign government or nation or any political subdivision of any such 
government or nation, or other entity; and (2) any legal successor, 
representative, agent, or agency of the foregoing.
    Pyrophoric liquid means any liquid that ignites spontaneously in dry 
or moist air at or below 130 deg.F (54.5 deg.C). A pyrophoric solid is 
any solid material, other than one classed as an explosive, which under 
normal conditions is liable to cause fires through friction, retained 
heat from manufacturing or processing, or which can be ignited readily 
and when ignited burns so vigorously and persistently as to create a 
serious transportation, handling, or disposal hazard. Included are 
spontaneously combustible and water-reactive materials.
    Site closure and stablization means those actions that are taken 
upon completion of operations that prepare the disposal site for 
custodial care and that assure that the disposal site will remain stable 
and will not need ongoing active maintenance.
    State means any State, Territory, or possession of the United 
States, Puerto Rico, and the District of Columbia.
    Stability means structural stabillity.
    Surveillance means observation of the disposal site for purposes of 
visual detection of need for maintenance, custodial care, evidence of 
intrusion, and compliance with other license and regulatory 
requirements.
    Tribal Governing Body means a Tribal organization as defined in the 
Indian Self-Determination and Education Assistance Act (25 U.S.C. 450).
    Waste means those low-level radioactive wastes containing source, 
special nuclear, or byproduct material that are acceptable for disposal 
in a land disposal facility. For the purposes of this definition, low-
level waste has the same meaning as in the Low-Level Waste Policy Act, 
that is, radioactive waste not classified as high-level radioactive 
waste, transuranic waste, spent nuclear fuel, or byproduct material as 
defined in section 11e.(2) of the Atomic Energy Act (uranium or thorium 
tailings and waste).

[47 FR 57463, Dec. 27, 1982, as amended at 54 FR 22583, May 25, 1989; 58 
FR 33891, June 22, 1993]

[[Page 156]]



Sec. 61.3  License required.

    (a) No person may receive, possess, and dispose of radioactive waste 
containing source, special nuclear, or byproduct material at a land 
disposal facility unless authorized by a license issued by the 
Commission pursuant to this part, or unless exemption has been granted 
by the Commission under Sec. 61.6 of this part.
    (b) Each person shall file an application with the Commission and 
obtain a license as provided in this part before commencing construction 
of a land disposal facility. Failure to comply with this requirement may 
be grounds for denial of a license.



Sec. 61.4  Communications.

    Except where otherwise specified, all communications and reports 
concerning the regulations in this part and applications filed under 
them should be addressed to the Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555. Communications, reports, and applications may be delivered in 
person at the Commission's Offices at 2120 L Street NW, Washington, DC, 
or 11555 Rockville Pike, Rockville, MD.

[53 FR 4111, Feb. 12, 1988, as amended at 53 FR 43421, Oct. 27, 1988]



Sec. 61.5  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be considered binding upon 
the Commission.



Sec. 61.6  Exemptions.

    The Commission may, upon application by any interested person, or 
upon its own initiative, grant any exemption from the requirements of 
the regulations in this part as it determines is authorized by law, will 
not endanger life or property or the common defense and security, and is 
otherwise in the public interest.



Sec. 61.7  Concepts.

    (a) The disposal facility. (1) Part 61 is intended to apply to land 
disposal of radioactive waste and not to other methods such as sea or 
extraterrestrial disposal. Part 61 contains procedural requirements and 
performance objectives applicable to any method of land disposal. It 
contains specific technical requirements for near-surface disposal of 
radioactive waste, a subset of land disposal, which involves disposal in 
the uppermost portion of the earth, approximately 30 meters. Near-
surface disposal includes disposal in engineered facilities which may be 
built totally or partially above-grade provided that such facilities 
have protective earthen covers. Near-surface disposal does not include 
disposal facilities which are partially or fully above-grade with no 
protective earthen cover, which are referred to as ``above-ground 
disposal.'' Burial deeper than 30 meters may also be satisfactory. 
Technical requirements for alternative methods may be added in the 
future.
    (2) Near-surface disposal of radioactive waste takes place at a 
near-surface disposal facility, which includes all of the land and 
buildings necessary to carry out the disposal. The disposal site is that 
portion of the facility which is used for disposal of waste and consists 
of disposal units and a buffer zone. A disposal unit is a discrete 
portion of the disposal site into which waste is placed for disposal. 
For near-surface disposal, the disposal unit is usually a trench. A 
buffer zone is a portion of the disposal site that is controlled by the 
licensee and that lies under the site and between the boundary of the 
disposal site and any disposal unit. It provides controlled space to 
establish monitoring locations which are intended to provide an early 
warning of radionuclide movement, and to take mitigative measures if 
needed. In choosing a disposal site, site characteristics should be 
considered in terms of the indefinite future and evaluated for at least 
a 500-year timeframe.
    (b) Waste classification and near-surface disposal. (1) Disposal of 
radioactive waste in near-surface disposal facilities has the following 
safety objectives: protection of the general population

[[Page 157]]

from releases of radioactivity, protection of individuals from 
inadvertent intrusion, and protection of individuals during operations. 
A fourth objective is to ensure stability of the site after closure.
    (2) A cornerstone of the system is stability--stability of the waste 
and the disposal site so that once emplaced and covered, the access of 
water to the waste can be minimized. Migration of radionuclides is thus 
minimized, long-term active maintenance can be avoided, and potential 
exposures to intruders reduced. While stability is a desirable 
characteristic for all waste much radioactive waste does not contain 
sufficient amounts of radionuclides to be of great concern from these 
standpoints; this waste, however, tends to be unstable, such as ordinary 
trash type wastes. If mixed with the higher activity waste, their 
deterioration could lead to failure of the system and permit water to 
penetrate the disposal unit and cause problems with the higher activity 
waste. Therefore, in order to avoid placing requirements for a stable 
waste form on relatively innocuous waste, these wastes have been classed 
as Class A waste. The Class A waste will be disposed of in separate 
disposal units at the disposal site. However, Class A waste that is 
stable may be mixed with other classes of waste. Those higher activity 
wastes that should be stable for proper disposal are classed as Class B 
and C waste. To the extent that it is practicable, Class B and C waste 
forms or containers should be designed to be stable, i.e., maintain 
gross physical properties and identity, over 300 years. For certain 
radionuclides prone to migration, a maximum disposal site inventory 
based on the characteristics of the disposal site may be established to 
limit potential exposure.
    (3) It is possible but unlikely that persons might occupy the site 
in the future and engage in normal pursuits without knowing that they 
were receiving radiation exposure. These persons are referred to as 
inadvertent intruders. Protection of such intruders can involve two 
principal controls: institutional control over the site after operations 
by the site owner to ensure that no such occupation or improper use of 
the site occurs; or, designating which waste could present an 
unacceptable risk to an intruder, and disposing of this waste in a 
manner that provides some form of intruder barrier that is intended to 
prevent contact with the waste. This regulation incorporates both types 
of protective controls.
    (4) Institutional control of access to the site is required for up 
to 100 years. This permits the disposal of Class A and Class B waste 
without special provisions for intrusion protection, since these classes 
of waste contain types and quantities of radioisotopes that will decay 
during the 100-year period and will present an acceptable hazard to an 
intruder. The government landowner administering the active 
institutional control program has flexibility in controlling site access 
which may include allowing productive uses of the land provided the 
integrity and long-term performance of the site are not affected.
    (5) Waste that will not decay to levels which present an acceptable 
hazard to an intruder within 100 years is designated as Class C waste. 
This waste is disposed of at a greater depth than the other classes of 
waste so that subsequent surface activities by an intruder will not 
disturb the waste. Where site conditions prevent deeper disposal, 
intruder barriers such as concrete covers may be used. The effective 
life of these intruder barriers should be 500 years. A maximum 
concentration of radionuclides is specified for all wastes so that at 
the end of the 500 year period, remaining radioactivity will be at a 
level that does not pose an unacceptable hazard to an intruder or public 
health and safety. Waste with concentrations above these limits is 
generally unacceptable for near-surface disposal. There may be some 
instances where waste with concentrations greater than permitted for 
Class C would be acceptable for near-surface disposal with special 
processing or design. These will be evaluated on a case-by-case basis. 
Class C waste must also be stable.
    (c) The licensing process. (1) During the preoperational phase, the 
potential applicant goes through a process of disposal site selection by 
selecting a region of interest, examining a number of

[[Page 158]]

possible disposal sites within the area of interest and narrowing the 
choice to the proposed site. Through a detailed investigation of the 
disposal site characteristics the potential applicant obtains data on 
which to base an analysis of the disposal site's suitability. Along with 
these data and analyses, the applicant submits other more general 
information to the Commission in the form of an application for a 
license for land disposal. The Commission's review of the application is 
in accordance with administrative procedures established by rule and may 
involve participation by affected State governments or Indian tribes. 
While the proposed disposal site must be owned by a State or the Federal 
government before the Commission will issue a license, it may be 
privately owned during the preoperational phase if suitable arrangements 
have been made with a State or the Federal government to take ownership 
in fee of the land before the license is issued.
    (2) During the operational phase, the licensee carries out disposal 
activities in accordance with the requirements of this regulation and 
any conditions on the license. Periodically, the authority to conduct 
the above ground operations and dispose of waste will be subject to a 
license renewal, at which time the operating history will be reviewed 
and a decision made to permit or deny continued operation. When disposal 
operations are to cease, the licensee applies for an amendment to his 
license to permit site closure. After final review of the licensee's 
site closure and stabilization plan, the Commission may approve the 
final activities necessary to prepare the disposal site so that ongoing 
active maintenance of the site is not required during the period of 
institutional control.
    (3) During the period when the final site closure and stabilization 
activities are being carried out, the licensee is in a disposal site 
closure phase. Following that, for a period of 5 years, the licensee 
must remain at the disposal site for a period of post-closure 
observation and maintenance to assure that the disposal site is stable 
and ready for institutional control. The Commission may approve shorter 
or require longer periods if conditions warrant. At the end of this 
period, the licensee applies for a license transfer to the disposal site 
owner.
    (4) After a finding of satisfactory disposal site closure, the 
Commission will transfer the license to the State or Federal government 
that owns the disposal site. If the Department of Energy is the Federal 
agency administering the land on bahalf of the Federal government the 
license will be terminated because the Commission lacks regulatory 
authority over the Department for this activity. Under the conditions of 
the transferred license, the owner will carry out a program of 
monitoring to assure continued satisfactory disposal site performance, 
physical surveillance to restrict access to the site and carry out minor 
custodial activities. During this period, productive uses of the land 
might be permitted if those uses do not affect the stability of the site 
and its ability to meet the performance objectives. At the end of the 
prescribed period of institutional control, the license will be 
terminated by the Commission.

[47 FR 57463, Dec. 27, 1982, as amended at 58 FR 33891, June 22, 1993]



Sec. 61.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0135.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 61.3, 61.6, 61.9, 61.10, 61.11, 61.12, 61.13, 
61.14, 61.15, 61.16, 61.20, 61.22, 61.24, 61.26, 61.27, 61.28, 61.30, 
61.31, 61.53, 61.55, 61.57, 61.58, 61.61, 61.62, 61.63, 61.72, and 
61.80.

[58 FR 33891, June 22, 1993, as amended at 62 FR 52188, Oct. 6, 1997]

[[Page 159]]



Sec. 61.9  Employee protection.

    (a) Discrimination by a Commission licensee, an applicant for a 
Commission license, or a contractor or subcontractor of a Commission 
licensee or applicant against an employee for engaging in certain 
protected activities is prohibited. Discrimination includes discharge 
and other actions that relate to compensation, terms, conditions, or 
privileges of employment. The protected activities are established in 
section 211 of the Energy Reorganization Act of 1974, as amended, and in 
general are related to the administration or enforcement of a 
requirement imposed under the Atomic Energy Act or the Energy 
Reorganization Act.
    (1) The protected activities include but are not limited to:
    (i) Providing the Commission or his or her employer information 
about alleged violations of either of the statutes named in paragraph 
(a) introductory text of the section or possible violations of 
requirements imposed under either of those statutes;
    (ii) Refusing to engage in any practice made unlawful under either 
of the statutes named in paragraph (a) introductory text or under these 
requirements if the employee has identified the alleged illegality to 
the employer;
    (iii) Requesting the Commission to institute action against his or 
her employer for the administration or enforcement of these 
requirements;
    (iv) Testifying in any Commission proceeding, or before Congress, or 
at any Federal or State proceeding regarding any provision (or proposed 
provision) of either of the statutes named in paragraph (a) introductory 
text.
    (v) Assisting or participating in, or is about to assist or 
participate in, these activities.
    (2) These activities are protected even if no formal proceeding is 
actually initiated as a result of the employee assistance or 
participation.
    (3) This section has no application to any employee alleging 
discrimination prohibited by this section who, acting without direction 
from his or her employer (or the employer's agent), deliberately causes 
a violation of any requirement of the Energy Reorganization Act of 1974, 
as amended, or the Atomic Energy Act of 1954, as amended.
    (b) Any employee who believes that he or she has been discharged or 
otherwise discriminated against by any person for engaging in protected 
activities specified in paragraph (a)(1) of this section may seek a 
remedy for the discharge or discrimination through an administrative 
proceeding in the Department of Labor. The administrative proceeding 
must be initiated within 180 days after an alleged violation occurs. The 
employee may do this by filing a complaint alleging the violation with 
the Department of Labor, Employment Standards Administration, Wage and 
Hour Division. The Department of Labor may order reinstatement, back 
pay, and compensatory damages.
    (c) A violation of paragraph (a), (e), or (f) of this section by a 
Commission licensee, an applicant for a Commission license, or a 
contractor or subcontractor of a Commission licensee or applicant may be 
grounds for--
    (1) Denial, revocation, or suspension of the license.
    (2) Imposition of a civil penalty on the licensee or applicant.
    (3) Other enforcement action.
    (d) Actions taken by an employer, or others, which adversely affect 
an employee may be predicated upon nondiscriminatory grounds. The 
prohibition applies when the adverse action occurs because the employee 
has engaged in protected activities. An employee's engagement in 
protected activities does not automatically render him or her immune 
from discharge or discipline for legitimate reasons or from adverse 
action dictated by nonprohibited considerations.
    (e)(1) Each licensee and each applicant for a license shall 
prominently post the revision of NRC Form 3, ``Notice to Employees,'' 
referenced in 10 CFR 19.11(c). This form must be posted at locations 
sufficient to permit employees protected by this section to observe a 
copy on the way to or from their place of work. Premises must be posted 
not later than 30 days after an application is docketed and remain 
posted while the application is pending before the Commission, during 
the term of the license, and for 30 days following license termination.

[[Page 160]]

    (2) Copies of NRC Form 3 may be obtained by writing to the Regional 
Administrator of the appropriate U.S. Nuclear Regulatory Commission 
Regional Office listed in Appendix D to Part 20 of this chapter or by 
calling the NRC Information and Records Management Branch at 301-415-
7230.
    (f) No agreement affecting the compensation, terms, conditions, or 
privileges of employment, including an agreement to settle a complaint 
filed by an employee with the Department of Labor pursuant to section 
211 of the Energy Reorganization Act of 1974, as amended, may contain 
any provision which would prohibit, restrict, or otherwise discourage an 
employee from participating in protected activity as defined in 
paragraph (a)(1) of this section including, but not limited to, 
providing information to the NRC or to his or her employer on potential 
violations or other matters within NRC's regulatory responsibilities.

[58 FR 52412, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 
FR 6765, Feb. 22, 1996]



Sec. 61.9a  Completeness and accuracy of information.

    (a) Information provided to the Commission by an applicant for a 
license or by a licensee or information required by statute or by the 
Commission's regulations, orders, or license conditions to be maintained 
by the applicant or the licensee shall be complete and accurate in all 
material respects.
    (b) Each applicant or licensee shall notify the Commission of 
information identified by the applicant or licensee as having for the 
regulated activity a significant implication for public health and 
safety or common defense and security. An applicant or licensee violates 
this paragraph only if the applicant or licensee fails to notify the 
Commission of information that the applicant or licensee has identified 
as having a significant implication for public health and safety or 
common defense and security. Notification shall be provided to the 
Administrator of the appropriate Regional Office within two working days 
of identifying the information. This requirement is not applicable to 
information which is already required to be provided to the Commission 
by other reporting or updating requirements.

[52 FR 49372, Dec. 31, 1987]



Sec. 61.9b  Deliberate misconduct.

    (a) Any licensee, applicant for a license, employee of a licensee or 
applicant; or any contractor (including a supplier or consultant), 
subcontractor, employee of a contractor or subcontractor of any licensee 
or applicant for a license, who knowingly provides to any licensee, 
applicant, contractor, or subcontractor, any components, equipment, 
materials, or other goods or services that relate to a licensee's or 
applicant's activities in this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a licensee or applicant to be in violation of 
any rule, regulation, or order; or any term, condition, or limitation of 
any license issued by the Commission; or
    (2) Deliberately submit to the NRC, a licensee, an applicant, or a 
licensee's or applicant's contractor or subcontractor, information that 
the person submitting the information knows to be incomplete or 
inaccurate in some respect material to the NRC.
    (b) A person who violates paragraph (a)(1) or (a)(2) of this section 
may be subject to enforcement action in accordance with the procedures 
in 10 CFR part 2, subpart B.
    (c) For the purposes of paragraph (a)(1) of this section, deliberate 
misconduct by a person means an intentional act or omission that the 
person knows:
    (1) Would cause a licensee or applicant to be in violation of any 
rule, regulation, or order; or any term, condition, or limitation, of 
any license issued by the Commission; or
    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order, or policy of a licensee, 
applicant, contractor, or subcontractor.

[63 FR 1898, Jan. 13, 1998]

[[Page 161]]



                           Subpart B--Licenses



Sec. 61.10  Content of application.

    An application to receive from others, possess and dispose of wastes 
containing or contaminated with source, byproduct or special nuclear 
material by land disposal must consist of general information, specific 
technical information, institutional information, and financial 
information as set forth in Secs. 61.11 through 61.16. An environmental 
report prepared in accordance with subpart A of part 51 of this chapter 
must accompany the application.

[49 FR 9405, Mar. 12, 1984]



Sec. 61.11  General information.

    The general information must include each of the following:
    (a) Identity of the applicant including:
    (1) The full name, address, telephone number and description of the 
business or occupation of the applicant;
    (2) If the applicant is a partnership, the name, and address of each 
partner and the principal location where the partnership does business;
    (3) If the applicant is a corporation or an unincorporated 
association, (i) the state where it is incorporated or organized and the 
principal location where it does business, and (ii) the names and 
addresses of its directors and principal officers; and
    (4) If the applicant is acting as an agent or representative of 
another person in filing the application, all information required under 
this paragraph must be supplied with respect to the other person.
    (b) Qualifications of the applicant:
    (1) The organizational structure of the applicant, both offsite and 
onsite, including a description of lines of authority and assignments of 
responsibilities, whether in the form of administrative directives, 
contract provisions, or otherwise;
    (2) The technical qualifications, including training and experience, 
of the applicant and members of the applicant's staff to engage in the 
proposed activities. Minimum training and experience requirements for 
personnel filling key positions described in paragraph (b)(1) of this 
section must be provided;
    (3) A description of the applicant's personnel training program; and
    (4) The plan to maintain an adequate complement of trained personnel 
to carry out waste receipt, handling, and disposal operations in a safe 
manner.
    (c) A description of:
    (1) The location of the proposed disposal site;
    (2) The general character of the proposed activities;
    (3) The types and quantities of radioactive waste to be received, 
possessed, and disposed of;
    (4) Plans for use of the land disposal facility for purposes other 
than disposal of radioactive wastes; and
    (5) The proposed facilities and equipment.
    (d) Proposed schedules for construction, receipt of waste, and first 
emplacement of waste at the proposed land disposal facility.



Sec. 61.12  Specific technical information.

    The specific technical information must include the following 
information needed for demonstration that the performance objectives of 
subpart C of this part and the applicable technical requirements of 
subpart D of this part will be met:
    (a) A description of the natural and demographic disposal site 
characteristics as determined by disposal site selection and 
characterization activities. The description must include geologic, 
geotechnical, hydrologic, meteorologic, climatologic, and biotic 
features of the disposal site and vicinity.
    (b) A description of the design features of the land disposal 
facility and the disposal units. For near-surface disposal, the 
description must include those design features related to infiltration 
of water; integrity of covers for disposal units; structural stability 
of backfill, wastes, and covers; contact of wastes with standing water; 
disposal site drainage; disposal site closure and stabilization; 
elimination to the extent practicable of long-term disposal site 
maintenance; inadvertent intrusion; occupational exposures; disposal 
site monitoring; and adequacy of the size of the buffer zone for 
monitoring and potential mitigative measures.

[[Page 162]]

    (c) A description of the principal design criteria and their 
relationship to the performance objectives.
    (d) A description of the design basis natural events or phenomena 
and their relationship to the principal design criteria.
    (e) A description of codes and standards which the applicant has 
applied to the design and which will apply to construction of the land 
disposal facilities.
    (f) A description of the construction and operation of the land 
disposal facility. The description must include as a minimum the methods 
of construction of disposal units; waste emplacement; the procedures for 
and areas of waste segregation; types of intruder barriers; onsite 
traffic and drainage systems; survey control program; methods and areas 
of waste storage; and methods to control surface water and groundwater 
access to the wastes. The description must also include a description of 
the methods to be employed in the handling and disposal of wastes 
containing chelating agents or other non-radiological substances that 
might affect meeting the performance objectives in subpart C of this 
part.
    (g) A description of the disposal site closure plan, including those 
design features which are intended to facilitate disposal site closure 
and to eliminate the need for ongoing active maintenance.
    (h) An identification of the known natural resources at the disposal 
site, the exploitation of which could result in inadvertent intrusion 
into the low-level wastes after removal of active institutional control.
    (i) A description of the kind, amount, classification and 
specifications of the radioactive material proposed to be received, 
possessed, and disposed of at the land disposal facility.
    (j) A description of the quality assurance program, tailored to LLW 
disposal, developed and applied by the applicant for the determination 
of natural disposal site characteristics and for quality assurance 
during the design, construction, operation, and closure of the land 
disposal facility and the receipt, handling, and emplacement of waste.
    (k) A description of the radiation safety program for control and 
monitoring of radioactive effluents to ensure compliance with the 
performance objective in Sec. 61.41 of this part and occupational 
radiation exposure to ensure compliance with the requirements of part 20 
of this chapter and to control contamination of personnel, vehicles, 
equipment, buildings, and the disposal site. Both routine operations and 
accidents must be addressed. The program description must include 
procedures, instrumentation, facilities, and equipment.
    (l) A description of the environmental monitoring program to provide 
data to evaluate potential health and environmental impacts and the plan 
for taking corrective measures if migration of radionuclides is 
indicated.
    (m) A description of the administrative procedures that the 
applicant will apply to control activities at the land disposal 
facility.
    (n) A description of the facility electronic recordkeeping system as 
required in Sec. 61.80.

[47 FR 57463, Dec. 27, 1982, as amended at 58 FR 33891, June 22, 1993; 
60 FR 15666, Mar. 27, 1995]



Sec. 61.13  Technical analyses.

    The specific technical information must also include the following 
analyses needed to demonstrate that the performance objectives of 
subpart C of this part will be met:
    (a) Pathways analyzed in demonstrating protection of the general 
population from releases of radioactivity must include air, soil, 
groundwater, surface water, plant uptake, and exhumation by burrowing 
animals. The analyses must clearly identify and differentiate between 
the roles performed by the natural disposal site characteristics and 
design features in isolating and segregating the wastes. The analyses 
must clearly demonstrate that there is reasonable assurance that the 
exposure to humans from the release of radioactivity will not exceed the 
limits set forth in Sec. 61.41.
    (b) Analyses of the protection of individuals from inadvertent 
intrusion must include demonstration that there is reasonable assurance 
the waste classification and segregation requirements will be met and 
that adequate

[[Page 163]]

barriers to inadvertent intrusion will be provided.
    (c) Analyses of the protection of individuals during operations must 
include assessments of expected exposures due to routine operations and 
likely accidents during handling, storage, and disposal of waste. The 
analyses must provide reasonable assurance that exposures will be 
controlled to meet the requirements of part 20 of this chapter.
    (d) Analyses of the long-term stability of the disposal site and the 
need for ongoing active maintenance after closure must be based upon 
analyses of active natural processes such as erosion, mass wasting, 
slope failure, settlement of wastes and backfill, infiltration through 
covers over disposal areas and adjacent soils, and surface drainage of 
the disposal site. The analyses must provide reasonable assurance that 
there will not be a need for ongoing active maintenance of the disposal 
site following closure.



Sec. 61.14  Institutional information.

    The institutional information must include:
    (a) A certification by the Federal or State government which owns 
the disposal site that the Federal or State government is prepared to 
accept transfer of the license when the provisions of Sec. 61.30 are 
met, and will assume responsibility for custodial care after site 
closure and postclosure observation and maintenance.
    (b) Where the proposed disposal site is on land not owned by the 
Federal or a State government, the applicant must submit evidence that 
arrangements have been made for assumption of ownership in fee by the 
Federal or a State government before the Commission issues a license.



Sec. 61.15  Financial information.

    The financial information must be sufficient to demonstrate that the 
financial qualifications of the applicant are adequate to carry out the 
activities for which the license is sought and meet other financial 
assurance requirements as specified in subpart E of this part.



Sec. 61.16  Other information.

    Depending upon the nature of the wastes to be disposed of, and the 
design and proposed operation of the land disposal facility, additional 
information may be requested by the Commission including the following:
    (a) Physical security measures, if appropriate. Any application to 
receive and possess special nuclear material in quantities subject to 
the requirements of part 73 of this chapter shall demonstrate how the 
physical security requirements of part 73 will be met. In determining 
whether receipt and possession will be subject to the requirements of 
part 73, the applicant shall not consider the quantity of special 
nuclear material that has been disposed of.
    (b) Safety information concerning criticality, if appropriate. (1) 
Any application to receive and possess special nuclear material in 
quantities that would be subject to the requirements of Sec. 70.24, 
``Criticality accident requirements'' of part 70 of this chapter shall 
demonstrate how the requirements of that section will be met, unless the 
applicant requests an exemption pursuant to Sec. 70.24(d). In 
determining whether receipt and possession would be subject to the 
requirements of Sec. 70.24, the applicant shall not consider the 
quantity of special nuclear material that has been disposed of.
    (2) Any application to receive and possess special nuclear material 
shall describe proposed procedures for avoiding accidental criticality, 
which address both storage of special nuclear material prior to disposal 
and waste emplacement for disposal.



Sec. 61.20  Filing and distribution of application.

    (a) An application for a license under this part, and any amendments 
thereto, shall be filed with the Director, must be signed by the 
applicant or the applicant's authorized representative under oath, and 
must consist of 1 signed original and 2 copies.
    (b) Another 85 copies of the application must be retained by the 
applicant for distribution in accordance with written instructions from 
the Director or designee.

[[Page 164]]

    (c) Fees. Application, amendment, and inspection fees applicable to 
a license covering the receipt and disposal of radioactive wastes in a 
land disposal facility are required by part 170 of this chapter.

[47 FR 57463, Dec. 27, 1982, as amended at 49 FR 9405, Mar. 12, 1984]



Sec. 61.21  Elimination of repetition.

    In its application, the applicant may incorporate by reference 
information contained in previous applications, statements, or reports 
filed with the Commission if these references are clear and specific.

[49 FR 9405, Mar. 12, 1984]



Sec. 61.22  Updating of application.

    (a) The application must be as complete as possible in the light of 
information that is available at the time of submittal.
    (b) The applicant shall supplement its application in a timely 
manner, as necessary, to permit the Commission to review, prior to 
issuance of a license, any changes in the activities proposed to be 
carried out or new information regarding the proposed activities.

[49 FR 9405, Mar. 12, 1984]



Sec. 61.23  Standards for issuance of a license.

    A license for the receipt, possession, and disposal of waste 
containing or contaminated with source, special nuclear, or byproduct 
material will be issued by the Commission upon finding that the issuance 
of the license will not be inimical to the common defense and security 
and will not constitute an unreasonable risk to the health and safety of 
the public, and:
    (a) The applicant is qualified by reason of training and experience 
to carry out the disposal operations requested in a manner that protects 
health and minimizes danger to life or property.
    (b) The applicant's proposed disposal site, disposal design, land 
disposal facility operations (including equipment, facilities, and 
procedures), disposal site closure, and postclosure institutional 
control are adequate to protect the public health and safety in that 
they provide reasonable assurance that the general population will be 
protected from releases of radioactivity as specified in the performance 
objective in Sec. 61.41, Protection of the general population from 
releases of radioactivity.
    (c) The applicant's proposed disposal site, disposal site design, 
land disposal facility operations (including equipment, facilities, and 
procedures), disposal site closure, and postclosure institutional 
control are adequate to protect the public health and safety in that 
they will provide reasonable assurance that individual inadvertent 
intruders are protected in accordance with the performance objective in 
Sec. 61.42, Protection of individuals from inadvertent intrusion.
    (d) The applicant's proposed land disposal facility operations, 
including equipment, facilities, and procedures, are adequate to protect 
the public health and safety in that they will provide reasonable 
assurance that the standards for radiation protection set out in part 20 
of this chapter will be met.
    (e) The applicant's proposed disposal site, disposal site design, 
land disposal facility operations, disposal site closure, and 
postclosure institutional control are adequate to protect the public 
health and safety in that they will provide reasonable assurance that 
long-term stability of the disposed waste and the disposal site will be 
achieved and will eliminate to the extent practicable the need for 
ongoing active maintenance of the disposal site following closure.
    (f) The applicant's demonstration provides reasonable assurance that 
the applicable technical requirements of subpart D of this part will be 
met.
    (g) The applicant's proposal for institutional control provides 
reasonable assurance that institutional control will be provided for the 
length of time found necessary to ensure the findings in paragraphs (b) 
through (e) of this section and that the institutional control meets the 
requirements of Sec. 61.59, Institutional requirements.
    (h) The information on financial assurances meets the requirements 
of subpart E of this part.
    (i) The applicant's physical security information provides 
reasonable assurance that the requirements of part 73

[[Page 165]]

of this chapter will be met, insofar as they are applicable to special 
nuclear material to be possessed before disposal under the license.
    (j) The applicant's criticality safety procedures are adequate to 
protect the public health and safety and provide reasonable assurance 
that the requirements of Sec. 70.24, Criticality accident requirements, 
of part 70 of this chapter will be met, insofar as they are applicable 
to special nuclear material to be possessed before disposal under the 
license.
    (k) Any additional information submitted as requested by the 
Commission pursuant to Sec. 61.16, Other information, is adequate.
    (l) The requirements of subpart A of part 51 of this chapter have 
been met.

[47 FR 57463, Dec. 27, 1982, as amended at 49 FR 9405, Mar. 12, 1984]



Sec. 61.24  Conditions of licenses.

    (a) A license issued under this part, or any right thereunder, may 
be transferred, assigned, or in any manner disposed of, either 
voluntarily or involuntarily, directly or indirectly, through transfer 
of control of the license to any person, only if the Commission finds, 
after securing full information, that the transfer is in accordance with 
the provisions of the Atomic Energy Act and gives its consent in writing 
in the form of a license amendment.
    (b) The licensee shall submit written statements under oath upon 
request of the Commission, at any time before termination of the 
license, to enable the Commission to determine whether or not the 
license should be modified, suspended, or revoked.
    (c) The license will be transferred to the site owner only on the 
full implementation of the final closure plan as approved by the 
Commission, including post-closure observation and maintenance.
    (d) The licensee shall be subject to the provisions of the Atomic 
Energy Act now or hereafter in effect, and to all rules, regulations, 
and orders of the Commission. The terms and conditions of the license 
are subject to amendment, revision, or modification, by reason of 
amendments to, or by reason of rules, regulations, and orders issued in 
accordance with the terms of the Atomic Energy Act.
    (e) Any license may be revoked, suspended or modified in whole or in 
part for any material false statement in the application or any 
statement of fact required under Section 182 of the Act, or because of 
conditions revealed by any application or statement of fact or any 
report, record, or inspection or other means which would warrant the 
Commission to refuse to grant a license to the original application, or 
for failure to operate the facility in accordance with the terms of the 
license, or for any violation of, or failure to observe any of the terms 
and conditions of the Act, or any rule, regulation, license or order of 
the Commission.
    (f) Each person licensed by the Commission pursuant to the 
regulations in this part shall confine possession and use of materials 
to the locations and purposes authorized in the license.
    (g) No radioactive waste may be disposed of until the Commission has 
inspected the land disposal facility and has found it to be in 
conformance with the description, design, and construction described in 
the application for a license.
    (h) The Commission may incorporate in any license at the time of 
issuance, or thereafter, by appropriate rule, regulation or order, 
additional requirements and conditions with respect to the licensee's 
receipt, possession, and disposal of source, special nuclear or 
byproduct material as it deems appropriate or necessary in order to:
    (1) Promote the common defense and security;
    (2) Protect health or to minimize danger to life or property;
    (3) Require reports and the keeping of records, and to provide for 
inspections of activities under the license that may be necessary or 
appropriate to effectuate the purposes of the Act and regulations 
thereunder.
    (i) Any licensee who receives and possesses special nuclear material 
under this part in quantities that would be subject to the requirements 
of Sec. 70.24 of part 70 of this chapter shall comply with the 
requirements of that section. The licensee shall not consider the 
quantity of special nuclear material that has been disposed of.

[[Page 166]]

    (j) The authority to dispose of wastes expires on the date stated in 
the license except as provided in Sec. 61.27(a) of this part.
    (k)(1) Each licensee shall notify the appropriate NRC Regional 
Administrator, in writing, immediately following the filing of a 
voluntary or involuntary petition for bankruptcy under any Chapter of 
Title 11 (Bankruptcy) of the United States Code by or against:
    (i) The licensee;
    (ii) An entity (as that term is defined in 11 U.S.C. 101(14)) 
controlling the licensee or listing the license or licensee as property 
of the estate; or
    (iii) An affiliate (as that term is defined in 11 U.S.C. 101(2)) of 
the licensee.
    (2) This notification must indicate:
    (i) The bankruptcy court in which the petition for bankruptcy was 
filed; and
    (ii) The date of the filing of the petition.

[47 FR 57463, Dec. 27, 1982, as amended at 52 FR 1295, Jan. 12, 1987]



Sec. 61.25  Changes.

    (a) Except as provided for in specific license conditions, the 
licensee shall not make changes in the land disposal facility or 
procedures described in the license application. The license will 
include conditions restricting subsequent changes to the facility and 
the procedures authorized which are important to public health and 
safety. These license restrictions will fall into three categories of 
descending importance to public health and safety as follows: (1) those 
features and procedures which may not be changed without (i) 60 days 
prior notice to the Commission, (ii) 30 days notice of opportunity for a 
prior hearing, and (iii) prior Commission approval; (2) those features 
and procedures which may not be changed without (i) 60 days prior notice 
to the Commisson, and (ii) prior Commission approval; and (3) those 
features and procedures which may not be changed without 60 days prior 
notice to the Commission. Features and procedures falling in paragraph 
(a)(3) of this section may not be changed without prior Commission 
approval if the Commission, after having received the required notice, 
so orders.
    (b) Amendments authorizing site closure, license transfer, or 
license termination shall be included in paragraph (a)(1) of this 
section.
    (c) The Commission shall provide a copy of the notice for 
opportunity for hearings provided in paragraph (a)(1) of this section to 
State and local officials or tribal governing bodies specified in 
Sec. 2.104(e) of part 2 of this chapter.



Sec. 61.26  Amendment of license.

    (a) An application for amendment of a license must be filed in 
accordance with Sec. 61.20 and shall fully describe the changes desired.
    (b) In determining whether an amendment to a license will be 
approved, the Commission will apply the criteria set forth in 
Sec. 61.23.



Sec. 61.27  Application for renewal or closure.

    (a) Any expiration date on a license applies only to the above 
ground activities and to the authority to dispose of waste. Failure to 
renew the license shall not relieve the licensee of responsibility for 
carrying out site closure, postclosure observation and transfer of the 
license to the site owner. An application for renewal or an application 
for closure under Sec. 61.28 must be filed at least 30 days prior to 
license expiration.
    (b) Applications for renewal of a license must be filed in 
accordance with Secs. 61.10 through 61.16 and Sec. 61.20. Applications 
for closure must be filed in accordance with Secs. 61.20 and 61.28. 
Information contained in previous applications, statements or reports 
filed with the Commission under the license may be incorporated by 
reference if the references are clear and specific.
    (c) In any case in which a licensee has timely filed an application 
for renewal of a license, the license for continued receipt and disposal 
of licensed materials does not expire until the Commission has taken 
final action on the application for renewal.
    (d) In determining whether a license will be renewed, the Commission 
will apply the criteria set forth in Sec. 61.23.

[[Page 167]]



Sec. 61.28  Contents of application for closure.

    (a) Prior to final closure of the disposal site, or as otherwise 
directed by the Commission, the applicant shall submit an application to 
amend the license for closure. This closure application must include a 
final revision and specific details of the disposal site closure plan 
included as part of the license application submitted under 
Sec. 61.12(g) that includes each of the following:
    (1) Any additional geologic, hydrologic, or other disposal site data 
pertinent to the long-term containment of emplaced radioactive wastes 
obtained during the operational period.
    (2) The results of tests, experiments, or any other analyses 
relating to backfill of excavated areas, closure and sealing, waste 
migration and interaction with emplacement media, or any other tests, 
experiments, or analysis pertinent to the long-term containment of 
emplaced waste within the disposal site.
    (3) Any proposed revision of plans for:
    (i) Decontamination and/or dismantlement of surface facilities;
    (ii) Backfilling of excavated areas; or
    (iii) Stabilization of the disposal site for post-closure care.
    (b) An environmental report or a supplement to an environmental 
report prepared in accordance with subpart A of part 51 of this chapter 
must accompany the application.
    (c) Upon review and consideration of an application to amend the 
license for closure submitted in accordance with paragraph (a) of this 
section, the Commission shall issue an amendment authorizing closure if 
there is reasonable assurance that the long-term performance objectives 
of subpart C of this part will be met.

[47 FR 57463, Dec. 27, 1982, as amended at 49 FR 9406, Mar. 12, 1984]



Sec. 61.29  Post-closure observation and maintenance.

    Following completion of closure authorized in Sec. 61.28, the 
licensee shall observe, monitor, and carry out necessary maintenance and 
repairs at the disposal site until the license is transferred by the 
Commission in accordance with Sec. 61.30. Responsibility for the 
disposal site must be maintained by the licensee for 5 years. A shorter 
or longer time period for post-closure observation and maintenance may 
be established and approved as part of the site closure plan, based on 
site-specific conditions.



Sec. 61.30  Transfer of license.

    (a) Following closure and the period of post-closure observation and 
maintenance, the licensee may apply for an amendment to transfer the 
license to the disposal site owner. The license shall be transferred 
when the Commission finds:
    (1) That the closure of the disposal site has been made in 
conformance with the licensee's disposal site closure plan, as amended 
and approved as part of the license;
    (2) That reasonable assurance has been provided by the licensee that 
the performance objectives of subpart C of this part are met;
    (3) That any funds for care and records required by Sec. 61.80 (e) 
and (f) have been transferred to the disposal site owner;
    (4) That the post-closure monitoring program is operational for 
implementation by the disposal site owner; and
    (5) That the Federal or State government agency which will assume 
responsibility for institutional control of the disposal site is 
prepared to assume responsibility and ensure that the institutional 
requirements found necessary under Sec. 61.23(g) will be met.

[47 FR 57463, Dec. 27, 1982, as amended at 61 FR 24674, May 16, 1996]



Sec. 61.31  Termination of license.

    (a) Following any period of institutional control needed to meet the 
requirements found necessary under Sec. 61.23, the licensee may apply 
for an amendment to terminate the license.
    (b) This application must be filed, and will be reviewed, in 
accordance with the provision of Sec. 61.20 and of this section.
    (c) A license is terminated only when the Commission finds:
    (1) That the institutional control requirements found necessary 
under Sec. 61.23(g) have been met; and

[[Page 168]]

    (2) That any additional requirements resulting from new information 
developed during the institutional control period have been met, and 
that permanent monuments or markers warning against intrusion have been 
installed.
    (3) That the records required by Sec. 61.80 (e) and (f) have been 
sent to the party responsible for institutional control of the disposal 
site and a copy has been sent to the Commission immediately prior to 
license termination.

[47 FR 57463, Dec. 27, 1982, as amended at 61 FR 24674, May 16, 1996]



                    Subpart C--Performance Objectives



Sec. 61.40  General requirement.

    Land disposal facilities must be sited, designed, operated, closed, 
and controlled after closure so that reasonable assurance exists that 
exposures to humans are within the limits established in the performance 
objectives in Secs. 61.41 through 61.44.



Sec. 61.41  Protection of the general population from releases of radioactivity.

    Concentrations of radioactive material which may be released to the 
general environment in ground water, surface water, air, soil, plants, 
or animals must not result in an annual dose exceeding an equivalent of 
25 millirems to the whole body, 75 millirems to the thyroid, and 25 
millirems to any other organ of any member of the public. Reasonable 
effort should be made to maintain releases of radioactivity in effluents 
to the general environment as low as is reasonably achievable.



Sec. 61.42  Protection of individuals from inadvertent intrusion.

    Design, operation, and closure of the land disposal facility must 
ensure protection of any individual inadvertently intruding into the 
disposal site and occupying the site or contacting the waste at any time 
after active institutional controls over the disposal site are removed.



Sec. 61.43  Protection of individuals during operations.

    Operations at the land disposal facility must be conducted in 
compliance with the standards for radiation protection set out in part 
20 of this chapter, except for releases of radioactivity in effluents 
from the land disposal facility, which shall be governed by Sec. 61.41 
of this part. Every reasonable effort shall be made to maintain 
radiation exposures as low as is reasonably achievable.



Sec. 61.44  Stability of the disposal site after closure.

    The disposal facility must be sited, designed, used, operated, and 
closed to achieve long-term stability of the disposal site and to 
eliminate to the extent practicable the need for ongoing active 
maintenance of the disposal site following closure so that only 
surveillance, monitoring, or minor custodial care are required.



     Subpart D--Technical Requirements for Land Disposal Facilities



Sec. 61.50  Disposal site suitability requirements for land disposal.

    (a) Disposal site suitability for near-surface disposal. (1) The 
purpose of this section is to specify the minimum characteristics a 
disposal site must have to be acceptable for use as a near-surface 
disposal facility. The primary emphasis in disposal site suitability is 
given to isolation of wastes, a matter having long-term impacts, and to 
disposal site features that ensure that the long-term performance 
objectives of subpart C of this part are met, as opposed to short-term 
convenience or benefits.
    (2) The disposal site shall be capable of being characterized, 
modeled, analyzed and monitored.
    (3) Within the region or state where the facility is to be located, 
a disposal site should be selected so that projected population growth 
and future developments are not likely to affect the ability of the 
disposal facility to meet the performance objectives of subpart C of 
this part.
    (4) Areas must be avoided having known natural resources which, if 
exploited, would result in failure to meet the performance objectives of 
subpart C of this part.

[[Page 169]]

    (5) The disposal site must be generally well drained and free of 
areas of flooding or frequent ponding. Waste disposal shall not take 
place in a 100-year flood plain, coastal high-hazard area or wetland, as 
defined in Executive Order 11988, ``Floodplain Management Guidelines.''
    (6) Upstream drainage areas must be minimized to decrease the amount 
of runoff which could erode or inundate waste disposal units.
    (7) The disposal site must provide sufficient depth to the water 
table that ground water intrusion, perennial or otherwise, into the 
waste will not occur. The Commission will consider an exception to this 
requirement to allow disposal below the water table if it can be 
conclusively shown that disposal site characteristics will result in 
molecular diffusion being the predominant means of radionuclide movement 
and the rate of movement will result in the performance objectives of 
subpart C of this part being met. In no case will waste disposal be 
permitted in the zone of fluctuation of the water table.
    (8) The hydrogeologic unit used for disposal shall not discharge 
ground water to the surface within the disposal site.
    (9) Areas must be avoided where tectonic processes such as faulting, 
folding, seismic activity, or vulcanism may occur with such frequency 
and extent to significantly affect the ability of the disposal site to 
meet the performance objectives of subpart C of this part, or may 
preclude defensible modeling and prediction of long-term impacts.
    (10) Areas must be avoided where surface geologic processes such as 
mass wasting, erosion, slumping, landsliding, or weathering occur with 
such frequency and extent to significantly affect the ability of the 
disposal site to meet the performance objectives of subpart C of this 
part, or may preclude defensible modeling and prediction of long-term 
impacts.
    (11) The disposal site must not be located where nearby facilities 
or activities could adversely impact the ability of the site to meet the 
performance objectives of subpart C of this part or significantly mask 
the environmental monitoring program.
    (b) Disposal site suitability requirements for land disposal other 
than near-surface (reserved).



Sec. 61.51  Disposal site design for land disposal.

    (a) Disposal site design for near-surface disposal. (1) Site design 
features must be directed toward long-term isolation and avoidance of 
the need for continuing active maintenance after site closure.
    (2) The disposal site design and operation must be compatible with 
the disposal site closure and stabilization plan and lead to disposal 
site closure that provides reasonable assurance that the performance 
objectives of subpart C of this part will be met.
    (3) The disposal site must be designed to complement and improve, 
where appropriate, the ability of the disposal site's natural 
characteristics to assure that the performance objectives of subpart C 
of this part will be met.
    (4) Covers must be designed to minimize to the extent practicable 
water infiltration, to direct percolating or surface water away from the 
disposed waste, and to resist degradation by surface geologic processes 
and biotic activity.
    (5) Surface features must direct surface water drainage away from 
disposal units at velocities and gradients which will not result in 
erosion that will require ongoing active maintenance in the future.
    (6) The disposal site must be designed to minimize to the extent 
practicable the contact of water with waste during storage, the contact 
of standing water with waste during disposal, and the contact of 
percolating or standing water with wastes after disposal.
    (b) Disposal site design for other than near-surface disposal 
(reserved).



Sec. 61.52  Land disposal facility operation and disposal site closure.

    (a) Near-surface disposal facility operation and disposal site 
closure. (1) Wastes designated as Class A pursuant to Sec. 61.55, must 
be segregated from other wastes by placing in disposal units which are 
sufficiently separated from disposal units for the other waste classes 
so that any interaction between Class A wastes and other wastes will

[[Page 170]]

not result in the failure to meet the performance objectives in subpart 
C of this Part. This segregation is not necessary for Class A wastes if 
they meet the stability requirements in Sec. 61.56(b) of this part.
    (2) Wastes designated as Class C pursuant to Sec. 61.55, must be 
disposed of so that the top of the waste is a minimum of 5 meters below 
the top surface of the cover or must be disposed of with intruder 
barriers that are designed to protect against an inadvertent intrusion 
for a least 500 years.
    (3) All wastes shall be disposed of in accordance with the 
requirements of paragraphs (a) (4) through (11) of this section.
    (4) Wastes must be emplaced in a manner that maintains the package 
integrity during emplacement, minimizes the void spaces between 
packages, and permits the void spaces to be filled.
    (5) Void spaces between waste packages must be filled with earth or 
other material to reduce future subsidence within the fill.
    (6) Waste must be placed and covered in a manner that limits the 
radiation dose rate at the surface of the cover to levels that at a 
minimum will permit the licensee to comply with all provisions of 
Secs. 20.1301 and 20.1302 of this chapter at the time the license is 
transferred pursuant to Sec. 61.30 of this part.
    (7) The boundaries and locations of each disposal unit (e.g., 
trenches) must be accurately located and mapped by means of a land 
survey. Near-surface disposal units must be marked in such a way that 
the boundaries of each unit can be easily defined. Three permanent 
survey marker control points, referenced to United States Geological 
Survey (USGS) or National Geodetic Survey (NGS) survey control stations, 
must be established on the site to facilitate surveys. The USGS or NGS 
control stations must provide horizontal and vertical controls as 
checked against USGS or NGS record files.
    (8) A buffer zone of land must be maintained between any buried 
waste and the disposal site boundary and beneath the disposed waste. The 
buffer zone shall be of adequate dimensions to carry out environmental 
monitoring activities specified in Sec. 61.53(d) of this part and take 
mitigative measures if needed.
    (9) Closure and stabilization measures as set forth in the approved 
site closure plan must be carried out as each disposal unit (e.g., each 
trench) is filled and covered.
    (10) Active waste disposal operations must not have an adverse 
effect on completed closure and stabilization measures.
    (11) Only wastes containing or contaminated with radioactive 
materials shall be disposed of at the disposal site.
    (b) Facility operation and disposal site closure for land disposal 
facilities other than near-surface (reserved).

[47 FR 57463, Dec. 27, 1982, as amended at 56 FR 23474, May 21, 1991; 56 
FR 61352, Dec. 3, 1991; 58 FR 67662, Dec. 22, 1993]



Sec. 61.53  Environmental monitoring.

    (a) At the time a license application is submitted, the applicant 
shall have conducted a preoperational monitoring program to provide 
basic environmental data on the disposal site characteristics. The 
applicant shall obtain information about the ecology, meteorology, 
climate, hydrology, geology, geochemistry, and seismology of the 
disposal site. For those characteristics that are subject to seasonal 
variation, data must cover at least a twelve month period.
    (b) The licensee must have plans for taking corrective measures if 
migration of radionuclides would indicate that the performance 
objectives of subpart C may not be met.
    (c) During the land disposal facility site construction and 
operation, the licensee shall maintain a monitoring program. 
Measurements and observations must be made and recorded to provide data 
to evaluate the potential health and environmental impacts during both 
the construction and the operation of the facility and to enable the 
evaluation of long-term effects and the need for mitigative measures. 
The monitoring system must be capable of providing early warning of 
releases of radionuclides from the disposal site before they leave the 
site boundary.
    (d) After the disposal site is closed, the licensee responsible for 
post-operational surveillance of the disposal site

[[Page 171]]

shall maintain a monitoring system based on the operating history and 
the closure and stabilization of the disposal site. The monitoring 
system must be capable of providing early warning of releases of 
radionuclides from the disposal site before they leave the site 
boundary.



Sec. 61.54  Alternative requirements for design and operations.

    The Commission may, upon request or on its own initiative, authorize 
provisions other than those set forth in Secs. 61.51 through 61.53 for 
the segregation and disposal of waste and for the design and operation 
of a land disposal facility on a specific basis, if it finds reasonable 
assurance of compliance with the performance objectives of subpart C of 
this part.



Sec. 61.55  Waste classification.

    (a) Classification of waste for near surface disposal. (1) 
Considerations. Determination of the classification of radioactive waste 
involves two considerations. First, consideration must be given to the 
concentration of long-lived radionuclides (and their shorter-lived 
precursors) whose potential hazard will persist long after such 
precautions as institutional controls, improved waste form, and deeper 
disposal have ceased to be effective. These precautions delay the time 
when long-lived radionuclides could cause exposures. In addition, the 
magnitude of the potential dose is limited by the concentration and 
availability of the radionuclide at the time of exposure. Second, 
consideration must be given to the concentration of shorter-lived 
radionuclides for which requirements on institutional controls, waste 
form, and disposal methods are effective.
    (2) Classes of waste. (i) Class A waste is waste that is usually 
segregated from other waste classes at the disposal site. The physical 
form and characteristics of Class A waste must meet the minimum 
requirements set forth in Sec. 61.56(a). If Class A waste also meets the 
stability requirements set forth in Sec. 61.56(b), it is not necessary 
to segregate the waste for disposal.
    (ii) Class B waste is waste that must meet more rigorous 
requirements on waste form to ensure stability after disposal. The 
physical form and characteristics of Class B waste must meet both the 
minimum and stability requirements set forth in Sec. 61.56.
    (iii) Class C waste is waste that not only must meet more rigorous 
requirements on waste form to ensure stability but also requires 
additional measures at the disposal facility to protect against 
inadvertent intrusion. The physical form and characteristics of Class C 
waste must meet both the minimum and stability requirements set forth in 
Sec. 61.56.
    (iv) Waste that is not generally acceptable for near-surface 
disposal is waste for which form and disposal methods must be different, 
and in general more stringent, than those specified for Class C waste. 
In the absense of specific requirements in this part, such waste must be 
disposed of in a geologic repository as defined in part 60 of this 
chapter unless proposals for disposal of such waste in a disposal site 
licensed pursuant to this part are approved by the Commission.
    (3) Classification determined by long-lived radionuclides. If 
radioactive waste contains only radionuclides listed in Table 1, 
classification shall be determined as follows:
    (i) If the concentration does not exceed 0.1 times the value in 
Table 1, the waste is Class A.
    (ii) If the concentration exceeds 0.1 times the value in Table 1 but 
does not exceed the value in Table 1, the waste is Class C.
    (iii) If the concentration exceeds the value in Table 1, the waste 
is not generally acceptable for near-surface disposal.
    (iv) For wastes containing mixtures of radionuclides listed in Table 
1, the total concentration shall be determined by the sum of fractions 
rule described in paragraph (a)(7) of this section.

                                 Table 1
------------------------------------------------------------------------
                                                           Concentration
                       Radionuclide                          curies per
                                                            cubic meter
------------------------------------------------------------------------
C-14.....................................................           8
C-14 in activated metal..................................          80
Ni-59 in activated metal.................................         220
Nb-94 in activated metal.................................           0.2
Tc-99....................................................           3
I-129....................................................           0.08

[[Page 172]]

 
Alpha emitting transuranic nuclides with half-life            \1\ 100
 greater than 5 years....................................
Pu-241...................................................   \1\ 3,500
Cm-242...................................................  \1\ 20,000
------------------------------------------------------------------------
\1\ Units are nanocuries per gram.

    (4) Classification determined by short-lived radionuclides. If 
radioactive waste does not contain any of the radionuclides listed in 
Table 1, classification shall be determined based on the concentrations 
shown in Table 2. However, as specified in paragraph (a)(6) of this 
section, if radioactive waste does not contain any nuclides listed in 
either Table 1 or 2, it is Class A.
    (i) If the concentration does not exceed the value in Column 1, the 
waste is Class A.
    (ii) If the concentration exceeds the value in Column 1, but does 
not exceed the value in Column 2, the waste is Class B.
    (iii) If the concentration exceeds the value in Column 2, but does 
not exceed the value in Column 3, the waste is Class C.
    (iv) If the concentration exceeds the value in Column 3, the waste 
is not generally acceptable for near-surface disposal.
    (v) For wastes containing mixtures of the nuclides listed in Table 
2, the total concentration shall be determined by the sum of fractions 
rule described in paragraph (a)(7) of this section.

                                 Table 2
------------------------------------------------------------------------
                                                   Concentration, curies
                                                      per cubic meter
                   Radionuclide                   ----------------------
                                                             Col.   Col.
                                                    Col. 1    2      3
------------------------------------------------------------------------
Total of all nuclides with less than 5 year half-   700     (\1\)  (\1\)
 life............................................
H-3..............................................    40     (\1\)  (\1\)
Co-60............................................   700     (\1\)  (\1\)
Ni-63............................................     3.5      70    700
Ni-63 in activated metal.........................    35       700   7000
Sr-90............................................     0.04    150   7000
Cs-137...........................................     1        44   4600
------------------------------------------------------------------------
\1\ There are no limits established for these radionuclides in Class B
  or C wastes. Practical considerations such as the effects of external
  radiation and internal heat generation on transportation, handling,
  and disposal will limit the concentrations for these wastes. These
  wastes shall be Class B unless the concentrations of other nuclides in
  Table 2 determine the waste to be Class C independent of these
  nuclides.

    (5) Classification determined by both long- and short-lived 
radionuclides. If radioactive waste contains a mixture of radionuclides, 
some of which are listed in Table 1, and some of which are listed in 
Table 2, classification shall be determined as follows:
    (i) If the concentration of a nuclide listed in Table 1 does not 
exceed 0.1 times the value listed in Table 1, the class shall be that 
determined by the concentration of nuclides listed in Table 2.
    (ii) If the concentration of a nuclide listed in Table 1 exceeds 0.1 
times the value listed in Table 1 but does not exceed the value in Table 
1, the waste shall be Class C, provided the concentration of nuclides 
listed in Table 2 does not exceed the value shown in Column 3 of Table 
2.
    (6) Classification of wastes with radionuclides other than those 
listed in Tables 1 and 2. If radioactive waste does not contain any 
nuclides listed in either Table 1 or 2, it is Class A.
    (7) The sum of the fractions rule for mixtures of radionuclides. For 
determining classification for waste that contains a mixture of 
radionuclides, it is necessary to determine the sum of fractions by 
dividing each nuclide's concentration by the appropriate limit and 
adding the resulting values. The appropriate limits must all be taken 
from the same column of the same table. The sum of the fractions for the 
column must be less than 1.0 if the waste class is to be determined by 
that column. Example: A waste contains Sr-90 in a concentration of 50 
Ci/m\3\ and Cs-137 in a concentration of 22 Ci/m\3\. Since the 
concentrations both exceed the values in Column 1, Table 2, they must be 
compared to Column 2 values. For Sr-90 fraction 50/150=0.33; for Cs-137 
fraction, 22/44=0.5; the sum of the fractions=0.83. Since the sum is 
less than 1.0, the waste is Class B.
    (8) Determination of concentrations in wastes. The concentration of 
a radionuclide may be determined by indirect methods such as use of 
scaling factors which relate the inferred concentration of one 
radionuclide to another that is measured, or radionuclide material 
accountability, if there is reasonable assurance that the indirect 
methods can

[[Page 173]]

be correlated with actual measurements. The concentration of a 
radionuclide may be averaged over the volume of the waste, or weight of 
the waste if the units are expressed as nanocuries per gram.

[47 FR 57463, Dec. 27, 1982, as amended at 54 FR 22583, May 25, 1989]



Sec. 61.56  Waste characteristics.

    (a) The following requirements are minimum requirements for all 
classes of waste and are intended to facilitate handling at the disposal 
site and provide protection of health and safety of personnel at the 
disposal site.
    (1) Waste must not be packaged for disposal in cardboard or 
fiberboard boxes.
    (2) Liquid waste must be solidified or packaged in sufficient 
absorbent material to absorb twice the volume of the liquid.
    (3) Solid waste containing liquid shall contain as little free 
standing and noncorrosive liquid as is reasonably achievable, but in no 
case shall the liquid exceed 1% of the volume.
    (4) Waste must not be readily capable of detonation or of explosive 
decomposition or reaction at normal pressures and temperatures, or of 
explosive reaction with water.
    (5) Waste must not contain, or be capable of generating, quantities 
of toxic gases, vapors, or fumes harmful to persons transporting, 
handling, or disposing of the waste. This does not apply to radioactive 
gaseous waste packaged in accordance with paragraph (a)(7) of this 
section.
    (6) Waste must not be pyrophoric. Pyrophoric materials contained in 
waste shall be treated, prepared, and packaged to be nonflammable.
    (7) Waste in a gaseous form must be packaged at a pressure that does 
not exceed 1.5 atmospheres at 20 deg.C. Total activity must not exceed 
100 curies per container.
    (8) Waste containing hazardous, biological, pathogenic, or 
infectious material must be treated to reduce to the maximum extent 
practicable the potential hazard from the non-radiological materials.
    (b) The requirements in this section are intended to provide 
stability of the waste. Stability is intended to ensure that the waste 
does not structurally degrade and affect overall stability of the site 
through slumping, collapse, or other failure of the disposal unit and 
thereby lead to water infiltration. Stability is also a factor in 
limiting exposure to an inadvertent intruder, since it provides a 
recognizable and nondispersible waste.
    (1) Waste must have structural stability. A structurally stable 
waste form will generally maintain its physical dimensions and its form, 
under the expected disposal conditions such as weight of overburden and 
compaction equipment, the presence of moisture, and microbial activity, 
and internal factors such as radiation effects and chemical changes. 
Structural stability can be provided by the waste form itself, 
processing the waste to a stable form, or placing the waste in a 
disposal container or structure that provides stability after disposal.
    (2) Notwithstanding the provisions in Sec. 61.56(a) (2) and (3), 
liquid wastes, or wastes containing liquid, must be converted into a 
form that contains as little free standing and noncorrosive liquid as is 
reasonably achievable, but in no case shall the liquid exceed 1% of the 
volume of the waste when the waste is in a disposal container designed 
to ensure stability, or 0.5% of the volume of the waste for waste 
processed to a stable form.
    (3) Void spaces within the waste and between the waste and its 
package must be reduced to the extent practicable.



Sec. 61.57  Labeling.

    Each package of waste must be clearly labeled to identify whether it 
is Class A waste, Class B waste, or Class C waste, in accordance with 
Sec. 61.55.



Sec. 61.58  Alternative requirements for waste classification and characteristics.

    The Commission may, upon request or on its own initiative, authorize 
other provisions for the classification and characteristics of waste on 
a specific basis, if, after evaluation, of the specific characteristics 
of the waste, disposal site, and method of disposal, it

[[Page 174]]

finds reasonable assurance of compliance with the performance objectives 
in subpart C of this part.



Sec. 61.59  Institutional requirements.

    (a) Land ownership. Disposal of radioactive waste received from 
other persons may be permitted only on land owned in fee by the Federal 
or a State government.
    (b) Institutional control. The land owner or custodial agency shall 
carry out an institutional control program to physically control access 
to the disposal site following transfer of control of the disposal site 
from the disposal site operator. The institutional control program must 
also include, but not be limited to, carrying out an environmental 
monitoring program at the disposal site, periodic surveillance, minor 
custodial care, and other requirements as determined by the Commission; 
and administration of funds to cover the costs for these activities. The 
period of institutional controls will be determined by the Commission, 
but institutional controls may not be relied upon for more than 100 
years following transfer of control of the disposal site to the owner.



                     Subpart E--Financial Assurances



Sec. 61.61  Applicant qualifications and assurances.

    Each applicant shall show that it either possesses the necessary 
funds or has reasonable assurance of obtaining the necessary funds, or 
by a combination of the two, to cover the estimated costs of conducting 
all licensed activities over the planned operating life of the project, 
including costs of construction and disposal.



Sec. 61.62  Funding for disposal site closure and stabilization.

    (a) The applicant shall provide assurance that sufficient funds will 
be available to carry out disposal site closure and stabilization, 
including: (1) Decontamination or dismantlement of land disposal 
facility structures; and (2) closure and stabilization of the disposal 
site so that following transfer of the disposal site to the site owner, 
the need for ongoing active maintenance is eliminated to the extent 
practicable and only minor custodial care, surveillance, and monitoring 
are required. These assurances shall be based on Commission-approved 
cost estimates reflecting the Commission-approved plan for disposal site 
closure and stabilization. The applicant's cost estimates must take into 
account total capital costs that would be incurred if an independent 
contractor were hired to perform the closure and stabilization work.
    (b) In order to avoid unnecessary duplication and expense, the 
Commission will accept financial sureties that have been consolidated 
with earmarked financial or surety arrangements established to meet 
requirements of other Federal or State agencies and/or local governing 
bodies for such decontamination, closure and stabilization. The 
Commission will accept this arrangement only if they are considered 
adequate to satisfy these requirements and that the portion of the 
surety which covers the closure of the disposal site is clearly 
identified and committed for use in accomplishing these activities.
    (c) The licensee's surety mechanism will be annually reviewed by the 
Commission to assure that sufficient funds are available for completion 
of the closure plan, assuming that the work has to be performed by an 
independent contractor.
    (d) The amount of surety liability should change in accordance with 
the predicted cost of future closure and stabilization. Factors 
affecting closure and stabilization cost estimates include: inflation; 
increases in the amount of disturbed land; changes in engineering plans; 
closure and stabilization that has already been accomplished and any 
other conditions affecting costs. This will yield a surety that is at 
least sufficient at all times to cover the costs of closure of the 
disposal units that are expected to be used before the next license 
renewal.
    (e) The term of the surety mechanism must be open ended unless it 
can be demonstrated that another arrangement would provide an equivalent 
level of assurance. This assurance could be provided with a surety 
mechanism which is written for a specified period of time (e.g., five 
years) yet which

[[Page 175]]

must be automatically renewed unless the party who issues the surety 
notifies the Commission and the beneficiary (the site owner) and the 
principal (the licensee) not less than 90 days prior to the renewal date 
of its intention not to renew. In such a situation the licensee must 
submit a replacement surety within 30 days after notification of 
cancellation. If the licensee fails to provide a replacement surety 
acceptable to the Commission, the site owner may collect on the original 
surety.
    (f) Proof of forfeiture must not be necessary to collect the surety 
so that in the event that the licensee could not provide an acceptable 
replacement surety within the required time, the surety shall be 
automatically collected prior to its expiration. The conditions 
described above would have to be clearly stated on any surety instrument 
which is not open-ended, and must be agreed to by all parties. Liability 
under the surety mechanism must remain in effect until the closure and 
stabilization program has been completed and approved by the Commission 
and the license has been transferred to the site owner.
    (g) Financial surety arrangements generally acceptable to the 
Commission include: surety bonds, cash deposits, certificates of 
deposits, deposits of government securities, escrow accounts, 
irrevocable letters or lines of credit, trust funds, and combinations of 
the above or such other types of arrangements as may be approved by the 
Commission. However, self-insurance, or any arrangement which 
essentially constitutes pledging the assets of the licensee, will not 
satisfy the surety requirement for private sector applicants since this 
provides no additional assurance other than that which already exists 
through license requirements.



Sec. 61.63  Financial assurances for institutional controls.

    (a) Prior to the issuance of the license, the applicant shall 
provide for Commission review and approval a copy of a binding 
arrangement, such as a lease, between the applicant and the disposal 
site owner that ensures that sufficient funds will be available to cover 
the costs of monitoring and any required maintenance during the 
institutional control period. The binding arrangement will be reviewed 
periodically by the Commission to ensure that changes in inflation, 
technology and disposal facility operations are reflected in the 
arrangements.
    (b) Subsequent changes to the binding arrangement specified in 
paragraph (a) of this section relevant to institutional control shall be 
submitted to the Commission for approval.



     Subpart F--Participation by State Governments and Indian Tribes



Sec. 61.70  Scope.

    This subpart describes mechanisms through which the Commission will 
implement a formal request from a State or tribal government to 
participate in the review of a license application for a land disposal 
facility. Nothing in this subpart may be construed to bar the State or 
tribal governing body from participating in subsequent Commission 
proceedings concerning the license application as provided under Federal 
law and regulations.



Sec. 61.71  State and Tribal government consultation.

    Upon request of a State or tribal governing body, the Director shall 
make available Commission staff to discuss with representatives of the 
State or tribal governing body information submitted by the applicant, 
applicable Commission regulations, licensing procedures, potential 
schedules, and the type and scope of State activities in the license 
review permitted by law. In addition, staff shall be made available to 
consult and cooperate with the State or tribal governing body in 
developing proposals for participation in the license review.



Sec. 61.72  Filing of proposals for State and Tribal participation.

    (a) A State or tribal governing body whose interest is affected by a 
near-surface disposal facility at the proposed site may submit to the 
Director a proposal for participation in the review of a license 
application. Proposals must be submitted within the following time 
periods:

[[Page 176]]

    (1) For the State in which the disposal facility will be located, or 
any State that is member of an interstate compact that includes the 
State in which the disposal facility is located, no later than 45 days 
following publication in the Federal Register of the notice of tendering 
of an application submitted under Sec. 61.20.
    (2) For any other State, or for a tribal governing body, no later 
than 120 days following publication in the Federal Register of the 
notice of tendering of an application submitted under Sec. 61.20.
    (b) Proposals for participation in the licensing process must be 
made in writing and must be signed by the Governor of the State or the 
official otherwise provided for by State or tribal law.
    (c) At a minimum, proposals must contain each of the following items 
of information:
    (1) A general description of how the State or tribe wishes to 
participate in the licensing process specifically identifying those 
issues it wishes to review.
    (2) A description of material and information which the State or 
tribe plans to submit to the Commission for consideration in the 
licensing process. A tentative schedule referencing steps in the review 
and calendar dates for planned submittals should be included.
    (3) A description of any work that the State or tribe proposes to 
perform for the Commission in support of the licensing process.
    (4) A description of State or tribal plans to facilitate local 
government and citizen participation.
    (5) A preliminary estimate of the types and extent of impacts which 
the State expects, should a disposal facility be located as proposed.
    (6) If desired, any requests for educational or information services 
(seminars, public meetings) or other actions from the Commission such as 
establishment of additional Public Document Rooms or exchange of State 
personnel under the Intergovernmental Personnel Act.



Sec. 61.73  Commission approval of proposals.

    (a) Upon receipt of a proposal submitted in accordance with 
Sec. 61.72, the Director shall arrange for a meeting between the 
representatives of the State or tribal governing body and the Commission 
staff to discuss the proposal and to ensure full and effective 
participation by the State or tribe in the Commission's license review.
    (b) If requested by a State or tribal governing body, the Director 
may approve all or any part of a proposal if the Director determines 
that:
    (1) The proposed activities are within the scope of Commission 
statutory responsibility and the type and magnitude of impacts which the 
State or tribe may bear are sufficient to justify their participation; 
and
    (2) The proposed activities will contribute productively to the 
licensing review.
    (c) The decision of the Director will be transmitted in writing to 
the governor or the designated official of the tribal governing body.
    (d) Participation by a State or Indian tribe shall not affect their 
rights to participate in an adjudicatory hearing as provided by part 2 
of this chapter.



           Subpart G--Records, Reports, Tests, and Inspections



Sec. 61.80  Maintenance of records, reports, and transfers.

    (a) Each licensee shall maintain any records and make any reports in 
connection with the licensed activities as may be required by the 
conditions of the license or by the rules, regulations, and orders of 
the Commission.
    (b) Records which are required by the regulations in this part or by 
license conditions must be maintained for a period specified by the 
appropriate regulations in this chapter or by license condition. If a 
retention period is not otherwise specified, these records must be 
maintained and transferred to the officials specified in paragraph (e) 
of this section as a condition of license termination unless the 
Commission otherwise authorizes their disposition.
    (c) Records which must be maintained pursuant to this part may be 
the original or a reproduced copy or a microform if this reproduced copy 
or microform is capable of producing copy that is clear and legible at 
the end of the required retention period. The

[[Page 177]]

record may also be stored in electronic media with the capability for 
producing legible, accurate, and complete records during the required 
retention period. Records such as letters, drawings, specifications, 
must include all pertinent information such as stamps, initials, and 
signatures. The licensee shall maintain adequate safeguards against 
tampering with and loss of records.
    (d) If there is a conflict between the Commission's regulations in 
this part, license condition, or other written Commission approval or 
authorization pertaining to the retention period for the same type of 
record, the longest retention period specified takes precedence.
    (e) Notwithstanding paragraphs (a) through (d) of this section, the 
licensee shall record the location and the quantity of radioactive 
wastes contained in the disposal site and transfer these records upon 
license termination to the chief executive of the nearest municipality, 
the chief executive of the county in which the facility is located, the 
county zoning board or land development and planning agency, the State 
governor and other State, local, and Federal governmental agencies as 
designated by the Commission at the time of license termination.
    (f) Following receipt and acceptance of a shipment of radioactive 
waste, the licensee shall record the date that the shipment is received 
at the disposal facility, the date of disposal of the waste, a traceable 
shipment manifest number, a description of any engineered barrier or 
structural overpack provided for disposal of the waste, the location of 
disposal at the disposal site, the containment integrity of the waste 
disposal containers as received, any discrepancies between materials 
listed on the manifest and those received, the volume of any pallets, 
bracing, or other shipping or onsite generated materials that are 
contaminated, and are disposed of as contaminated or suspect materials, 
and any evidence of leaking or damaged disposal containers or radiation 
or contamination levels in excess of limits specified in Department of 
Transportation and Commission regulations. The licensee shall briefly 
describe any repackaging operations of any of the disposal containers 
included in the shipment, plus any other information required by the 
Commission as a license condition. The licensee shall retain these 
records until the Commission transfers or terminates the license that 
authorizes the activities described in this section.
    (g) Each licensee shall comply with the safeguards reporting 
requirements of Secs. 30.55, 40.64, 70.53 and 70.54 of this chapter if 
the quantities or activities of materials received or transferred exceed 
the limits of these sections. Inventory reports required by these 
sections are not required for materials after disposal.
    (h) Each licensee authorized to dispose of radioactive waste 
received from other persons shall file a copy of its financial report or 
a certified financial statement annually with the Commission in order to 
update the information base for determining financial qualifications.
    (i)(1) Each licensee authorized to dispose of waste materials 
received from other persons, pursuant to this part, shall submit annual 
reports to the appropriate Commission regional office shown in Appendix 
D to 10 CFR part 20, with copies to the Director, Division of Waste 
Management, Office of Nuclear Material Safety and Safeguards, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555. Reports must be 
submitted by the end of the first calendar quarter of each year for the 
preceding year.
    (2) The reports shall include (i) specification of the quantity of 
each of the principal radionuclides released to unrestricted areas in 
liquid and in airborne effluents during the preceding year, (ii) the 
results of the environmental monitoring program, (iii) a summary of 
licensee disposal unit survey and maintenance activities, (iv) a 
summary, by waste class, of activities and quantities of radionuclides 
disposed of, (v) any instances in which observed site characteristics 
were significantly different from those described in the application for 
a license; and (vi) any other information the Commission may require. If 
the quantities of radioactive materials released during the reporting 
period, monitoring results, or

[[Page 178]]

maintenance performed are significantly different from those expected in 
the materials previously reviewed as part of the licensing action, the 
report must cover this specifically.
    (j) Each licensee shall report in accordance with the requirements 
of Sec. 70.52 of this chapter.
    (k) Any transfer of byproduct, source, and special nuclear materials 
by the licensee is subject to the requirements in Secs. 30.41, 40.51, 
and 70.42 of this chapter. Byproduct, source and special nuclear 
material means materials as defined in these parts, respectively.
    (l) In addition to the other requirements of this section, the 
licensee shall store, or have stored, manifest and other information 
pertaining to receipt and disposal of radioactive waste in an electronic 
recordkeeping system.
    (1) The manifest information that must be electronically stored is--
    (i) That required in 10 CFR part 20, appendix G, with the exception 
of shipper and carrier telephone numbers and shipper and consignee 
certifications; and
    (ii) That information required in paragraph (f) of this section.
    (2) As specified in facility license conditions, the licensee shall 
report the stored information, or subsets of this information, on a 
computer-readable medium.

[47 FR 57463, Dec. 27, 1982, as amended at 52 FR 31612, Aug. 21, 1987; 
53 FR 19251, May 27, 1988; 58 FR 33891, June 22, 1993; 60 FR 15666, Mar. 
27, 1995]]



Sec. 61.81  Tests at land disposal facilities.

    (a) Each licensee shall perform, or permit the Commission to 
perform, any tests as the Commission deems appropriate or necessary for 
the administration of the regulations in this part, including tests of:
    (1) Radioactive wastes and facilities used for the receipt, storage, 
treatment, handling and disposal of radioactive wastes.
    (2) Radiation detection and monitoring instruments; and
    (3) Other equipment and devices used in connection with the receipt, 
possession, handling, treatment, storage, or disposal of radioactive 
waste.



Sec. 61.82  Commission inspections of land disposal facilities.

    (a) Each licensee shall afford to the Commission at all reasonable 
times opportunity to inspect radioactive waste not yet disposed of, and 
the premises, equipment, operations, and facilities in which radioactive 
wastes are received, possessed, handled, treated, stored, or disposed 
of.
    (b) Each licensee shall make available to the Commission for 
inspection, upon reasonable notice, records kept by it pursuant to the 
regulations in this chapter. Authorized representatives of the 
Commission may copy and take away copies of, for the Commission's use, 
any record required to be kept pursuant to this part.



Sec. 61.83  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;
    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55077, Nov. 24, 1992]



Sec. 61.84  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation

[[Page 179]]

of, attempted violation of, or conspiracy to violate, any regulation 
issued under sections 161b, 161i, or 161o of the Act. For purposes of 
section 223, all the regulations in part 61 are issued under one or more 
of sections 161b, 161i, or 161o, except for the sections listed in 
paragraph (b) of this section.
    (b) The regulations in part 61 that are not issued under sections 
161b, 161i, or 161o for the purposes of Section 223 are as follows: 
Secs. 61.1, 61.2, 61.4, 61.5, 61.6, 61.7, 61.8, 61.10, 61.11, 61.12, 
61.13, 61.14, 61.15, 61.16, 61.20, 61.21, 61.22, 61.23, 61.26, 61.30, 
61.31, 61.50, 61.51, 61.54, 61.55, 61.58, 61.59, 61.61, 61.63, 61.70, 
61.71, 61.72, 61.73, 61.83, and 61.84.

[57 FR 55077, Nov. 24, 1992]



PART 62--CRITERIA AND PROCEDURES FOR EMERGENCY ACCESS TO NON-FEDERAL AND REGIONAL LOW-LEVEL WASTE DISPOSAL FACILITIES--Table of Contents




                      Subpart A--General Provisions

Sec.
62.1  Purpose and scope.
62.2  Definitions.
62.3  Communications.
62.4  Interpretations.
62.5  Specific exemptions.
62.8  Information collection requirements: OMB approval.

            Subpart B--Request for a Commission Determination

62.11  Filing and distribution of a determination request.
62.12  Contents of a request for emergency access: General information.
62.13  Contents of a request for emergency access: Alternatives.
62.14  Contents of a request for an extension of emergency access.
62.15  Additional information.
62.16  Withdrawal of a determination request.
62.17  Elimination of repetition.
62.18  Denial of request.

            Subpart C--Issuance of a Commission Determination

62.21  Determination for granting emergency access.
62.22  Notice of issuance of a determination.
62.23  Determination for granting temporary emergency access.
62.24  Extension of emergency access.
62.25  Criteria for a Commission determination.
62.26  Criteria for designating a disposal facility.

               Subpart D--Termination of Emergency Access

62.31  Termination of emergency access.

    Authority: Secs. 81, 161, as amended, 68 Stat. 935, 948, 949, 950, 
951, as amended. (42 U.S.C. 2111, 2201); secs. 201, 209, as amended, 88 
Stat. 1242, 1248, as amended (42 U.S.C. 5841, 5849); secs. 3, 4, 5, 6, 
99 Stat. 1843, 1844, 1845, 1846, 1847, 1848, 1849, 1850, 1851, 1852, 
1853, 1854, 1855, 1856, 1857. (42 U.S.C. 2021c, 2021d, 2021e, 2021f).

    Source: 54 FR 5420, Feb. 3, 1989, unless other noted.



                      Subpart A--General Provisions



Sec. 62.1  Purpose and scope.

    (a) The regulations in this part establish for specific low-level 
radioactive waste:
    (1) Criteria and procedures for granting emergency access under 
section 6 of the Low-Level Radioactive Waste Policy Amendments Act of 
1985 (42 U.S.C. 2021) to any non-Federal or regional low-level 
radioactive waste (LLW) disposal facility or to any non-Federal disposal 
facility within a State that is not a member of a Compact, and
    (2) The terms and conditions upon which the Commission will grant 
this emergency access.
    (b) The regulations in this part apply to all persons as defined by 
this regulation, who have been denied access to existing regional or 
non-Federal low-level radioactive waste disposal facilities and who 
submit a request to the Commission for a determination pursuant to this 
part.
    (c) The regulations in this part apply only to the LLW that the 
States have the responsibility to dispose of pursuant to section 3(1)(a) 
of the Act.



Sec. 62.2  Definitions.

    As used in this part:
    Act means the Low-Level Radioactive Waste Policy Amendments Act of 
1985 (Pub. L. 99-240).
    Agreement State means a State that--

[[Page 180]]

    (1) Has entered into an agreement with the Nuclear Regulatory 
Commission under section 274 of the Atomic Energy Act of 1954 (42 U.S.C. 
2021); and
    (2) Has authority to regulate the disposal of low-level radioactive 
waste under such agreement.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Compact means a Compact entered into by two or more States pursuant 
to the Low-Level Radioactive Waste Policy Amendments Act of 1985.
    Compact Commission means the regional commission, committee, or 
board established in a Compact to administer such Compact.
    Disposal means the permanent isolation of low-level radioactive 
waste pursuant to the requirements established by the Nuclear Regulatory 
Commission under applicable laws, or by an Agreement State if such 
isolation occurs in this Agreement State.
    Emergency access means access to an operating non-Federal or 
regional low-level radioactive waste disposal facility or facilities for 
a period not to exceed 180 days, which is granted by NRC to a generator 
of low-level radioactive waste who has been denied the use of those 
facilities.
    Extension of emergency access means an extension of the access that 
had been previously granted by NRC to an operating non-Federal or 
regional low-level radioactive waste disposal facility or facilities for 
a period not to exceed 180 days.
    Low-level radioactive waste (LLW) means radioactive material that--
    (1) Is not high-level radioactive waste, spent nuclear fuel, or 
byproduct material (as defined in section IIe(2) of the Atomic Energy 
Act of 1954, (42 U.S.C. 2014(e)(2))); and (2) the NRC, consistent with 
existing law and in accordance with paragraph (a), classifies as low-
level radioactive waste.
    Non-Federal disposal facility means a low-level radioactive waste 
disposal facility that is commercially operated or is operated by a 
State.
    Person means any individual, corporation, partnership, firm, 
association, trust, State, public or private institution, group or 
agency who is an NRC or NRC Agreement State licensed generator of low-
level radioactive waste within the scope of Sec. 62.1(c) of this part; 
any Governor (or for any State without a Governor, the chief executive 
officer of the State) on behalf of any NRC or NRC Agreement State 
licensed generator or generators of low-level radioactive waste within 
the scope of Sec. 62.1(c) of this part located in his or her State; or 
their duly authorized representative, legal successor, or agent.
    Regional disposal facility means a non-Federal low-level radioactive 
waste disposal facility in operation on January 1, 1985, or subsequently 
established and operated under a compact.
    State means any State of the United States, the District of 
Columbia, and the Commonwealth of Puerto Rico.
    Temporary emergency access means access that is granted at NRC's 
discretion under Sec. 62.23 of this part upon determining that access is 
necessary to eliminate an immediate and serious threat to the public 
health and safety or the common defense and security. Such access 
expires 45 days after the granting and cannot be extended.



Sec. 62.3  Communications.

    Except where otherwise specified, each communication and report 
concerning the regulations in this part should be addressed to the 
Director, Office of Nuclear Materials Safety and Safeguards, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555, or may be delivered 
in person to the Commission's offices at 2120 L Street NW., Washington, 
DC, or 11555 Rockville Pike, Rockville, MD.



Sec. 62.4  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be considered binding on the 
Commission.



Sec. 62.5  Specific exemptions.

    The Commission may, upon application of any interested person or 
upon its own initiative, grant an exemption from the requirements of the 
regulations in this part that it determines is

[[Page 181]]

authorized by law and will not endanger life or property or the common 
defense and security and is otherwise in the public interest.



Sec. 62.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0143.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 62.11, 62.12, 62.13, 62.14, and 62.15.

[54 FR 5420, Feb. 3, 1989, as amended at 62 FR 52188, Oct. 6, 1997]



            Subpart B--Request for a Commission Determination



Sec. 62.11  Filing and distribution of a determination request.

    (a) The person submitting a request for a Commission determination 
shall file a signed original and nine copies of the request with the 
Commission at the address specified in Sec. 62.3 of this part, with a 
copy also provided to the appropriate Regional Administrator at the 
address specified in appendix D to part 20 of this chapter. The request 
must be signed by the person requesting the determination or the 
person's authorized representative under oath or affirmation.
    (b) Upon receipt of a request for a determination, the Secretary of 
the Commission shall publish a notice acknowledging receipt of the 
request in the Federal Register. The notice must require that public 
comment on the request be submitted within 10 days of the publication 
date of the notice. A copy of the request will be made available for 
inspection or copying at the NRC Web site, http://www.nrc.gov, and/or at 
the NRC Public Document Room. The Secretary of the Commission shall also 
transmit a copy of the request to the U.S. Department of Energy, to the 
Governors of the States of the Compact region where the waste is 
generated, to the Governors of the States with operating non-Federal 
low-level radioactive waste disposal facilities, to the Compact 
Commissions with operating regional low-level radioactive waste disposal 
facilities, and to the Governors of the States in the Compact 
Commissions with operating disposal facilities.
    (c) Upon receipt of a request for a determination based on a serious 
and immediate threat to the common defense and security, the Commission 
will notify DOD and/or DOE and provide a copy of the request as needed 
for their consideration.
    (d) Fees applicable to a request for a Commission determination 
under this part will be determined in accordance with the procedures set 
forth for special projects under category 12 of Sec. 170.31 of this 
chapter.
    (e) In the event that the allocations or limitations established in 
section 5(b) or 6(h) of the Act are met at all operating non-Federal or 
regional LLW disposal facilities, the Commission may suspend the 
processing or acceptance of requests for emergency access determinations 
until additional LLW disposal capacity is authorized by Congress.

[54 FR 5420, Feb. 3, 1989, as amended at 64 FR 48954, Sept. 9, 1999]



Sec. 62.12  Contents of a request for emergency access: General information.

    A request for a Commission determination under this part must 
include the following information for each generator to which the 
request applies:
    (a) Name and address of the person making the request;
    (b) Name and address of the person(s) or company(ies) generating the 
low-level radioactive waste for which the determination is sought;
    (c) A statement indicating whether the generator is basing the 
request on the grounds of a serious and immediate threat to the public 
health and safety or the common defense and security;

[[Page 182]]

    (d) Certification that the radioactive waste for which emergency 
access is requested is low-level radioactive waste within Sec. 62.1(c) 
of this part;
    (e) The low-level waste generation facility(ies) producing the waste 
for which the request is being made;
    (f) A description of the activity that generated the waste;
    (g) Name of the disposal facility or facilities which had been 
receiving the waste stream of concern before the generator was denied 
access;
    (h) A description of the low-level radioactive waste for which 
emergency access is requested, including--
    (1) The characteristics and composition of the waste, including, but 
not limited to--
    (i) Type of waste (e.g. solidified oil, scintillation fluid, failed 
equipment);
    (ii) Principal chemical composition;
    (iii) Physical state (solid, liquid, gas);
    (iv) Type of solidification media; and
    (v) Concentrations and percentages of any hazardous or toxic 
chemicals, chelating agents, or infectious or biological agents 
associated with the waste;
    (2) The radiological characteristics of the waste such as--
    (i) The classification of the waste in accordance with 61.55;
    (ii) A list of the radionuclides present or potentially present in 
the waste, their concentration or contamination levels, and total 
quantity;
    (iii) Distribution of the radionuclides within the waste (surface or 
volume distribution);
    (iv) Amount of transuranics (nanocuries/gram);
    (3) The minimum volume of the waste requiring emergency access to 
eliminate the threat to the public health and safety or the common 
defense and security;
    (4) The time duration for which emergency access is requested (not 
to exceed 180 days);
    (5) Type of disposal container or packaging (55 gallon drum, box, 
liner, etc.); and
    (6) Description of the volume reduction and waste minimization 
techniques applied to the waste which assure that it is reduced to the 
maximum extent practicable, and the actual reduction in volume that 
occurred;
    (i) Basis for requesting the determination set out in this part, 
including--
    (1) The circumstances that led to the denial of access to existing 
low-level radioactive waste disposal facilities;
    (2) A description of the situation that is responsible for creating 
the serious and immediate threat to the public health and safety or the 
common defense and security, including the date when the need for 
emergency access was identified;
    (3) A chronology and description of the actions taken by the person 
requesting emergency access to prevent the need for making such a 
request, including consideration of all alternatives set forth in 
Sec. 62.13 of this part, and any supporting documentation as 
appropriate;
    (4) An explanation of the impacts of the waste on the public health 
and safety or the common defense and security if emergency access is not 
granted, and the basis for concluding that these impacts constitute a 
serious and immediate threat to the public health and safety or the 
common defense and security. The impacts to the public health and safety 
or the common defense and security should also be addressed if the 
generator's services, including research activities, were to be 
curtailed, either for a limited period of time or indefinitely;
    (5) Other consequences if emergency access is not granted;
    (j) Steps taken by the person requesting emergency access to correct 
the situation requiring emergency access and the person's plans to 
eliminate the need for additional or future emergency access requests;
    (k) Documentation certifying that access has been denied;
    (l) Documentation that the waste for which emergency access is 
requested could not otherwise qualify for disposal pursuant to the 
Unusual Volumes provision (Section 5(c)(5) of the Act) or is not 
simultaneously under consideration by the Department of Energy (DOE) for 
access through the Unusual Volumes allocation;
    (m) Date by which access is required;

[[Page 183]]

    (n) Any other information which the Commission should consider in 
making its determination.



Sec. 62.13  Contents of a request for emergency access: Alternatives.

    (a) A request for emergency access under this part must include 
information on alternatives to emergency access. The request shall 
include a discussion of the consideration given to any alternatives, 
including, but not limited to, the following:
    (1) Storage of low-level radioactive waste at the site of 
generation;
    (2) Storage of low-level radioactive waste in a licensed storage 
facility;
    (3) Obtaining access to a disposal facility by voluntary agreement;
    (4) Purchasing disposal capacity available for assignment pursuant 
to the Act;
    (5) Requesting disposal at a Federal low-level radioactive waste 
disposal facility in the case of a Federal or defense related generator 
of LLW;
    (6) Reducing the volume of the waste;
    (7) Ceasing activities that generate low-level radioactive waste; 
and
    (8) Other alternatives identified under paragraph (b) of this 
section.
    (b) The request must identify all of the alternatives to emergency 
access considered, including any that would require State or Compact 
action, or any others that are not specified in paragraph (a) of this 
section. The request should also include a description of the process 
used to identify the alternatives, a description of the factors that 
were considered in identifying and evaluating them, a chronology of 
actions taken to identify and implement alternatives during the process, 
and a discussion of any actions that were considered, but not 
implemented.
    (c) The evaluation of each alternative must consider:
    (1) Its potential for mitigating the serious and immediate threat to 
public health and safety or the common defense and security posed by 
lack of access to disposal;
    (2) The adverse effects on public health and safety and the common 
defense and security, if any, of implementing each alternative, 
including the curtailment or cessation of any essential services 
affecting the public health and safety or the common defense and 
security;
    (3) The technical and economic feasibility of each alternative 
including the person's financial capability to implement the 
alternatives;
    (4) Any other pertinent societal costs and benefits;
    (5) Impacts to the environment;
    (6) Any legal impediments to implementation of each alternative, 
including whether the alternatives will comply with applicable NRC and 
NRC Agreement States regulatory requirements; and
    (7) The time required to develop and implement each alternative.
    (d) The request must include the basis for:
    (1) Rejecting each alternative; and
    (2) Concluding that no alternative is available.



Sec. 62.14  Contents of a request for an extension of emergency access.

    A request for an extension of emergency access must include:
    (a) Updates of the information required in Secs. 62.12 and 62.13; 
and
    (b) Documentation that the generator of the low-level radioactive 
waste granted emergency access and the State in which the low-level 
radioactive waste was generated have diligently, though unsuccessfully, 
acted during the period of the initial grant to eliminate the need for 
emergency access. Documentation must include:
    (1) An identification of additional alternatives that have been 
evaluated during the period of the initial grant, and
    (2) A discussion of any reevaluation of previously considered 
alternatives, including verification of continued attempts to gain 
access to a disposal facility by voluntary agreement.



Sec. 62.15  Additional information.

    (a) The Commission may require additional information from a person 
making a request for a Commission determination under this part 
concerning any portion of the request.
    (b) The Commission shall deny a request for a Commission 
determination under this part if the person making the request fails to 
respond to a request for additional information under

[[Page 184]]

paragraph (a) of this section within ten (10) days from the date of the 
request for additional information, or any other time that the 
Commission may specify. This denial will not prejudice the right of the 
person making the request to file another request for a Commission 
determination under this part.



Sec. 62.16  Withdrawal of a determination request.

    (a) A person may withdraw a request for a Commission determination 
under this part without prejudice at any time prior to the issuance of 
an initial determination under Sec. 62.21 of this part.
    (b) The Secretary of the Commission will cause to be published in 
the Federal Register a notice of the withdrawal of a request for a 
Commission determination under this part.



Sec. 62.17  Elimination of repetition.

    In any request under this part, the person making the request may 
incorporate by reference information contained in a previous 
application, Statement, or report filed with the Commission provided 
that these references are updated, clear, and specific.



Sec. 62.18  Denial of request.

    If a request for a determination is based on circumstances that are 
too remote and speculative to allow an informed determination, the 
Commission may deny the request.



            Subpart C--Issuance of a Commission Determination



Sec. 62.21  Determination for granting emergency access.

    (a) Not later than (45) days after the receipt of a request for a 
Commission determination under this part from any generator of low-level 
radioactive waste, or any Governor on behalf of any generator or 
generators located in his or her State, the Commission shall determine 
whether--
    (1) Emergency access to a regional disposal facility or a non-
Federal disposal facility within a State that is not a member of a 
Compact for specific low-level radioactive waste is necessary because of 
an immediate and serious threat--
    (i) To the public health and safety or
    (ii) The common defense and security; and
    (2) The threat cannot be mitigated by any alternative consistent 
with the public health and safety, including those identified in 
Sec. 62.13.
    (b) In making a determination under this section, the Commission 
shall be guided by the criteria set forth in Sec. 62.25 of this part.
    (c) A determination under this section must be in writing and 
contain a full explanation of the facts upon which the determination is 
based and the reasons for granting or denying the request. An 
affirmative determination must designate an appropriate non-Federal or 
regional LLW disposal facility or facilities for the disposal of wastes, 
specifically describe the low-level radioactive waste as to source, 
physical and radiological characteristics, and the minimum volume and 
duration (not to exceed 180 days) necessary to eliminate the immediate 
threat to public health and safety or the common defense and security. 
It may also contain conditions upon which the determination is 
dependent.



Sec. 62.22  Notice of issuance of a determination.

    (a) Upon the issuance of a Commission determination the Secretary of 
the Commission will notify in writing the following persons of the final 
determination: The person making the request, the Governor of the State 
in which the low-level radioactive waste requiring emergency access was 
generated, the Governor of the State in which the designated disposal 
facility is located, and if pertinent, the appropriate Compact 
Commission for such approval as is specified as necessary in section 
6(g) of the Act. For the Governor of the State in which the designated 
disposal facility is located and for the appropriate Compact Commission, 
the notification must set forth the reasons that emergency access was 
granted and specifically describe the low-level radioactive waste as to 
source, physical and radiological characteristics, and the minimum 
volume and duration (not to exceed 180 days) necessary to alleviate the 
immediate and serious threat to public health and

[[Page 185]]

safety or the common defense and security. For the Governor of the State 
in which the low-level waste was generated, the notification must 
indicate that no extension of emergency access will be granted under 
Sec. 62.24 of this part absent diligent State and generator action 
during the period of the initial grant.
    (b) The Secretary of the Commission will cause to be published in 
the Federal Register a notice of the issuance of the determination.
    (c) The Secretary of the Commission shall make a copy of the final 
determination available for inspection at the NRC Web site, http://
www.nrc.gov.

[54 FR 5420, Feb. 3, 1989, as amended at 64 FR 48954, Sept. 9, 1999]



Sec. 62.23  Determination for granting temporary emergency access.

    (a) The Commission may grant temporary emergency access to an 
appropriate non-Federal or regional disposal facility or facilities 
provided that the determination required under Sec. 62.21(a)(1) of this 
part is made;
    (b) The notification procedures under Sec. 62.22 of this part are 
complied with; and
    (c) The temporary emergency access duration will not exceed forty-
five (45) days.



Sec. 62.24  Extension of emergency access.

    (a) After the receipt of a request from any generator of low-level 
waste, or any Governor on behalf of any generator or generators in his 
or her State, for an extension of emergency access that was initially 
granted under Sec. 62.21, the Commission shall make an initial 
determination of whether--
    (1) Emergency access continues to be necessary because of an 
immediate and serious threat to the public health and safety or the 
common defense and security;
    (2) The threat cannot be mitigated by any alternative that is 
consistent with public health and safety; and
    (3) The generator of low-level waste and the State have diligently 
though unsuccessfully acted during the period of the initial grant to 
eliminate the need for emergency access.
    (b) After making a determination pursuant to paragraph (a) of this 
section, the requirements specified in Secs. 62.21(c) and 62.22 of this 
part, must be followed.



Sec. 62.25  Criteria for a Commission determination.

    (a) In making the determination required by Sec. 62.21(a) of this 
part, the Commission will determine whether the circumstances described 
in the request for emergency access create a serious and immediate 
threat to the public health and safety or the common defense and 
security.
    (b) In making the determination that a serious and immediate threat 
exists to the public health and safety, the Commission will consider, 
notwithstanding the availability of any alternative identified in 
Sec. 62.13 of this part:
    (1) The nature and extent of the radiation hazard that would result 
from the denial of emergency access, including consideration of--
    (i) The standards for radiation protection contained in part 20 of 
this chapter;
    (ii) Any standards governing the release of radioactive materials to 
the general environment that are applicable to the facility that 
generated the low level waste; and
    (iii) Any other Commission requirements specifically applicable to 
the facility or activity that is the subject of the emergency access 
request; and
    (2) The extent to which essential services affecting the public 
health and safety (such as medical, therapeutic, diagnostic, or research 
activities) will be disrupted by the denial of emergency access.
    (c) For purposes of granting temporary emergency access under 
Sec. 62.23 of this part, the Commission will consider the criteria 
contained in the Commission's Policy Statement (45 FR 10950, February 
24, 1977) for determining whether an event at a facility or activity 
licensed or otherwise regulated by the Commission is an abnormal 
occurrence within the purview of section 208 of the Energy 
Reorganization Act of 1974.
    (d) In making the determination that a serious and immediate threat 
to the common defense and security exists,

[[Page 186]]

the Commission will consider, notwithstanding the availability of any 
alternative identified in Sec. 62.13 of this part:
    (1) Whether the activity generating the wastes is necessary to the 
protection of the common defense and security, and
    (2) Whether the lack of access to a disposal site would result in a 
significant disruption in that activity that would seriously threaten 
the common defense and security.

The Commission will consider the views of the Department of Defense 
(DOD) and or the Department of Energy (DOE) regarding the importance of 
the activities responsible for generating the LLW to the common defense 
and security, when evaluating requests based all, or in part, on a 
serious and immediate threat to the common defense and security.
    (e) In making the determination required by Sec. 62.21(a)(2) of this 
part, the Commission will consider whether the person submitting the 
request--
    (1) Has identified and evaluated any alternative that could mitigate 
the need for emergency access; and
    (2) Has considered all pertinent factors in its evaluation of 
alternatives including state-of-the-art technology and impacts on public 
health and safety.
    (f) In making the determination required by Sec. 62.21(a)(2) of this 
part, the Commission will consider implementation of an alternative to 
be unreasonable if:
    (1) It adversely affects public health and safety, the environment, 
or the common defense and security; or
    (2) It results in a significant curtailment or cessation of 
essential services, affecting public health and safety or the common 
defense and security; or
    (3) It is beyond the technical and economic capabilities of the 
person requesting emergency access; or
    (4) Implementation of the alternative would conflict with applicable 
State or local or Federal laws and regulations; or
    (5) It cannot be implemented in a timely manner.
    (g) The Commission shall make an affirmative determination under 
Sec. 62.21(a) of this part only if all of the alternatives that were 
considered are found to be unreasonable.
    (h) As part of its mandated evaluation of the alternatives that were 
considered by the generator, the Commission shall consider the 
characteristics of the wastes (including: physical properties, chemical 
properties, radioactivity, pathogenicity, infectiousness, and toxicity, 
pyrophoricity, and explosive potential); condition of current container; 
potential for contaminating the disposal site; the technologies or 
combination of technologies available for treatment of the waste 
(including incinerators; evaporators-crystallizers; fluidized bed 
dryers; thin film evaporators; extruders, evaporators; and Compactors); 
the suitability of volume reduction equipment to the circumstances 
(specific activity considerations, actual volume reduction factors, 
generation of secondary wastes, equipment contamination, effluent 
releases, worker exposure, and equipment availability); and the 
administrative controls which could be applied, in making a 
determination whether waste to be delivered for disposal under this part 
has been reduced in volume to the maximum extent practicable using 
available technology.



Sec. 62.26  Criteria for designating a disposal facility.

    (a) The Commission shall designate an appropriate non-Federal or 
regional disposal facility if an affirmative determination is made 
pursuant to Secs. 62.21, 62.23, or 62.24 of this part.
    (b) The Commission will exclude a disposal facility from 
consideration if:
    (1) The low-level radioactive wastes of the generator do not meet 
the criteria established by the license agreement or the license 
agreement of the facility; or
    (2) The disposal facility is in excess of its approved capacity; or
    (3) Granting emergency access would delay the closing of the 
disposal facility pursuant to plans established before the receipt of 
the request for emergency access; or
    (4) The volume of waste requiring emergency access exceeds 20 
percent of the total volume of low-level radioactive waste accepted for 
disposal at

[[Page 187]]

the facility during the previous calendar year.
    (c) If, after applying the exclusionary criteria in paragraph (b) of 
this section, more than one disposal facility is identified as 
appropriate for designation, the Commission will then consider 
additional factors in designating a facility or facilities including--
    (1) Type of waste and its characteristics,
    (2) Previous disposal practices,
    (3) Transportation
    (4) Radiological effects,
    (5) Site capability for handling waste,
    (6) The volume of emergency access waste previously accepted by each 
site both for the particular year and overall, and
    (7) Any other considerations deemed appropriate by the Commission.
    (d) The Commission, in making its designation, will also consider 
any information submitted by the operating non-Federal or regional LLW 
disposal sites, or any information submitted by the public in response 
to a Federal Register notice requesting comment, as provided in 
paragraph (b) of Sec. 62.11 of this part.



               Subpart D--Termination of Emergency Access



Sec. 62.31  Termination of emergency access.

    (a) The Commission may terminate a grant of emergency access when 
emergency access is no longer necessary to eliminate an immediate threat 
to public health and safety or the common defense and security.
    (b) The Commission may terminate a grant of emergency access if an 
applicant has provided inaccurate information in its application for 
emergency access or if the applicant has failed to comply with this part 
or any conditions set by the Commission pursuant to this part.



PART 70--DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL--Table of Contents




                      Subpart A--General Provisions

Sec.
70.1  Purpose.
70.2  Scope.
70.3  License requirements.
70.4  Definitions.
70.5  Communications.
70.6  Interpretations.
70.7  Employee protection.
70.8  Information collection requirements: OMB approval.
70.9  Completeness and accuracy of information.
70.10  Deliberate misconduct.

                          Subpart B--Exemptions

70.11  Persons using special nuclear material under certain Department 
          of Energy and Nuclear Regulatory Commission contracts.
70.12  Carriers.
70.13  Department of Defense.
70.14  Foreign military aircraft.
70.17  Specific exemptions.

                       Subpart C--General Licenses

70.18  Types of licenses.
70.19  General license for calibration or reference sources.
70.20  General license to own special nuclear material.
70.20a  General license to possess special nuclear material for 
          transport.
70.20b  General license for carriers of transient shipments of formula 
          quantities of strategic special nuclear material, special 
          nuclear material of moderate strategic significance, special 
          nuclear material of low strategic significance, and irradiated 
          reactor fuel.

                     Subpart D--License Applications

70.21  Filing.
70.22  Contents of applications.
70.23  Requirements for the approval of applications.
70.23a  Hearing required for uranium enrichment facility.
70.24  Criticality accident requirements.
70.25  Financial assurance and recordkeeping for decommissioning.

                           Subpart E--Licenses

70.31  Issuance of licenses.
70.32  Conditions of licenses.
70.33  Renewal of licenses.
70.34  Amendment of licenses.
70.35  Commission action on applications to renew or amend.
70.36  Inalienability of licenses.
70.37  Disclaimer of warranties.
70.38  Expiration and termination of licenses and decommissioning of 
          sites and separate buildings or outdoor areas.
70.39  Specific licenses for the manufacture or initial transfer of 
          calibration or reference sources.
70.40  Ineligibility of certain applicants.

[[Page 188]]

 Subpart F--Acquisition, Use and Transfer of Special Nuclear Material, 
                            Creditors' Rights

70.41  Authorized use of special nuclear material.
70.42  Transfer of special nuclear material.
70.44  Creditor regulations.

   Subpart G--Special Nuclear Material Control, Records, Reports and 
                               Inspections

70.50  Reporting requirements.
70.51  Material balance, inventory, and records requirements.
70.52  Reports of accidental criticality or loss or theft or attempted 
          theft of special nuclear material.
70.53  Material status reports.
70.54  Nuclear material transfer reports.
70.55  Inspections.
70.56  Tests.
70.57  Measurement control program for special nuclear materials control 
          and accounting.
70.58  Fundamental nuclear material controls.
70.59  Effluent monitoring reporting requirements.

 Subpart H--Additional Requirements for Certain Licensees Authorized to 
           Possess a Critical Mass of Special Nuclear Material

70.60  Applicability.
70.61  Performance requirements.
70.62  Safety program and integrated safety analysis.
70.64  Requirements for new facilities or new processes at existing 
          facilities.
70.65  Additional content of applications.
70.66  Additional requirements for approval of license application.
70.72  Facility changes and change process.
70.73  Renewal of licenses.
70.74  Additional reporting requirements.
70.76  Backfitting.

           Subpart I--Modification and Revocation of Licenses

70.81  Modification and revocation of licenses.
70.82  Suspension and operation in war or national emergency.

                         Subpart J--Enforcement

70.91  Violations.
70.92  Criminal penalties.

Appendix A to Part 70--Reportable Safety Events

    Authority: Secs. 51, 53, 161, 182, 183, 68 Stat. 929, 930, 948, 953, 
954, as amended, sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2071, 
2073, 2201, 2232, 2233, 2282, 2297f); secs. 201, as amended, 202, 204, 
206, 88 Stat. 1242, as amended, 1244, 1245, 1246 (42 U.S.C. 5841, 5842, 
5845, 5846). Sec. 193, 104 Stat. 2835, as amended by Pub. L. 104-134, 
110 Stat. 1321, 1321-349 (42 U.S.C. 2243).
    Sections 70.1(c) and 70.20a(b) also issued under secs. 135, 141, 
Pub. L. 97-425, 96 Stat. 2232, 2241 (42 U.S.C. 10155, 10161). Section 
70.7 also issued under Pub. L. 95-601, sec. 10, 92 Stat. 2951 (42 U.S.C. 
5851). Section 70.21(g) also issued under sec. 122, 68 Stat. 939 (42 
U.S.C. 2152). Section 70.31 also issued under sec. 57d, Pub. L. 93-377, 
88 Stat. 475 (42 U.S.C. 2077). Sections 70.36 and 70.44 also issued 
under sec. 184, 68 Stat. 954, as amended (42 U.S.C. 2234). Section 70.81 
also issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237). 
Section 70.82 also issued under sec. 108, 68 Stat. 939, as amended (42 
U.S.C. 2138).

    Source: 21 FR 764, Feb. 3, 1956, unless otherwise noted.



                      Subpart A--General Provisions



Sec. 70.1  Purpose.

    (a) Except as provided in paragraphs (c) and (d) of this section, 
the regulations of this part establish procedures and criteria for the 
issuance of licenses to receive title to, own, acquire, deliver, 
receive, possess, use, and transfer special nuclear material; and 
establish and provide for the terms and conditions upon which the 
Commission will issue such licenses.
    (b) The regulations contained in this part are issued pursuant to 
the Atomic Energy Act of 1954, as amended (68 Stat. 919) and Title II of 
the Energy Reorganization Act of 1974 (88 Stat. 1242).
    (c) The regulations in part 72 of this chapter establish 
requirements, procedures, and criteria for the issuance of licenses to 
possess:
    (1) Spent fuel and other radioactive materials associated with spent 
fuel storage in an independent spent fuel storage installation (ISFSI), 
or
    (2) Spent fuel, high-level radioactive waste, and other radioactive 
materials asociated with the storage in a monitored retrievable storage 
installation (MRS), and the terms and conditions under which the 
Commission will issue such licenses.
    (d) As provided in part 76 of this chapter, the regulations of this 
part establish procedures and criteria for physical security and 
material control and accounting for the issuance of a

[[Page 189]]

certificate of compliance or the approval of a compliance plan.
    (e) As provided in the Atomic Energy Act of 1954, as amended, the 
regulations in this part establish requirements, procedures, and 
criteria for the issuance of licenses to uranium enrichment facilities.

[21 FR 764, Feb. 3, 1956, as amended at 32 FR 4056, Mar. 15, 1967; 40 FR 
8791, Mar. 3, 1975; 43 FR 6924, Feb. 17, 1978; 45 FR 74712, Nov. 12, 
1980; 53 FR 31682, Aug. 19, 1988; 59 FR 48960, Sept. 23, 1994; 62 FR 
6669, Feb. 12, 1997]



Sec. 70.2  Scope.

    Except as provided in Secs. 70.11 to 70.13, inclusive, the 
regulations in this part apply to all persons in the United States. This 
part also gives notice to all persons who knowingly provide to any 
licensee, applicant, contractor, or subcontractor, components, 
equipment, materials, or other goods or services, that relate to a 
licensee's or applicant's activities subject to this part, that they may 
be individually subject to NRC enforcement action for violation of 
Sec. 70.10.

[63 FR 1898, Jan. 13, 1998]



Sec. 70.3  License requirements.

    No person subject to the regulations in this part shall receive 
title to, own, acquire, deliver, receive, possess, use, or transfer 
special nuclear material except as authorized in a license issued by the 
Commission pursuant to these regulations.

[32 FR 2562, Feb. 7, 1967, as amended at 43 FR 6924, Feb. 17, 1978]



Sec. 70.4  Definitions.

    Act means the Atomic Energy Act of 1954 (68 Stat 919), including any 
amendments thereto;
    Acute, as used in this part, means a single radiation dose or 
chemical exposure event or multiple radiation dose or chemical exposure 
events occurring within a short time (24 hours or less).
    Agreement State as designated in part 150 of this chapter means any 
State with which the Commission has entered into an effective agreement 
under subsection 274b. of the Act. Non-agreement State means any other 
State.
    Alert means events may occur, are in progress, or have occurred that 
could lead to a release of radioactive material[s] but that the release 
is not expected to require a response by an offsite response 
organization to protect persons offsite.
    Atomic energy means all forms of energy released in the course of 
nuclear fission or nuclear transformation;
    Atomic weapon means any device utilizing atomic energy, exclusive of 
the means for transporting or propelling the device (where such means is 
a separable and divisible part of the device), the principal purpose of 
which is for use as, or for development of, a weapon, a weapon 
prototype, or a weapon test device;
    Available and reliable to perform their function when needed, as 
used in subpart H of this part, means that, based on the analyzed, 
credible conditions in the integrated safety analysis, items relied on 
for safety will perform their intended safety function when needed, and 
management measures will be implemented that ensure compliance with the 
performance requirements of Sec. 70.61 of this part, considering factors 
such as necessary maintenance, operating limits, common-cause failures, 
and the likelihood and consequences of failure or degradation of the 
items and measures.
    Commencement of construction means any clearing of land, excavation, 
or other substantial action that would adversely affect the natural 
environment of a site but does not include changes desirable for the 
temporary use of the land for public recreational uses, necessary 
borings to determine site characteristics or other preconstruction 
monitoring to establish background information related to the 
suitability of a site or to the protection of environmental values.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives;
    Common defense and security means the common defense and security of 
the United States;
    Configuration management (CM) means a management measure that 
provides oversight and control of design information, safety 
information, and records of modifications (both temporary and permanent) 
that might impact the ability of items relied on for

[[Page 190]]

safety to perform their functions when needed.
    Contiguous sites means licensee controlled locations, deemed by the 
Commission to be in close enough proximity to each other, that the 
special nuclear material must be considered in the aggregate for the 
purpose of physical protection.
    Corporation means the United States Enrichment Corporation (USEC), 
or its successor, a Corporation that is authorized by statute to lease 
the gaseous diffusion enrichment plants in Paducah, Kentucky, and 
Piketon, Ohio, from the Department of Energy, or any person authorized 
to operate one or both of the gaseous diffusion plants, or other 
facilities, pursuant to a plan for the privatization of USEC that is 
approved by the President.
    Critical mass of special nuclear material (SNM), as used in Subpart 
H, means special nuclear material in a quantity exceeding 700 grams of 
contained uranium-235; 520 grams of uranium-233; 450 grams of plutonium; 
1500 grams of contained uranium-235, if no uranium enriched to more than 
4 percent by weight of uranium-235 is present; 450 grams of any 
combination thereof; or one-half such quantities if massive moderators 
or reflectors made of graphite, heavy water, or beryllium may be 
present.
    Decommission means to remove a facility or site safely from service 
and reduce residual radioactivity to a level that permits--
    (1) Release of the property for unrestricted use and termination of 
the license; or
    (2) Release of the property under restricted conditions and 
termination of the license.
    Department and Department of Energy means the Department of Energy 
Organization Act (Pub. L. 95-91, 91 Stat. 565, 42 U.S.C. 7101 et seq.), 
to the extent that the Department, or its duly authorized 
representatives, exercises functions formerly vested in the U.S. Atomic 
Energy Commission, its Chairman, members, officers and components and 
transferred to the U.S. Energy Research and Development Administration 
and to the Administrator thereof pursuant to sections 104(b), (c) and 
(d) of the Energy Reorganization Act of 1974 (Pub. L. 93-438, 88 Stat. 
1233 at 1237, 42 U.S.C. 5814) and retransferred to the Secretary of 
Energy pursuant to section 301(a) of the Department of Energy 
Organization Act (Pub. L. 95-91, 91 Stat. 565 at 577-578, 42 U.S.C. 
7151).
    Double contingency principle means that process designs should 
incorporate sufficient factors of safety to require at least two 
unlikely, independent, and concurrent changes in process conditions 
before a criticality accident is possible.
    Effective dose equivalent means the sum of the products of the dose 
equivalent to the body organ or tissue and the weighting factors 
applicable to each of the body organs or tissues that are irradiated. 
Weighting factors are: 0.25 for gonads, 0.15 for breast, 0.12 for red 
bone marrow, 0.12 for lungs, 0.03 for thyroid, 0.03 for bone surface, 
and 0.06 for each of the other five organs receiving the highest dose 
equivalent.
    Effective kilograms of special nuclear material means: (1) For 
plutonium and uranium-233 their weight in kilograms; (2) For uranium 
with an enrichment in the isotope U-235 of 0.01 (1%) and above, its 
element weight in kilograms multiplied by the square of its enrichment 
expressed as a decimal weight fraction; and (3) For uranium with an 
enrichment in the isotope U-235 below 0.01 (1%), by its element weight 
in kilograms multiplied by 0.0001.
    Formula quantity means strategic special nuclear material in any 
combination in a quantity of 5000 grams or more computed by the formula, 
grams=(grams contained U-235)+2.5 (grams U-233+grams plutonium). This 
class of material is sometimes referred to as a Category I quantity of 
material.
    Government agency means any executive department, commission, 
independent establishment, corporation, wholly or partly owned by the 
United States of America which is an instrumentality of the United 
States, or any board, bureau, division, service, office, officer, 
authority, administration, or other establishment in the executive 
branch of the Government;
    Hazardous chemicals produced from licensed materials means 
substances having licensed material as precursor compound(s) or 
substances that physically or chemically interact with licensed

[[Page 191]]

materials; and that are toxic, explosive, flammable, corrosive, or 
reactive to the extent that they can endanger life or health if not 
adequately controlled. These include substances commingled with licensed 
material, and include substances such as hydrogen fluoride that is 
produced by the reaction of uranium hexafluoride and water, but do not 
include substances prior to process addition to licensed material or 
after process separation from licensed material.
    Integrated safety analysis (ISA) means a systematic analysis to 
identify facility and external hazards and their potential for 
initiating accident sequences, the potential accident sequences, their 
likelihood and consequences, and the items relied on for safety. As used 
here, integrated means joint consideration of, and protection from, all 
relevant hazards, including radiological, nuclear criticality, fire, and 
chemical. However, with respect to compliance with the regulations of 
this part, the NRC requirement is limited to consideration of the 
effects of all relevant hazards on radiological safety, prevention of 
nuclear criticality accidents, or chemical hazards directly associated 
with NRC licensed radioactive material. An ISA can be performed process 
by process, but all processes must be integrated, and process 
interactions considered.
    Integrated safety analysis summary means a document or documents 
submitted with the license application, license amendment application, 
license renewal application, or pursuant to Sec. 70.62(c)(3)(ii) that 
provides a synopsis of the results of the integrated safety analysis and 
contains the information specified in Sec. 70.65(b). The ISA Summary can 
be submitted as one document for the entire facility, or as multiple 
documents that cover all portions and processes of the facility.
    Items relied on for safety mean structures, systems, equipment, 
components, and activities of personnel that are relied on to prevent 
potential accidents at a facility that could exceed the performance 
requirements in Sec. 70.61 or to mitigate their potential consequences. 
This does not limit the licensee from identifying additional structures, 
systems, equipment, components, or activities of personnel (i.e., beyond 
those in the minimum set necessary for compliance with the performance 
requirements) as items relied on for safety.
    License, except where otherwise specified, means a license issued 
pursuant to the regulations in this part;
    Management measures mean the functions performed by the licensee, 
generally on a continuing basis, that are applied to items relied on for 
safety, to ensure the items are available and reliable to perform their 
functions when needed. Management measures include configuration 
management, maintenance, training and qualifications, procedures, audits 
and assessments, incident investigations, records management, and other 
quality assurance elements.
    Person means (1) any individual, corporation, partnership, firm, 
association, trust, estate, public or private institution, group, 
Government agency other than the Commission or the Department, except 
that the Department shall be considered a person within the meaning of 
the regulations in this part to the extent that its facilities and 
activities are subject to the licensing and related regulatory authority 
of the Commission pursuant to section 202 of the Energy Reorganization 
Act of 1974 (88 Stat. 1244), any State or any political subdivision of 
or any political entity within a State, any foreign government or nation 
or any political subdivision of any such government or nation, or other 
entity; and (2) any legal successor, representative, agent, or agency of 
the foregoing;
    Plutonium processing and fuel fabrication plant means a plant in 
which the following operations or activities are conducted: (1) 
Operations for manufacture of reactor fuel containing plutonium 
including any of the following: (i) Preparation of fuel material; (ii) 
formation of fuel material into desired shapes; (iii) application of 
protective cladding; (iv) recovery of scrap material; and (v) storage 
associated with such operations; or (2) Research and development 
activities involving any of the operations described in paragraph (1) of 
this definition except for research and development activities utilizing 
unsubstantial amounts of plutonium.

[[Page 192]]

    Principal activities, as used in this part, means activities 
authorized by the license which are essential to achieving the 
purpose(s) for which the license was issued or amended. Storage during 
which no licensed material is accessed for use or disposal and 
activities incidental to decontamination or decommissioning are not 
principal activities.
    Produce, when used in relation to special nuclear material, means 
(1) to manufacture, make, produce, or refine special nuclear material; 
(2) to separate special nuclear material from other substances in which 
such material may be contained; or (3) to make or to produce new special 
nuclear material;
    Research and development means (1) theoretical analysis, 
exploration, or experimentation; or (2) the extension of investigative 
findings and theories of a scientific or technical nature into practical 
application for experimental and demonstration purposes, including the 
experimental production and testing of models, devices, equipment, 
materials, and processes;
    Restricted Data means all data concerning (1) design, manufacture or 
utilization of atomic weapons; (2) the production of special nuclear 
material; or (3) the use of special nuclear material in the production 
of energy, but shall not include data declassified or removed from the 
Restricted Data category pursuant to section 142 of the Act;
    Sealed source means any special nuclear material that is encased in 
a capsule designed to prevent leakage or escape of the special nuclear 
material.
    Site Area emergency means events may occur, are in progress, or have 
occurred that could lead to a significant release of radioactive 
material and that could require a response by offsite response 
organizations to protect persons offsite.
    Source material means source material as defined in section 11z. of 
the Act and in the regulations contained in part 40 of this chapter;
    Special nuclear material means (1) plutonium, uranium 233, uranium 
enriched in the isotope 233 or in the isotope 235, and any other 
material which the Commission, pursuant to the provisions of section 51 
of the act, determines to be special nuclear material, but does not 
include source material; or (2) any material artificially enriched by 
any of the foregoing but does not include source material;
    Special nuclear material of low strategic significance means:
    (1) Less than an amount of special nuclear material of moderate 
strategic significance as defined in paragraph (1) of the definition of 
strategic nuclear material of moderate strategic significance in this 
section, but more than 15 grams of uranium-235 (contained in uranium 
enriched to 20 percent or more in U-235 isotope) or 15 grams of uranium-
233 or 15 grams of plutonium or the combination of 15 grams when 
computed by the equation, grams = (grams contained U-235) + (grams 
plutonium) + (grams U-233); or
    (2) Less than 10,000 grams but more than 1,000 grams of uranium-235 
(contained in uranium enriched to 10 percent or more but less than 20 
percent in the U-235 isotope); or
    (3) 10,000 grams or more of uranium-235 (contained in uranium 
enriched above natural but less than 10 percent in the U-235 isotope).

This class of material is sometimes referred to as a Category III 
quantity of material.
    Special nuclear material of moderate strategic significance means:
    (1) Less than a formula quantity of strategic special nuclear 
material but more than 1,000 grams of uranium-235 (contained in uranium 
enriched to 20 percent or more in the U-235 isotope) or more than 500 
grams of uranium-233 or plutonium, or in a combined quantity of more 
than 1,000 grams when computed by the equation, grams = (grams contained 
U-235) + 2 (grams U-233 + grams plutonium); or
    (2) 10,000 grams or more of uranium-235 (contained in uranium 
enriched to 10 percent or more but less than 20 percent in the U-235 
isotope).

This class of material is sometimes referred to as a Category II 
quantity of material.
    Special nuclear material scrap means the various forms of special 
nuclear material generated during chemical and mechanical processing, 
other than recycle material and normal process

[[Page 193]]

intermediates, which are unsuitable for use in their present form, but 
all or part of which will be used after further processing.
    Strategic special nuclear material means uranium-235 (contained in 
uranium enriched to 20 percent or more in the U235 isotope), 
uranium-233, or plutonium.
    Transient shipment means a shipment of nuclear material, originating 
and terminating in foreign countries, on a vessel or aircraft which 
stops at a United States port.
    Unacceptable performance deficiencies mean deficiencies in the items 
relied on for safety or the management measures that need to be 
corrected to ensure an adequate level of protection as defined in 10 CFR 
70.61(b), (c), or (d).
    United States, when used in a geographical sense, includes Puerto 
Rico and all territories and possessions of the United States.
    Uranium enrichment facility means:
    (1) Any facility used for separating the isotopes of uranium or 
enriching uranium in the isotope 235, except laboratory scale facilities 
designed or used for experimental or analytical purposes only; or
    (2) Any equipment or device, or important component part especially 
designed for such equipment or device, capable of separating the 
isotopes of uranium or enriching uranium in the isotope 235.
    Worker, when used in Subpart H of this Part, means an individual who 
receives an occupational dose as defined in 10 CFR 20.1003.

[21 FR 764, Feb. 3, 1956]

    Editorial Note: For Federal Register citations affecting Sec. 70.4, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



Sec. 70.5  Communications.

    (a) Unless otherwise specified or covered under the regional 
licensing program as provided in paragraph (b) of this section, any 
communication or report concerning the regulations in this part and any 
application filed under these regulations may be submitted to the 
Commission as follows:
    (1) By mail addressed to: Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555.
    (2) By delivery in person to the Commission's offices to the 
Director, Office of Nuclear Material Safety and Safeguards at:
    (i) 2120 L Street NW., Washington, DC; or
    (ii) 11545 Rockville Pike, Two White Flint North, Rockville, 
Maryland.
    (b) The Commission has delegated to the five Regional Administrators 
licensing authority for selected parts of its decentralized licensing 
program for nuclear materials as described in paragraph (b)(1) of this 
section. Any communication, report, or application covered under this 
licensing program must be submitted as specified in paragraph (b)(2) of 
this section.
    (1) The delegated licensing program includes authority to issue, 
renew, amend, cancel, modify, suspend, or revoke licenses for nuclear 
materials issued pursuant to 10 CFR parts 30 through 36, 39, 40, and 70 
to all persons for academic, medical, and industrial uses, with the 
following exceptions:
    (i) Activities in the fuel cycle and special nuclear material in 
quantities sufficient to constitute a critical mass in any room or area. 
This exception does not apply to license modifications relating to 
termination of special nuclear material licenses that authorize 
possession of larger quantities when the case is referred for action 
from NRC's Headquarters to the Regional Administrators.
    (ii) Health and safety design review of sealed sources and devices 
and approval, for licensing purposes, of sealed sources and devices.
    (iii) Processing of source material for extracting of metallic 
compounds (including Zirconium, Hafnium, Tantalum, Titanium, Niobium, 
etc.).
    (iv) Distribution of products containing radioactive material to 
persons exempt pursuant to 10 CFR 32.11 through 32.26.
    (v) New uses or techniques for use of byproduct, source, or special 
nuclear material.
    (vi) Reviews pursuant to Sec. 70.32(c).
    (vii) Uranium enrichment facilities.
    (2) Submissions--(i) Region I. The regional licensing program 
involves all Federal facilities in the region and

[[Page 194]]

non-Federal licensees in the following Region I non-Agreement States and 
the District of Columbia: Connecticut, Delaware, Maine, Massachusetts, 
New Jersey, Pennsylvania, and Vermont. All inquiries, communications, 
and applications for a new license or an amendment or renewal of an 
existing license specified in paragraph (b)(1) of this section must be 
sent to: U.S. Nuclear Regulatory Commission, Region I, Nuclear Material 
Section B, 475 Allendale Road, King of Prussia, PA 19406.
    (ii) Region II. The regional licensing program involves all Federal 
facilties in the region and non-Federal licensees in the following 
Region II non-Agreement States and territories: Virginia, West Virginia, 
Puerto Rico, and the Virgin Islands. All inquiries, communications, and 
applications for a new license or an amendment or renewal of an existing 
license specified in paragraph (b)(1) of this section must be sent to: 
U.S. Nuclear Regulatory Commission, Region II, Material Licensing/
Inspection Branch, Atlanta Federal Center, 61 Forsyth Street, SW., Suite 
23T85, Atlanta, Georgia 30303.
    (iii) Region III. The regional licensing program involves all 
Federal facilities in the region and non-Federal licensees in the 
following Region III non-Agreement States: Indiana, Michigan, Minnesota, 
Missouri, Ohio, and Wisconsin. All inquiries, communications, and 
applications for a new license or an amendment or renewal of an existing 
license specified in paragraph (b)(1) of this section must be sent to: 
U.S. Nuclear Regulatory Commission, Region III, Material Licensing 
Section, 801 Warrenville Road, Lisle, Illinois 60532-4351.
    (iv) Region IV. The regional licensing program involves all Federal 
facilities in the region and non-Federal licensees in the following 
Region IV non-Agreement States and a territory: Alaska, Hawaii, Montana, 
Oklahoma, South Dakota, Wyoming, and Guam. All inquiries, 
communications, and applications for a new license or an amendment or 
renewal of an existing license specified in paragraph (b)(1) of this 
section must be sent to: U.S. Nuclear Regulatory Commission, Region IV, 
Material Radiation Protection Section, 611 Ryan Plaza Drive, suite 400, 
Arlington, Texas 76011.

[48 FR 16032, Apr. 14, 1983, as amended at 49 FR 19631, May 9, 1984; 49 
FR 47824, Dec. 7, 1984; 50 FR 14694, Apr. 15, 1985; 51 FR 36001, Oct. 8, 
1986; 52 FR 38392, Oct. 16, 1987; 52 FR 48093, Dec. 18, 1987; 53 FR 
3862, Feb. 10, 1988; 53 FR 4111, Feb. 12, 1988; 53 FR 43421, Oct. 27, 
1988; 54 FR 6877, Feb. 15, 1989; 57 FR 18392, Apr. 30, 1992; 58 FR 7737, 
Feb. 9, 1993; 58 FR 64112, Dec. 6, 1993; 59 FR 17466, Apr. 13, 1994; 60 
FR 24552, May 9, 1995; 62 FR 22880, Apr. 28, 1997]



Sec. 70.6  Interpretations.

    Except as specifically authorized by the Commission in writing, no 
interpretation of the meaning of the regulations in this part by any 
officer or employee of the Commission other than a written 
interpretation by the General Counsel will be recognized to be binding 
upon the Commission.



Sec. 70.7  Employee protection.

    (a) Discrimination by a Commission licensee, an applicant for a 
Commission license, or a contractor or subcontractor of a Commission 
licensee or applicant against an employee for engaging in certain 
protected activities is prohibited. Discrimination includes discharge 
and other actions that relate to compensation, terms, conditions, or 
privileges of employment. The protected activities are established in 
section 211 of the Energy Reorganization Act of 1974, as amended, and in 
general are related to the administration or enforcement of a 
requirement imposed under the Atomic Energy Act or the Energy 
Reorganization Act.
    (1) The protected activities include but are not limited to:
    (i) Providing the Commission or his or her employer information 
about alleged violations of either of the statutes named in paragraph 
(a) introductory text of this section or possible violations of 
requirements imposed under either of those statutes;
    (ii) Refusing to engage in any practice made unlawful under either 
of the statutes named in paragraph (a) introductory text or under these 
requirements if the employee has identified the alleged illegality to 
the employer;

[[Page 195]]

    (iii) Requesting the Commission to institute action against his or 
her employer for the administration or enforcement of these 
requirements;
    (iv) Testifying in any Commission proceeding, or before Congress, or 
at any Federal or State proceeding regarding any provision (or proposed 
provision) of either of the statutes named in paragraph (a) introductory 
text.
    (v) Assisting or participating in, or is about to assist or 
participate in, these activities.
    (2) These activities are protected even if no formal proceeding is 
actually initiated as a result of the employee assistance or 
participation.
    (3) This section has no application to any employee alleging 
discrimination prohibited by this section who, acting without direction 
from his or her employer (or the employer's agent), deliberately causes 
a violation of any requirement of the Energy Reorganization Act of 1974, 
as amended, or the Atomic Energy Act of 1954, as amended.
    (b) Any employee who believes that he or she has been discharged or 
otherwise discriminated against by any person for engaging in protected 
activities specified in paragraph (a)(1) of this section may seek a 
remedy for the discharge or discrimination through an administrative 
proceeding in the Department of Labor. The administrative proceeding 
must be initiated within 180 days after an alleged violation occurs. The 
employee may do this by filing a complaint alleging the violation with 
the Department of Labor, Employment Standards Administration, Wage and 
Hour Division. The Department of Labor may order reinstatement, back 
pay, and compensatory damages.
    (c) A violation of paragraphs (a), (e), or (f) of this section by a 
Commission licensee, an applicant for a Commission license, or a 
contractor or subcontractor of a Commission licensee or applicant may be 
grounds for--
    (1) Denial, revocation, or suspension of the license.
    (2) Imposition of a civil penalty on the licensee or applicant.
    (3) Other enforcement action.
    (d) Actions taken by an employer, or others, which adversely affect 
an employee may be predicated upon nondiscriminatory grounds. The 
prohibition applies when the adverse action occurs because the employee 
has engaged in protected activities. An employee's engagement in 
protected activities does not automatically render him or her immune 
from discharge or discipline for legitimate reasons or from adverse 
action dictated by nonprohibited considerations.
    (e)(1) Each specific licensee, each applicant for a specific 
license, and each general licensee subject to part 19 shall prominently 
post the revision of NRC Form 3, ``Notice to Employees,'' referenced in 
10 CFR 19.11(c).
    (2) The posting of NRC Form 3 must be at locations sufficient to 
permit employees protected by this section to observe a copy on the way 
to or from their place of work. Premises must be posted not later than 
30 days after an application is docketed and remain posted while the 
application is pending before the Commission, during the term of the 
license, and for 30 days following license termination.
    (3) Copies of NRC Form 3 may be obtained by writing to the Regional 
Administrator of the appropriate U.S. Nuclear Regulatory Commission 
Regional Office listed in Appendix D to Part 20 of this chapter or by 
calling the NRC Information and Records Management Branch at 301-415-
7230.
    (f) No agreement affecting the compensation, terms, conditions, or 
privileges of employment, including an agreement to settle a complaint 
filed by an employee with the Department of Labor pursuant to section 
211 of the Energy Reorganization Act of 1974, as amended, may contain 
any provision which would prohibit, restrict, or otherwise discourage an 
employee from participating in protected activity as defined in 
paragraph (a)(1) of this section including, but not limited to, 
providing information to the NRC or to his or her employer on potential 
violations or other matters within NRC's regulatory responsibilities.

[58 FR 52413, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 
FR 6765, Feb. 22, 1996]



Sec. 70.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information

[[Page 196]]

collection requirements contained in this part to the office of 
Management and Budget (OMB) for approval as required by the Paperwork 
reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0009.
    (b) The approved information collection requirements contained in 
this part appear in Secs. 70.9, 70.17, 70.19, 70.20a, 70.20b, 70.21, 
70.22, 70.24, 70.25, 70.32, 70.33, 70.34, 70.38, 70.39, 70.42, 70.50, 
70.51, 70.52, 70.53, 70.57, 70.58, 70.59, 70.61, 70.62, 70.64, 70.65, 
70.72, 70.73, 70.74, and Appendix A.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Sec. 70.21, Form N-71 is approved under control number 3150-
0056.
    (2) In Sec. 70.38, NRC Form 314 is approved under control number 
3150-0028.
    (3) In Sec. 70.53, DOE/NRC Form 742 is approved under control number 
3150-0004.
    (4) In Sec. 70.53, DOE/NRC Form 742C is approved under control 
number 3150-0058.
    (5) In Sec. 70.54, DOE/NRC Form 741 is approved under control number 
3150-0003.
    (6) In Sec. 70.53, NRC Form 327 is approved under control number 
3150-0139.

[49 FR 19628, May 9, 1984, as amended at 52 FR 19305, May 22, 1987; 56 
FR 40769, Aug. 16, 1991; 57 FR 18392, Apr. 30, 1992; 58 FR 39634, July 
26, 1993; 62 FR 52189, Oct. 6, 1997; 65 FR 56225, Sept. 18, 2000]



Sec. 70.9  Completeness and accuracy of information.

    (a) Information provided to the Commission by an applicant for a 
license or by a licensee or information required by statute or by the 
Commission's regulations, orders, or license conditions to be maintained 
by the applicant or the licensee shall be complete and accurate in all 
material respects.
    (b) Each applicant or licensee shall notify the Commission of 
information identified by the applicant or licensee as having for the 
regulated activity a significant implication for public health and 
safety or common defense and security. An applicant or licensee violates 
this paragraph only if the applicant or licensee fails to notify the 
Commission of information that the applicant or licensee has identified 
as having a significant implication for public health and safety or 
common defense and security. Notification shall be provided to the 
Administrator of the appropriate Regional Office within two working days 
of identifying the information. This requirement is not applicable to 
information which is already required to be provided to the Commission 
by other reporting or updating requirements.

[52 FR 49373, Dec. 31, 1987]



Sec. 70.10  Deliberate misconduct.

    (a) Any licensee, applicant for a license, employee of a licensee or 
applicant; or any contractor (including a supplier or consultant), 
subcontractor, employee of a contractor or subcontractor of any licensee 
or applicant for a license, who knowingly provides to any licensee, 
applicant, contractor, or subcontractor, any components, equipment, 
materials, or other goods or services that relate to a licensee's or 
applicant's activities in this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a licensee or applicant to be in violation of 
any rule, regulation, or order; or any term, condition, or limitation of 
any license issued by the Commission; or
    (2) Deliberately submit to the NRC, a licensee, an applicant, or a 
licensee's or applicant's contractor or subcontractor, information that 
the person submitting the information knows to be incomplete or 
inaccurate in some respect material to the NRC.
    (b) A person who violates paragraph (a)(1) or (a)(2) of this section 
may be subject to enforcement action in accordance with the procedures 
in 10 CFR part 2, subpart B.

[[Page 197]]

    (c) For the purposes of paragraph (a)(1) of this section, deliberate 
misconduct by a person means an intentional act or omission that the 
person knows:
    (1) Would cause a licensee or applicant to be in violation of any 
rule, regulation, or order; or any term, condition, or limitation, of 
any license issued by the Commission; or
    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order, or policy of a licensee, 
applicant, contractor, or subcontractor.

[63 FR 1899, Jan. 13, 1998]



                          Subpart B--Exemptions



Sec. 70.11  Persons using special nuclear material under certain Department of Energy and Nuclear Regulatory Commission contracts.

    Except to the extent that Department facilities or activities of the 
types subject to licensing pursuant to section 202 of the Energy 
Reorganization Act of 1974 are involved, any prime contractor of the 
Department is exempt from the requirements for a license set forth in 
section 53 of the Act and from the regulations in this part to the 
extent that such contractor, under his prime contract with the 
Department receives title to, owns, acquires, delivers, receives, 
possesses, uses, or transfers special nuclear material for:
    (a) The performance of work for the Department at a United States 
Government-owned or controlled site, including the transportation of 
special nuclear material to or from such site and the performance of 
contract services during temporary interruptions of such transportation; 
(b) research in, or development, manufacture, storage, testing or 
transportation of, atomic weapons or components thereof; or (c) the use 
or operation of nuclear reactors or other nuclear devices in a United 
States Government-owned vehicle or vessel. In addition to the foregoing 
exemptions, and subject to the requirement for licensing of Department 
facilities and activities pursuant to section 202 of the Energy 
Reorganization Act of 1974, any prime contractor or subcontractor of the 
Department or the Commission is exempt from the requirements for a 
license set forth in section 53 of the Act and from the regulations in 
this part to the extent that such prime contractor or subcontractor 
receives title to, owns, acquires, delivers, receives, possesses, uses, 
or transfers special nuclear material under his prime contract or 
subcontract when the Commission determines that the exemption of the 
prime contractor or subcontractor is authorized by law; and that, under 
the terms of the contract or subcontract there is adequate assurance 
that the work thereunder can be accomplished without undue risk to the 
public health and safety.

[40 FR 14085, Mar. 28, 1975; 40 FR 16047, Apr. 9, 1975; as amended at 43 
FR 6924, Feb. 17, 1978; 65 FR 54950, Sept. 12, 2000]



Sec. 70.12  Carriers.

    Common and contract carriers, freight forwarders, warehousemen, and 
the U.S. Postal Service are exempt from the regulations in this part to 
the extent that they transport special nuclear material in the regular 
course of carriage for another or storage incident thereto. This 
exemption does not apply to the storage in transit or transport of 
material by persons covered by the general license issued under 
Sec. 70.20a and Sec. 70.20b.

[46 FR 12696, Feb. 18, 1981]



Sec. 70.13  Department of Defense.

    The regulations in this part do not apply to the Department of 
Defense to the extent that the Department receives, possesses and uses 
special nuclear material in accordance with the direction of the 
President pursuant to section 91 of the Act.



Sec. 70.14  Foreign military aircraft.

    The regulations in this part do not apply to persons who carry 
special nuclear material (other than plutonium) in aircraft of the armed 
forces of foreign nations subject to 49 U.S.C. 1508(a).

[46 FR 12194, Feb. 13, 1981. Redesignated at 65 FR 56225, Sept. 18, 
2000]



Sec. 70.17  Specific exemptions.

    (a) The Commission may, upon application of any interested person or 
upon

[[Page 198]]

its own initiative, grant such exemptions from the requirements of the 
regulations in this part as it determines are authorized by law and will 
not endanger life or property or the common defense and security and are 
otherwise in the public interest.
    (b) [Reserved]
    (c) The DOE is exempt from the requirements of the regulations in 
this part to the extent that its activities are subject to the 
requirements of part 60 of the chapter.
    (d) Except as specifically provided in part 61 of this chapter, any 
licensee is exempt from the requirements of the regulations in this part 
to the extent that its activities are subject to the requirements of 
part 61 of this chapter.

[37 FR 5749, Mar. 21, 1972, as amended at 45 FR 65536, Oct. 3, 1980; 46 
FR 13987, Feb. 25, 1981; 47 FR 57481, Dec. 27, 1982; Redesignated at 65 
FR 56225, Sept. 18, 2000]



                       Subpart C--General Licenses



Sec. 70.18  Types of licenses.

    Licenses for special nuclear material are of two types: general and 
specific. Any general license provided in this part is effective without 
the filing of applications with the Commission or the issuance of 
licensing documents to particular persons. Specific licenses are issued 
to named persons upon applications filed pursuant to the regulations in 
this part.

[29 FR 5884, May 5, 1964]



Sec. 70.19  General license for calibration or reference sources.

    (a) A general license is hereby issued to those persons listed below 
to receive title to, own, acquire, deliver, receive, possess, use and 
transfer in accordance with the provisions of paragraphs (b) and (c) of 
this section, plutonium in the form of calibration or reference sources:
    (1) Any person in a non-agreement State who holds a specific license 
issued by the Commission or the Atomic Energy Commission which 
authorizes him to receive, possess, use and transfer byproduct material, 
source material, or special nuclear material;
    (2) Any Government agency as defined in Sec. 70.4 that holds a 
specific license issued by the Commission that authorizes it to receive, 
possess, use, or transfer byproduct material, source material, or 
special nuclear material; and
    (3) Any person in an agreement State who holds a specific license 
issued by the Commission or the Atomic Energy Commission which 
authorizes him to receive, possess, use and transfer special nuclear 
material.
    (b) The general license in paragraph (a) of this section applies 
only to calibration or reference sources which have been manufactured or 
initially transferred in accordance with the specifications contained in 
a specific license issued pursuant to Sec. 70.39 or in accordance with 
the specifications contained in a specific license issued by an 
agreement State which authorizes manufacture of the sources for 
distribution to persons generally licensed by the agreement State.
    (c) The general license in paragraph (a) of this section is subject 
to the provisions of Secs. 70.32, 70.50, 70.51, 70.52, 70.55, 70.56, 
70.61, 70.62, and 70.71, and to the provisions of parts 19, 20 and 21 of 
this chapter. In addition, persons who receive title to, own, acquire, 
deliver, receive, possess, use or transfer one or more calibration or 
reference sources pursuant to this general license:
    (1) Shall not possess at any one time, at any one location of 
storage or use, more than 5 microcuries of plutonium in such sources;
    (2) Shall not receive, possess, use or transfer such source unless 
the source, or the storage container, bears a label which includes the 
following statement or a substantially similar statement which contains 
the information called for in the following statement: \1\
---------------------------------------------------------------------------

    \1\ Sources generally licensed under this section prior to January 
19, 1975 may bear labels authorized by the regulations in effect on 
January 1, 1975.

    The receipt, possession, use and transfer of this source, Model 
______, Serial No. ______, are subject to a general license and the 
regulations of the United States Nuclear Regulatory Commission or of a 
State with which the Commission has entered into an agreement for the 
exercise of regulatory authority. Do not remove this label.

[[Page 199]]

 caution--radioactive material--this source contains plutonium. do not 
                touch radioactive portion of this source.

              (Name of Manufacturer or Initial Transferor)

    (3) Shall not transfer, abandon, or dispose of such source except by 
transfer to a person authorized by a license from the Commission or the 
Atomic Energy Commission or an Agreement State to receive the source.
    (4) Shall store such source, except when the source is being used, 
in a closed container adequately designed and constructed to contain 
plutonium which might otherwise escape during storage.
    (5) Shall not use such source for any purpose other than the 
calibration of radiation detectors or the standardization of other 
sources.
    (d) The general license in paragraph (a) of this section does not 
authorize the manufacture, import, or export of calibration or reference 
sources containing plutonium.

[29 FR 5884, May 5, 1964, as amended at 32 FR 8124, June 7, 1967; 38 FR 
22221, Aug. 17, 1973; 40 FR 8792, Mar. 3, 1975; 42 FR 28896, June 6, 
1977; 43 FR 6924, Feb. 17, 1978; 48 FR 32329, July 15, 1983; 56 FR 
40769, Aug. 16, 1991; 57 FR 33428, July 29, 1992]



Sec. 70.20  General license to own special nuclear material.

    A general license is hereby issued to receive title to and own 
special nuclear material without regard to quantity. Notwithstanding any 
other provision of this chapter, a general licensee under this section 
is not authorized to acquire, deliver, receive, possess, use, transfer, 
import, or export special nuclear material, except as authorized in a 
specific license.

[33 FR 9810, July 9, 1968]



Sec. 70.20a  General license to possess special nuclear material for transport.

    (a) A general license is hereby issued to any person to possess 
formula quantities of strategic special nuclear material of the types 
and quantities subject to the requirements of Secs. 73.20, 73.25, 73.26, 
and 73.27 of this chapter and irradiated reactor fuel containing 
material of the types and quantities subject to the requirements of 
Sec. 73.37 of this chapter, in the regular course of carriage for 
another or storage incident thereto. Carriers generally licensed under 
Sec. 70.20b are exempt from the requirements of this section. Carriers 
of irradiated reactor fuel for the United States Department of Energy 
are also exempt from the requirements of this section. The general 
license is subject to the applicable provisions of Secs. 70.7 (a) 
through (e); 70.32 (a) and (b), and Secs. 70.42, 70.52, 70.55, 70.61, 
70.62, and 70.71.
    (b) Notwithstanding any other provision of this chapter, the general 
license issued under this section does not authorize any person to 
conduct any activity that would be authorized by a license issued 
pursuant to parts 30 through 36, 39, 40, 50, 72, 110, or other sections 
of this part.
    (c) Notwithstanding any other provision of this chapter, the duties 
of a general licensee under this section while in possession of formula 
quantities of strategic special nuclear material or irradiated reactor 
fuel in the regular course of carriage for another or storage incident 
thereto shall be limited to providing for the physical protection of 
such material against theft or sabotage. Unless otherwise provided by 
this section, a general license under this section is not subject to the 
requirements of parts 19, 20, 70 and 73.
    (d) Any person who possesses formula quantities of strategic special 
nuclear material under this general license:
    (1) Shall have submitted and received approval of a transportation 
security plan. The security plan shall outline the procedures that will 
be used to meet the requirements of Secs. 73.20, 73.25, 73.26, 73.27 and 
73.70(g) of this chapter including a plan for the selection, 
qualification, and training of armed escorts, or the specification and 
design of a specially designed truck or trailer as appropriate.
    (2) Shall assure that the transportation is in accordance with the 
applicable physical protection requirements of Secs. 73.20, 73.25, 
73.26, 73.27 and 73.70(g) of this chapter and the applicable approved 
transportation security plan.
    (3) Shall be subject to part 26 and Sec. 73.80 of this chapter.
    (e) Any person who possesses irradiated reactor fuel under this 
general license shall:

[[Page 200]]

    (1) Assure or receive certification from the shipper that the 
transportation is in accordance with the applicable physical protection 
requirements of Sec. 73.37 of this chapter; and
    (2) Comply with the reporting requirements of Sec. 73.71 of this 
chapter.

[44 FR 26851, May 8, 1979, as amended at 44 FR 68186, Nov. 28, 1979; 46 
FR 12696, Feb. 18, 1981; 47 FR 30458, July 14, 1982; 53 FR 31682, Aug. 
19, 1988; 58 FR 7737, Feb. 9, 1993; 58 FR 31471, June 3, 1993]



Sec. 70.20b  General license for carriers of transient shipments of formula

 quantities of strategic special nuclear material, special nuclear material of

           moderate strategic significance, special nuclear material of low strategic significance, and irradiated reactor fuel.

    (a) A general license is hereby issued to any person to possess 
transient shipments of the following kinds and quantities of special 
nuclear material:
    (1) A formula quantity of special nuclear material of the types and 
quantities subject to the requirements of Secs. 73.20, 73.25, 73.26, and 
73.27 of this chapter.
    (2) Special nuclear material of moderate and low strategic 
significance of the types and quantities subject to the requirements of 
Sec. 73.67 of this chapter.
    (3) Irradiated reactor fuel of the type and quantity subject to the 
requirements of Sec. 73.37 of this chapter.
    (b) Persons generally licensed under this section are exempt from 
the requirements of parts 19 and 20 of this chapter and the requirements 
of this part, except Secs. 70.32 (a) and (b), 70.52, 70.55, 70.61, 
70.62, and 70.71.
    (c) Persons generally licensed under this section to possess a 
transient shipment of special nuclear material of the kind and quantity 
specified in paragraph (a)(1) of this section shall provide physical 
protection for that shipment in accordance with or equivalent to 
Secs. 73.20(a), 73.20(b), 73.25, and 73.71(b) of this chapter from the 
time a shipment enters a United States port until it exits that or 
another United States port.
    (d) Persons generally licensed under this section to possess a 
transient shipment of special nuclear material of moderate or low 
strategic significance of the kind and quantity specified in paragraph 
(a)(2) of this section shall provide physical protection for that 
shipment in accordance with or equivalent to Sec. 73.67 of this chapter 
and shall comply with the requirements of Sec. 73.71(b) of this chapter.
    (e) Persons generally licensed under this section to possess a 
transient shipment of irradiated reactor fuel of the kind and quantity 
specified in paragraph (a)(3) of this section shall provide physical 
protection for that shipment in accordance with or equivalent to 
Sec. 73.37 of this chapter and shall comply with the requirements of 
Sec. 73.71(b) of this chapter.
    (f)(1) Persons generally licensed under this section, who plan to 
carry transient shipments with scheduled stops at United States ports, 
shall notify in writing the Division of Industrial and Medical Nuclear 
Safety, U.S. Nuclear Regulatory Commission, Washington, DC 20555.
    (2) A person generally licensed under this section shall assure 
that:
    (i) The notification will be received at least 10 days before 
transport of the shipment commences at the shipping facility;
    (ii) The Division of Industrial and Medical Nuclear Safety has been 
notified by telephone at (301) 415-7197, at least 10 days before 
transport of the shipment commences at the shipping facility, that an 
advance shipping notice has been sent by mail; and
    (iii) The Division of Industrial and Medical Nuclear Safety will be 
notified by telephone at (301) 415-7197 of any changes to the shipment 
itinerary.
    (3) Persons who are generally licensed under paragraph (a)(1) of 
this section must include the information listed in paragraphs (f)(3)(i) 
through (ix) of this section. Persons who are generally licensed under 
Sec. 70.20b(a)(2) and Sec. 70.20b(a)(3) must include the information 
listed in paragraphs (f)(3) (i) through (viii) of this section.
    (i) Location of all scheduled stops in United States territory;
    (ii) Arrival and departure times for all scheduled stops in United 
States territory;
    (iii) The type of transport vehicle;
    (iv) A physical description of the shipment (elements, isotopes, and 
enrichments);

[[Page 201]]

    (v) The number and types of containers;
    (vi) The name and telephone number of the carrier's representative 
at each stopover location in United States territory;
    (vii) The estimated time and date that shipment will commence and 
that each country (other than the United States) along the route is 
scheduled to be entered;
    (viii) For shipments between countries that are not party to the 
Convention on the Physical Protection of Nuclear Material, provide 
assurances, as far as is practicable, that this nuclear material will be 
protected during international transport at levels described in Annex I 
to that Convention (see appendices E and F of part 73 of this chapter); 
and
    (ix) A physical protection plan for implementing the requirement of 
Sec. 70.20b(c), which will include the use of armed personnel to protect 
the shipment during the time the shipment is in a United States port.
    (g) Persons generally licensed under this section making unscheduled 
stops at United States ports, immediately after the decision to make an 
unscheduled stop, shall:
    (1) Provide to the Division of Industrial and Medical Nuclear 
Safety, the information required under paragraph (f) of this section.
    (2) In the case of persons generally licensed under paragraph (a)(1) 
of this section, arrange for local law enforcement authorities or 
trained and qualified private guards to protect the shipment during the 
stop.
    (3) In the case of persons generally licensed under paragraph (a)(2) 
of this section, arrange for the shipment to be protected as required in 
Sec. 73.67(e) of this chapter.
    (4) In the case of persons generally licensed under paragraph (a)(3) 
of this section, arrange for the shipment to be protected as required in 
Sec. 73.37(e) of this chapter.
    (5) Implement these arrangements within a reasonable time after the 
arrival of the shipment at a United States port to remain in effect 
until the shipment exits that or another United States port.

[52 FR 9652, Mar. 26, 1987, as amended at 60 FR 24552, May 9, 1995]



                     Subpart D--License Applications



Sec. 70.21  Filing.

    (a)(1) A person may apply for a license to possess and use special 
nuclear material in a plutonium processing or fuel fabrication plant, or 
for a uranium enrichment facility license by filing 25 copies of the 
application with the Director, Office of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555.
    (2) A person may apply for any other license issued under this part, 
by filing six copies of the application in accordance with the 
instructions in Sec. 70.5.
    (3) Information contained in previous applications, statements, or 
reports filed with the Commission may be incorporated by reference if 
the references are clear and specific.
    (b) An application for license filed pursuant to the regulations in 
this part will be considered also as an application for licenses 
authorizing other activities for which licenses are required by the Act, 
provided the application specifies the additional activities for which 
licenses are requested and complies with regulations of the Commission 
as to applications for such licenses.
    (c) Any application which contains Restricted Data shall be prepared 
in such manner that all Restricted Data are separated from the 
unclassified information.
    (d) Applications and documents submitted to the Commission in 
connection with applications may be made available for public inspection 
in accordance with the provisions of the regulations contained in part 2 
of this chapter.
    (e) Each application for a special nuclear material license, other 
than a license exempted from part 170 of this chapter, shall be 
accompanied by the fee prescribed in Sec. 170.31 of this chapter. No fee 
will be required to accompany an application for renewal or amendment of 
a license, except as provided in Sec. 170.31 of this chapter.

[[Page 202]]

    (f) An application for a license to possess and use special nuclear 
material for processing and fuel fabrication, scrap recovery or 
conversion of uranium hexafluoride, or for the conduct of any other 
activity which the Commission has determined pursuant to subpart A of 
part 51 of this chapter will significantly affect the quality of the 
environment shall be filed at least 9 months prior to commencement of 
construction of the plant or facility in which the activity will be 
conducted, and shall be accompanied by an Environmental Report required 
under subpart A of part 51 of this chapter.
    (g) In response to a written request by the Commission, an applicant 
for a license to possess and use more than one effective kilogram of 
special nuclear material shall file with the Commission the installation 
information described in Sec. 75.11 of this chapter on Form N-71. The 
applicant shall also permit verification of such installation 
information by the International Atomic Energy Agency and take such 
other action as may be necessary to implement the US/IAEA Safeguards 
Agreement, in the manner set forth in Sec. 75.6 and Secs. 75.11 through 
75.14 of this chapter.
    (h) A license application for a uranium enrichment facility must be 
accompanied by an Environmental Report required under subpart A of part 
51 of this chapter.

[21 FR 764, Feb. 3, 1956, as amended at 23 FR 1122, Feb. 21, 1958; 31 FR 
4670, Mar. 19, 1966; 34 FR 19546, Dec. 11, 1969; 36 FR 146, Jan. 6, 
1971; 37 FR 5749, Mar. 21, 1972; 49 FR 9406, Mar. 12, 1984; 49 FR 19628 
and 19632, May 9, 1984; 49 FR 21699, May 23, 1984; 57 FR 18392, Apr. 30, 
1992]



Sec. 70.22  Contents of applications.

    (a) Each application for a license shall contain the following 
information:
    (1) The full name, address, age (if an individual), and citizenship 
of the applicant and the names and addresses of three personal 
references. If the applicant is a corporation or other entity, it shall 
indicate the State where it was incorporated or organized, the location 
of the principal office, the names, addresses, and citizenship of its 
principal officers, and shall include information known to the applicant 
concerning the control or ownership, if any, exercised over the 
applicant by any alien, foreign corporation, or foreign government;
    (2) The activity for which the special nuclear material is 
requested, or in which special nuclear material will be produced, the 
place at which the activity is to be performed and the general plan for 
carrying out the activity;
    (3) The period of time for which the license is requested;
    (4) The name, amount, and specifications (including the chemical and 
physical form and, where applicable, isotopic content) of the special 
nuclear material the applicant proposes to use or produce;
    (5) [Reserved]
    (6) The technical qualifications, including training and experience 
of the applicant and members of his staff to engage in the proposed 
activities in accordance with the regulations in this chapter;
    (7) A description of equipment and facilities which will be used by 
the applicant to protect health and minimize danger to life or property 
(such as handling devices, working areas, shields, measuring and 
monitoring instruments, devices for the disposal of radioactive 
effluents and wastes, storage facilities, criticality accident alarm 
systems, etc.);
    (8) Proposed procedures to protect health and minimize danger to 
life or property (such as procedures to avoid accidental criticality, 
procedures for personnel monitoring and waste disposal, post-criticality 
accident emergency procedures, etc.).

    Note: Where the nature of the proposed activities is such as to 
require consideration of the applicant's financial qualifications to 
engage in the proposed activities in accordance with the regulations in 
this chapter, the Commission may request the applicant to submit 
information with respect to his financial qualifications.

    (9) As provided by Sec. 70.25, certain applications for specific 
licenses filed under this part must contain a proposed decommissioning 
funding plan or a certification of financial assurance for 
decommissioning. In the case of renewal applications submitted on or 
before July 27, 1990, this submittal may follow the renewal application 
but

[[Page 203]]

must be submitted on or before July 27, 1990.
    (b) Each application for a license to possess special nuclear 
material, or to possess equipment capable of enriching uranium, or to 
operate an uranium enrichment facility, or to possess and use at any one 
time and location special nuclear material in a quantity exceeding one 
effective kilogram, except for applications for use as sealed sources 
and for those uses involved in the operation of a nuclear reactor 
licensed pursuant to part 50 of this chapter and those involved in a 
waste disposal operation, must contain a full description of the 
applicant's program for control and accounting of such special nuclear 
material or enrichment equipment that will be in the applicant's 
possession under license to show how compliance with the requirements of 
Secs. 70.58, 74.31, 74.33, or 74.51 of this chapter, as applicable, will 
be accomplished.
    (c) [Reserved]
    (d) The Commission may at any time after the filing of the original 
application, and before the expiration of the license, require further 
statements in order to enable the Commission to determine whether the 
application should be granted or denied or whether a license should be 
modified or revoked. All applications and statements shall be signed by 
the applicant or licensee or a corporate officer thereof.
    (e) Each application and statement shall contain complete and 
accurate disclosure as to all matters and things required to be 
disclosed.
    (f) Each application for a license to possess and use special 
nuclear material in a plutonium processing and fuel fabrication plant 
shall contain, in addition to the other information required by this 
section, a description of the plantsite, a description and safety 
assessment of the design bases of the principal structure, systems, and 
components of the plant, including provisions for protection against 
natural phenomena, and a description of the quality assurance program to 
be applied to the design, fabrication, construction, testing and 
operation of the structures, systems, and components of the plant. \2\
---------------------------------------------------------------------------

    \2\ The description of the quality assurance program should include 
a discussion of how the criteria in appendix B of part 50 of this 
chapter will be met.
---------------------------------------------------------------------------

    (g)(1) Each application for a license that would authorize the 
transport or delivery to a carrier for transport of special nuclear 
material in an amount specified in Sec. 73.1(b)(2) of this chapter must 
include (i) a description of the plan for physical protection of special 
nuclear material in transit in accordance with Secs. 73.20, 73.25, 
73.26, 73.27, and 73.67 (a), (e), and (g) for 10 kg or more of special 
nuclear material of low strategic significance, and Sec. 73.70(g) of 
this chapter including, as appropriate, a plan for the selection, 
qualification, and training of armed escorts, or the specification and 
design of a specially designed truck or trailer, and (ii) a licensee 
safeguards contingency plan or response procedures, as appropriate, for 
dealing with threats, thefts, and radiological sabotage relating to the 
special nuclear material in transit.
    (2) Each application for such a license involving formula quantities 
of strategic special nuclear material must include the first four 
categories of information contained in the applicant's safeguards 
contingency plan. (The first four categories of information, as set 
forth in appendix C to part 73 of this chapter, are Background, Generic 
Planning Base, Licensee Planning Base, and Responsibility Matrix. The 
fifth category of information, Procedures, does not have to be submitted 
for approval.)
    (3) The licensee shall retain this discription of the plan for 
physical protection of special nuclear material in transit and the 
safeguards contingency plan or safeguards response procedures and each 
change to the plan or procedures as a record for a period of three years 
following the date on which the licensee last possessed the appropriate 
type and quantity of special nuclear material requiring this record 
under each license.
    (h)(1) Each application for a license to possess or use, at any site 
or contiguous sites subject to licensee control, a formula quantity of 
strategic special nuclear material, as defined in Sec. 70.4,

[[Page 204]]

other than a license for possession or use of this material in the 
operation of a nuclear reactor licensed pursuant to part 50 of this 
chapter, must include a physical security plan. The plan must describe 
how the applicant will meet the applicable requirements of part 73 of 
this chapter in the conduct of the activity to be licensed, including 
the identification and description of jobs as required by 10 CFR 
11.11(a). The plan must list tests, inspections, audits, and other means 
to be used to demonstrate compliance with the requirements of 10 CFR 
parts 11 and 73, if applicable.
    (2) The licensee shall retain a copy of this physical security plan 
and each change to the plan as a record for a period of three years 
following the date on which the licensee last possessed the appropriate 
type and quantity of special nuclear material requiring this record 
under each license.
    (i)(1) Each application to possess enriched uranium or plutonium for 
which a criticality accident alarm system is required, uranium 
hexafluoride in excess of 50 kilograms in a single container or 1000 
kilograms total, or in excess of 2 curies of plutonium in unsealed form 
or on foils or plated sources, must contain either:
    (i) An evaluation showing that the maximum dose to a member of the 
public offsite due to a release of radioactive materials would not 
exceed 1 rem effective dose equivalent or an intake of 2 milligrams of 
soluble uranium, or
    (ii) An emergency plan for responding to the radiological hazards of 
an accidental release of special nuclear material and to any associated 
chemical hazards directly incident thereto.
    (2) One or more of the following factors may be used to support an 
evaluation submitted under paragraph (i)(1)(i) of this section:
    (i) The radioactive material is physically separated so that only a 
portion could be involved in an accident;
    (ii) All or part of the radioactive material is not subject to 
release during an accident or to criticality because of the way it is 
stored or packaged;
    (iii) In the case of fires or explosions, the release fraction would 
be lower than 0.001 due to the chemical or physical form of the 
material;
    (iv) The solubility of the material released would reduce the dose 
received;
    (v) The facility design or engineered safety features in the 
facility would cause the release fraction to be lower than 0.001;
    (vi) Operating restrictions or procedures would prevent a release 
large enough to cause a member of the public offsite to receive a dose 
exceeding 1 rem effective dose equivalent; or
    (vii) Other factors appropriate for the specific facility.
    (3) Emergency plans submitted under paragraph (i)(1)(ii) of this 
section must include the following information:
    (i) Facility description. A brief description of the licensee's 
facility and area near the site.
    (ii) Types of accidents. An identification of each type of 
radioactive materials accident for which protective actions may be 
needed.
    (iii) Classification of accidents. A classification system for 
classifying accidents as alerts or site area emergencies.
    (iv) Detection of accidents. Identification of the means of 
detecting each type of accident in a timely manner.
    (v) Mitigation of consequences. A brief description of the means and 
equipment for mitigating the consequences of each type of accident, 
including those provided to protect workers onsite, and a description of 
the program for maintaining the equipment.
    (vi) Assessment of releases. A brief description of the methods and 
equipment to assess releases of radioactive materials.
    (vii) Responsibilities. A brief description of the responsibilities 
of licensee personnel should an accident occur, including identification 
of personnel responsible for promptly notifying offsite response 
organizations and the NRC; also responsibilities for developing, 
maintaining, and updating the plan.
    (viii) Notification and coordination. A commitment to and a brief 
description of the means to promptly notify offsite

[[Page 205]]

response organizations and request offsite assistance, including medical 
assistance for the treatment of contaminated injured onsite workers when 
appropriate. A control point must be established. The notification and 
coordination must be planned so that unavailability of some personnel, 
parts of the facility, and some equipment will not prevent the 
notification and coordination. The licensee shall also commit to notify 
the NRC operations center immediately after notification of the 
appropriate offsite response organizations and not later than one hour 
after the licensee declares an emergency.\1\
---------------------------------------------------------------------------

    \1\ These reporting requirements do not superceed or release 
licensees of complying with the requirements under the Emergency 
Planning and Community Right-to-Know Act of 1986, Title III, Pub. L. 99-
499 or other state or federal reporting requirements.
---------------------------------------------------------------------------

    (ix) Information to be communicated. A brief description of the 
types of information on facility status, radioactive releases, and 
recommended protective actions, if necessary, to be given to offsite 
response organizations and to the NRC.
    (x) Training. A brief description of the frequency, performance 
objectives and plans for the training that the licensee will provide 
workers on how to respond to an emergency including any special 
instructions and orientation tours the licensee would offer to fire, 
police, medical and other emergency personnel. The training shall 
familiarize personnel with site-specific emergency procedures. Also, the 
training shall thoroughly prepare site personnel for their 
responsibilities in the event of accident scenarios postulated as most 
probable for the specific site, including the use of team training for 
such scenarios.
    (xi) Safe shutdown. A brief description of the means of restoring 
the facility to a safe condition after an accident.
    (xii) Exercises. Provisions for conducting quarterly communications 
checks with offsite response organizations and biennial onsite exercises 
to test response to simulated emergencies. Quarterly communications 
checks with offsite response organizations must include the check and 
update of all necessary telephone numbers. The licensee shall invite 
offsite response organizations to participate in the biennial exercises. 
Participation of offsite response organizations in biennial exercises 
although recommended is not required. Exercises must use accident 
scenarios postulated as most probable for the specific site and the 
scenarios shall not be known to most exercise participants. The licensee 
shall critique each exercise using individuals not having direct 
implementation responsibility for the plan. Critiques of exercises must 
evaluate the appropriateness of the plan, emergency procedures, 
facilities, equipment, training of personnel, and overall effectiveness 
of the response. Deficiencies found by the critiques must be corrected.
    (xiii) Hazardous chemicals. A certification that the applicant has 
met its responsibilities under the Emergency Planning and Community 
Right-to-Know Act of 1986, Title III, Pub. L. 99-499, if applicable to 
the applicant's activities at the proposed place of use of the special 
nuclear material.
    (4) The licensee shall allow the offsite response organizations 
expected to respond in case of an accident 60 days to comment on the 
licensee's emergency plan before submitting it to NRC. The licensee 
shall provide any comments received within the 60 days to the NRC with 
the emergency plan.
    (j)(1) Each application for a license to possess or use at any site 
or contiguous sites subject to control by the licensee uranium-235 
(contained in uranium enriched to 20 percent or more in the uranium-235 
isotope), uranium-233, or plutonium alone or in any combination in a 
quantity of 5,000 grams or more computed by the formula, grams = (grams 
contained U-235) + 2.5 (grams U-233 + grams plutonium) other than a 
license for possession or use of this material in the operation of a 
nuclear reactor licensed pursuant to part 50 of this chapter, must 
include a licensee safeguards contingency plan for dealing with threats, 
thefts, and radiological sabotage, as defined in part 73 of this 
chapter, relating to nuclear facilities licensed under part 50 of this 
chapter or to the possession of special nuclear material licensed under 
this part.

[[Page 206]]

    (2) Each application for such a license must include the first four 
categories of information contained in the applicant's safeguards 
contingency plan. (The first four categories of information, as set 
forth in appendix C to part 73 of this chapter, are Background, Generic 
Planning Base, Licensee Planning Base, and Responsibility Matrix.) The 
fifth category of information, Procedures, does not have to be submitted 
for approval.
    (3) The licensee shall retain a copy of this safeguards contingency 
plan as a record until the Commission terminates each license obtained 
by this application or any application for renewal of a license and 
retain each change to the plan as a record for three years after the 
date of the change.
    (k) Each application for a license to possess or use at any site or 
contiguous sites subject to licensee control, special nuclear material 
of moderate strategic significance or 10 kg or more of special nuclear 
material of low strategic significance as defined under Sec. 70.4, other 
than a license for possession or use of this material in the operation 
of a nuclear power reactor licensed pursuant to part 50 of this chapter, 
must include a physical security plan that demonstrates how the 
applicant plans to meet the requirements of paragraphs (d), (e), (f), 
and (g) of Sec. 73.67 of this chapter, as appropriate. The licensee 
shall retain a copy of this physical security plan as a record for the 
period during which the licensee possesses the appropriate type and 
quantity of special nuclear material under each license, and if any 
portion of the plan is superseded, retain that superseded portion of the 
plan for 3 years after the effective date of the change.
    (l) Each applicant for a license to possess, use, transport, or 
deliver to a carrier for transport formula quantities of strategic 
special nuclear material, who prepares a physical security, safeguards 
contingency, or guard qualification and training plan shall protect 
these plans and other related Safeguards Information against 
unauthorized disclosure in accordance with the requirements of 
Sec. 73.21 of this chapter.
    (m) Each application for a license to possess equipment capable of 
enriching uranium or operate an enrichment facility, and produce, 
possess, or use more than one effective kilogram of special nuclear 
material at any site or contiguous sites subject to control by the 
applicant, must contain a full description of the applicant's security 
program to protect against theft, and to protect against unauthorized 
viewing of classified enrichment equipment, and unauthorized disclosure 
of classified matter in accordance with the requirements of 10 CFR parts 
25 and 95.
    (n) A license application that involves the use of special nuclear 
material in a uranium enrichment facility must include the applicant's 
provisions for liability insurance.

[21 FR 764, Feb. 3, 1956]

    Editorial Note: For Federal Register citations affecting Sec. 70.22, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



Sec. 70.23  Requirements for the approval of applications.

    (a) An application for a license will be approved if the Commission 
determines that:
    (1) The special nuclear material is to be used for the conduct of 
research or development activities of a type specified in section 31 of 
the Act, \1\ in activities licensed by the Commission under section 103 
or 104 of the Act, or for such

[[Page 207]]

other uses as the Commission determines to be appropriate to carry out 
the purposes of the Act;
---------------------------------------------------------------------------

    \1\ The types of research and development activities specified in 
section 31 are those relating to:
    (1) Nuclear processes;
    (2) The theory and production of atomic energy, including processes, 
materials, and devices related to such production;
    (3) Utilization of special nuclear material and radioactive material 
for medical, biological, agricultural, health or military purposes;
    (4) Utilization of special nuclear material, atomic energy, and 
radioactive material and processes entailed in the utilization or 
production of atomic energy or such material for all other purposes, 
including industrial use, the generation of usable energy, and the 
demonstration of the practical value of utilization or production 
facilities for industrial or commercial purposes; and
    (5) The protection of health and the promotion of safety during 
research and production activities.
---------------------------------------------------------------------------

    (2) The applicant is qualified by reason of training and experience 
to use the material for the purpose requested in accordance with the 
regulations in this chapter;
    (3) The applicant's proposed equipment and facilities are adequate 
to protect health and minimize danger to life or property;
    (4) The applicant's proposed procedures to protect health and to 
minimize danger to life or property are adequate;
    (5) Where the nature of the proposed activities is such as to 
require consideration by the Commission, that the applicant appears to 
be financially qualified to engage in the proposed activities in 
accordance with the regulations in this part;
    (6) Where the applicant is required to submit a summary description 
of the fundamental material controls provided in his procedures for the 
control of and accounting for special nuclear material pursuant to 
Sec. 70.22 (b)(2), the applicant's proposed controls are adequate;
    (7) Where the proposed activity is processing and fuel fabrication, 
scrap recovery, conversion of uranium hexafluoride, uranium enrichment 
facility construction and operation, or any other activity which the 
Commission determines will significantly affect the quality of the 
environment, the Director of Nuclear Material Safety and Safeguards or 
his designee, before commencement of construction of the plant or 
facility in which the activity will be conducted, on the basis of 
information filed and evaluations made pursuant to subpart A of part 51 
of this chapter, has concluded, after weighing the environmental, 
economic, technical, and other benefits against environmental costs and 
considering available alternatives, that the action called for is the 
issuance of the proposed license, with any appropriate conditions to 
protect environmental values. Commencement of construction prior to this 
conclusion is grounds for denial to possess and use special nuclear 
material in the plant or facility. As used in this paragraph, the term 
``commencement of construction'' means any clearing of land, excavation, 
or other substantial action that would adversely affect the environment 
of a site. The term does not mean site exploration, roads necessary for 
site exploration, borings to determine foundation conditions, or other 
preconstruction monitoring or testing to establish background 
information related to the suitability of the site or the protection of 
environmental values.
    (8) Where the proposed activity is the operation of a plutonium 
processing and fuel fabrication plant, construction of the principal 
structures, systems, and components approved pursuant to paragraph (b) 
of this section has been completed in accordance with the application;
    (9) Where the applicant is required to submit a plan for physical 
protection of special nuclear material in transit pursuant to 
Sec. 70.22(g), of this chapter, the applicant's plan is adequate;
    (10) Where the applicant is required to submit a physical security 
plan pursuant to Sec. 70.22(h), the applicant's proposed plan is 
adequate;
    (11) Where the proposed activity is processing and fuel fabrication, 
scrap recovery, conversion of uranium hexafluoride, or involves the use 
of special nuclear material in a uranium enrichment facility, the 
applicant's proposed emergency plan is adequate.
    (12) Where the proposed activity is use of special nuclear material 
in a uranium enrichment facility, the applicable provisions of part 140 
of this chapter have been satisfied.
    (b) The Commission will approve construction of the principal 
structures, systems, and components of a plutonium processing and fuel 
fabrication plant on the basis of information filed pursuant to 
Sec. 70.22(f) when the Commission has determined that the design bases 
of the principal structures, systems, and components, and the quality 
assurance program provide reasonable assurance of protection against 
natural phenomena and the consequences of potential accidents. \3\ 
Failure to obtain

[[Page 208]]

Commission approval prior to beginning of such construction may be 
grounds for denial of a license to possess and use special nuclear 
material in a plutonium processing and fuel fabrication plant.
---------------------------------------------------------------------------

    \3\ The criteria in appendix B of part 50 of this chapter will be 
used by the Commission in determining the adequacy of the quality 
assurance program.

[36 FR 17574, Sept. 2, 1971, as amended at 37 FR 5749, Mar. 21, 1972; 38 
FR 30534, 30538, Nov. 6, 1973; 39 FR 26286, July 18, 1974; 42 FR 17126, 
Mar. 31, 1977; 43 FR 6924, Feb. 17, 1978; 49 FR 9406, Mar. 12, 1984; 54 
FR 14064, Apr. 7, 1989; 57 FR 18392, Apr. 30, 1992]



Sec. 70.23a  Hearing required for uranium enrichment facility.

    The Commission will hold a hearing under 10 CFR part 2, subparts A, 
G, and I, on each application for issuance of a license for construction 
and operation of a uranium enrichment facility. The Commission will 
publish public notice of the hearing in the Federal Register at least 30 
days before the hearing.

[57 FR 18392, Apr. 30, 1992]



Sec. 70.24  Criticality accident requirements.

    (a) Each licensee authorized to possess special nuclear material in 
a quantity exceeding 700 grams of contained uranium-235, 520 grams of 
uranium-233, 450 grams of plutonium, 1,500 grams of contained uranium-
235 if no uranium enriched to more than 4 percent by weight of uranium-
235 is present, 450 grams of any combination thereof, or one-half such 
quantities if massive moderators or reflectors made of graphite, heavy 
water or beryllium may be present, shall maintain in each area in which 
such licensed special nuclear material is handled, used, or stored, a 
monitoring system meeting the requirements of either paragraph (a)(1) or 
(a)(2), as appropriate, and using gamma- or neutron-sensitive radiation 
detectors which will energize clearly audible alarm signals if 
accidental criticality occurs. This section is not intended to require 
underwater monitoring when special nuclear material is handled or stored 
beneath water shielding or to require monitoring systems when special 
nuclear material is being transported when packaged in accordance with 
the requirements of part 71 of this chapter.
    (1) The monitoring system shall be capable of detecting a 
criticality that produces an absorbed dose in soft tissue of 20 rads of 
combined neutron and gamma radiation at an unshielded distance of 2 
meters from the reacting material within one minute. Coverage of all 
areas shall be provided by two detectors.
    (2) Persons licensed prior to December 6, 1974, to possess special 
nuclear material subject to this section may maintain a monitoring 
system capable of detecting a criticality which generates radiation 
levels of 300 rems per hour one foot from the source of the radiation. 
The monitoring devices in the system shall have a preset alarm point of 
not less than 5 millirems per hour (in order to avoid false alarms) nor 
more than 20 millirems per hour. In no event may any such device be 
farther than 120 feet from the special nuclear material being handled, 
used, or stored; lesser distances may be necessary to meet the 
requirements of this paragraph (a)(2) on account of intervening 
shielding or other pertinent factors.
    (3) The licensee shall maintain emergency procedures for each area 
in which this licensed special nuclear material is handled, used, or 
stored to ensure that all personnel withdraw to an area of safety upon 
the sounding of the alarm. These procedures must include the conduct of 
drills to familiarize personnel with the evacuation plan, and 
designation of responsible individuals for determining the cause of the 
alarm, and placement of radiation survey instruments in accessible 
locations for use in such an emergency. The licensee shall retain a copy 
of current procedures for each area as a record for as long as licensed 
special nuclear material is handled, used, or stored in the area. The 
licensee shall retain any superseded portion of the procedures for three 
years after the portion is superseded.
    (b) Each licensee authorized to possess special nuclear material in 
quantities in excess of those specified in paragraph (a) shall:
    (1) Provide the means for identifying quickly which individuals have 
received doses of 10 rads or more.

[[Page 209]]

    (2) Maintain facilities and supplies at the site for decontamination 
of personnel, arrangements for the services of a physician and other 
medical personnel qualified to handle radiation emergencies, 
arrangements for transportation of injured or contaminated individuals 
to treatment facilities, and arrangements for treatment of individuals 
at treatment facilities outside the site boundary.
    (c) Holders of licenses for construction or operation of a nuclear 
reactor issued pursuant to part 50 of this chapter, except critical 
assembly reactors, are exempt for the requirements of paragraph (b) of 
this section with respect to special nuclear material used or to be used 
in the reactor.
    (d)(1) The requirements in paragraphs (a) through (c) of this 
section do not apply to a holder of a construction permit or operating 
license for a nuclear power reactor issued under part 50 of this chapter 
or a combined license issued under part 52 of this chapter, if the 
holder complies with the requirements of paragraph (b) of 10 CFR 50.68.
    (2) An exemption from Sec. 70.24 held by a licensee who thereafter 
elects to comply with requirements of paragraph (b) of 10 CFR 50.68 does 
not exempt that licensee from complying with any of the requirements in 
Sec. 50.68, but shall be ineffective so long as the licensee elects to 
comply with Sec. 50.68.

[39 FR 39021, Nov. 5, 1974, as amended at 41 FR 31522, July 29, 1976; 53 
FR 19252, May 27, 1988; 62 FR 63828, Dec. 3, 1997; 63 FR 9403, Feb. 25, 
1998; 63 FR 63130, Nov. 12, 1998]



Sec. 70.25  Financial assurance and recordkeeping for decommissioning.

    (a) Each applicant for a specific license of the types described in 
paragraphs (a) (1) and (2) of this section shall submit a 
decommissioning funding plan as described in paragraph (e) of this 
section.
    (1) A specific license for a uranium enrichment facility;
    (2) A specific license authorizing the possession and use of 
unsealed special nuclear material in quantities exceeding 105 
times the applicable quantities set forth in appendix B to part 30. A 
decommissioning funding plan must also be submitted when a combination 
of isotopes is involved if R divided by 105 is greater than 1 
(unity rule), where R is the sum of the ratios of the quantity of each 
isotope to the applicable value in appendix B to part 30.
    (b) Each applicant for a specific license authorizing possession and 
use of unsealed special nuclear material in quantities specified in 
paragraph (d) of this section shall either--
    (1) Submit a decommissioning funding plan as described in paragraph 
(e) of this section; or
    (2) Submit a certification that financial assurance for 
decommissioning has been provided in the amount prescribed by paragraph 
(d) of this section using one of the methods described in paragraph (f) 
of this section. For an applicant, this certification may state that the 
appropriate assurance will be obtained after the application has been 
approved and the license issued but before the receipt of licensed 
material. If the applicant defers execution of the financial instrument 
until after the license has been issued, a signed original of the 
financial instrument obtained to satisfy the requirements of paragraph 
(f) of this section must be submitted to NRC before receipt of licensed 
material. If the applicant does not defer execution of the financial 
instrument, the applicant shall submit to NRC, as part of the 
certification, a signed original of the financial instrument obtained to 
satisfy the requirements of paragraph (f) of this section.
    (c)(1) Each holder of a specific license issued on or after July 27, 
1990, which is of a type described in paragraph (a) or (b) of this 
section, shall provide financial assurance for decommissioning in 
accordance with the criteria set forth in this section.
    (2) Each holder of a specific license issued before July 27, 1990, 
and of a type described in paragraph (a) of this section shall submit, 
on or before July 27, 1990, a decommissioning funding plan as described 
in paragraph (e) of this section or a certification of financial 
assurance for decommissioning in an amount at least equal to $750,000 in 
accordance with the criteria set forth in this section. If the licensee 
submits the certification of financial assurance rather than a 
decommissioning funding

[[Page 210]]

plan at this time, the licensee shall include a decommissioning funding 
plan in any application for license renewal.
    (3) Each holder of a specific license issued before July 27, 1990, 
and of a type described in paragraph (b) of this section shall submit, 
on or before July 27, 1990, a decommissioning funding plan, described in 
paragraph (e) of this section, or a certification of financial assurance 
for decommissioning in accordance with the criteria set forth in this 
section.
    (4) Any licensee who has submitted an application before July 27, 
1990, for renewal of license in accordance with Sec. 70.33 shall provide 
financial assurance for decommissioning in accordance with paragraphs 
(a) and (b) of this section. This assurance must be submitted when this 
rule becomes effective November 24, 1995.
    (d) Table of required amounts of financial assurance for 
decommissioning by quantity of material.

greater than 10\4\ but less than or equal to 10\5\ times the    $750,000
 applicable quantities of appendix B to part 30. (For a
 combination of isotopes, if R, as defined in Sec.  70.25(a),
 divided by 10\4\ is greater than 1 but R divided by 10\5\ is
 less than or equal to 1.)...................................
greater than 10\3\ but less than or equal to 10\4\ times the    $150,000
 applicable quantities of appendix B to part 30. (For a
 combination of isotopes, if R, as defined in Sec.  70.25(a),
 divided by 10\3\ is greater than 1 but R divided by 10\4\ is
 less than or equal to 1.)...................................
 

    (e) Each decommissioning funding plan must contain a cost estimate 
for decommissioning and a description of the method of assuring funds 
for decommissioning from paragraph (f) of this section, including means 
for adjusting cost estimates and associated funding levels periodically 
over the life of the facility. The decommissioning funding plan must 
also contain a certification by the licensee that financial assurance 
for decommissioning has been provided in the amount of the cost estimate 
for decommissioning and a signed original of the financial instrument 
obtained to satisfy the requirements of paragraph (f) of this section.
    (f) Financial assurance for decommissioning must be provided by one 
or more of the following methods:
    (1) Prepayment. Prepayment is the deposit prior to the start of 
operation into an account segregated from licensee assets and outside 
the licensee's administrative control of cash or liquid assets such that 
the amount of funds would be sufficient to pay decommissioning costs. 
Prepayment may be in the form of a trust, escrow account, government 
fund, certificate of deposit, or deposit of government securities.
    (2) A surety method, insurance, or other guarantee method. These 
methods guarantee that decommissioning costs will be paid. A surety 
method may be in the form of a surety bond, letter of credit, or line of 
credit. A parent company guarantee of funds for decommissioning costs 
based on a financial test may be used if the guarantee and test are as 
contained in appendix A to part 30. A parent company guarantee may not 
be used in combination with other financial methods to satisfy the 
requirements of this section. For commercial corporations that issue 
bonds, a guarantee of funds by the applicant or licensee for 
decommissioning costs based on a financial test may be used if the 
guarantee and test are as contained in appendix C to part 30. For 
commercial companies that do not issue bonds, a guarantee of funds by 
the applicant or licensee for decommissioning costs may be used if the 
guarantee and test are as contained in appendix D to part 30. For 
nonprofit entities, such as colleges, universities, and nonprofit 
hospitals, a guarantee of funds by the applicant or licensee may be used 
if the guarantee and test are as contained in appendix E to part 30. A 
guarantee by the applicant or licensee may not be used in combination 
with any other financial methods used to satisfy the requirements of 
this section or in any situation where the applicant or licensee has a 
parent company holding majority control of the voting stock of the 
company. Any surety method or insurance used to provide financial 
assurance for decommissioning must contain the following conditions:
    (i) The surety method or insurance must be open-ended or, if written 
for a

[[Page 211]]

specified term, such as five years, must be renewed automatically unless 
90 days or more prior to the renewal date, the issurer notifies the 
Commission, the beneficiary, and the licensee of its intention not to 
renew. The surety method or insurance must also provide that the full 
face amount be paid to the beneficiary automatically prior to the 
expiration without proof of forfeiture if the licensee fails to provide 
a replacement acceptable to the Commission within 30 days after receipt 
of notification of cancellation.
    (ii) The surety method or insurance must be payable to a trust 
established for decommissioning costs. The trustee and trust must be 
acceptable to the Commission. An acceptable trustee includes an 
appropriate State or Federal government agency or an entity which has 
the authority to act as a trustee and whose trust operations are 
regulated and examined by a Federal or State agency.
    (iii) The surety method or insurance must remain in effect until the 
Commission has terminated the license.
    (3) An external sinking fund in which deposits are made at least 
annually, coupled with a surety method or insurance, the value of which 
may decrease by the amount being accumulated in the sinking fund. An 
external sinking fund is a fund established and maintained by setting 
aside funds periodically in an account segregated from licensee assets 
and outside the licenssee's administrative control in which the total 
amount of funds would be sufficient to pay decommissioning costs at the 
time termination of operation is expected. An external sinking fund may 
be in the form of a trust, escrow account, government fund, certificate 
of deposit, or deposit of government securities. The surety or insurance 
provisions must be as stated in paragraph (f)(2) of this section.
    (4) In the case of Federal, State, or local government licensees, a 
statement of intent containing a cost estimate for decommissioning or an 
amount based on the Table in paragraph (d) of this section, and 
indicating that funds for decommissioning will be obtained when 
necessary.
    (5) When a governmental entity is assuming custody and ownership of 
a site, an arrangement that is deemed acceptable by such governmental 
entity.
    (g) Each person licensed under this part shall keep records of 
information important to the decommissioning of a facility in an 
identified location until the site is released for unrestricted use. If 
records important to the decommissioning of a facility are kept for 
other purposes, reference to these records and their locations may be 
used. Information the Commission considers important to decommissioning 
consists of--
    (1) Records of spills or other unusual occurrences involving the 
spread of contamination in and around the facility, equipment, or site. 
These records may be limited to instances when contamination remains 
after any cleanup procedures or when there is reasonable likelihood that 
contaminants may have spread to inaccessible areas as in the case of 
possible seepage into porous materials such as concrete. These records 
must include any known information on identification of involved 
nuclides, quantities, forms, and concentrations.
    (2) As-built drawings and modifications of structures and equipment 
in restricted areas where radioactive materials are used and/or stored 
and of locations of possible inaccessible contamination such as buried 
pipes which may be subject to contamination. If required drawings are 
referenced, each relevant document need not be indexed individually. If 
drawings are not available, the licensee shall substitute appropriate 
records of available information concerning these areas and locations.
    (3) Except for areas containing only sealed sources (provided the 
sources have not leaked or no contamination remains after cleanup of any 
leak), a list contained in a single document and updated every 2 years, 
of the following:
    (i) All areas designated and formerly designated as restricted areas 
as defined under 10 CFR 20.1003 (For requirements prior to January 1, 
1994, see 10 CFR 20.3 as contained in the CFR edition revised as of 
January 1, 1993.);
    (ii) All areas outside of restricted areas that require 
documentation under Sec. 70.25(g)(1);

[[Page 212]]

    (iii) All areas outside of restricted areas where current and 
previous wastes have been buried as documented under 10 CFR 20.2108; and
    (iv) All areas outside of restricted areas that contain material 
such that, if the license expired, the licensee would be required to 
either decontaminate the area to meet the criteria for decommissioning 
in 10 CFR part 20, subpart E, or apply for approval for disposal under 
10 CFR 20.2002.
    (4) Records of the cost estimate performed for the decommissioning 
funding plan or of the amount certified for decommissioning, and records 
of the funding method used for assuring funds if either a funding plan 
or certification is used.

[53 FR 24053, June 27, 1988, as amended at 56 FR 23474, May 21, 1991; 57 
FR 18393, Apr. 30, 1992; 58 FR 39634, July 26, 1993; 58 FR 67662, Dec. 
22, 1993; 58 FR 68731, Dec. 29, 1993; 59 FR 1618, Jan. 12, 1994; 60 FR 
38239, July 26, 1995; 61 FR 24675, May 16, 1996; 62 FR 39091, July 21, 
1997; 63 FR 29544, June 1, 1998]



                           Subpart E--Licenses



Sec. 70.31  Issuance of licenses.

    (a) Upon a determination that an application meets the requirements 
of the act and of the regulations of the Commission, the Commission will 
issue a license in such form and containing such conditions and 
limitations as it deems appropriate or necessary to effectuate the 
purposes of the act.
    (b) [Reserved]
    (c) Each license issued to a person for use of special nuclear 
material in activities in which special nuclear material will be 
produced shall (subject to the provisions of Sec. 70.41(b)) be deemed to 
authorize such person to receive title to, own, acquire, receive, 
possess, use, and transfer the special nuclear material produced in the 
course of such authorized activities.
    (d) No license will be issued by the Commission to any person within 
the United States if the Commission finds that the issuance of such 
license would be inimical to the common defense and security or would 
constitute an unreasonable risk to the health and safety of the public.
    (e) No license to construct and operate a uranium enrichment 
facility may be issued until a hearing pursuant to 10 CFR part 2, 
subparts G and I, is completed and decision issued on the application.

[21 FR 764, Feb. 3, 1956, as amended at 32 FR 2563, Feb. 7, 1967; 32 FR 
4056, Mar. 15, 1967; 43 FR 6925, Feb. 17, 1978; 57 FR 18393, Apr. 30, 
1992]



Sec. 70.32  Conditions of licenses.

    (a) Each license shall contain and be subject to the following 
conditions:
    (1) [Reserved]
    (2) No right to the special nuclear material shall be conferred by 
the license except as defined by the license;
    (3) Neither the license nor any right under the license shall be 
assigned or otherwise transferred in violation of the provisions of the 
Act;
    (4) All special nuclear material shall be subject to the right of 
recapture or control reserved by section 108 and to all other provisions 
of the Act;
    (5) No special nuclear material may be used in any utilization or 
production facility except in accordance with the provisions of the Act;
    (6) The licensee shall not use the special nuclear material to 
construct an atomic weapon or any component of an atomic weapon;
    (7) Except to the extent that the indemnification and limitation of 
liability provisions of part 140 of this chapter apply, the licensee 
will hold the United States and the Department harmless from any damages 
resulting from the use or possession of special nuclear material leased 
from the Department by the licensee;
    (8) The license shall be subject to and the licensee shall observe, 
all applicable rules, regulations and orders of the Commission.
    (9)(i) Each licensee shall notify the appropriate NRC Regional 
Administrator, in writing, immediately following the filing of a 
voluntary or involuntary petition for bankruptcy under any Chapter of 
Title 11 (Bankruptcy) of the United States Code by or against:
    (A) The licensee;
    (B) An entity (as that term is defined in 11 U.S.C. 101(14)) 
controlling the licensee or listing the license or licensee as property 
of the estate; or

[[Page 213]]

    (C) An affiliate (as that term is defined in 11 U.S.C. 101(a)) of 
the licensee.
    (ii) This notification must indicate:
    (A) The bankruptcy court in which the petition for bankruptcy was 
filed; and
    (B) The date of the filing of the petition.
    (b) The Commission may incorporate in any license such additional 
conditions and requirements with respect to the licensee's ownership, 
receipt, possession, use, and transfer of special nuclear material as it 
deems appropriate or necessary in order to:
    (1) Promote the common defense and security;
    (2) Protect health or to minimize danger to life or property;
    (3) Protect restricted data;
    (4) Guard against the loss or diversion of special nuclear material;
    (5) Require such reports and the keeping of such records, and to 
provide for such inspections, of activities under the license as may be 
necessary or appropriate to effectuate the purposes of the act and 
regulations thereunder.
    (c)(1) Each license authorizing the possession and use at any one 
time and location of uranium source material at an uranium enrichment 
facility or special nuclear material in a quantity exceeding one 
effective kilogram, except for use as sealed sources and those uses 
involved in the operation of a nuclear reactor licensed pursuant to part 
50 of this chapter and those involved in a waste disposal operation, 
shall contain and be subject to a condition requiring the licensee to 
maintain and follow:
    (i) The program for control and accounting of uranium source 
material at an uranium enrichment facility or special nuclear material 
and fundamental nuclear material controls implemented pursuant to 
Sec. 70.22(b), 70.58(1), 74.31(b), 74.33(b), or 74.51(c)(l) of this 
chapter, as appropriate;
    (ii) The measurement control program for uranium source material at 
an uranium enrichment facility or special nuclear material control and 
accounting implemented pursuant to Sec. 70.57(c), 74.31(b), 74.33(b), or 
74.59(e) of this chapter, as appropriate; and
    (iii) Such other material control procedures as the Commission 
determines to be essential for the safeguarding of uranium source 
material at an uranium enrichment facility or of special nuclear 
material and providing that the licensee shall make no change that would 
decrease the effectiveness of the material control and accounting 
program implemented pursuant to Sec. 70.22(b), 70.58(l), 70.51(g), 
74.31(b), 74.33(b), or 74.51(c)(1) of this chapter and the measurement 
control program implemented pursuant to Sec. 70.57(c), 74.31(b), 
74.33(b), or 74.59(e) of this chapter without the prior approval of the 
Commission. A licensee desiring to make such changes shall submit an 
application for amendment to its license pursuant to Sec. 70.34.
    (2) The licensee shall maintain records of changes to the material 
control and accounting program made without prior Commission approval 
for a period of 5 years from the date of the change. Licensees located 
in all five Regions as indicated in appendix A of part 73 of this 
chapter, shall furnish to the Director, Office of Nuclear Material 
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, 
DC 20555, a report containing a description of each change within:
    (i) Two months of the change if it pertains to uranium-233, uranium-
235 contained in uranium enriched 20 percent or more in the uranium-235 
isotope, or plutonium, except plutonium containing 80 percent or more by 
weight of the isotope Pu-238, and
    (ii) Six months of the change if it pertains to uranium enriched 
less than 20 percent in the uranium-235 isotope, or plutonium containing 
80 percent or more by weight of the isotope Pu-238.
    (d) The licensee shall make no change which would decrease the 
effectiveness of the plan for physical protection of special nuclear 
material in transit prepared pursuant to Sec. 70.22(g) or Sec. 73.20(c) 
of this chapter without the prior approval of the Commission. A licensee 
desiring to make such changes shall submit an application for a change 
in the technical specifications incorporated in his or her license, if 
any, or for an amendment to the license pursuant to Sec. 50.90 or 
Sec. 70.34 of this chapter, as appropriate. The licensee may make 
changes to the plan for physical protection of special nuclear

[[Page 214]]

material without prior Commission approval if these changes do not 
decrease the effectiveness of the plan. The licensee shall retain a copy 
of the plan as a record for the period during which the licensee 
possesses a formula quantity of special nuclear material requiring this 
record under each license and each change to the plan for three years 
from the effective date of the change. A report containing a description 
of each change must be furnished the Director of Nuclear Material Safety 
and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 
20555, with a copy to the appropriate NRC Regional Office shown in 
appendix A to part 73 of this chapter within two months after the 
change.
    (e) The licensee shall make no change which would decrease the 
effectiveness of a security plan prepared pursuant to Secs. 70.22(h), 
70.22(k), or 73.20(c) without the prior approval of the Commission. A 
licensee desiring to make such a change shall submit an application for 
an amendment to its license pursuant to Sec. 70.34. The licensee shall 
maintain records of changes to the plan made without prior Commission 
approval, for three years from the effective date of the change, and 
shall furnish to the Director, Office of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
with a copy to the appropriate NRC Regional Office shown in appendix A 
to part 73 of this chapter, a report containing a description of each 
change within two months after the change is made.
    (f) [Reserved]
    (g) The licensee shall prepare and maintain safeguards contingency 
plan procedures in accordance with appendix C to part 73 of this chapter 
for bringing about the actions and decisions contained in the 
Responsibility Matrix of its safeguards contingency plan. The licensee 
shall retain the current safeguards contingency plan procedures as a 
record for the entire period during which the licensee possesses the 
appropriate type and quantity of special nuclear material under each 
license for which the procedures were developed and, if any portion of 
the plan is superseded, retain that superseded portion for 3 years after 
the effective date of the change. The licensee shall not make a change 
that would decrease the safeguards effectiveness of the first four 
categories of information (i.e., Background, Generic Planning Base, 
Licensee Planning Base, and Responsibility Matrix) contained in any 
licensee safeguards contingency plan prepared pursuant to 
Secs. 70.22(g), 70.22(j), 72.184, 73.20(c), 73.26(e)(1), 73.46(h)(1), or 
73.50(g)(1) of this chapter without the prior approval of the NRC. A 
licensee desiring to make such a change shall submit an application for 
an amendment to its license pursuant to Sec. 70.34. The licensee may 
make changes to the licensee safeguards contingency plan without prior 
NRC approval if the changes do not decrease the safeguards effectiveness 
of the plan. The licensee must maintain each change to the plan made 
without prior approval as a record during the period for which 
possession of a formula quantity of special nuclear material is 
authorized under a license and retain the superseded portion for 3 years 
after the effective date of the change and shall furnish a report 
containing a description of each change within 60 days after the change 
is made to the Director of Nuclear Material Safety and Safeguards, with 
a copy to the Regional Administrator of the appropriate NRC Regional 
Office as specified in appendix A to part 73 of this chapter.
    (h) [Reserved]
    (i) Licensees required to submit emergency plans in accordance with 
Sec. 70.22(i) shall follow the emergency plan approved by the 
Commission. The licensee may change the approved plan without Commission 
approval if the changes do not decrease the effectiveness of the plan. 
The licensee shall furnish the Director of Nuclear Material Safety and 
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
with a copy to the appropriate NRC Regional Office specified in appendix 
D, part 20 of this chapter and affected offsite response organizations, 
a copy of each change within six months after the change is made. 
Proposed changes that decrease the effectiveness of the approved 
emergency plan may not be implemented without

[[Page 215]]

prior application to and prior approval by the Commission.
    (j) Each licensee who possesses a formula quantity of strategic 
special nuclear material, or who transports, or delivers to a carrier 
for transport, a formula quantity of strategic special nuclear material 
or more than 100 grams of irradiated reactor fuel shall ensure that 
physical security, safeguards contingency, and guard qualification and 
training plans and other related Safeguards Information are protected 
against unauthorized disclosure in accordance with the requirements of 
Sec. 73.21 of this chapter.
    (k) No person may commence operation of a uranium enrichment 
facility until the Commission verifies through inspection that the 
facility has been constructed in accordance with the requirements of the 
license. The Commission shall publish notice of the inspection results 
in the Federal Register.

[21 FR 764, Feb. 3, 1956]

    Editorial Note: For Federal Register citations affecting Sec. 70.32, 
see the List of CFR Sections Affected, which appears in the Finding Aids 
section of the printed volume and on GPO Access.



Sec. 70.33  Renewal of licenses.

    (a) Applications for renewal of a license should be filed in 
accordance with Secs. 70.21 and 70.22. Information contained in previous 
applications, statements or reports filed with the Commission under the 
license may be incorporated by reference: Provided, That such references 
are clear and specific.
    (b) If any licensee granted the extension described in 10 CFR 
70.38(a)(2) has a currently pending renewal application for that 
extended license, that application will be considered withdrawn by the 
licensee and any renewal fees paid by the licensee for that application 
will be refunded.

[21 FR 764, Feb. 3, 1956, as amended at 59 FR 36037, July 15, 1994; 61 
FR 1115, Jan. 16, 1996]



Sec. 70.34  Amendment of licenses.

    Applications for amendment of a license shall be filed in accordance 
with Sec. 70.21(a) and shall specify the respects in which the licensee 
desires his license to be amended and the grounds for such amendment.



Sec. 70.35  Commission action on applications to renew or amend.

    In considering an application by a licensee to renew or amend his 
license, the Commission will apply the criteria set forth in Sec. 70.23.



Sec. 70.36  Inalienability of licenses.

    No license granted under the regulations in this part and no right 
to possess or utilize special nuclear material granted by any license 
issued pursuant to the regulations in this part shall be transferred, 
assigned or in any manner disposed of, either voluntarily or 
involuntarily, directly or indirectly, through transfer of control of 
any license to any person unless the Commission shall after securing 
full information, find that the transfer is in accordance with the 
provisions of the Act, and shall give its consent in writing.

[21 FR 764, Feb. 3, 1956, as amended at 35 FR 11461, July 17, 1970]



Sec. 70.37  Disclaimer of warranties.

    Neither the Government nor the Commission makes any warranty or 
other representation that special nuclear material (a) will not result 
in injury or damage when used for purposes approved by the Commission, 
(b) will accomplish the results for which it is requested and approved 
by the Commission, or (c) is safe for any other use.



Sec. 70.38  Expiration and termination of licenses and decommissioning of sites and separate buildings or outdoor areas.

    (a)(1) Except as provided in paragraph (a)(2) of this section, each 
specific license expires at the end of the day on the expiration date 
stated in the license unless the licensee has filed an application for 
renewal under Sec. 70.33 not less than 30 days before the expiration 
date stated in the existing license (or, for those licenses subject to 
paragraph (a)(2) of this section, 30 days before the deemed expiration 
date in that paragraph). If an application for renewal has been filed at 
least 30 days before the expiration date stated in the existing license 
(or, for those licenses

[[Page 216]]

subject to paragraph (a)(2) of this section, 30 days before the deemed 
expiration date in that paragraph), the existing license expires at the 
end of the day on which the Commission makes a final determination to 
deny the renewal application or, if the determination states an 
expiration date, the expiration date stated in the determination.
    (2) Each specific license that has an expiration date after July 1, 
1995, and is not one of the licenses described in paragraph (a)(3) of 
this section, shall be deemed to have an expiration date that is five 
years after the expiration date stated in the current license.
    (3) The following specific licenses are not subject to, nor 
otherwise affected by, the provisions of paragraph (a)(2) of this 
section:
    (i) Specific licenses for which, on February 15, 1996, an evaluation 
or an emergency plan is required in accordance with Sec. 70.22(i);
    (ii) Specific licenses whose holders are subject to the financial 
assurance requirements specified in 10 CFR 70.25, and on February 15, 
1996, the holders either:
    (A) Have not submitted a decommissioning funding plan or 
certification of financial assurance for decommissioning; or
    (B) Have not received written notice that the decommissioning 
funding plan or certification of financial assurance for decommissioning 
is acceptable;
    (iii) Specific licenses whose holders are listed in the SDMP List 
published in NUREG 1444, Supplement 1 (November 1995);
    (iv) Specific licenses whose issuance, amendment or renewal, as of 
February 15, 1996, is not a categorical exclusion under 10 CFR 
51.22(c)(14) and, therefore, need an environmental assessment or 
environmental impact statement pursuant to subpart A of part 51 of this 
chapter;
    (v) Specific licenses whose holders have not had at least one NRC 
inspection of licensed activities before February 15, 1996;
    (vi) Specific licenses whose holders, as the result of the most 
recent NRC inspection of licensed activities conducted before February 
15, 1996, have been:
    (A) Cited for a Severity Level I, II, or III violation in a Notice 
of Violation:
    (B) Subject to an Order issued by the NRC; or
    (C) Subject to a CAL issued by the NRC.
    (vii) Specific licenses with expiration dates before July 1, 1995, 
for which the holders have submitted applications for renewal under 10 
CFR 70.33 of this part.
    (viii) Specific licenses issued pursuant to 10 CFR 70.31 that, as of 
February 15, 1996, are also subject to the requirements in Sec. 70.24.
    (b) Each specific license revoked by the Commission expires at the 
end of the day on the date of the Commission's final determination to 
revoke the license, or on the expiration date stated in the 
determination, or as otherwise provided by Commission Order.
    (c) Each specific license continues in effect, beyond the expiration 
date if necessary, with respect to possession of special nuclear 
material until the Commission notifies the licensee in writing that the 
license is terminated. During this time, the licensee shall--
    (1) Limit actions involving special nuclear material to those 
related to decommissioning; and
    (2) Continue to control entry to restricted areas until they are 
suitable for release in accordance with NRC requirements.
    (d) Within 60 days of the occurrence of any of the following, 
consistent with the administrative directions in Sec. 70.5, each 
licensee shall provide notification to the NRC in writing and either 
begin decommissioning its site, or any separate building or outdoor area 
that contains residual radioactivity, so that the building or outdoor 
area is suitable for release in accordance with NRC requirements, or 
submit within 12 months of notification a decommissioning plan, if 
required by paragraph (g)(1) of this section, and begin decommissioning 
upon approval of that plan if--
    (1) The license has expired pursuant to paragraph (a) or (b) of this 
section; or
    (2) The licensee has decided to permanently cease principal 
activities, as defined in this part, at the entire site

[[Page 217]]

or in any separate building or outdoor area; or
    (3) No principal activities under the license have been conducted 
for a period of 24 months; or
    (4) No principal activities have been conducted for a period of 24 
months in any separate building or outdoor area that contains residual 
radioactivity such that the building or outdoor area is unsuitable for 
release in accordance with NRC requirements.
    (e) Coincident with the notification required by paragraph (d) of 
this section, the licensee shall maintain in effect all decommissioning 
financial assurances established by the licensee pursuant to Sec. 30.35 
in conjunction with a license issuance or renewal or as required by this 
section. The amount of the financial assurance must be increased, or may 
be decreased, as appropriate, to cover the detailed cost estimate for 
decommissioning established pursuant to paragraph (g)(4)(v) of this 
section.
    (1) Any licensee who has not provided financial assurance to cover 
the detailed cost estimate submitted with the decommissioning plan shall 
do so when this rule becomes effective November 24, 1995.
    (2) Following approval of the decommissioning plan, a licensee may 
reduce the amount of the financial assurance as decommissioning proceeds 
and radiological contamination is reduced at the site with the approval 
of the Commission.
    (f) The Commission may grant a request to delay or postpone 
initiation of the decommissioning process if the Commission determines 
that this relief is not detrimental to the public health and safety and 
is otherwise in the public interest. The request must be submitted no 
later than 30 days before notification pursuant to paragraph (d) of this 
section. The schedule for decommissioning set forth in paragraph (d) of 
this section may not commence until the Commission has made a 
determination on the request.
    (g)(1) A decommissioning plan must be submitted if required by 
license condition or if the procedures and activities necessary to carry 
out decommissioning of the site or separate building or outdoor area 
have not been previously approved by the Commission and these procedures 
could increase potential health and safety impacts to workers or to the 
public, such as in any of the following cases:
    (i) Procedures would involve techniques not applied routinely during 
cleanup or maintenance operations;
    (ii) Workers would be entering areas not normally occupied where 
surface contamination and radiation levels are significantly higher than 
routinely encountered during operation;
    (iii) Procedures could result in significantly greater airborne 
concentrations of radioactive materials than are present during 
operation; or
    (iv) Procedures could result in significantly greater releases of 
radioactive material to the environment than those associated with 
operation.
    (2) The Commission may approve an alternate schedule for submittal 
of a decommissioning plan required pursuant to paragraph (d) of this 
section if the Commission determines that the alternative schedule is 
necessary to the effective conduct of decommissioning operations and 
presents no undue risk from radiation to the public health and safety 
and is otherwise in the public interest.
    (3) The procedures listed in paragraph (g)(1) of this section may 
not be carried out prior to approval of the decommissioning plan.
    (4) The proposed decommissioning plan for the site or separate 
building or outdoor area must include:
    (i) A description of the conditions of the site or separate building 
or outdoor area sufficient to evaluate the acceptability of the plan;
    (ii) A description of planned decommissioning activities;
    (iii) A description of methods used to ensure protection of workers 
and the environment against radiation hazards during decommissioning;
    (iv) A description of the planned final radiation survey; and
    (v) An updated detailed cost estimate for decommissioning, 
comparison of that estimate with present funds set aside for 
decommissioning, and a plan for assuring the availability of adequate 
funds for completion of decommissioning.

[[Page 218]]

    (vi) A description of the physical security plan and material 
control and accounting plan provisions in place during decommissioning.
    (vii) For decommissioning plans calling for completion of 
decommissioning later than 24 months after plan approval, a 
justification for the delay based on the criteria in paragraph (i) of 
this section.
    (5) The proposed decommissioning plan will be approved by the 
Commission if the information therein demonstrates that the 
decommissioning will be completed as soon as practical and that the 
health and safety of workers and the public will be adequately 
protected.
    (h)(1) Except as provided in paragraph (i) of this section, 
licensees shall complete decommissioning of the site or separate 
building or outdoor area as soon as practicable but no later than 24 
months following the initiation of decommissioning.
    (2) Except as provided in paragraph (i) of this section, when 
decommissioning involves the entire site, the licensee shall request 
license termination as soon as practicable but no later than 24 months 
following the initiation of decommissioning.
    (i) The Commission may approve a request for an alternate schedule 
for completion of decommissioning of the site or separate building or 
outdoor area, and license termination if appropriate, if the Commission 
determines that the alternative is warranted by consideration of the 
following:
    (1) Whether it is technically feasible to complete decommissioning 
within the allotted 24-month period;
    (2) Whether sufficient waste disposal capacity is available to allow 
completion of decommissioning within the allotted 24-month period;
    (3) Whether a significant volume reduction in wastes requiring 
disposal will be achieved by allowing short-lived radionuclides to 
decay;
    (4) Whether a significant reduction in radiation exposure to workers 
can be achieved by allowing short-lived radionuclides to decay; and
    (5) Other site-specific factors which the Commission may consider 
appropriate on a case-by-case basis, such as regulatory requirements of 
other government agencies, lawsuits, ground-water treatment activities, 
monitored natural ground-water restoration, actions that could result in 
more environmental harm than deferred cleanup, and other factors beyond 
the control of the licensee.
    (j) As the final step in decommissioning, the licensee shall--
    (1) Certify the disposition of all licensed material, including 
accumulated wastes, by submitting a completed NRC Form 314 or equivalent 
information; and
    (2) Conduct a radiation survey of the premises where the licensed 
activities were carried out and submit a report of the results of this 
survey, unless the licensee demonstrates in some other manner that the 
premises are suitable for release in accordance with the criteria for 
decommissioning in 10 CFR part 20, subpart E. The licensee shall, as 
appropriate--
    (i) Report levels of gamma radiation in units of millisieverts 
(microroentgen) per hour at one meter from surfaces, and report levels 
of radioactivity, including alpha and beta, in units of megabecquerels 
(disintegrations per minute or microcuries) per 100 square centimeters 
removable and fixed for surfaces, megabecquerels (microcuries) per 
milliliter for water, and becquerels (picocuries) per gram for solids 
such as soils or concrete; and
    (ii) Specify the survey instrument(s) used and certify that each 
instrument is properly calibrated and tested.
    (k) Specific licenses, including expired licenses, will be 
terminated by written notice to the licensee when the Commission 
determines that:
    (1) Special nuclear material has been properly disposed;
    (2) Reasonable effort has been made to eliminate residual 
radioactive contamination, if present; and
    (3)(i) A radiation survey has been performed which demonstrates that 
the premises are suitable for release in accordance with the criteria 
for decommissioning in 10 CFR part 20, subpart E; or
    (ii) Other information submitted by the licensee is sufficient to 
demonstrate that the premises are suitable

[[Page 219]]

for release in accordance with the criteria for decommissioning in 10 
CFR part 20, subpart E.
    (4) Records required by Sec. 70.51(b)(6) have been received.

[59 FR 36037, July 15, 1994, as amended at 60 FR 38240, July 26, 1995; 
61 FR 1115, Jan. 16, 1996; 61 FR 24675, May 16, 1996; 61 FR 29637, 
29638, June 12, 1996; 62 FR 39091, July 21, 1997]



Sec. 70.39  Specific licenses for the manufacture or initial transfer of calibration or reference sources.

    (a) An application for a specific license to manufacture or 
initially transfer calibration or reference sources containing 
plutonium, for distribution to persons generally licensed under 
Sec. 70.19, will be approved if:
    (1) The applicant satisfies the general requirements of Sec. 70.23.
    (2) The applicant submits sufficient information regarding each type 
of calibration or reference source pertinent to evaluation of the 
potential radiation exposure, including:
    (i) Chemical and physical form and maximum quantity of plutonium in 
the source;
    (ii) Details of construction and design;
    (iii) Details of the method of incorporation and binding of the 
plutonium in the source;
    (iv) Procedures for and results of prototype testing of sources, 
which are designed to contain more than 0.005 microcurie of plutonium, 
to demonstrate that the plutonium contained in each source will not be 
released or be removed from the source under normal conditions of use;
    (v) Details of quality control procedures to be followed in 
manufacture of the source;
    (vi) Description of labeling to be affixed to the source or the 
storage container for the source;
    (vii) Any additional information, including experimental studies and 
tests, required by the Commission to facilitate a determination of the 
safety of the source.
    (3) Each source will contain no more than 5 microcuries of 
plutonium.
    (4) The Commission determines, with respect to any type of source 
containing more than 0.005 microcurie of plutonium, that:
    (i) The method of incorporation and binding of the plutonium in the 
source is such that the plutonium will not be released or be removed 
from the source under normal conditions of use and handling of the 
source; and
    (ii) The source has been subjected to and has satisfactorily passed 
the prototype tests prescribed by paragraph (a)(5) of this section.
    (5) For any type of source which is designed to contain more than 
0.005 microcurie of plutonium, the applicant has conducted prototype 
tests, in the order listed, on each of five prototypes of such source, 
which contains more than 0.005 microcurie of plutonium, as follows:
    (i) Initial measurement. The quantity of radioactive material 
deposited on the source shall be measured by direct counting of the 
source.
    (ii) Dry wipe test. The entire radioactive surface of the source 
shall be wiped with filter paper with the application of moderate finger 
pressure. Removal of radioactive material from the source shall be 
determined by measuring the radioactivity on the filter paper or by 
direct measurement of the radioactivity on the source following the dry 
wipe.
    (iii) Wet wipe test. The entire radioactive surface of the source 
shall be wiped with filter paper, moistened with water, with the 
application of moderate finger pressure. Removal of radioactive material 
from the source shall be determined by measuring the radioactivity on 
the filter paper after it has dried or by direct measurement of the 
radioactivity on the source following the wet wipe.
    (iv) Water soak test. The source shall be immersed in water at room 
temperature for a period of 24 consecutive hours. The source shall then 
be removed from the water. Removal of radioactive material from the 
source shall be determined by direct measurement of the radioactivity on 
the source after it has dried or by measuring the radioactivity in the 
residue obtained by evaporation of the water in which the source was 
immersed.
    (v) Dry wipe test. On completion of the preceding tests in 
paragraphs (a)(5)(i) through (iv) of this section, the dry wipe test 
described in paragraph

[[Page 220]]

(a)(5)(ii) of this section shall be repeated.
    (vi) Observations. Removal of more than 0.005 microcurie of 
radioactivity in any test prescribed by this paragraph shall be cause 
for rejection of the source design. Results of prototype tests submitted 
to the Commission shall be given in terms of radioactivity in 
microcuries and percent of removal from the total amount of radioactive 
material deposited on the source.
    (b) Each person licensed under this section shall affix to each 
source, or storage container for the source, a label which shall contain 
sufficient information relative to safe use and storage of the source 
and shall include the following statement or a substantially similar 
statement which contains the information called for in the following 
statement. \1\
---------------------------------------------------------------------------

    \1\ Sources generally licensed under this section prior to January 
19, 1975 may bear labels authorized by the regulations in effect on 
January 1, 1975.

    The receipt, possession, use and transfer of this source, Model 
______, Serial No. ______, are subject to a general license and the 
regulations of the United States Nuclear Regulatory Commission or of a 
State with which the Commission has entered into an agreement for the 
exercise of regulatory authority. Do not remove this label.
    caution--radioactive material--this source contains plutonium. do 
          not touch radioactive portion of this source.

              (Name of Manufacturer or Initial Transferor)

    (c) Each person licensed under this section shall perform a dry wipe 
test upon each source containing more than 0.1 microcurie of plutonium 
prior to transferring the source to a general licensee under Sec. 70.19. 
This test shall be performed by wiping the entire radioactive surface of 
the source with a filter paper with the application of moderate finger 
pressure. The radioactivity on the paper shall be measured by using 
radiation detection instrumentation capable of detecting 0.005 
microcurie of plutonium. If any such test discloses more than 0.005 
microcurie of radioactive material, the source shall be deemed to be 
leaking or losing plutonium and shall not be transferred to a general 
licensee under Sec. 70.19.

[29 FR 5884, May 5, 1964, as amended at 32 FR 2563, Feb. 7, 1967; 38 FR 
1272, Jan. 11, 1973; 40 FR 8792, Mar. 3, 1975; 42 FR 43966, Sept. 1, 
1977; 43 FR 6925, Feb. 17, 1978]



Sec. 70.40  Ineligibility of certain applicants.

    A license may not be issued to the Corporation if the Commission 
determines that:
    (a) The Corporation is owned, controlled, or dominated by an alien, 
a foreign corporation, or a foreign government; or
    (b) The issuance of such a license would be inimical to--
    (1) The common defense and security of the United States; or
    (2) The maintenance of a reliable and economical domestic source of 
enrichment services.

[62 FR 6669, Feb. 12, 1997]



 Subpart F--Acquisition, Use and Transfer of Special Nuclear Material, 
                            Creditors' Rights



Sec. 70.41  Authorized use of special nuclear material.

    (a) Each licensee shall confine his possession and use of special 
nuclear material to the locations and purposes authorized in his 
license. Except as otherwise provided in the license, each license 
issued pursuant to the regulations in this part shall carry with it the 
right to receive title to, own, acquire, receive, possess and use 
special nuclear material. Preparation for shipment and transport of 
special nuclear material shall be in accordance with the provisions of 
part 71 of this chapter.
    (b) The possession, use and transfer of any special nuclear material 
produced by a licensee, in connection with or as a result of use of 
special nuclear material received under his license, shall be subject to 
the provisions of the license and the regulations in this part.

[21 FR 764, Feb. 3, 1956, as amended at 38 FR 33970, Dec. 10, 1973; 43 
FR 6925, Feb. 17, 1978]

[[Page 221]]



Sec. 70.42  Transfer of special nuclear material.

    (a) No licensee shall transfer special nuclear material except as 
authorized pursuant to this section.
    (b) Except as otherwise provided in his license and subject to the 
provisions of paragraphs (c) and (d) of this section, any licensee may 
transfer special nuclear material:
    (1) To the Department;
    (2) To the agency in any Agreement State which regulates radioactive 
materials pursuant to an agreement with the Commission or the Atomic 
Energy Commission under section 274 of the Act, if the quantity 
transferred is not sufficient to form a critical mass;
    (3) To any person exempt from the licensing requirements of the Act 
and regulations in this part, to the extent permitted under such 
exemption;
    (4) To any person in an Agreement State, subject to the jurisdiction 
of that State, who has been exempted from the licensing requirements and 
regulations of that State, to the extent permitted under such exemption;
    (5) To any person authorized to receive such special nuclear 
material under terms of a specific license or a general license or their 
equivalents issued by the Commission or an Agreement State;
    (6) To any person abroad pursuant to an export license issued under 
part 110 of this chapter; or
    (7) As otherwise authorized by the Commission in writing.
    (c) Before transferring special nuclear material to a specific 
licensee of the Commission or an Agreement State or to a general 
licensee who is required to register with the Commission or with an 
Agreement State prior to receipt of the special nuclear material, the 
licensee transferring the material shall verify that the transferee's 
license authorizes receipt of the type, form, and quantity of special 
nuclear material to be transferred.
    (d) The following methods for the verification required by paragraph 
(c) of this section are acceptable:
    (1) The transferor may have in his or her possession, and read, a 
current copy of the transferee's specific license or registration 
certificate. The transferor shall retain a copy of each license or 
certificate for three years from the date that it was obtained.
    (2) The transferor may have in its possession a written 
certification by the transferee that the transferee is authorized by 
license or registration certificate to receive the type, form, and 
quantity of special nuclear material to be transferred, specifying the 
license or registration certificate number, issuing agency, and 
expiration date. The transferor shall retain the written certification 
as a record for three years from the date of receipt of the 
certification;
    (3) For emergency shipments the transferor may accept oral 
certification by the transferee that he or she is authorized by license 
or registration certification to receive the type, form, and quantity of 
special nuclear material to be transferred, specifying the license or 
registration certificate number, issuing agency, and expiration date, 
provided that the oral certification is confirmed in writing within ten 
days. The transferor shall retain the written confirmation of the oral 
certification for three years from the date of receipt of the 
confirmation;
    (4) The transferor may obtain other sources of information compiled 
by a reporting service from official records of the Commission or the 
licensing agency of an Agreement State as to the identity of licensees 
and the scope and expiration dates of licenses and registrations. The 
transferor shall retain the compilation of information as a record for 
three years from the date that it was obtained; or
    (5) When none of the methods of verification described in paragraphs 
(d) (1) to (4) of this section are readily available or when a 
transferor desires to verify that information received by one of these 
methods is correct or up-to-date, the transferor may obtain and record 
confirmation from the Commission or the licensing agency of an Agreement 
State that the transferee is licensed to receive the special nuclear 
material. The transferor shall retain the record of confirmation for 
three years from the date the record is made.

[38 FR 33970, Dec. 10, 1973, as amended at 40 FR 8792, Mar. 3, 1975; 43 
FR 6925, Feb. 21, 1978; 53 FR 19253, May 27, 1988]

[[Page 222]]



Sec. 70.44  Creditor regulations.

    (a) Pursuant to section 184 of the Act, the Commission consents, 
without individual application, to the creation of any mortgage, pledge, 
or other lien upon any special nuclear material, not owned by the United 
States, which is subject to licensing: Provided:
    (1) That the rights of any creditor so secured may be exercised only 
in compliance with and subject to the same requirements and restrictions 
as would apply to the licensee pursuant to the provisions of the 
license, the Atomic Energy Act of 1954, as amended, and regulations 
issued by the Commission pursuant to said Act; and
    (2) That no creditor so secured may take possession of the special 
nuclear material pursuant to the provisions of this section prior to 
either the issuance of a license by the Commission authorizing such 
possession or the transfer of a license pursuant to Sec. 70.36.
    (b) Nothing contained in this section shall be deemed to affect the 
means of acquiring, or the priority of, any tax lien or other lien 
provided by law.
    (c) As used in this section, creditor includes, without implied 
limitation, the trustee under any mortgage, pledge, or lien on special 
nuclear material made to secure any creditor, any trustee or receiver of 
the special nuclear material appointed by a court of competent 
jurisdiction in any action brought for the benefit of any creditor 
secured by such mortgage, pledge, or lien, any purchaser of such special 
nuclear material at the sale thereof upon foreclosure of such mortgage, 
pledge, or lien or upon exercise of any power of sale contained therein, 
or any assignee of any such purchaser.

[32 FR 2563, Feb. 7, 1967, as amended at 35 FR 11461, July 17, 1970]



   Subpart G--Special Nuclear Material Control, Records, Reports and 
                               Inspections



Sec. 70.50  Reporting requirements.

    (a) Immediate report. Each licensee shall notify the NRC as soon as 
possible but not later than 4 hours after the discovery of an event that 
prevents immediate protective actions necessary to avoid exposures to 
radiation or radioactive materials that could exceed regulatory limits 
or releases of licensed material that could exceed regulatory limits 
(events may include fires, explosions, toxic gas releases, etc.).
    (b) Twenty-four hour report. Each licensee shall notify the NRC 
within 24 hours after the discovery of any of the following events 
involving licensed material:
    (1) An unplanned contamination event that:
    (i) Requires access to the contaminated area, by workers or the 
public, to be restricted for more than 24 hours by imposing additional 
radiological controls or by prohibiting entry into the area;
    (ii) Involves a quantity of material greater than five times the 
lowest annual limit on intake specified in Appendix B of Secs. 20.1001-
20.2401 of 10 CFR part 20 for the material; and
    (iii) Has access to the area restricted for a reason other than to 
allow isotopes with a half-life of less than 24 hours to decay prior to 
decontamination.
    (2) An event in which equipment is disabled or fails to function as 
designed when:
    (i) The equipment is required by regulation or licensee condition to 
prevent releases exceeding regulatory limits, to prevent exposures to 
radiation and radioactive materials exceeding regulatory limits, or to 
mitigate the consequences of an accident;
    (ii) The equipment is required to be available and operable when it 
is disabled or fails to function; and
    (iii) No redundant equipment is available and operable to perform 
the required safety function.
    (3) An event that requires unplanned medical treatment at a medical 
facility of an individual with spreadable radioactive contamination on 
the individual's clothing or body.
    (4) An unplanned fire or explosion damaging any licensed material or 
any device, container, or equipment containing licensed material when:
    (i) The quantity of material involved is greater than five times the 
lowest annual limit on intake specified in appendix B of Secs. 20.1001-
20.2401 of 10 CFR part 20 for the material; and

[[Page 223]]

    (ii) The damage affects the integrity of the licensed material or 
its container.
    (c) Preparation and submission of reports. Reports made by licensees 
in response to the requirements of this section must be made as follows:
    (1) Licensees shall make reports required by paragraphs (a) and (b) 
of this section, and by Sec. 70.74 and Appendix A of this part, if 
applicable, by telephone to the NRC Operations Center.\1\ To the extent 
that the information is available at the time of notification, the 
information provided in these reports must include:
---------------------------------------------------------------------------

    \1\ The commercial telephone number for the NRC Operations Center is 
(301) 816-5100.
---------------------------------------------------------------------------

    (i) Caller's name, position title, and call-back telephone number;
    (ii) Date, time, and exact location of the event;
    (iii) Description of the event, including:
    (A) Radiological or chemical hazards involved, including isotopes, 
quantities, and chemical and physical form of any material released;
    (B) Actual or potential health and safety consequences to the 
workers, the public, and the environment, including relevant chemical 
and radiation data for actual personnel exposures to radiation or 
radioactive materials or hazardous chemicals produced from licensed 
materials (e.g., level of radiation exposure, concentration of 
chemicals, and duration of exposure);
    (C) The sequence of occurrences leading to the event, including 
degradation or failure of structures, systems, equipment, components, 
and activities of personnel relied on to prevent potential accidents or 
mitigate their consequences; and
    (D) Whether the remaining structures, systems, equipment, 
components, and activities of personnel relied on to prevent potential 
accidents or mitigate their consequences are available and reliable to 
perform their function;
    (iv) External conditions affecting the event;
    (v) Additional actions taken by the licensee in response to the 
event;
    (vi) Status of the event (e.g., whether the event is on-going or was 
terminated);
    (vii) Current and planned site status, including any declared 
emergency class;
    (viii) Notifications, related to the event, that were made or are 
planned to any local, State, or other Federal agencies;
    (ix) Status of any press releases, related to the event, that were 
made or are planned.
    (2) Written report. Each licensee that makes a report required by 
paragraph (a) or (b) of this section, or by Sec. 70.74 and Appendix A of 
this part, if applicable, shall submit a written follow-up report within 
30 days of the initial report. Written reports prepared pursuant to 
other regulations may be submitted to fulfill this requirement if the 
report contains all the necessary information, and the appropriate 
distribution is made. These written reports must be sent to the U.S. 
Nuclear Regulatory Commission, Document Control Desk, Washington, DC 
20555, with a copy to the appropriate NRC regional office listed in 
Appendix D of 10 CFR Part 20. The reports must include the following:
    (i) Complete applicable information required by Sec. 70.50(c)(1);
    (ii) The probable cause of the event, including all factors that 
contributed to the event and the manufacturer and model number (if 
applicable) of any equipment that failed or malfunctioned;
    (iii) Corrective actions taken or planned to prevent occurrence of 
similar or identical events in the future and the results of any 
evaluations or assessments; and
    (iv) For licensees subject to Subpart H of this part, whether the 
event was identified and evaluated in the Integrated Safety Analysis.
    (d) The provisions of Sec. 70.50 do not apply to licensees subject 
to Sec. 50.72. They do apply to those Part 50 licensees possessing 
material licensed under Part 70 that are not subject to the notification 
requirements in Sec. 50.72.

[56 FR 40769, Aug. 16, 1991; 56 FR 64980, Dec. 13, 1991, as amended at 
59 FR 14087, Mar. 25, 1994; 65 FR 56226, Sept. 18, 2000]

[[Page 224]]



Sec. 70.51  Material balance, inventory, and records requirements.

    (a) As used in this section:
    (1) Additions to material in process means receipts that are opened 
except for receipts opened only for sampling and subsequently maintained 
under tamper-safing, and opened sealed sources.
    (2) Enrichment category for uranium-235 means high-enriched 
uranium--that uranium whose isotope content is 20 percent or more 
uranium-235 by weight, and low-enriched uranium--that uranium whose 
isotope content is less than 20 percent uranium-235 by weight.
    (3) Element means uranium or plutonium.
    (4) Fissile isotope means (i) uranium-233 or (ii) uranium-235 by 
enrichment category.
    (5) Limit of error means the uncertainty component used in 
constructing a 95 percent confidence interval associated with a quantity 
after any recognized bias has been eliminated or its effect accounted 
for.
    (6) Material balance means a determination of material unaccounted 
for (MUF) by subtracting ending inventory (EI) plus removals (R) from 
beginning inventory (BI) plus additions to inventory (A). 
Mathematically,

                              MUF=BI+A-EI-R

    (7) Material in process means any special nuclear material possessed 
by the licensee except in unopened receipts, sealed sources, and 
ultimate product maintained under tamper-safing.
    (8) Physical inventory means determination on a measured basis of 
the quantity of special nuclear material on hand at a given time. The 
methods of physical inventory and associated measurements will vary 
depending on the material to be inventoried and the process involved. 
\1\
---------------------------------------------------------------------------

    \1\ Criteria for physical inventories are set out in paragraph (f) 
of this section.
---------------------------------------------------------------------------

    (9) Removals from material in process includes measured quantities 
of special nuclear material disposed of as discards, encapsulated as a 
sealed source, or in other ultimate product placed under tamper-safing 
or shipped offsite.
    (10) Tamper-safing means the use of devices on containers or vaults 
in a manner and at a time that ensures a clear indication of any 
violation of the integrity of previously made measurements of special 
nuclear material within the container or vault.
    (11) Ultimate product means any special nuclear material in the form 
of a product that would not be further processed at that licensed 
location.
    (12) Unopened receipts means receipts not opened by the licensee, 
including receipts of sealed sources, and receipts opened only for 
sampling and subsequently maintained under tamper-safing.
    (b) Licensees subject to the recordkeeping requirements of 
Secs. 74.31, 74.33 and 74.59 of this chapter are exempt from the 
requirements of Sec. 70.51(b) (1) through (5). Otherwise:
    (1) Each licensee shall keep records showing the receipt, inventory 
(including location), disposal, acquisition, and transfer of all special 
nuclear material in his possession regardless of its origin or method of 
acquisition.
    (2) Each record that is required by the regulations in this part or 
by license condition must be maintained and retained for the period 
specified by the appropriate regulation or license condition. If a 
retention period is not otherwise specified by regulation or license 
condition, the licensee shall retain the record until the Commission 
terminates each license that authorizes the activity that is subject to 
the recordkeeping requirement.
    (3) Each record of receipt, acquisition, or physical inventory of 
special nuclear material that must be maintained pursuant to paragraph 
(b)(1) of this section must be retained as long as the licensee retains 
possession of the material and for three years following transfer of 
such material.
    (4) [Reserved]
    (5) Each record of transfer of special nuclear material to other 
persons must be retained by the licensee who transferred the material 
until the Commission terminates the license authorizing the licensee's 
possession of the material. Each record required by paragraph (e)(1)(v) 
of this section must be retained for three years after it is made.

[[Page 225]]

    (6) Prior to license termination, licensees shall forward the 
following records to the appropriate NRC Regional Office:
    (i) Records of disposal of licensed material made under Sec. 20.2002 
(including burials authorized before January 28, 1981 2), 
20.2003, 20.2004, 20.2005;
---------------------------------------------------------------------------

    \2\ A previous Sec. 20.304 permitted burial of small quantities of 
licensed materials in soil before January 28, 1981, without specific 
Commission authorization. See Sec. 20.304 contained in the 10 CFR, parts 
0 to 199, edition revised as of January 1, 1981.
---------------------------------------------------------------------------

    (ii) Records required by Sec. 20.2103(b)(4); and
    (iii) Records required by Sec. 70.25(g).
    (7) If licensed activities are transferred or assigned in accordance 
with Sec. 70.32(a)(3), the licensee shall transfer the following records 
to the new licensee and the new licensee will be responsible for 
maintaining these records until the license is terminated:
    (i) Records of disposal of licensed material made under Sec. 20.2002 
(including burials authorized before January 28, 1981 \2\), 20.2003, 
20.2004, 20.2005;
    (ii) Records required by Sec. 20.2103(b)(4); and
    (iii) Records required by Sec. 70.25(g).
    (c) Each licensee who is authorized to possess at any one time 
special nuclear material in a quantity exceeding one effective kilogram 
of special nuclear material shall establish, maintain, and follow 
written material control and accounting procedures that are sufficient 
to enable the licensee to account for the special nuclear material in 
the licensee's possession under license. The licensee shall retain these 
procedures until the Commission terminates the license that authorizes 
possession of the material and retain any superseded portion of the 
procedures for three years after the portion is superseded.
    (d) Except as required by paragraph (e) of this section, each 
licensee who is authorized to possess at any one time and location 
special nuclear material in a quantity totaling more than 350 grams of 
contained uranium-235, uranium-233, or plutonium, or any combination 
thereof, shall conduct a physical inventory of all special nuclear 
material in his possession under license at intervals not to exceed 
twelve months.
    (e) Each licensee who is authorized to possess at any one time 
special nuclear material in a quantity exceeding one effective kilogram 
of strategic special nuclear material in irradiated fuel reprocessing 
operations or special nuclear material of moderate strategic 
significance and to use such special nuclear material for activities 
other than as sealed sources or those activities involved in the 
operation of a nuclear reactor licensed pursuant to part 50 of this 
chapter or those involved in a waste disposal operation; or as reactor 
irradiated fuels involved in research, development, and evaluation 
programs in facilities other than irradiated fuel reprocessing plants, 
shall:
    (1) Maintain procedures that include items listed in paragraphs 
(e)(1) (i), (ii), (iii), (iv), (v), (vi), and (vii) of this section and 
retain each record required in these paragraphs for three years after 
the record is made.
    (i) Procedures for tamper-safing containers or vaults containing 
special nuclear material not in process, which include control of access 
to the devices and records of the date and time of application of each 
device to a container or vault; unique identification of each such item; 
inventory records showing the identity, location, and quantity of 
special nuclear material for all such items; and records of the source 
and disposition of all such items;
    (ii) Records of the quantities of special nuclear material added to 
or removed from the process;
    (iii) Inventory records for the quantity of special nuclear material 
in process;
    (iv) Unique identification of items or containers containing special 
nuclear material in process; inventory records showing the identity, 
location, and quantity of special nuclear material for all such items; 
and records of the source and disposition of all such items;
    (v) Documentation of all transfers of special nuclear material 
between material balance areas to show identity and quantity of special 
nuclear material transferred;
    (vi) Requirements for authorized signatures on each document for 
transfer of special nuclear material between material balance areas; and

[[Page 226]]

    (vii) Means for control of and accounting for internal transfer 
documents.
    (2) On or before May 6, 1974, and thereafter as necessary to comply 
with the requirements of paragraph (e)(3) of this section, perform a 
physical inventory of all special nuclear material in his possession in 
compliance with the criteria for physical inventories set forth in 
paragraph (f) of this section.
    (3) Conduct physical inventories made in accordance with the 
criteria for physical inventories set forth in paragraph (f) of this 
section at intervals determined from the start of the beginning 
inventory to the start of the ending inventory not to exceed:
    (i) 2 calendar months for plutonium except for plutonium containing 
80 percent or more by weight of the isotope Pu-238, uranium-233 and for 
uranium enriched 20 percent or more in the isotope uranium-235 (except 
as provided in paragraph (e)(3)(ii) of this section); and
    (ii) 6 calendar months for uranium enriched less than 20 percent in 
the isotope uranium-235; for plutonium, U-233 and high-enriched uranium 
in that portion of an irradiated-fuel reprocessing plant from the 
dissolver to the first vessel outside of the radiation shielded portion 
of the process; and for plutonium containing 80 percent or more by 
weight of the isotope Pu-238;
    (4) Within 30 calendar days after the start of each ending physical 
inventory required by paragraph (e)(3) of this section:
    (i) Calculate, for the material balance interval terminated by that 
inventory, the material unaccounted for (MUF) and its associated limit 
of error for each element and the fissile isotope for uranium contained 
in material in process;
    (ii) Reconcile and adjust the book record of quantity of element and 
fissile isotope, as appropriate, to the results of the physical 
inventory;
    (iii) Complete and maintain for a period of five years material 
balance records for each material balance showing the quantity of 
element and fissile isotope, as appropriate, in each component of the 
material balance, with the associated limit of error for the material 
unaccounted for both in terms of absolute quantity of element and 
fissile isotope and relative to additions to or removals from material 
in process for the interval, where results of limit of error 
calculations are recorded in sufficient detail to permit an evaluation 
of sources of error.
    (iv) Complete and maintain for a period of five years a record 
summarizing the quantities of element and fissile isotope, as 
appropriate, for ending inventory of material in process, additions to 
material in process during the material balance interval and removals 
from the material in process during the material balance interval; and
    (v) Complete and maintain for a period of five years a record 
summarizing the quantities of element and fissile isotope, as 
appropriate, in unopened receipts (including receipts opened only for 
sampling and subsequently maintained under tamper-safing), and ultimate 
products maintained under tamper-safing, or in the form of sealed 
sources;
    (5) Establish and maintain a system of control and accountability 
such that the limits of error for any material unaccounted for (MUF) 
ascertained as a result of the material balances made pursuant to 
paragraph (e)(3) of this section do not exceed (i) 200 grams of 
plutonium or uranium-233, 300 grams of high enriched uranium or uranium-
235 contained in high enriched uranium, or 9,000 grams of uranium-235 
contained in low enriched uranium, (ii) those limits specified in the 
following table, or (iii) other limits authorized by the Commission 
pursuant to paragraph (e)(6) of this section:

------------------------------------------------------------------------
                                                               Limit of
                                                               Error of
                                                              MUF on Any
                                                             Total Plant
                       Material Type                          Inprocess
                                                               Material
                                                             Balance \3\
                                                               Percent
------------------------------------------------------------------------
Plutonium element or uranium-233 in a chemical reprocessing          1.0
 plant.....................................................
Uranium element and fissile isotope in a reprocessing plant          0.7
Plutonium element, uranium-233, or high enriched uranium             0.5
 element and fissile isotope--all other....................
Low-enriched uranium element and fissile isotope--all other          0.5
------------------------------------------------------------------------
\3\ As a percentage of additions to or removals from material in
  process, whichever is greater.


[[Page 227]]


Any licensee subject to this paragraph on December 6, 1973, who requests 
higher limits pursuant to paragraph (e)(6) of this section at the time 
he submits his program description under the provisions of paragraph (g) 
of this section is hereby authorized to operate at the higher limits 
until the application for license or amendment has been finally 
determined by the Commission;
    (6) An applicant or a licensee subject to the requirements of 
paragraph (e) of this section may request limits higher than those 
specified in paragraph (e)(5) of this section. The requested higher 
limits shall be based on considerations such as the type and complexity 
of process, the number of unit operations, process throughput 
quantities, process recycle quantities, and the technology available and 
applicable to the control and accounting of the material in the process. 
The Commission will approve higher limits if the applicant demonstrates:
    (i) That he has made reasonable efforts and cannot meet the limits 
of error of MUF specified in paragraph (e)(5) of this section; and
    (ii) That he has initiated or will initiate a program to achieve 
improvements in his material control system so as to meet the limits 
specified in paragraph (e)(5) of this section.
    (f) Each licensee subject to the requirements of paragraph (e) of 
this section shall:
    (1) Establish physical inventory procedures to assure that:
    (i) The quantity of special nuclear material associated with each 
item on inventory is a measured value;
    (ii) Each item on inventory is listed and identified to assure that 
all items are listed and that no item is listed more than once;
    (iii) Cutoff procedures for transfers and processing are established 
so that all quantities are inventoried and none are inventoried more 
than once;
    (iv) Cutoff procedures for records and reports are established so 
that all transfers for the inventory and material balance interval and 
no others are included in the records; and
    (v) Upon completion of the inventory, all book and inventory 
records, both total plant and material balance area, are reconciled with 
and adjusted to the physical inventory.
    (2) Establish inventory procedures for sealed sources and containers 
or vaults containing special nuclear material that provide for:
    (i) Identification and location of all such items;
    (ii) Verification of the integrity of the tamper-safing devices for 
such items;
    (iii) Reverification of identity and quantity of contained special 
nuclear material for each item not tamper-safed, or whose tamper-safing 
is found to have been compromised;
    (iv) Verification of the correctness of the inventory records of 
identity and location for all such items; and
    (v) Documentation in compliance with the requirements of paragraphs 
(f)(2) (i), (ii), (iii), and (iv) of this section. Each record 
documenting compliance with these requirements must be retained for 
three years after it is made.
    (3) Establish inventory procedures for special nuclear material in 
process that provide for:
    (i) Measurement of all quantities not previously measured by the 
licensee for element and fissile isotope; and
    (ii) For all material whose content of element and fissile isotope 
has been previously measured by the licensee but for which the validity 
of such previously made measurements has not been assured by tamper-
safing, verification of the quantity of contained element and fissile 
isotope by remeasurement.
    (4) Conduct physical inventories according to written inventory 
instructions for each inventory which shall;
    (i) Assign inventory duties and responsibilities;
    (ii) Specify the extent to which each material balance area and 
process is to be shut down, cleaned out, and/or remain static; \4\
---------------------------------------------------------------------------

    \4\ No process shutdown and/or cleanout for inventory is required if 
requirements with respect to MUF and the limit of error of MUF as 
specified in paragraph (e)(5)(ii) of this section are met using other 
inventory methods.
---------------------------------------------------------------------------

    (iii) Identify the basis for accepting previously made measurements 
and their limits of error;

[[Page 228]]

    (iv) Designate measurements to be made for inventory purposes and 
the procedures for making such measurements; and
    (v) Identify the means by which material on inventory will be listed 
to assure that each item is inventoried and that there is no 
duplication.
    (g) Each licensee subject to the requirements of paragraph (e) of 
this section shall submit to the Atomic Energy Commission for approval 
by March 6, 1974, a full description of the program intended to be used 
to enable the licensee to comply with that paragraph and the 
requirements set forth in paragraph (f) of this section. This program 
shall be followed by the licensee after May 6, 1974.
    (h) Each licensee who determines that the requirements of paragraph 
(e) of this section will require modifications of his plant or equipment 
costing $500,000 or more may, by March 6, 1974, apply to the Atomic 
Energy Commission for an extension of time, not to exceed six additional 
months, for compliance with those requirements. Each application for 
extension shall include a description of the modifications to be made, a 
statement of estimated associated costs with substantiating evidence, 
and a schedule of the dates when the modifications will be commenced and 
completed.
    (i)(1) Records which must be maintained pursuant to this part may be 
the original or a reproduced copy or microform if such reproduced copy 
or microform is duly authenticated by authorized personnel and the 
microform is capable of producing a clear and legible copy after storage 
for the period specified by Commission regulations. The record may also 
be stored in electronic media with the capability for producing legible, 
accurate, and complete records during the required retention period. 
Records such as letters, drawings, specifications, must include all 
pertinent information such as stamps, initials, and signatures. The 
licensee shall maintain adequate safeguards against tampering with and 
loss of records.
    (2) If there is a conflict between the Commission's regulations in 
this part, license condition, or other written Commission approval or 
authorization pertaining to the retention period for the same type of 
record, the retention period specified in the regulations in this part 
for such records shall apply unless the Commission, pursuant to 
Sec. 70.14, has granted a specific exemption from the record retention 
requirements specified in the regulations in this part.

[38 FR 30544, Nov. 6, 1973, as amended at 38 FR 32784, Nov. 28, 1973; 41 
FR 18303, May 3, 1976; 43 FR 6925, Feb. 17, 1978; 50 FR 7579, Feb. 25, 
1985; 52 FR 10038, Mar. 30, 1987; 53 FR 19253, May 27, 1988; 56 FR 
55998, Oct. 31, 1991; 61 FR 24675, May 16, 1996]



Sec. 70.52  Reports of accidental criticality or loss or theft or attempted theft of special nuclear material.

    (a) Each licensee shall notify the NRC Operations Center 1 
within one hour after discovery of any case of accidental criticality or 
any loss, other than normal operating loss, of special nuclear material.
---------------------------------------------------------------------------

    1 Commercial telephone number of the NRC Operations 
Center is (301) 816-5100.
---------------------------------------------------------------------------

    (b) Each licensee who possesses one gram or more of contained 
uranium-235, uranium-233, or plutonium shall notify the NRC Operations 
Center within one hour after discovery of any loss or theft or unlawful 
diversion of special nuclear material which the licensee is licensed to 
possess or any incident in which an attempt has been made or is believed 
to have been made to commit a theft or unlawful diversion of such 
material.
    (c) This notification must be made to the NRC Operations Center via 
the Emergency Notification System if the licensee is party to that 
system. If the Emergency Notification System is inoperative or 
unavailable, the licensee shall make the required notification via 
commercial telephonic service or other dedicated telephonic system or 
any other method that will ensure that a report is received by the NRC 
Operations Center within one hour. The exemption of Sec. 73.21(g)(3) 
applies to all telephonic reports required by this section.

[[Page 229]]

    (d) Reports required under Sec. 73.71 need not be duplicated under 
the requirements of this section.

[52 FR 21657, June 9, 1987, as amended at 59 FR 14087, Mar. 25, 1994]



Sec. 70.53  Material status reports.

    (a)(1) Each licensee who is authorized to possess at any one time 
and location special nuclear material in a quantity totaling more than 
350 grams of contained uranium-235, uranium-233, or plutonium, or any 
combination thereof, shall complete and submit material balance reports 
as required by Sec. 74.13(a)(1) of this chapter.
    (2) Any licensee who is required to submit routine material status 
reports pursuant to Sec. 75.35 of this chapter shall follow the 
requirements set out in Sec. 74.13(a)(2) of this chapter.
    (b) Each licensee subject to the requirements of Sec. 70.51(e) shall 
follow the requirements set out in Secs. 74.13(b) and 74.17(b) of this 
chapter.

[50 FR 7579, Feb. 25, 1985, as amended at 52 FR 19305, May 22, 1987]



Sec. 70.54  Nuclear material transfer reports.

    (a) Each licensee who transfers and each licensee who receives 
special nuclear material shall follow the requirements set out in 
Sec. 74.15(a) and (b) of this chapter.
    (b) Any licensee who is required to submit inventory change reports 
on DOE/NRC Form-741 pursuant to Sec. 75.34 of this chapter shall follow 
the requirements set out in Sec. 74.15(c) of this chapter.

[50 FR 7579, Mar. 28, 1985]



Sec. 70.55  Inspections.

    (a) Each licensee shall afford to the Commission at all reasonable 
times opportunity to inspect special nuclear material and the premises 
and facilities wherein special nuclear material is used, produced, or 
stored.
    (b) Each licensee shall make available to the Commission for 
inspection, upon reasonable notice, records kept by the licensee 
pertaining to his receipt, possession, use, acquisition, import, export, 
or transfer of special nuclear material.
    (c)(1) In the case of fuel cycle facilities where nuclear reactor 
fuel is fabricated or processed each licensee shall upon request by the 
Director, Office of Nuclear Material Safety and Safeguards or the 
appropriate NRC Regional Administrator, provide rent-free office space 
for the exclusive use of Commission inspection personnel. Heat, air 
conditioning, light, electrical outlets and janitorial services shall be 
furnished by each licensee. The office shall be convenient to and have 
full access to the facility and, shall provide the inspector both visual 
and acoustic privacy.
    (2) For a site with a single fuel facility licensed pursuant to part 
70, the space provided shall be adequate to accommodate a full-time 
inspector, a part-time secretary and transient NRC personnel and will be 
generally commensurate with other office facilities at the site. A space 
of 250 square feet either within the site's office complex or in an 
office trailer or other on site space is suggested as a guide. For sites 
containing multiple fuel facilities, additional space may be requested 
to accommodate additional full-time inspector(s). The office space that 
is provided shall be subject to the approval of the Director, Office of 
Nuclear Material Safety and Safeguards or the appropriate NRC Regional 
Administrator. All furniture, supplies and communication equipment will 
be furnished by the Commission.
    (3) The licensee shall afford any NRC resident inspector assigned to 
that site or other NRC inspectors identified by the Director, Office of 
Nuclear Material Safety and Safeguards, as likely to inspect the 
facility, immediate unfettered access, equivalent to access provided 
regular plant employees, following proper identification and compliance 
with applicable access control measures for security, radiological 
protection, and personal safety.

[21 FR 764, Feb. 3, 1956. Redesignated at 25 FR 1607, Feb. 25, 1960, and 
25 FR 12730, Dec. 13, 1960, and amended at 32 FR 2563, Feb. 7, 1967; 44 
FR 47919, Aug. 16, 1979; 52 FR 31612, Aug. 21, 1987; 54 FR 6877, Feb. 
15, 1989; 55 FR 5979, Feb. 21, 1990]

[[Page 230]]



Sec. 70.56  Tests.

    Each licensee shall perform, or permit the Commission to perform, 
such tests as the Commission deems appropriate or necessary for the 
administration of the regulations in this part, including tests of (a) 
special nuclear material, (b) facilities wherein special nuclear 
material is utilized, produced or stored, (c) radiation detection and 
monitoring instruments, and (d) other equipment and devices used in 
connection with the production, utilization or storage of special 
nuclear material.

[21 FR 764, Feb. 3, 1956. Redesignated at 25 FR 1607, Feb. 25, 1960, and 
25 FR 12730, Dec. 13, 1960]



Sec. 70.57  Measurement control program for special nuclear materials control and accounting.

    (a) As used in this section:
    (1) Measurement includes sampling and means the determination of 
mass, volume, quantity, composition or other property of a material 
where such determinations are used for special nuclear material control 
and accounting purposes.
    (2) Measurement system means all of the apparatus, equipment, 
instruments and procedures used in performing a measurement.
    (3) Reference standard means a material, device, or instrument whose 
assigned value is known relative to national standards or nationally 
accepted measurement systems.
    (4) Traceability means the ability to relate individual measurement 
results to national standards or nationally accepted measurement systems 
through an unbroken chain of comparisons.
    (5) Random error refers to the variation encountered in all 
measurement work, characterized by the random occurrence of both 
positive and negative deviations from a mean value.
    (6) A systematic error is a constant unidirectional component of 
error that affects all members of a data set; its value can, in some 
instances, be estimated by the deviation of the mean of a measurement 
process from a reference value. A systematic error whose value has been 
determined in this manner is called a bias, whose effect can be 
corrected for.
    (7) Uncertainty is the extent to which a measurement result is in 
doubt because of the effects of random error variances and the limits of 
systematic errors associated with a measurement process, after the 
measurements result has been corrected for bias.
    (8) Calibration means the process of determining the numerical 
relationship between the observed output of a measurement system and the 
value, based upon reference standards, of the characteristics being 
measured.
    (b) In accordance with Sec. 70.58(f), each licensee who is 
authorized to possess at any one time and location strategic special 
nuclear material, or special nuclear material of moderate strategic 
significance, in a quantity exceeding one effective kilogram and to use 
such special nuclear material for activities other than those involved 
in the operation of a nuclear reactor licensed pursuant to part 50 of 
this chapter, those involved in a waste disposal operation, or as sealed 
sources, shall establish and maintain a measurement control program for 
special nuclear materials control and accounting measurements. Each 
program function must be identified and assigned in the licensee 
organization in accordance with Sec. 70.58(b)(2), and functional 
organizational relationships must be set forth in writing in accordance 
with Sec. 70.58(b)(3). The program must be described in a manual which 
contains the procedures, instructions, and forms prepared to meet the 
requirements of this paragraph, including procedures for the 
preparation, review, approval, and prompt dissemination of any program 
modifications or changes. The licensee shall retain the current program 
as a record until the Commission terminates the license authorizing 
possession of the nuclear materials. The licensee's program shall 
include the following:
    (1) The licensee shall assign responsibility for planning, 
developing, coordinating, and administering the program to an individual 
in his organization who has no direct responsibilities for the operation 
of the analytical laboratory or for the processing of material, holds a 
position at an organizational level which will permit independence of 
action and objectivity of decision and

[[Page 231]]

has authority to obtain all the information required to monitor and 
evaluate measurement quality as required by this section.
    (2) Provisions must be made for management reviews to determine the 
adequacy of the program and to assess the applicability of current 
procedures and for planned audits to verify conformance with all aspects 
of the program. These reviews and audits must be performed at intervals 
not to exceed 12 months. Audits and reviews must be performed by trained 
individuals independent of direct responsibility for the receipt, 
custody, utilization, measurement, measurement quality, and shipment of 
special nuclear material. The results of reviews and audits must be 
recorded and reported to licensee management. The licensee shall retain 
each record of a review or an audit for three years after the record is 
made.
    (3) The licensee shall ensure that any person who contracts to 
perform materials control and accounting measurement services conforms 
with applicable requirements of paragraphs (b) (4) through (8) and (10) 
through (12) of this section. Conformance must include reporting by the 
contractor of sufficient error data to allow the licensee to calculate 
bias corrections and measurement limits of error. All statistical 
studies must be reported or references in the measurement report 
submitted to the licensee, who shall have access to the contractor's 
supporting control data. The licensee shall perform reviews to determine 
the adequacy of the contractor's program and audits to verify 
conformance with all aspects of the program. Reviews and audits must be 
performed at intervals not to exceed 12 months. The results of reviews 
and audits must be documented and reported to licensee management. The 
licensee shall retain the record of the results of the licensee review 
and audit of the contractor's program for three years after the record 
is made.
    (4) In order to ensure that potential sources of sampling error are 
identified and that samples are representative, process and engineering 
tests must be performed using well characterized materials to establish 
or to verify the applicability of existing procedures for sampling 
special nuclear materials and for maintaining sample integrity during 
transport and storage. The licensee shall record the results of the 
above process and engineering tests and shall maintain those results as 
a record for as long as that sampling systems is in use and for three 
years following the last such use. The program must ensure that such 
procedures are maintained and followed, and that sampling is included in 
the procedures for estimating biases, limits for systematic errors, and 
random error variances.
    (5) The program shall include provisions for the review and 
approval, before use, of written procedures for:
    (i) Preparing or acquiring, maintaining, storing and using reference 
standards,
    (ii) Calibrating measurement systems, performing bulk measurements, 
obtaining samples, and performing compositional analyses,
    (iii) Recording, analyzing and reporting the program data and 
information, and
    (iv) Controlling measurement performance.
    (6) To ensure the adequacy of each measurement system with respect 
to process flows, sampling and measurement points, and nominal material 
compositions, engineering analyses and evaluations must be made of the 
design, installation, preoperational tests, calibration, and the 
operation of each system. These analyses and evaluations must be 
repeated whenever a significant change is made in any component of a 
system. The licensee shall record the results of these analyses and 
evaluations and retain these records for three years after the life of 
the process or equipment.
    (7) Procedures and performance criteria must be established for the 
training, qualifying, and periodic requalifying of all personnel who 
perform sampling and measurements for materials control and accounting 
purposes. The licensee shall retain as a record the results of personnel 
qualification or requalification for three years after the record is 
made.
    (8) The program must generate current data on the performance of 
measuring processes, including, as appropriate, values for bias 
corrections and their uncertainties, random error

[[Page 232]]

variances, limits for systematic errors, and other parameters needed to 
establish the uncertainty of measurements pertaining to materials 
control and accounting. The program data must reflect the current 
process and measurement condition existing at the time the control 
measurements are made. The licensee shall record this data and retain 
this record for three years after the record is made. Measurements which 
are not controlled by the program may not be used for materials control 
or for accounting purposes. The program must include:
    (i) The ongoing use of standards for calibration and control of all 
applicable measurement systems. Calibrations shall be repeated whenever 
any significant change occurs in a measurement system or when program 
data, generated by tests performed at a predetermined frequency, 
indicate a need for recalibration. Calibrations and tests shall be based 
upon reference standards.
    (ii) A system of control measurements to provide current data for 
the determination of random error behavior. On a predetermined schedule, 
the system shall include the replicate analysis of process samples, the 
replicate weight or volume measurement of bulk quantities of material, 
and the analysis of replicate process samples.
    (9) The program data generated during the current material balance 
period shall be used for the determination of the limit of error of the 
plant material balance. Measurement error data collected and used during 
immediately preceding material balance periods may be combined with 
current data provided that the measurements are in statistical control, 
i.e., when repeated samples from the portion of the measurement system 
under test behave as random samples from a stable probability 
distribution. Under such conditions, data sets may be combined provided 
that the parameter estimates based on the current set of data and the 
previous set of data are not significantly different on the basis of 
appropriate statistical tests performed at a level of significance of 
0.05.
    (10) The licensee shall evaluate with appropriate statistical 
methods all program data and information, and relevant process data used 
to establish bias corrections and their associated uncertainties, random 
error variances, limits for systematic error, and other parameters 
pertaining to special nuclear materials control and accounting 
measurements, and to control measurement performance pursuant to 
Sec. 70.58(f). Bias corrections shall be made by an appropriate 
statistical procedure.
    (11)(i) The licensee shall establish and maintain a statistical 
control system, including control charts and formal statistical 
procedures, designed to monitor the quality of each type of program 
measurement. The licensee shall retain a copy of the current statistical 
control system as a record until the Commission terminates each license 
that authorizes possession of the material that the system affects and 
shall retain copies of such system documents for previous inventory 
periods as a record for three years after they are replaced.
    (ii) Control chart limits must be established to be equivalent to 
levels of significance of 0.05 and 0.001. Whenever control data exceed 
the 0.05 control limits, the licensee shall investigate the condition 
and take corrective action in a timely manner. The licensee shall record 
the results of these investigations and actions and retain each record 
for three years after the record is made. Whenever the control data 
exceed the 0.001 control limits, the measurement system that generated 
the data must not be used for material control and accounting purposes 
until the deficiency has been corrected and the system has been brought 
into control at the 0.05 control level.
    (12) The licensee shall provide a records system in which all data, 
information, reports, and documents generated by the measurement control 
program must be retained for three years. Records must include a summary 
of the error data utilized in the limit of error calculations performed 
for each material balance period. The records system must be organized 
for efficient retrieval of program information. Each reported result 
must be

[[Page 233]]

readily relatable to the original measurement data and to all relevant 
measurement control information, including pertinent calibration data. 
Records must be available for NRC inspection.
    (c) Applicants and licensees subject to the provisions of paragraph 
(b) of this section shall submit to the Commission for approval a 
detailed plan describing the program that will be used to comply with 
said provisions. The plan submitted shall include the identification of 
those measurements to be contracted and shall describe the steps the 
licensee shall take to assure the adequacy of such procedures. 
Licensee's plans shall be submitted on or before November 11, 1975.
    (d) Licensees subject to the provisions of paragraph (b) of this 
section shall follow the plans submitted pursuant to paragraph (c) of 
this section after May 11, 1976, or thirty days after the submitted plan 
is approved by the NRC whichever is later. After May 11, 1976, an 
applicant subject to the provisions of paragraph (b) of this section 
shall immediately implement his plan, submitted pursuant to paragraph 
(c) of this section, following incorporation of said plan as a condition 
of license.

[40 FR 33652, Aug. 11, 1975, as amended at 40 FR 50704, Oct. 31, 1975; 
42 FR 25721, May 19, 1977; 53 FR 19254, May 27, 1988]



Sec. 70.58  Fundamental nuclear material controls.

    (a) Each licensee who is authorized to possess at any one time and 
location strategic special nuclear material in irradiated fuel 
reprocessing operations or special nuclear material of moderate 
strategic significance in a quantity exceeding one effective kilogram, 
and to use such special nuclear material except for sealed sources and 
those uses involved in the operation of a nuclear reactor licensed 
pursuant to part 50 of this chapter and those involved in a waste 
disposal operation, shall establish, maintain, and follow written 
material control and accounting procedures in compliance with the 
fundamental nuclear material control requirements specified in 
paragraphs (b) through (k) of this section and such other controls as 
the Commission determines to be essential for the control of and 
accounting for special nuclear material.
    (b)(1) The overall planning, coordination, and administration of the 
material control and accounting functions for special nuclear materials 
shall be vested in a single individual at an organizational level 
sufficient to assure independence of action and objectiveness of 
decisions. In manufacturing organizations, such individual shall be 
independent of individuals or units that are solely responsible for 
production functions.
    (2) Material control and accounting functions shall be identified 
and assigned in the licensee organization to provide a separation of 
functions so that the activities of one individual or organizational 
unit serve as controls over and checks of the activities of other 
individuals or organizational units.
    (3) Material control and accounting functional and organizational 
relationships must be set forth in writing in job descriptions, 
organizational directives