Dec. 26, 2000 CODE OF FEDERAL REGULATIONS 10Parts 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

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Administration

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 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

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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. 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.

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as of January 1

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as of July 1

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 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.

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 Raymond A. Mosley, Director, Office of the Federal Register. January 1, 2001. 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.

CFRORDR.FRM <LRH>10 CFR Ch. I (1-1-01 Edition)</LRH> <RRH>Nuclear Regulatory Commission</RRH> <CFRTITLE> <TITLEHD> <PRTPAGE P="1"/> <HD SOURCE="HED">Title 10—Energy</HD> <P>(This book contains parts 51 to 199) </P> </TITLEHD> <CFRTOC> <PTHD>Part</PTHD> <CHAPTI> <SUBJECT> <E T="04">Chapter I</E>—Nuclear Regulatory Commission (Continued)</SUBJECT> <PG>51</PG> </CHAPTI> </CFRTOC> </CFRTITLE> <CHAPTER> <TOC> <TOCHD> <PRTPAGE P="3"/> <HD SOURCE="HED">CHAPTER I—NUCLEAR REGULATORY COMMISSION</HD> </TOCHD> <PTHD>Part</PTHD> <PGHD>Page</PGHD> <CHAPTI> <PT>51</PT> <SUBJECT>Environmental protection regulations for domestic licensing and related regulatory functions</SUBJECT> <PG>5</PG> <PT>52</PT> <SUBJECT>Early site permits; standard design certifications; and combined licenses for nuclear power plants</SUBJECT> <PG>55</PG> <PT>53</PT> <RESERVED>[Reserved]</RESERVED> <PT>54</PT> <SUBJECT>Requirements for renewal of operating licenses for nuclear power plants</SUBJECT> <PG>95</PG> <PT>55</PT> <SUBJECT>Operators' licenses</SUBJECT> <PG>101</PG> <PT>60</PT> <SUBJECT>Disposal of high-level radioactive wastes in geologic repositories</SUBJECT> <PG>118</PG> <PT>61</PT> <SUBJECT>Licensing requirements for land disposal of radioactive waste</SUBJECT> <PG>152</PG> <PT>62</PT> <SUBJECT>Criteria and procedures for emergency access to non-federal and regional low-level waste disposal facilities</SUBJECT> <PG>179</PG> <PT>70</PT> <SUBJECT>Domestic licensing of special nuclear material</SUBJECT> <PG>187</PG> <PT>71</PT> <SUBJECT>Packaging and transportation of radioactive material</SUBJECT> <PG>246</PG> <PT>72</PT> <SUBJECT>Licensing requirements for the independent storage of spent nuclear fuel and high-level radioactive waste</SUBJECT> <PG>291</PG> <PT>73</PT> <SUBJECT>Physical protection of plants and materials</SUBJECT> <PG>346</PG> <PT>74</PT> <SUBJECT>Material control and accounting of special nuclear material</SUBJECT> <PG>422</PG> <PT>75</PT> <SUBJECT>Safeguards on nuclear material—implementation of US/IAEA agreement</SUBJECT> <PG>439</PG> <PT>76</PT> <SUBJECT>Certification of gaseous diffusion plants</SUBJECT> <PG>452</PG> <PT>81</PT> <SUBJECT>Standard specifications for the granting of patent licenses</SUBJECT> <PG>477</PG> <PT>95</PT> <SUBJECT>Facility security clearance and safeguarding of national security information and restricted data</SUBJECT> <PG>485</PG> <PT>100</PT> <SUBJECT>Reactor site criteria</SUBJECT> <PG>502</PG> <PT>110</PT> <SUBJECT>Export and import of nuclear equipment and material</SUBJECT> <PG>517<PRTPAGE P="4"/> </PG> <PT>140</PT> <SUBJECT>Financial protection requirements and indemnity agreements</SUBJECT> <PG>565</PG> <PT>150</PT> <SUBJECT>Exemptions and continued regulatory authority in Agreement States and in offshore waters under section 274</SUBJECT> <PG>641</PG> <PT>160</PT> <SUBJECT>Trespassing on Commission property</SUBJECT> <PG>652</PG> <PT>170</PT> <SUBJECT>Fees for facilities, materials, import and export licenses, and other regulatory services under the Atomic Energy Act of 1954, as amended</SUBJECT> <PG>653</PG> <PT>171</PT> <SUBJECT>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</SUBJECT> <PG>667</PG> <PT>172-199</PT> <RESERVED>[Reserved]</RESERVED> </CHAPTI> </TOC> <LRH>10 CFR Ch. I (1-1-01 Edition)</LRH> <RRH>Nuclear Regulatory Commission</RRH> <PART> <PRTPAGE P="5"/> <EAR>Pt. 51</EAR> <HD SOURCE="HED">PART 51—ENVIRONMENTAL PROTECTION REGULATIONS FOR DOMESTIC LICENSING AND RELATED REGULATORY FUNCTIONS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>51.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>51.2</SECTNO> <SUBJECT>Subparts.</SUBJECT> <SECTNO>51.3</SECTNO> <SUBJECT>Resolution of conflict.</SUBJECT> <SECTNO>51.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>51.5</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <SECTNO>51.6</SECTNO> <SUBJECT>Specific exemptions.</SUBJECT> <SUBPART> <HD SOURCE="HED">Subpart A—National Environmental Policy Act—Regulations Implementing Section 102(2)</HD> <SECTNO>51.10</SECTNO> <SUBJECT>Purpose and scope of subpart; application of regulations of Council on Environmental Quality.</SUBJECT> <SECTNO>51.11</SECTNO> <SUBJECT>Relationship to other subparts. [Reserved]</SUBJECT> <SECTNO>51.12</SECTNO> <SUBJECT>Application of subpart to ongoing environmental work.</SUBJECT> <SECTNO>51.13</SECTNO> <SUBJECT>Emergencies.</SUBJECT> <SECTNO>51.14</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>51.15</SECTNO> <SUBJECT>Time schedules.</SUBJECT> <SECTNO>51.16</SECTNO> <SUBJECT>Proprietary information.</SUBJECT> <SECTNO>51.17</SECTNO> <SUBJECT>Information collection requirements; OMB approval.</SUBJECT> <SUBJGRP> <HD SOURCE="HED">Preliminary Procedures</HD> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">classification of licensing and regulatory actions</HD> <SECTNO>51.20</SECTNO> <SUBJECT>Criteria for and identification of licensing and regulatory actions requiring environmental impact statements.</SUBJECT> <SECTNO>51.21</SECTNO> <SUBJECT>Criteria for and identification of licensing and regulatory actions requiring environmental assessments.</SUBJECT> <SECTNO>51.22</SECTNO> <SUBJECT>Criterion for categorical exclusion; identification of licensing and regulatory actions eligible for categorical exclusion or otherwise not requiring environmental review.</SUBJECT> <SECTNO>51.23</SECTNO> <SUBJECT>Temporary storage of spent fuel after cessation of reactor operation—generic determination of no significant environmental impact.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">determinations to prepare environmental impact statements, environmental assessments or findings of no significant impact, and related procedures</HD> <SECTNO>51.25</SECTNO> <SUBJECT>Determination to prepare environmental impact statement or environmental assessment; eligibility for categorical exclusion.</SUBJECT> <SECTNO>51.26</SECTNO> <SUBJECT>Requirement to publish notice of intent and conduct scoping process.</SUBJECT> <SECTNO>51.27</SECTNO> <SUBJECT>Notice of intent.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">scoping</HD> <SECTNO>51.28</SECTNO> <SUBJECT>Scoping—participants.</SUBJECT> <SECTNO>51.29</SECTNO> <SUBJECT>Scoping—environmental impact statement.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">environmental assessment</HD> <SECTNO>51.30</SECTNO> <SUBJECT>Environmental assessment.</SUBJECT> <SECTNO>51.31</SECTNO> <SUBJECT>Determinations based on environmental assessment.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">finding of no significant impact</HD> <SECTNO>51.32</SECTNO> <SUBJECT>Finding of no significant impact.</SUBJECT> <SECTNO>51.33</SECTNO> <SUBJECT>Draft finding of no significant impact; distribution.</SUBJECT> <SECTNO>51.34</SECTNO> <SUBJECT>Preparation of finding of no significant impact.</SUBJECT> <SECTNO>51.35</SECTNO> <SUBJECT>Requirement to publish finding of no significant impact; limitation on Commission action.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Environmental Reports and Information—Requirements Applicable to Applicants and Petitioners for Rulemaking</HD> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">general</HD> <SECTNO>51.40</SECTNO> <SUBJECT>Consultation with NRC staff.</SUBJECT> <SECTNO>51.41</SECTNO> <SUBJECT>Requirement to submit environmental information.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">environmental reports—general requirements</HD> <SECTNO>51.45</SECTNO> <SUBJECT>Environmental report.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">environmental reports—production and utilization facilities</HD> <SECTNO>51.50</SECTNO> <SUBJECT>Environmental report—construction permit stage.</SUBJECT> <SECTNO>51.51</SECTNO> <SUBJECT>Uranium fuel cycle environmental data—Table S-3.</SUBJECT> <SECTNO>51.52</SECTNO> <SUBJECT>Environmental effects of transportation of fuel and waste—Table S-4.</SUBJECT> <SECTNO>51.53</SECTNO> <SUBJECT>Postconstruction environmental reports.</SUBJECT> <SECTNO>51.54</SECTNO> <SUBJECT>Environmental report—manufacturing license.</SUBJECT> <SECTNO>51.55</SECTNO> <SUBJECT>Environmental report—number of copies; distribution.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">environmental reports—materials licenses</HD> <SECTNO>51.60</SECTNO> <SUBJECT>Environmental report—materials licenses.</SUBJECT> <SECTNO>51.61</SECTNO> <SUBJECT>Environmental report—independent spent fuel storage installation (ISFSI) or monitored retrievable storage installation (MRS) license.</SUBJECT> <SECTNO>51.62</SECTNO> <SUBJECT>Environmental report—land disposal of radioactive waste licensed under 10 CFR part 61.</SUBJECT> <SECTNO>51.66</SECTNO> <SUBJECT>Environmental report—number of copies; distribution.</SUBJECT> <SECTNO>51.67</SECTNO> <SUBJECT>Environmental information concerning geologic repositories.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">environmental reports—rulemaking</HD> <SECTNO>51.68</SECTNO> <SUBJECT>Environmental report—rulemaking.<PRTPAGE P="6"/> </SUBJECT> <SECTNO>51.69</SECTNO> <SUBJECT>Environmental report—number of copies.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Environmental Impact Statements</HD> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">draft environmental impact statements—general requirements</HD> <SECTNO>51.70</SECTNO> <SUBJECT>Draft environmental impact statement—general.</SUBJECT> <SECTNO>51.71</SECTNO> <SUBJECT>Draft environmental impact statement—contents.</SUBJECT> <SECTNO>51.72</SECTNO> <SUBJECT>Supplement to draft environmental impact statement.</SUBJECT> <SECTNO>51.73</SECTNO> <SUBJECT>Request for comments on draft environmental impact statement.</SUBJECT> <SECTNO>51.74</SECTNO> <SUBJECT>Distribution of draft environmental impact statement and supplement to draft environmental impact statement; news releases.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">draft environmental impact statements—production and utilization facilities</HD> <SECTNO>51.75</SECTNO> <SUBJECT>Draft environmental impact statement—construction permit.</SUBJECT> <SECTNO>51.76</SECTNO> <SUBJECT>Draft environmental impact statement—manufacturing license.</SUBJECT> <SECTNO>51.77</SECTNO> <SUBJECT>Distribution of draft environmental impact statement.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">draft environmental impact statements—materials licenses</HD> <SECTNO>51.80</SECTNO> <SUBJECT>Draft environmental impact statement—materials license.</SUBJECT> <SECTNO>51.81</SECTNO> <SUBJECT>Distribution of draft environmental impact statement.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">draft environmental impact statements—rulemaking</HD> <SECTNO>51.85</SECTNO> <SUBJECT>Draft environmental impact statement—rulemaking.</SUBJECT> <SECTNO>51.86</SECTNO> <SUBJECT>Distribution of draft environmental impact statement.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">legislative environmental impact statements—proposals for legislation</HD> <SECTNO>51.88</SECTNO> <SUBJECT>Proposals for legislation.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">final environmental impact statements—general requirements</HD> <SECTNO>51.90</SECTNO> <SUBJECT>Final environmental impact statement—general.</SUBJECT> <SECTNO>51.91</SECTNO> <SUBJECT>Final environmental impact statement—contents.</SUBJECT> <SECTNO>51.92</SECTNO> <SUBJECT>Supplement to final environmental impact statement.</SUBJECT> <SECTNO>51.93</SECTNO> <SUBJECT>Distribution of final environmental impact statement and supplement to final environmental impact statement; news releases.</SUBJECT> <SECTNO>51.94</SECTNO> <SUBJECT>Requirement to consider final environmental impact statement.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">final environmental impact statements—production and utilization facilities</HD> <SECTNO>51.95</SECTNO> <SUBJECT>Postconstruction environmental impact statements.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">final environmental impact statements—materials licenses</HD> <SECTNO>51.97</SECTNO> <SUBJECT>Final environmental impact statement—materials license.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">final environmental impact statements—rulemaking</HD> <SECTNO>51.99</SECTNO> <SUBJECT>[Reserved]</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">NEPA Procedure and Administrative Action</HD> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">general</HD> <SECTNO>51.100</SECTNO> <SUBJECT>Timing of Commission action.</SUBJECT> <SECTNO>51.101</SECTNO> <SUBJECT>Limitations on actions.</SUBJECT> <SECTNO>51.102</SECTNO> <SUBJECT>Requirement to provide a record of decision; preparation.</SUBJECT> <SECTNO>51.103</SECTNO> <SUBJECT>Record of decision—general.</SUBJECT> <SECTNO>51.104</SECTNO> <SUBJECT>NRC proceeding using public hearings; consideration of environmental impact statement.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">production and utilization facilities</HD> <SECTNO>51.105</SECTNO> <SUBJECT>Public hearings in proceedings for issuance of construction permits or licenses to manufacture.</SUBJECT> <SECTNO>51.106</SECTNO> <SUBJECT>Public hearings in proceedings for issuance of operating licenses.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">materials licenses</HD> <SECTNO>51.108</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>51.109</SECTNO> <SUBJECT>Public hearings in proceedings for issuance of materials license with respect to a geologic repository.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">rulemaking</HD> <SECTNO>51.110</SECTNO> <SUBJECT>[Reserved]</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Public Notice of and Access to Environmental Documents</HD> <SECTNO>51.116</SECTNO> <SUBJECT>Notice of intent.</SUBJECT> <SECTNO>51.117</SECTNO> <SUBJECT>Draft environmental impact statement—notice of availability.</SUBJECT> <SECTNO>51.118</SECTNO> <SUBJECT>Final environmental impact statement—notice of availability.</SUBJECT> <SECTNO>51.119</SECTNO> <SUBJECT>Publication of finding of no significant impact; distribution.</SUBJECT> <SECTNO>51.120</SECTNO> <SUBJECT>Availability of environmental documents for public inspection.</SUBJECT> <SECTNO>51.121</SECTNO> <SUBJECT>Status of NEPA actions.</SUBJECT> <SECTNO>51.122</SECTNO> <SUBJECT>List of interested organizations and groups.</SUBJECT> <SECTNO>51.123</SECTNO> <SUBJECT>Charges for environmental documents; distribution to public; distribution to governmental agencies.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Commenting</HD> <SECTNO>51.124</SECTNO> <SUBJECT>Commission duty to comment.</SUBJECT> </SUBJGRP> <SUBJGRP> <PRTPAGE P="7"/> <HD SOURCE="HED">Responsible Official</HD> <SECTNO>51.125</SECTNO> <SUBJECT>Responsible official.</SUBJECT> <APP>Appendix A to Subpart A—Format for Presentation of Material in Environmental Impact Statements</APP> <APP>Appendix B to Subpart A—Environmental Effect of Renewing the Operating License of a Nuclear Power Plant</APP> </SUBJGRP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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)).</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>49 FR 9381, Mar. 12, 1984, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 51.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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:</P> <P>(a) Section 102(2) of the National Environmental Policy Act of 1969, as amended.</P> </SECTION> <SECTION> <SECTNO>§ 51.2</SECTNO> <SUBJECT>Subparts.</SUBJECT> <P>(a) The regulations in subpart A of this part implement section 102(2) of the National Environmental Policy Act of 1969, as amended.</P> </SECTION> <SECTION> <SECTNO>§ 51.3</SECTNO> <SUBJECT>Resolution of conflict.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 51.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in this part:</P> <P> <E T="03">Act</E> means the Atomic Energy Act of 1954 (Pub. L. 83-703, 68 Stat. 919) including any amendments thereto.</P> <P> <E T="03">Commission</E> means the Nuclear Regulatory Commission or its authorized representatives.</P> <P> <E T="03">NRC</E> means the Nuclear Regulatory Commission, the agency established by Title II of the Energy Reorganization Act of 1974, as amended.</P> <P> <E T="03">NRC staff</E> 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.</P> <P> <E T="03">NRC Staff Director</E> means: </P> <EXTRACT> <P>Executive Director for Operations;</P> <P>Director, Office of Nuclear Reactor Regulation;</P> <P>Director, Office of Nuclear Material Safety and Safeguards;</P> <P>Director, Office of Nuclear Regulatory Research;</P> <P>Director, Office of Governmental and Public Affairs; and</P> <P>The designee of any NRC staff director.</P> </EXTRACT> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 51 FR 35999, Oct. 8, 1986; 52 FR 31612, Aug. 21, 1987]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.5</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 51.6</SECTNO> <SUBJECT>Specific exemptions.</SUBJECT> <P>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.</P> </SECTION> <SUBPART> <PRTPAGE P="8"/> <HD SOURCE="HED">Subpart A—National Environmental Policy Act—Regulations Implementing Section 102(2)</HD> <SECTION> <SECTNO>§ 51.10</SECTNO> <SUBJECT>Purpose and scope of subpart; application of regulations of Council on Environmental Quality.</SUBJECT> <P>(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.</P> <P>(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:</P> <P>(1) Examine any future interpretation or change to the Council's NEPA regulations;</P> <P>(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</P> <P>(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.</P> <P>(c) The regulations in this subpart <E T="51">1</E> <FTREF/> 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 <E T="03">et seq.</E> (33 U.S.C. 1251 <E T="03">et seq.</E>) 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 <E T="51">2</E> <FTREF/> into receiving waters rests by statute with the Environmental Protection Agency.</P> <FTNT> <P> <E T="51">1</E> 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 <E T="04">Federal Register</E> on December 31, 1975 (40 FR 60115) and became effective January 30, 1976.</P> </FTNT> <FTNT> <P> <E T="51">2</E> 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, . . .” <E T="03">Train</E> v. <E T="03">Colorado PIRG,</E> 426 U.S. 1 at 25.</P> </FTNT> <P>(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 <PRTPAGE P="9"/>of deviation, and notices of nonconformance.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 43578, Oct. 26, 1989; 61 FR 43408, Aug. 22, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.11</SECTNO> <RESERVED>Relationship to other subparts. [Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 51.12</SECTNO> <SUBJECT>Application of subpart to ongoing environmental work.</SUBJECT> <P>(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.</P> <P>(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.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 49 FR 24513, June 14, 1984]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.13</SECTNO> <SUBJECT>Emergencies.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 51.14</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) As used in this subpart:</P> <P> <E T="03">Categorical Exclusion</E> 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 § 51.22, and for which, therefore, neither an environmental assessment nor an environmental impact statement is required.</P> <P> <E T="03">Cooperating Agency</E> 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.</P> <P> <E T="03">Council</E> means the Council on Environmental Quality (CEQ) established by Title II of NEPA.</P> <P> <E T="03">DOE</E> means the U.S. Department of Energy or its duly authorized representatives.</P> <P> <E T="03">Environmental Assessment</E> means a concise public document for which the Commission is responsible that serves to:</P> <P>(1) Briefly provide sufficient evidence and analysis for determining whether to prepare an environmental impact statement or a finding of no significant impact.</P> <P>(2) Aid the Commission's compliance with NEPA when no environmental impact statement is necessary.</P> <P>(3) Facilitate preparation of an environmental impact statement when one is necessary.</P> <P> <E T="03">Environmental document</E> 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.</P> <P> <E T="03">Environmental Impact Statement</E> means a detailed written statement as required by section 102(2)(C) of NEPA.</P> <P> <E T="03">Environmental report</E> 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.</P> <P> <E T="03">Finding of No Significant Impact</E> means a concise public document for <PRTPAGE P="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.</P> <P> <E T="03">NEPA</E> 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, <E T="03">et seq.</E>).</P> <P> <E T="03">Notice of Intent</E> means a notice that an environmental impact statement will be prepared and considered.</P> <P> <E T="03">Uranium enrichment facility</E> means:</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 57 FR 18391, Apr. 30, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.15</SECTNO> <SUBJECT>Time schedules.</SUBJECT> <P>Consistent with the purposes of NEPA, the Administrative Procedure Act, the Commission's rules of practice in part 2 of this chapter, §§ 51.100 and 51.101, and with other essential considerations of national policy:</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 51.16</SECTNO> <SUBJECT>Proprietary information.</SUBJECT> <P>(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 § 2.790, “Public Inspections, Exemptions, Requests for Withholding,” of part 2, “Rules of Practice,” of this chapter.</P> <P>(b) Any proprietary information which a person seeks to have withheld from public disclosure shall be submitted in accordance with § 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.</P> </SECTION> <SECTION> <SECTNO>§ 51.17</SECTNO> <SUBJECT>Information collection requirements; OMB approval.</SUBJECT> <P>(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.</P> <P>(b) The approved information collection requirements in this part appear in §§ 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.</P> <CITA>[49 FR 24513, June 14, 1984, as amended at 62 FR 52188, Oct. 6, 1997]</CITA> </SECTION> <SUBJGRP> <PRTPAGE P="11"/> <HD SOURCE="HED">Preliminary Procedures</HD> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">classification of licensing and regulatory actions</HD> <SECTION> <SECTNO>§ 51.20</SECTNO> <SUBJECT>Criteria for and identification of licensing and regulatory actions requiring environmental impact statements.</SUBJECT> <P>(a) Licensing and regulatory actions requiring an environmental impact statement shall meet at least one of the following criteria:</P> <P>(1) The proposed action is a major Federal action significantly affecting the quality of the human environment.</P> <P>(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.</P> <P>(b) The following types of actions require an environmental impact statement or a supplement to an environmental impact statement:</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(5) [Reserved]</P> <P>(6) Issuance of a license to manufacture pursuant to Appendix M of part 52 of this chapter.</P> <P>(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.</P> <P>(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.</P> <P>(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).</P> <P>(10) Issuance of a license for a uranium enrichment facility.</P> <P>(11) Issuance of renewal of a license authorizing receipt and disposal of radioactive waste from other persons pursuant to part 61 of this chapter.</P> <P>(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.</P> <P>(13) Issuance of a construction authorization and license pursuant to part 60 of this chapter.</P> <P>(14) Any other action which the Commission determines is a major Commission action significantly affecting the quality of the human environment. As provided in § 51.22(b), the Commission may, in special circumstances, prepare an environmental impact statement on an action covered by a categorical exclusion.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.21</SECTNO> <SUBJECT>Criteria for and identification of licensing and regulatory actions requiring environmental assessments.</SUBJECT> <P>All licensing and regulatory actions subject to this subpart require an environmental assessment except those identified in § 51.20(b) as requiring an environmental impact statement, those identified in § 51.22(c) as categorical exclusions, and those identified in § 51.22(d) as other actions not requiring environmental review. As provided in <PRTPAGE P="12"/>§ 51.22(b), the Commission may, in special circumstances, prepare an environmental assessment on an action covered by a categorical exclusion.</P> <CITA>[54 FR 27870, July 3, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.22</SECTNO> <SUBJECT>Criterion for categorical exclusion; identification of licensing and regulatory actions eligible for categorical exclusion or otherwise not requiring environmental review.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(c) The following categories of actions are categorical exclusions:</P> <P>(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.</P> <P>(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.</P> <P>(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—</P> <P>(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;</P> <P>(ii) Recordkeeping requirements; or</P> <P>(iii) Reporting requirements; and</P> <P>(iv) Actions on petitions for rulemaking relating to these amendments.</P> <P>(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.</P> <P>(5) Procurement of general equipment and supplies.</P> <P>(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.</P> <P>(7) Personnel actions.</P> <P>(8) Issuance, amendment, or renewal of operators' licenses pursuant to part 55 of this chapter.</P> <P>(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.</P> <P>(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.</P> <P>(11) Issuance of amendments to licenses for fuel cycle plants and radioactive waste disposal sites and amendments to materials licenses identified <PRTPAGE P="13"/>in § 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.</P> <P>(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.</P> <P>(13) Approval of package designs for packages to be used for the transportation of licensed materials.</P> <P>(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:</P> <P>(i) Distribution of radioactive material and devices or products containing radioactive material to general licensees and to persons exempt from licensing.</P> <P>(ii) Distribution of radiopharma-ceuticals, generators, reagent kits and/or sealed sources to persons licensed pursuant to 10 CFR 35.18.</P> <P>(iii) Nuclear pharmacies.</P> <P>(iv) Medical and veterinary.</P> <P>(v) Use of radioactive materials for research and development and for educational purposes.</P> <P>(vi) Industrial radiography.</P> <P>(vii) Irradiators.</P> <P>(viii) Use of sealed sources and use of gauging devices, analytical instruments and other devices containing sealed sources.</P> <P>(ix) Use of uranium as shielding material in containers or devices.</P> <P>(x) Possession of radioactive material incident to performing services such as installation, maintenance, leak tests and calibration.</P> <P>(xi) Use of sealed sources and/or radioactive tracers in well-logging procedures.</P> <P>(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.</P> <P>(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.</P> <P>(xiv) Nuclear laundries.</P> <P>(xv) Possession, manufacturing, processing, shipment, testing, or other use of depleted uranium military munitions.</P> <P>(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).</P> <P>(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.</P> <P>(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.</P> <P>(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.<PRTPAGE P="14"/> </P> <P>(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.</P> <P>(19) Issuance, amendment, modification, or renewal of a certificate of compliance of gaseous diffusion enrichment facilities pursuant to 10 CFR part 76.</P> <P>(20) Decommissioning of sites where licensed operations have been limited to the use of—</P> <P>(i) Small quantities of short-lived radioactive materials; or</P> <P>(ii) Radioactive materials in sealed sources, provided there is no evidence of leakage of radioactive material from these sealed sources.</P> <P>(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.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.23</SECTNO> <SUBJECT>Temporary storage of spent fuel after cessation of reactor operation—generic determination of no significant environmental impact.</SUBJECT> <P>(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.</P> <P>(b) Accordingly, as provided in §§ 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.</P> <P>(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.</P> <CITA>[49 FR 34694, Aug. 31, 1984, as amended at 55 FR 38474, Sept. 18, 1990]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">determinations to prepare environmental impact statements, environmental assessments or findings of no significant impact, and related procedures</HD> <SECTION> <SECTNO>§ 51.25</SECTNO> <SUBJECT>Determination to prepare environmental impact statement or environmental assessment; eligibility for categorical exclusion.</SUBJECT> <P>Before taking a proposed action subject to the provisions of this subpart, the appropriate NRC staff director will <PRTPAGE P="15"/>determine on the basis of the criteria and classifications of types of actions in §§ 51.20, 51.21 and 51.22 of this subpart whether the proposed action is of the type listed in § 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.</P> </SECTION> <SECTION> <SECTNO>§ 51.26</SECTNO> <SUBJECT>Requirement to publish notice of intent and conduct scoping process.</SUBJECT> <P>(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 § 51.27, and will be published in the <E T="04">Federal Register</E> as provided in § 51.116, and an appropriate scoping process (see §§ 51.27, 51.28, and 51.29) will be conducted.</P> <P>(b) The scoping process may include a public scoping meeting.</P> <P>(c) Upon receipt of an application and accompanying environmental impact statement under § 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 § 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.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 27870, July 3, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.27</SECTNO> <SUBJECT>Notice of intent.</SUBJECT> <P>(a) The notice of intent required by § 51.26 shall:</P> <P>(1) State that an environmental impact statement will be prepared;</P> <P>(2) Describe the proposed action and, to the extent sufficient information is available, possible alternatives;</P> <P>(3) State whether the applicant or petitioner for rulemaking has filed an environmental report, and, if so, where copies are available for public inspection;</P> <P>(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</P> <P>(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.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">scoping</HD> <SECTION> <SECTNO>§ 51.28</SECTNO> <SUBJECT>Scoping—participants.</SUBJECT> <P>(a) The appropriate NRC staff director shall invite the following persons to participate in the scoping process:</P> <P>(1) The applicant or the petitioner for rulemaking;</P> <P>(2) Any person who has petitioned for leave to intervene in the proceeding or who has been admitted as a party to the proceeding;</P> <P>(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;</P> <P>(4) Affected State and local agencies, including those authorized to develop and enforce relevant environmental standards;</P> <P>(5) Any affected Indian tribe; and</P> <P>(6) Any person who has requested an opportunity to participate in the scoping process.</P> <P>(b) The appropriate NRC staff director may also invite any other appropriate person to participate in the scoping process.</P> <P>(c) Participation in the scoping process for an environmental impact statement does not entitle the participant to become a party to the proceeding to <PRTPAGE P="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.</P> </SECTION> <SECTION> <SECTNO>§ 51.29</SECTNO> <SUBJECT>Scoping—environmental impact statement.</SUBJECT> <P>(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 § 51.116, and shall be used to:</P> <P>(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.</P> <P>(2) Determine the scope of the statement and identify the significant issues to be analyzed in depth.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(6) Indicate the relationship between the timing of the preparation of environmental analyses and the Commission's tentative planning and decision-making schedule.</P> <P>(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.</P> <P>(8) Describe the means by which the environmental impact statement will be prepared, including any contractor assistance to be used.</P> <P>(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.</P> <P>(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.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">environmental assessment</HD> <SECTION> <SECTNO>§ 51.30</SECTNO> <SUBJECT>Environmental assessment.</SUBJECT> <P>(a) An environmental assessment shall identify the proposed action and include:</P> <P>(1) A brief discussion of:</P> <P>(i) The need for the proposed action;</P> <P>(ii) Alternatives as required by section 102(2)(E) of NEPA;</P> <P>(iii) The environmental impacts of the proposed action and alternatives as appropriate; and</P> <P>(2) A list of agencies and persons consulted, and identification of sources used.</P> <P>(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 § 51.23(a) and in accordance with the provisions of § 51.23(b).</P> <P>(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)).</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 49 FR 34694, Aug. 31, 1984; 53 FR 31681, Aug. 19, 1988]</CITA> </SECTION> <SECTION> <PRTPAGE P="17"/> <SECTNO>§ 51.31</SECTNO> <SUBJECT>Determinations based on environmental assessment.</SUBJECT> <P>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 § 51.33, a determination to prepare a draft finding of no significant impact may be made.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">finding of no significant impact</HD> <SECTION> <SECTNO>§ 51.32</SECTNO> <SUBJECT>Finding of no significant impact.</SUBJECT> <P>(a) A finding of no significant impact will:</P> <P>(1) Identify the proposed action;</P> <P>(2) State that the Commission has determined not to prepare an environmental impact statement for the proposed action;</P> <P>(3) Briefly present the reasons why the proposed action will not have a significant effect on the quality of the human environment;</P> <P>(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;</P> <P>(5) Note any other related environmental documents; and</P> <P>(6) State that the finding and any related environmental documents are available for public inspection and where the documents may be inspected.</P> </SECTION> <SECTION> <SECTNO>§ 51.33</SECTNO> <SUBJECT>Draft finding of no significant impact; distribution.</SUBJECT> <P>(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.</P> <P>(b) Circumstances in which a draft finding of no significant impact may be prepared will ordinarily include the following:</P> <P>(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</P> <P>(2) The appropriate NRC staff director determines that preparation of a draft finding of no significant impact will further the purposes of NEPA.</P> <P>(c) A draft finding of no significant impact will (1) be marked “Draft”, (2) contain the information specified in § 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 <E T="04">Federal Register</E> as required by §§ 51.35 and 51.119.</P> <P>(d) A draft finding will be distributed as provided in § 51.74(a). Additional copies will be made available in accordance with § 51.123.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 51.34</SECTNO> <SUBJECT>Preparation of finding of no significant impact.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <PRTPAGE P="18"/> <SECTNO>§ 51.35</SECTNO> <SUBJECT>Requirement to publish finding of no significant impact; limitation on Commission action.</SUBJECT> <P>(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 <E T="04">Federal Register</E> as provided in § 51.119.</P> <P>(b) Except as provided in § 51.13, the Commission shall not take the proposed action until after the final finding has been published in the <E T="04">Federal Register</E>.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Environmental Reports and Information—Requirements Applicable to Applicants and Petitioners for Rulemaking</HD> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">general</HD> <SECTION> <SECTNO>§ 51.40</SECTNO> <SUBJECT>Consultation with NRC staff.</SUBJECT> <P>(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.</P> <P>(b) Requests for guidance or information on environmental matters may include inquiries relating to:</P> <P>(1) Applicable NRC rules and regulations;</P> <P>(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 § 51.29 in a manner appropriate to their relative significance;</P> <P>(3) Availability of relevant environmental studies and environmental information;</P> <P>(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;</P> <P>(5) Public meetings with NRC staff.</P> <P>(c) Questions concerning environmental matters should be addressed to the following NRC staff offices as appropriate:</P> <P>(1) <E T="03">Utilization facilities:</E> Director, Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: (301) 415-1270.</P> <P>(2) <E T="03">Production facilities:</E> Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: (301) 415-7800.</P> <P>(3) <E T="03">Materials licenses:</E> Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: (301) 415-7800.</P> <P>(4) <E T="03">Rulemaking:</E> Director, Office of Nuclear Regulatory Research, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: (301) 415-6641.</P> <P>(5) <E T="03">General Environmental Matters:</E> Executive Director for Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: (301) 415-1700.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 13399, Apr. 25, 1988; 60 FR 24552, May 9, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.41</SECTNO> <SUBJECT>Requirement to submit environmental information.</SUBJECT> <P>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.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">environmental reports—general requirements</HD> <SECTION> <SECTNO>§ 51.45</SECTNO> <SUBJECT>Environmental report.</SUBJECT> <P>(a) <E T="03">General.</E> As required by §§ 51.50, 51.53, 51.54, 51.60, 51.61, 51.62 or § 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 §§ 51.55, 51.66 or § 51.69. An applicant or petitioner for rulemaking may submit a supplement <PRTPAGE P="19"/>to an environmental report at any time.</P> <P>(b) <E T="03">Environmental considerations.</E> 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:</P> <P>(1) The impact of the proposed action on the environment. Impacts shall be discussed in proportion to their significance;</P> <P>(2) Any adverse environmental effects which cannot be avoided should the proposal be implemented;</P> <P>(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;</P> <P>(4) The relationship between local short-term uses of man's environment and the maintenance and enhancement of long-term productivity; and</P> <P>(5) Any irreversible and irretrievable commitments of resources which would be involved in the proposed action should it be implemented.</P> <P>(c) <E T="03">Analysis.</E> 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 § 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 § 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 § 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.</P> <P>(d) <E T="03">Status of compliance.</E> 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.</P> <P>(e) <E T="03">Adverse information.</E> 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.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28486, June 5, 1996; 61 FR 66542, Dec. 18, 1996]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <PRTPAGE P="20"/> <HD SOURCE="HED">environmental reports—production and utilization facilities</HD> <SECTION> <SECTNO>§ 51.50</SECTNO> <SUBJECT>Environmental report—construction permit stage.</SUBJECT> <P>Each applicant for a permit to construct a production or utilization facility covered by § 51.20 shall submit with its application the number of copies, as specified in § 51.55, of a separate document, entitled “Applicant's Environmental Report—Construction Permit Stage,” which shall contain the information specified in §§ 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 § 50.36b of this chapter.</P> </SECTION> <SECTION> <SECTNO>§ 51.51</SECTNO> <SUBJECT>Uranium fuel cycle environmental data—Table S-3.</SUBJECT> <P>(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.</P> <P>(b) Table S-3.</P> <GPOTABLE CDEF="s80,8,r80" COLS="3" OPTS="L2"> <TTITLE>Table S-3—Table of Uranium Fuel Cycle Environmental Data <SU>1</SU> </TTITLE> <TDESC>[Normalized to model LWR annual fuel requirement [WASH-1248] or reference reactor year [NUREG-0116]]</TDESC> <TDESC>[See footnotes at end of this table]</TDESC> <BOXHD> <CHED H="1">Environmental considerations</CHED> <CHED H="1">Total</CHED> <CHED H="1">Maximum effect per annual fuel requirement or reference reactor year of model 1,000 MWe LWR</CHED> </BOXHD> <ROW> <ENT I="21"> <E T="04">Natural Resource Use</E> </ENT> </ROW> <ROW> <ENT I="11">Land (acres):</ENT> </ROW> <ROW> <ENT I="02">Temporarily committed <E T="51">2</E> </ENT> <ENT>100 </ENT> <ENT/> </ROW> <ROW> <ENT I="03">Undisturbed area </ENT> <ENT>79</ENT> <ENT/> </ROW> <ROW> <ENT I="03">Disturbed area </ENT> <ENT>22 </ENT> <ENT>Equivalent to a 110 MWe coal-fired power plant.</ENT> </ROW> <ROW> <ENT I="02">Permanently committed </ENT> <ENT>13 </ENT> <ENT/> </ROW> <ROW RUL="n,s,n"> <ENT I="02">Overburden moved (millions of MT) </ENT> <ENT>2.8 </ENT> <ENT>Equivalent to 95 MWe coal-fired power plant.</ENT> </ROW> <ROW> <ENT I="11">Water (millions of gallons):</ENT> </ROW> <ROW> <ENT I="02">Discharged to air </ENT> <ENT>160 </ENT> <ENT>=2 percent of model 1,000 MWe LWR with cooling tower.</ENT> </ROW> <ROW> <ENT I="02">Discharged to water bodies </ENT> <ENT>11,090 </ENT> <ENT/> </ROW> <ROW RUL="n,s,n"> <ENT I="02">Discharged to ground </ENT> <ENT>127 </ENT> <ENT/> </ROW> <ROW RUL="n,s,n"> <ENT I="04">Total </ENT> <ENT>11,377 </ENT> <ENT> <E T="61"><</E>4 percent of model 1,000 MWe LWR with once-through cooling.</ENT> </ROW> <ROW> <ENT I="11">Fossil fuel:</ENT> </ROW> <ROW> <ENT I="02">Electrical energy (thousands of MW-hour) </ENT> <ENT>323 </ENT> <ENT> <E T="61"><</E>5 percent of model 1,000 MWe LWR output.</ENT> </ROW> <ROW> <ENT I="02">Equivalent coal (thousands of MT) </ENT> <ENT>118 </ENT> <ENT>Equivalent to the consumption of a 45 MWe coal-fired power plant.</ENT> </ROW> <ROW> <ENT I="02">Natural gas (millions of scf) </ENT> <ENT>135 </ENT> <ENT> <E T="61"><</E>0.4 percent of model 1,000 MWe energy output. </ENT> </ROW> <ROW> <ENT I="21"> <E T="04">Effluents—Chemical (MT)</E> </ENT> </ROW> <ROW> <ENT I="11">Gases (including entrainment): <E T="51">3</E> </ENT> </ROW> <ROW> <ENT I="02">SO<E T="22">x</E> </ENT> <ENT>4,400 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">NO<E T="22">x</E> <E T="51">4</E> </ENT> <ENT>1,190 </ENT> <ENT>Equivalent to emissions from 45 MWe coal-fired plant for a year.</ENT> </ROW> <ROW> <ENT I="02">Hydrocarbons </ENT> <ENT>14 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">CO</ENT> <ENT>29.6 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">Particulates </ENT> <ENT>1,154 </ENT> <ENT/> </ROW> <ROW> <PRTPAGE P="21"/> <ENT I="11">Other gases:</ENT> </ROW> <ROW> <ENT I="02">F </ENT> <ENT>.67 </ENT> <ENT>Principally from UF<E T="52">6</E> production, enrichment, and reprocessing. Concentration within range of state standards—below level that has effects on human health.</ENT> </ROW> <ROW> <ENT I="02">HCl </ENT> <ENT>.014 </ENT> <ENT> </ENT> </ROW> <ROW> <ENT I="11">Liquids:</ENT> </ROW> <ROW> <ENT I="01">SO<E T="51">−</E> <E T="22">4</E> <LI>NO<E T="51">−</E> <E T="22">3</E> </LI> <LI>Fluoride</LI> <LI>Ca<E T="51">++</E> </LI> <LI>C1<E T="51">−</E> </LI> <LI>Na<E T="51">+</E> </LI> <LI>NH<E T="22">3</E> </LI> <LI>Fe</LI> </ENT> <ENT>9.9<LI>25.8</LI> <LI>12.9</LI> <LI>5.4</LI> <LI>8.5</LI> <LI>12.1</LI> <LI>10.0</LI> <LI>.4</LI> </ENT> <ENT>From enrichment, fuel fabrication, and reprocessing steps. Components that constitute a potential for adverse environmental effect 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: NH<E T="22">3</E>—600 cfs., NO<E T="22">3</E>—20 cfs., Fluoride—70 cfs.</ENT> </ROW> <ROW> <ENT I="01">Tailings solutions (thousands of MT) </ENT> <ENT>240 </ENT> <ENT>From mills only—no significant effluents to environment.</ENT> </ROW> <ROW> <ENT I="01">Solids </ENT> <ENT>91,000 </ENT> <ENT>Principally from mills—no significant effluents to environment.</ENT> </ROW> <ROW> <ENT I="21">Effluents—Radiological (curies) </ENT> </ROW> <ROW> <ENT I="11">Gases (including entrainment):</ENT> </ROW> <ROW> <ENT I="02">Rn-222 </ENT> <ENT/> <ENT>Presently under reconsideration by the Commission.</ENT> </ROW> <ROW> <ENT I="02">Ra-226 </ENT> <ENT>.02 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">Th-230 </ENT> <ENT>.02 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">Uranium </ENT> <ENT>.034 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">Tritium (thousands) </ENT> <ENT>18.1 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">C-14 </ENT> <ENT>24 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">Kr-85 (thousands) </ENT> <ENT>400 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">Ru-106 </ENT> <ENT>.14 </ENT> <ENT>Principally from fuel reprocessing plants.</ENT> </ROW> <ROW> <ENT I="02">I-129 </ENT> <ENT>1.3 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">I-131 </ENT> <ENT>.83 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">Tc-99 </ENT> <ENT/> <ENT>Presently under consideration by the Commission.</ENT> </ROW> <ROW> <ENT I="02">Fission products and transuranics </ENT> <ENT>.203 </ENT> <ENT> </ENT> </ROW> <ROW> <ENT I="11">Liquids:</ENT> </ROW> <ROW> <ENT I="02">Uranium and daughters </ENT> <ENT>2.1 </ENT> <ENT>Principally from milling—included tailings liquor and returned to ground—no effluents; therefore, no effect on environment.</ENT> </ROW> <ROW> <ENT I="02">Ra-226 </ENT> <ENT>.0034 </ENT> <ENT>From UF<E T="22">6</E> production.</ENT> </ROW> <ROW> <ENT I="02">Th-230 </ENT> <ENT>.0015 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">Th-234 </ENT> <ENT>.01 </ENT> <ENT>From fuel fabrication plants—concentration 10 percent of 10 CFR 20 for total processing 26 annual fuel requirements for model LWR.</ENT> </ROW> <ROW> <ENT I="02">Fission and activation products </ENT> <ENT>5.9×10<E T="51">−6</E> </ENT> <ENT/> </ROW> <ROW> <ENT I="11">Solids (buried on site):</ENT> </ROW> <ROW> <ENT I="02">Other than high level (shallow) </ENT> <ENT>11,300 </ENT> <ENT>9,100 Ci comes from low level reactor wastes and 1,500 Ci comes from reactor decontamination and decommissioning—buried 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.</ENT> </ROW> <ROW> <ENT I="02">TRU and HLW (deep) </ENT> <ENT> <E T="51">1</E> <SU>1</SU> 1.1×10 </ENT> <ENT>Buried at Federal Repository.</ENT> </ROW> <ROW> <ENT I="01">Effluents—thermal (billions of British thermal units) </ENT> <ENT>4,063 </ENT> <ENT> <E T="61"><</E>5 percent of model 1,000 MWe LWR.</ENT> </ROW> <ROW> <ENT I="11">Transportation (person-rem):</ENT> </ROW> <ROW> <ENT I="02">Exposure of workers and general public </ENT> <ENT>2.5 </ENT> <ENT/> </ROW> <ROW> <ENT I="02">Occupational exposure (person-rem) </ENT> <ENT>22.6</ENT> <ENT>From reprocessing and waste management.</ENT> </ROW> <TNOTE> <SU>1</SU> 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.</TNOTE> <TNOTE>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 § 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.<PRTPAGE P="22"/> </TNOTE> <TNOTE> <SU>2</SU> 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.</TNOTE> <TNOTE> <SU>3</SU> Estimated effluents based upon combustion of equivalent coal for power generation.</TNOTE> <TNOTE> <SU>4</SU> 1.2 percent from natural gas use and process.</TNOTE> </GPOTABLE> <CITA TYPE="W">[49 FR 9381, Mar. 12, 1984; 49 FR 10922, Mar. 23, 1984]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.52</SECTNO> <SUBJECT>Environmental effects of transportation of fuel and waste—Table S-4.</SUBJECT> <P>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.</P> <P>(a)(1) The reactor has a core thermal power level not exceeding 3,800 megawatts;</P> <P>(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;</P> <P>(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;</P> <P>(4) With the exception of irradiated fuel, all radioactive waste shipped from the reactor is packaged and in a solid form;</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(c)</P> <GPOTABLE CDEF="s100,r100" COLS="2" OPTS="L2"> <TTITLE>Summary Table S-4—Environmental Impact of Transportation of Fuel and Waste to and From One Light-Water-Cooled Nuclear Power Reactor <SU>1</SU> </TTITLE> <TDESC>Normal Conditions of Transport</TDESC> <BOXHD> <CHED H="1"/> <CHED H="1">Environmental impact</CHED> </BOXHD> <ROW> <ENT I="01">Heat (per irradiated fuel cask in transit) </ENT> <ENT>250,000 Btu/hr.</ENT> </ROW> <ROW> <ENT I="01">Weight (governed by Federal or State restrictions) </ENT> <ENT>73,000 lbs. per truck; 100 tons per cask per rail car.</ENT> </ROW> <ROW> <ENT I="11">Traffic density:</ENT> </ROW> <ROW> <ENT I="02">Truck </ENT> <ENT>Less than 1 per day.</ENT> </ROW> <ROW> <ENT I="02">Rail </ENT> <ENT>Less than 3 per month</ENT> </ROW> </GPOTABLE> <GPOTABLE CDEF="s95,9,r75,xs48" COLS="4" OPTS="L2"> <BOXHD> <CHED H="1">Exposed population</CHED> <CHED H="1">Estimated number of persons exposed</CHED> <CHED H="1">Range of doses to exposed individuals <SU>2</SU> (per reactor year)</CHED> <CHED H="1">Cumulative dose to exposed population (per reactor year) <SU>3</SU> </CHED> </BOXHD> <ROW> <ENT I="01">Transportation workers </ENT> <ENT>200 </ENT> <ENT>0.01 to 300 millirem </ENT> <ENT>4 man-rem.</ENT> </ROW> <ROW> <ENT I="11">General public:</ENT> </ROW> <ROW> <ENT I="02">Onlookers </ENT> <ENT>1,100 </ENT> <ENT>0.003 to 1.3 millirem </ENT> <ENT>3 man-rem.</ENT> </ROW> <ROW> <ENT I="02">Along Route </ENT> <ENT>600,000 </ENT> <ENT>0.0001 to 0.06 millirem </ENT> <ENT/> </ROW> </GPOTABLE> <PRTPAGE P="23"/> <GPOTABLE CDEF="s100,r100" COLS="2" OPTS="L2"> <TDESC>Accidemts in Transport</TDESC> <BOXHD> <CHED H="1"/> <CHED H="1">Environmental risk</CHED> </BOXHD> <ROW> <ENT I="01">Radiological effects </ENT> <ENT>Small <SU>4</SU> </ENT> </ROW> <ROW> <ENT I="01">Common (nonradiological) causes </ENT> <ENT>1 fatal injury in 100 reactor years; 1 nonfatal injury in 10 reactor years; $475 property damage per reactor year.</ENT> </ROW> <TNOTE> <SU>1</SU> 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).</TNOTE> <TNOTE> <SU>2</SU> 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.</TNOTE> <TNOTE> <SU>3</SU> 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.</TNOTE> <TNOTE> <SU>4</SU> 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.</TNOTE> </GPOTABLE> <CITA TYPE="W">[49 FR 9381, Mar. 12, 1984; 49 FR 10922, Mar. 23, 1984, as amended at 53 FR 43420, Oct. 27, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.53</SECTNO> <SUBJECT>Postconstruction environmental reports.</SUBJECT> <P>(a) <E T="03">General.</E> 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.</P> <P>(b) <E T="03">Operating license stage.</E> Each applicant for a license to operate a production or utilization facility covered by § 51.20 shall submit with its application the number of copies specified in § 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 §§ 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 § 51.23(a) and in accordance with § 51.23(b) is required in this report.</P> <P>(c) <E T="03">Operating license renewal stage.</E> (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 § 51.55 of a separate document entitled “Applicant's Environmental Report—Operating License Renewal Stage.”</P> <P>(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 § 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 <PRTPAGE P="24"/>alternatives and any other matters described in § 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 § 51.23(a) and in accordance with § 51.23(b).</P> <P>(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:</P> <P>(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.</P> <P>(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:</P> <P>(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 3.15x10<E T="51">12</E> ft<E T="51">3</E>/year (9x10<E T="51">10</E> m<E T="51">3</E>/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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 3.15x10<E T="51">12</E> ft<E T="51">3</E>/year (9x10<E T="51">10</E> m<E T="51">3</E>/year), an assessment of the impact of the proposed action on public health from thermophilic organisms in the affected water must be provided.</P> <P>(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 <PRTPAGE P="25"/>hazard from the transmission lines must be provided.</P> <P>(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.</P> <P>(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.</P> <P>(K) All applicants shall assess whether any historic or archaeological properties will be affected by the proposed project.</P> <P>(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.</P> <P>(M) [Reserved]</P> <P>(iii) The report must contain a consideration of alternatives for reducing adverse impacts, as required by § 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.</P> <P>(iv) The environmental report must contain any new and significant information regarding the environmental impacts of license renewal of which the applicant is aware.</P> <P>(d) <E T="03">Postoperating license stage</E>. 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 § 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 § 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 § 51.23(a) and the provisions in § 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.</P> <CITA>[61 FR 66543, Dec. 18, 1996, as amended at 64 FR 48506, Sept. 3, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.54</SECTNO> <SUBJECT>Environmental report—manufacturing license.</SUBJECT> <P>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 § 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 § 51.45, as appropriate.</P> <CITA>[51 FR 40311, Nov. 6, 1986, as amended at 54 FR 15398, Apr. 18, 1989]</CITA> </SECTION> <SECTION> <PRTPAGE P="26"/> <SECTNO>§ 51.55</SECTNO> <SUBJECT>Environmental report—number of copies; distribution.</SUBJECT> <P>(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 § 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 § 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.</P> <P>(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 § 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.</P> <CITA>[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]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">environmental reports—materials licenses</HD> <SECTION> <SECTNO>§ 51.60</SECTNO> <SUBJECT>Environmental report—materials licenses.</SUBJECT> <P>(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 § 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 § 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.</P> <P>(b) As required by paragraph (a) of this section, each applicant shall prepare an environmental report for the following types of actions:</P> <P>(1) Issuance or renewal of a license or other form of permission for:</P> <P>(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.</P> <P>(ii) Possession and use of source material for uranium milling or production of uranium hexafluoride pursuant to part 40 of this chapter.</P> <P>(iii) Storage of spent fuel in an independent spent fuel storage installation <PRTPAGE P="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.</P> <P>(iv) Receipt and disposal of radioactive waste from other persons pursuant to part 61 of this chapter.</P> <P>(v) Processing of source material for extraction of rare earth and other metals.</P> <P>(vi) Use of radioactive tracers in field flood studies involving secondary and tertiary oil and gas recovery.</P> <P>(vii) Construction and operation of a uranium enrichment facility.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(5) Any other licensing action for which the Commission determines an Environmental Report is necessary.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.61</SECTNO> <SUBJECT>Environmental report—independent spent fuel storage installation (ISFSI) or monitored retrievable storage installation (MRS) license.</SUBJECT> <P>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 § 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 § 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 § 51.23(a) and the provisions in § 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.</P> <CITA>[53 FR 31681, Aug. 19, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.62</SECTNO> <SUBJECT>Environmental report—land disposal of radioactive waste licensed under 10 CFR part 61.</SUBJECT> <P>(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 § 51.66 of a separate <PRTPAGE P="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, <E T="03">http://www.nrc.gov,</E> and/or at the NRC Public Document Room.</P> <P>(b) The environmental report shall contain the information specified in § 51.45, shall address the applicant's environmental monitoring program required by §§ 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.</P> <P>(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.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 43420, Oct. 27, 1988; 64 FR 48952, Sept. 9, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.66</SECTNO> <SUBJECT>Environmental report—number of copies; distribution.</SUBJECT> <P>(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 § 51.60; or by § 51.61 or § 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.</P> <P>(b)</P> <GPOTABLE CDEF="s25,xs48,xs48" COLS="3" OPTS="L2"> <TTITLE>Environmental Report</TTITLE> <BOXHD> <CHED H="1">Type of licensing action</CHED> <CHED H="1">Number of copies to be submitted with application</CHED> <CHED H="1">Number of copies to be retained by applicant for subsequent distribution</CHED> </BOXHD> <ROW> <ENT I="01">Licensing actions requiring environmental impact statements pursuant to § 51.20(b) </ENT> <ENT>25 copies</ENT> <ENT>125 copies.</ENT> </ROW> <ROW> <ENT I="01">Licensing actions requiring environmental assessments pursuant to § 51.21</ENT> <ENT>15 copies</ENT> <ENT>None.</ENT> </ROW> </GPOTABLE> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 8241, Mar. 17, 1987; 58 FR 7737, Feb. 9, 1993]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.67</SECTNO> <SUBJECT>Environmental information concerning geologic repositories.</SUBJECT> <P>(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 § 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.</P> <P>(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 <PRTPAGE P="29"/>statement to the Commission. (See § 60.22 of this chapter as to required time and manner of submission.)</P> <P>(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:</P> <P>(1) State whether the environmental impact statement has been found by the courts of the United States to be adequate or inadequate; and</P> <P>(2) Identify any issues relating to the adequacy of the environmental impact statement that may remain subject to judicial review.</P> <CITA>[54 FR 27870, July 3, 1989]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">environmental reports—rulemaking</HD> <SECTION> <SECTNO>§ 51.68</SECTNO> <SUBJECT>Environmental report—rulemaking.</SUBJECT> <P>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 § 51.69, of a separate document entitled “Petitioner's Environmental Report,” which shall contain the information specified in § 51.45.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 8241, Mar. 17, 1987; 58 FR 7737, Feb. 9, 1993]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.69</SECTNO> <SUBJECT>Environmental report—number of copies.</SUBJECT> <P>Petitioners for rulemaking covered by § 51.68 shall submit fifty (50) copies of an environmental report or any supplement to an environmental report.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Environmental Impact Statements</HD> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">draft environmental impact statements—general requirements</HD> <SECTION> <SECTNO>§ 51.70</SECTNO> <SUBJECT>Draft environmental impact statement—general.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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).</P> </SECTION> <SECTION> <SECTNO>§ 51.71</SECTNO> <SUBJECT>Draft environmental impact statement—contents.</SUBJECT> <P>(a) <E T="03">Scope.</E> The draft environmental impact statement will be prepared in accordance with the scope decided upon in the scoping process required by §§ 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 <PRTPAGE P="30"/>§§ 51.45, 51.50, 51.51, 51.52, 51.53, 51.54, 51.61 and 51.62.</P> <P>(b) <E T="03">Analysis of major points of view.</E> 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.</P> <P>(c) <E T="03">Status of compliance.</E> 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.</P> <P>(d) <E T="03">Analysis</E>. 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 § 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 effectsof the proposed action identified pursuant to paragraph (a) of this section. Supplemental environmental impact statements prepared at the license renewal stage pursuant to § 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 § 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.<E T="51">3</E> <FTREF/> While <PRTPAGE P="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.</P> <FTNT> <P> <E T="51">3</E> 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 <PRTPAGE/>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.</P> </FTNT> <P>(e) <E T="03">Preliminary recommendation</E>. 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 §§ 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,<E T="51">4</E> <FTREF/> and, except for supplemental environmental impact statements for the operating license renewal stage prepared pursuant to § 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.</P> <FTNT> <P> <E T="51">4</E> 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. </P> </FTNT> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28488, June 5, 1996; 61 FR 66544, Dec. 18, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.72</SECTNO> <SUBJECT>Supplement to draft environmental impact statement.</SUBJECT> <P>(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 <E T="04">Federal Register</E> as provided in § 51.117, if:</P> <P>(1) There are substantial changes in the proposed action that are relevant to environmental concerns; or</P> <P>(2) There are significant new circumstances or information relevant to environmental concerns and bearing on the proposed action or its impacts.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 51.73</SECTNO> <SUBJECT>Request for comments on draft environmental impact statement.</SUBJECT> <P>Each draft environmental impact statement and each supplement to a draft environmental impact statement distributed in accordance with § 51.74, and each news release provided pursuant to § 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 <PRTPAGE P="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 <E T="04">Federal Register.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 51.74</SECTNO> <SUBJECT>Distribution of draft environmental impact statement and supplement to draft environmental impact statement; news releases.</SUBJECT> <P>(a) A copy of the draft environmental impact statement will be distributed to:</P> <P>(1) The Environmental Protection Agency.</P> <P>(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.</P> <P>(3) The applicant or petitioner for rulemaking and any other party to the proceeding.</P> <P>(4) Appropriate State and local agencies authorized to develop and enforce relevant environmental standards.</P> <P>(5) Appropriate State, regional and metropolitan clearinghouses.</P> <P>(6) Appropriate Indian tribes when the proposed action may have an environmental impact on a reservation.</P> <P>(7) Upon written request, any organization or group included in the master list of interested organizations and groups maintained under § 51.122.</P> <P>(8) Upon written request, any other person to the extent available.</P> <P>(b) Additional copies will be made available in accordance with § 51.123.</P> <P>(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.</P> <P>(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.</P> <P>(e) A notice of availability will be published in the <E T="04">Federal Register</E> in accordance with § 51.117.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">draft environmental impact statements—production and utilization facilities</HD> <SECTION> <SECTNO>§ 51.75</SECTNO> <SUBJECT>Draft environmental impact statement—construction permit.</SUBJECT> <P>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 §§ 51.70, 51.71, 51.72 and 51.73. The contribution of the environmental effects of the uranium fuel cycle activities specified in § 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.<E T="51">5</E> <FTREF/> 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.</P> <FTNT> <P> <E T="51">5</E> 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.</P> </FTNT> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28489, June 5, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.76</SECTNO> <SUBJECT>Draft environmental impact statement—manufacturing license.</SUBJECT> <P>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 <PRTPAGE P="33"/>a request for comments as provided in § 51.73.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 15398, Apr. 18, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.77</SECTNO> <SUBJECT>Distribution of draft environmental impact statement.</SUBJECT> <P>(a) In addition to the distribution authorized by § 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:</P> <P>(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.</P> <P>(2) Upon request, the chief executive of each municipality or county identified in the draft environmental impact statement as an alternative site.</P> <P>(b) Additional copies will be made available in accordance with § 51.123.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 15398, Apr. 18, 1989]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">draft environmental impact statements—materials licenses</HD> <SECTION> <SECTNO>§ 51.80</SECTNO> <SUBJECT>Draft environmental impact statement—materials license.</SUBJECT> <P>(a) The NRC staff will either prepare a draft environmental impact statement or as provided in § 51.92, a supplement to a final environmental impact statement for each type of action identified in § 51.20(b) (7) through (12). Except as the context may otherwise require, procedures and measures similar to those described in §§ 51.70, 51.71, 51.72 and 51.73 will be followed.</P> <P>(b)(1) <E T="03">Independent spent fuel storage installation (ISFSI).</E> Unless otherwise determined by the Commission and in accordance with the generic determination in § 51.23(a) and the provisions of § 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.</P> <P>(2) <E T="03">Monitored retrievable storage installation (MRS).</E> 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.</P> <CITA>[49 FR 34695, Aug. 31, 1984, as amended at 53 FR 31682, Aug. 19, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.81</SECTNO> <SUBJECT>Distribution of draft environmental impact statement.</SUBJECT> <P>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 § 51.74.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">draft environmental impact statements—rulemaking</HD> <SECTION> <SECTNO>§ 51.85</SECTNO> <SUBJECT>Draft environmental impact statement—rulemaking.</SUBJECT> <P>Except as the context may otherwise require, procedures and measures similar to those described in §§ 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.</P> </SECTION> <SECTION> <SECTNO>§ 51.86</SECTNO> <SUBJECT>Distribution of draft environmental impact statement.</SUBJECT> <P>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 § 51.74.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">legislative environmental impact statements—proposals for legislation</HD> <SECTION> <SECTNO>§ 51.88</SECTNO> <SUBJECT>Proposals for legislation.</SUBJECT> <P>The Commission will, as a matter of policy, follow the provisions of 40 CFR 1506.8 regarding the NEPA process for proposals for legislation.</P> </SECTION> </SUBJGRP> <SUBJGRP> <PRTPAGE P="34"/> <HD SOURCE="HED">final environmental impact statements—general requirements</HD> <SECTION> <SECTNO>§ 51.90</SECTNO> <SUBJECT>Final environmental impact statement—general.</SUBJECT> <P>After receipt and consideration of comments requested pursuant to §§ 51.73 and 51.117, the NRC staff will prepare a final environmental impact statement in accordance with the requirements in §§ 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.</P> </SECTION> <SECTION> <SECTNO>§ 51.91</SECTNO> <SUBJECT>Final environmental impact statement—contents.</SUBJECT> <P>(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:</P> <P>(i) Modification of alternatives, including the proposed action;</P> <P>(ii) Development and evaluation of alternatives not previously given serious consideration;</P> <P>(iii) Supplementation or modification of analyses;</P> <P>(iv) Factual corrections;</P> <P>(v) Explanation of why comments do not warrant further response, citing sources, authorities or reasons which support this conclusion.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(d) The final environmental impact statement will include a final analysis and a final recommendation on the action to be taken.</P> </SECTION> <SECTION> <SECTNO>§ 51.92</SECTNO> <SUBJECT>Supplement to the final environmental impact statement.</SUBJECT> <P>(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 <E T="04">Federal Register</E> as provided in § 51.118, if:</P> <P>(1) There are substantial changes in the proposed action that are relevant to environmental concerns; or</P> <P>(2) There are significant new circumstances or information relevant to environmental concerns and bearing on the proposed action or its impacts.</P> <P>(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.</P> <P>(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.</P> <P>(d)(1) A supplement to a final environmental impact statement will be accompanied by or will include a request for comments as provided in § 51.73 and a notice of availability will be published in the <E T="04">Federal Register</E> as provided in § 51.117 if the conditions described in paragraph (a) of this section apply.</P> <P>(2) If comments are not requested, a notice of availability of a supplement <PRTPAGE P="35"/>to a final environmental impact statement will be published in the <E T="04">Federal Register</E> as provided in § 51.118.</P> </SECTION> <SECTION> <SECTNO>§ 51.93</SECTNO> <SUBJECT>Distribution of final environmental impact statement and supplement to final environmental impact statement; news releases.</SUBJECT> <P>(a) A copy of the final environmental impact statement will be distributed to:</P> <P>(1) The Environmental Protection Agency.</P> <P>(2) The applicant or petitioner for rulemaking and any other party to the proceeding.</P> <P>(3) Appropriate State, regional and metropolitan clearinghouses.</P> <P>(4) Each commenter.</P> <P>(b) Additional copies will be made available in accordance with § 51.123.</P> <P>(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 § 51.91(a)(3), only the comments, the responses to the comments and the changes to the environmental impact statement will be distributed.</P> <P>(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.</P> <P>(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.</P> <P>(f) A notice of availability will be published in the <E T="04">Federal Register</E> in accordance with § 51.118.</P> </SECTION> <SECTION> <SECTNO>§ 51.94</SECTNO> <SUBJECT>Requirement to consider final environmental impact statement.</SUBJECT> <P>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.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">final environmental impact statements—production and utilization facilities</HD> <SECTION> <SECTNO>§ 51.95</SECTNO> <SUBJECT>Postconstruction environmental impact statements.</SUBJECT> <P>(a) <E T="03">General.</E> 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 § 51.73.</P> <P>(b) <E T="03">Initial operating license stage.</E> 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, <PRTPAGE P="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 § 51.23(a) and in accordance with § 51.23(b), and will only be prepared in connection with the first licensing action authorizing full-power operation.</P> <P>(c) <E T="03">Operating license renewal stage.</E> 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.</P> <P>(1) The supplemental environmental impact statement for the operating license renewal stage shall address those issues as required by § 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 § 51.71(a).</P> <P>(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 § 51.23(a) and in accordance with § 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 § 51.71 and appendix A to subpart A of this part.</P> <P>(3) The supplemental environmental impact statement shall be issued as a final impact statement in accordance with §§ 51.91 and 51.93 after considering any significant new information relevant to the proposed action contained in the supplement or incorporated by reference.</P> <P>(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 § 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.</P> <P>(d) <E T="03">Postoperating license stage.</E> In connection with the amendment of an operating license authorizing decommissioning activities at a production or utilization facility covered by § 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 <PRTPAGE P="37"/>that facility. The supplement will include a request for comments as provided in § 51.73. Unless other wise required by the Commission in accordance with the generic determination in § 51.23(a) and the provisions of § 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.</P> <CITA>[61 FR 66545, Dec. 18, 1996]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">final environmental impact statements—materials licenses</HD> <SECTION> <SECTNO>§ 51.97</SECTNO> <SUBJECT>Final environmental impact statement—materials license.</SUBJECT> <P>(a) <E T="03">Independent spent fuel storage installation (ISFSI).</E> Unless otherwise determined by the Commission, and in accordance with the generic determination in § 51.23(a) and the provisions of § 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.</P> <P>(b) <E T="03">Monitored retrievable storage facility (MRS).</E> 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.</P> <P>(c) <E T="03">Uranium enrichment facility.</E> 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.</P> <CITA>[49 FR 34695, Aug. 31, 1984, as amended at 53 FR 31682, Aug. 19, 1988; 57 FR 18392, Apr. 30, 1992]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">final environmental impact statements—rulemaking</HD> <SECTION> <SECTNO>§ 51.99</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">NEPA Procedure and Administrative Action</HD> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">general</HD> <SECTION> <SECTNO>§ 51.100</SECTNO> <SUBJECT>Timing of Commission action.</SUBJECT> <P>(a)(1) Except as provided in § 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:</P> <P>(i) Ninety (90) days after publication by the Environmental Protection Agency of a <E T="04">Federal Register</E> notice stating that the draft environmental impact statement has been filed with EPA.</P> <P>(ii) Thirty (30) days after publication by the Environmental Protection Agency of a <E T="04">Federal Register</E> notice stating that the final environmental impact statement has been filed with EPA.</P> <P>(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.</P> <P>(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 <E T="04">Federal Register</E> notice of <PRTPAGE P="38"/>filing of the final environmental impact statement.</P> </SECTION> <SECTION> <SECTNO>§ 51.101</SECTNO> <SUBJECT>Limitations on actions.</SUBJECT> <P>(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 § 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 § 51.21:</P> <P>(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.</P> <P>(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 §§ 30.32(f), 40.31(f), 50.10(c), 70.21(f), or §§ 72.16 and 72.34 of this chapter, the provisions of this paragraph will be applied in accordance with §§ 30.33(a)(5), 40.32(e), 50.10 (c) and (e), 70.23(a)(7) or § 72.40(b) of this chapter, as appropriate.</P> <P>(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:</P> <P>(1) Is justified independently of the program;</P> <P>(2) Is itself accompanied by an adequate environmental impact statement; and</P> <P>(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.</P> <P>(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.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31682, Aug. 19, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.102</SECTNO> <SUBJECT>Requirement to provide a record of decision; preparation.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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 § 51.93.</P> </SECTION> <SECTION> <SECTNO>§ 51.103</SECTNO> <SUBJECT>Record of decision—general.</SUBJECT> <P>(a) The record of decision required by § 51.102 shall be clearly identified and shall:</P> <P>(1) State the decision.</P> <P>(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.</P> <P>(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, <PRTPAGE P="39"/>which were balanced by the Commission in making the decision and state how these considerations entered into the decision.</P> <P>(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.</P> <P>(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.</P> <P>(b) The record of decision may be integrated into any other record prepared by the Commission in connection with the action.</P> <P>(c) The record of decision may incorporate by reference material contained in a final environmental impact statement.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.104</SECTNO> <SUBJECT>NRC proceeding using public hearings; consideration of environmental impact statement.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(3) In the proceeding the presiding officer will decide those matters in controversy among the parties within the scope of NEPA and this subpart.</P> <P>(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.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">production and utilization facilities</HD> <SECTION> <SECTNO>§ 51.105</SECTNO> <SUBJECT>Public hearings in proceedings for issuance of construction permits or licenses to manufacture.</SUBJECT> <P>(a) In addition to complying with applicable requirements of § 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:</P> <P>(1) Determine whether the requirements of section 102(2) (A), (C), and (E) of NEPA and the regulations in this subpart have been met;</P> <P>(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;</P> <P>(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;<PRTPAGE P="40"/> </P> <P>(4) Determine, in an uncontested proceeding, whether the NEPA review conducted by the NRC staff has been adequate; and</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 51.106</SECTNO> <SUBJECT>Public hearings in proceedings for issuance of operating licenses.</SUBJECT> <P>(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 §§ 51.104 and 51.105.</P> <P>(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 § 50.57(c) of this chapter, the loading of nuclear fuel in the reactor core and limited operation within the scope of § 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 §§ 51.104 and 51.105 will apply, as appropriate.</P> <P>(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.</P> <P>(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 <E T="03">sua sponte</E>.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">materials licenses</HD> <SECTION> <SECTNO>§ 51.108</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 51.109</SECTNO> <SUBJECT>Public hearings in proceedings for issuance of materials license with respect to a geologic repository.</SUBJECT> <P>(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 <E T="04">Federal Register</E>, present its position on whether it is practicable to adopt, without further supple-mentation, 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.</P> <P>(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 <E T="04">Federal Register</E>. 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 § 2.734 of this chapter.</P> <P>(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.<PRTPAGE P="41"/> </P> <P>(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:</P> <P>(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</P> <P>(ii) The difference may significantly affect the quality of the human environment; or</P> <P>(2) Significant and substantial new information or new considerations render such environmental impact statement inadequate.</P> <P>(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.</P> <P>(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:</P> <P>(1) Determine whether the requirements of section 102(2) (A), (C), and (E) of NEPA and the regulations in this subpart have been met;</P> <P>(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;</P> <P>(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;</P> <P>(4) Determine, in an uncontested proceeding, whether the NEPA review conducted by the NRC staff has been adequate; and</P> <P>(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.</P> <P>(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 § 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.</P> <P>(g) The provisions of this section shall be followed, in place of those set out in § 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.</P> <CITA>[54 FR 27870, July 3, 1989]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">rulemaking</HD> <SECTION> <SECTNO>§ 51.110</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Public Notice of and Access to Environmental Documents</HD> <SECTION> <SECTNO>§ 51.116</SECTNO> <SUBJECT>Notice of intent.</SUBJECT> <P>(a) In accordance with § 51.26, the appropriate NRC staff director will publish in the <E T="04">Federal Register</E> a notice of intent stating that an environmental impact statement will be prepared. The notice will contain the information specified in § 51.27.</P> <P>(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.</P> </SECTION> <SECTION> <PRTPAGE P="42"/> <SECTNO>§ 51.117</SECTNO> <SUBJECT>Draft environmental impact statement—notice of availability.</SUBJECT> <P>(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 <E T="04">Federal Register</E>.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 51.118</SECTNO> <SUBJECT>Final environmental impact statement—notice of availability.</SUBJECT> <P>(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 <E T="04">Federal Register.</E> 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.</P> <P>(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.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 27871, July 3, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.119</SECTNO> <SUBJECT>Publication of finding of no significant impact; distribution.</SUBJECT> <P>(a) As required by § 51.35, the appropriate NRC staff director will publish the finding of no significant impact in the <E T="04">Federal Register.</E> The finding of no significant impact will be identified as a draft or final finding, and will contain the information specified in §§ 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.</P> <P>(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.</P> <P>(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 § 51.123.</P> </SECTION> <SECTION> <SECTNO>§ 51.120</SECTNO> <SUBJECT>Availability of environmental documents for public inspection.</SUBJECT> <P>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.</P> <CITA>[64 FR 48952, Sept. 9, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.121</SECTNO> <SUBJECT>Status of NEPA actions.</SUBJECT> <P>Individuals or organizations desiring information on the NRC's NEPA process or on the status of specific NEPA actions should address inquiries to:</P> <P>(a) <E T="03">Utilization facilities:</E> Director, Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, <PRTPAGE P="43"/>Washington, DC 20555, Telephone (301) 415-1270.</P> <P>(b) <E T="03">Production facilities:</E> Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: (301) 415-7800.</P> <P>(c) <E T="03">Materials licenses:</E> Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: (301) 415-7800.</P> <P>(d) <E T="03">Rulemaking:</E> Director, Office of Nuclear Regulatory Research, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: (301) 415-6641.</P> <P>(e) <E T="03">General Environmental Matters:</E> Executive Director for Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: (301) 415-1700.</P> <CITA>[53 FR 13399, Apr. 25, 1988, as amended at 60 FR 24552, May 9, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.122</SECTNO> <SUBJECT>List of interested organizations and groups.</SUBJECT> <P>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.</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 31612, Aug. 12, 1987; 54 FR 53316, Dec. 28, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 51.123</SECTNO> <SUBJECT>Charges for environmental documents; distribution to public; distribution to governmental agencies.</SUBJECT> <P>(a) <E T="03">Distribution to public.</E> 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 §§ 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 § 9.35 of this chapter.</P> <P>(b) <E T="03">Distribution to governmental agencies.</E> 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 § 9.35 of this chapter.</P> <P>(c) <E T="03">Charges.</E> 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.</P> <CITA>[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]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Commenting</HD> <SECTION> <SECTNO>§ 51.124</SECTNO> <SUBJECT>Commission duty to comment.</SUBJECT> <P>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.</P> </SECTION> </SUBJGRP> <SUBJGRP> <PRTPAGE P="44"/> <HD SOURCE="HED">Responsible Official</HD> <SECTION> <SECTNO>§ 51.125</SECTNO> <SUBJECT>Responsible official.</SUBJECT> <P>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.</P> </SECTION> </SUBJGRP> <APPENDIX> <EAR>Pt. 51, Subpt. A, App. A</EAR> <HD SOURCE="HED">Appendix A to Subpart A—Format for Presentation of Material in Environmental Impact Statements</HD> <FP SOURCE="FP-1">1. General</FP> <FP SOURCE="FP-1">2. Cover sheet</FP> <FP SOURCE="FP-1">3. Summary</FP> <FP SOURCE="FP-1">4. Purpose of and need for action</FP> <FP SOURCE="FP-1">5. Alternatives including the proposed action</FP> <FP SOURCE="FP-1">6. Affected environment</FP> <FP SOURCE="FP-1">7. Environmental consequences and mitigating actions</FP> <FP SOURCE="FP-1">8. List of preparers</FP> <FP SOURCE="FP-1">9. Appendices</FP> <HD SOURCE="HD1">1. <E T="03">General.</E> </HD> <P>(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: </P> <FP SOURCE="FP-1">(1) Cover sheet*</FP> <FP SOURCE="FP-1">(2) Summary*</FP> <FP SOURCE="FP-1">(3) Table of Contents</FP> <FP SOURCE="FP-1">(4) Purpose of and Need for Action*</FP> <FP SOURCE="FP-1">(5) Alternatives including the proposed action*</FP> <FP SOURCE="FP-1">(6) Affected Environment*</FP> <FP SOURCE="FP-1">(7) Environmental Consequences and Mitigating Actions*</FP> <FP SOURCE="FP-1">(8) List of Preparers*</FP> <FP SOURCE="FP-1">(9) List of Agencies, Organizations and Persons to Whom Copies of the Statement are Sent</FP> <FP SOURCE="FP-1">(10) Substantive Comments Received and NRC Staff Responses</FP> <FP SOURCE="FP-1">(11) Index</FP> <FP SOURCE="FP-1">(12) Appendices (if any)*</FP> <P>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.</P> <P>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.</P> <P>(b) The techniques of tiering and incorporation by reference described respectively in 40 CFR 1502.20 and 1508.28 and 40 CFR 1502.21 <E T="51">1</E> <FTREF/> 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 <E T="51">2</E> <FTREF/> 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.</P> <FTNT> <P> <E T="51">1</E> <E T="03">Tiering—</E>40 CFR 1502.20, 40 CFR 1508.28; <E T="03">Incorporation by reference</E>—40 CFR 1502.21.</P> </FTNT> <FTNT> <P> <E T="51">2</E> <E T="03">Adoption</E>—40 CFR 1506.3.</P> </FTNT> <HD SOURCE="HD3">2. <E T="03">Cover sheet.</E> </HD> <P>The cover sheet will not exceed one page. It will include:</P> <P>(a) The name of the NRC office responsible for preparing the statement and a list of any cooperating agencies.</P> <P>(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.</P> <P>(c) The name, address, and telephone number of the individual in NRC who can supply further information.</P> <P>(d) A designation of the statement as a draft or final statement, or a draft or final supplement.</P> <P>(e) A one paragraph abstract of the statement.</P> <P>(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:</P> <P>“Comments should be filed no later than <E T="51">3</E> <FTREF/> 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 <E T="04">Federal Register.</E> 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.”</P> <FTNT> <P> <E T="51">3</E> The number of days in the comment period should be inserted. The minimum comment period is 45 days (see § 51.73.)</P> </FTNT> <PRTPAGE P="45"/> <HD SOURCE="HD3">3. <E T="03">Summary.</E> </HD> <P>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.</P> <HD SOURCE="HD1">4. <E T="03">Purpose of and need for action.</E> </HD> <P>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.</P> <HD SOURCE="HD1">5. <E T="03">Alternatives including the proposed action.</E> </HD> <P>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.<E T="51">4</E> <FTREF/> 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.</P> <FTNT> <P> <E T="51">4</E> With respect to limitations on NRC's NEPA authority and responsibility imposed by the Federal Water Pollution Control Act Amendments of 1972, see §§ 51.10(c), 51.22(c)(17) and 51.71(d).</P> </FTNT> <P>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.</P> <P>In the final environmental impact statement, this section will include a final recommendation on the action to be taken.</P> <HD SOURCE="HD1">6. <E T="03">Affected environment.</E> </HD> <P>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.</P> <HD SOURCE="HD1">7. <E T="03">Environmental consequences and mitigating actions.</E> </HD> <P>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.</P> <P>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:</P> <P>(a) Direct effects and their significance.</P> <P>(b) Indirect effects and their significance.</P> <P>(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.</P> <P>(d) Means to mitigate adverse environmental impacts.</P> <HD SOURCE="HD1">8. <E T="03">List of preparers.</E> </HD> <P>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.</P> <HD SOURCE="HD1">9. <E T="03">Appendices.</E> </HD> <P>An appendix to an environmental impact statement will:</P> <P>(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)).</P> <P>(b) Normally consist of material which substantiates any analysis fundamental to the impact statement. Discussion of methodology used may be placed in an appendix.</P> <P>(c) Normally be analytic.</P> <P>(d) Be relevant to the decision to be made.<PRTPAGE P="46"/> </P> <P>(e) Be circulated with the environmental impact statement or be readily available on request.</P> <HD SOURCE="HD3">Discussion of Footnotes</HD> <HD SOURCE="HD1">1. <E T="03">Tiering.</E> </HD> <P>40 CFR 1502.20 states:</P> <P>“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 (§ 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).”</P> <P>40 CFR 1508.28 states:</P> <P>“ ‘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:</P> <P>“(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.</P> <P>“(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.”</P> <P> <E T="03">Incorporation by reference.</E> 40 CFR 1502.21 states:</P> <P>“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.”</P> <HD SOURCE="HD1">2. <E T="03">Adoption.</E> </HD> <P>40 CFR 1506.3 states:</P> <P>“(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.</P> <P>“(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).</P> <P>“(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.</P> <P>“(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.”</P> <CITA>[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28490, June 5, 1996; 61 FR 66546, Dec. 18, 1996]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 51, Subpt. A, App. B</EAR> <HD SOURCE="HED">Appendix B to Subpart A—Environmental Effect of Renewing the Operating License of a Nuclear Power Plant</HD> <P>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 § 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 <PRTPAGE P="47"/>be published in the <E T="04">Federal Register</E> indicating the results of the NRC's review and inviting public comments and proposals for other areas that should be updated.</P> <GPOTABLE CDEF="s100,10,r200" COLS="3" OPTS="L2,i1"> <TTITLE>Table B-1—Summary of Findings on NEPA Issues for License Renewal of Nuclear Power Plants <SU>1</SU> </TTITLE> <BOXHD> <CHED H="1">Issue</CHED> <CHED H="1">Category <E T="51">2</E> </CHED> <CHED H="1">Findings <E T="51">3</E> </CHED> </BOXHD> <ROW EXPSTB="02" RUL="02,s"> <ENT I="21"> <E T="02">Surface Water Quality, Hydrology, and Use (for all plants)</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Impacts of refurbishment on surface water quality</ENT> <ENT>1</ENT> <ENT>SMALL. Impacts are expected to be negligible during refurbishment because best management practices are expected to be employed to control soil erosion and spills.</ENT> </ROW> <ROW> <ENT I="01">Impacts of refurbishment on surface water use</ENT> <ENT>1</ENT> <ENT>SMALL. Water use during refurbishment will not increase appreciably or will be reduced during plant outage.</ENT> </ROW> <ROW> <ENT I="01">Altered current patterns at intake and discharge structures</ENT> <ENT>1</ENT> <ENT>SMALL. Altered current patterns 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.</ENT> </ROW> <ROW> <ENT I="01">Altered salinity gradients</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Altered thermal stratification of lakes</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Temperature effects on sediment transport capacity</ENT> <ENT>1</ENT> <ENT>SMALL. These effects 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.</ENT> </ROW> <ROW> <ENT I="01">Scouring caused by discharged cooling water</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Eutrophication</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Discharge of chlorine or other biocides</ENT> <ENT>1</ENT> <ENT>SMALL. Effects are not a concern among regulatory and resource agencies, and are not expected to be a problem during the license renewal term.</ENT> </ROW> <ROW> <ENT I="01">Discharge of sanitary wastes and minor chemical spills</ENT> <ENT>1</ENT> <ENT>SMALL. Effects are readily controlled through NPDES permit and periodic modifications, if needed, and are not expected to be a problem during the license renewal term.</ENT> </ROW> <ROW> <ENT I="01">Discharge of other metals in waste water</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Water use conflicts (plants with once-through cooling systems)</ENT> <ENT>1</ENT> <ENT>SMALL. These conflicts have not been found to be a problem at operating nuclear power plants with once-through heat dissipation systems.</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Water use conflicts (plants with cooling ponds or cooling towers using make-up water from a small river with low flow)</ENT> <ENT>2</ENT> <ENT>SMALL OR MODERATE. The issue has been a concern at nuclear power plants with cooling ponds and at plants with cooling towers. Impacts on instream and riparian communities near these plants could be of moderate significance in some situations. See § 51.53(c)(3)(ii)(A).</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Aquatic Ecology (for all plants)</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Refurbishment</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Accumulation of contaminants in sediments or biota</ENT> <ENT>1</ENT> <ENT>SMALL. Accumulation of contaminants has been a concern 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.</ENT> </ROW> <ROW> <ENT I="01">Entrainment of phytoplankton and zooplankton</ENT> <ENT>1</ENT> <ENT>SMALL. Entrainment of phytoplankton and 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.</ENT> </ROW> <ROW> <ENT I="01">Cold shock</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Thermal plume barrier to migrating fish</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Distribution of aquatic organisms</ENT> <ENT>1</ENT> <ENT>SMALL. Thermal discharge may have localized effects but is not expected to effect the larger geographical distribution of aquatic organisms.</ENT> </ROW> <ROW> <PRTPAGE P="48"/> <ENT I="01">Premature emergence of aquatic insects</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Gas supersaturation (gas bubble disease) </ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Low dissolved oxygen in the discharge</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Losses from predation, parasitism, and disease among organisms exposed to sublethal stresses</ENT> <ENT>1</ENT> <ENT>SMALL. These types of losses 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.</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Stimulation of nuisance organisms (e.g., shipworms)</ENT> <ENT>1</ENT> <ENT>SMALL. Stimulation of nuisance organisms has been 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.</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Aquatic Ecology (for plants with once-through and cooling pond heat dissipation systems)</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Entrainment of fish and shellfish in early life stages </ENT> <ENT>2</ENT> <ENT>SMALL, MODERATE, OR LARGE. The impacts of entrainment 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 § 51.53(c)(3)(ii)(B).</ENT> </ROW> <ROW> <ENT I="01">Impingement of fish and shellfish</ENT> <ENT>2</ENT> <ENT>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 § 51.53(c)(3)(ii)(B).</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Heat shock</ENT> <ENT>2</ENT> <ENT>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 § 51.53(c)(3)(ii)(B).</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Aquatic Ecology (for plants with cooling-tower-based heat dissipation systems)</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Entrainment of fish and shellfish in early life stages</ENT> <ENT>1</ENT> <ENT>SMALL. Entrainment of fish 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.</ENT> </ROW> <ROW> <ENT I="01">Impingement of fish and shellfish</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Heat shock</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Ground-water Use and Quality</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Impacts of refurbishment on ground-water use and quality</ENT> <ENT>1</ENT> <ENT>SMALL. Extensive dewatering during the original 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.</ENT> </ROW> <ROW> <ENT I="01">Ground-water use conflicts (potable and service water; plants that use <100 gpm)</ENT> <ENT>1</ENT> <ENT>SMALL. Plants using less than 100 gpm are not expected to cause any ground-water use conflicts.</ENT> </ROW> <ROW> <ENT I="01">Ground-water use conflicts (potable and service water, and dewatering; plants that use >100 gpm)</ENT> <ENT>2</ENT> <ENT>SMALL, MODERATE, OR LARGE. Plants that use more than 100 gpm may cause ground-water use conflicts with nearby ground-water users. See § 51.53(c)(3)(ii)(C).</ENT> </ROW> <ROW> <PRTPAGE P="49"/> <ENT I="01">Ground-water use conflicts (plants using cooling towers withdrawing make-up water from a small river)</ENT> <ENT>2</ENT> <ENT>SMALL, MODERATE, OR LARGE. Water use conflicts may result from surface water withdrawals from small 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 § 51.53(c)(3)(ii)(A).</ENT> </ROW> <ROW> <ENT I="01">Ground-water use conflicts (Ranney wells)</ENT> <ENT>2</ENT> <ENT>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 § 51.53(c)(3)(ii)(C).</ENT> </ROW> <ROW> <ENT I="01">Ground-water quality degradation (Ranney wells)</ENT> <ENT>1</ENT> <ENT>SMALL. Ground-water quality at river sites may be 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.</ENT> </ROW> <ROW> <ENT I="01">Ground-water quality degradation (saltwater intrusion)</ENT> <ENT>1</ENT> <ENT>SMALL. Nuclear power plants do not contribute significantly to saltwater intrusion.</ENT> </ROW> <ROW> <ENT I="01">Ground-water quality degradation (cooling ponds in salt marshes)</ENT> <ENT>1</ENT> <ENT>SMALL. Sites with closed-cycle cooling ponds may degrade ground-water quality. Because water in salt marshes is brackish, this is not a concern for plants located in salt marshes.</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Ground-water quality degradation (cooling ponds at inland sites)</ENT> <ENT>2</ENT> <ENT>SMALL, MODERATE, OR LARGE. Sites with closed-cycle 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 § 51.53(c)(3)(ii)(D).</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Terrestrial Resources</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Refurbishment impacts</ENT> <ENT>2</ENT> <ENT>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 § 51.53(c)(3)(ii)(E).</ENT> </ROW> <ROW> <ENT I="01">Cooling tower impacts on crops and ornamental vegetation</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Cooling tower impacts on native plants</ENT> <ENT>1 </ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Bird collisions with cooling towers</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Cooling pond impacts on terrestrial resources</ENT> <ENT>1</ENT> <ENT>SMALL. Impacts of cooling ponds on terrestrial ecological resources are considered to be of small significance at all sites.</ENT> </ROW> <ROW> <ENT I="01">Power line right-of-way management (cutting and herbicide application)</ENT> <ENT>1</ENT> <ENT>SMALL. The impacts of right-of-way maintenance on wildlife are expected to be of small significance at all sites.</ENT> </ROW> <ROW> <ENT I="01">Bird collision with power lines</ENT> <ENT>1</ENT> <ENT>SMALL. Impacts are expected to be of small significance at all sites.</ENT> </ROW> <ROW> <ENT I="01">Impacts of electromagnetic fields on flora and fauna (plants, agricultural crops, honeybees, wildlife, livestock)</ENT> <ENT>1</ENT> <ENT>SMALL. No significant impacts of electromagnetic fields on terrestrial flora and fauna have been identified. Such effects are not expected to be a problem during the license renewal term.</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Floodplains and wetland on power line right of way</ENT> <ENT>1</ENT> <ENT>SMALL. Periodic vegetation control is necessary in 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.</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Threatened or Endangered Species (for all plants)</E> </ENT> </ROW> <ROW EXPSTB="00" RUL="03,s"> <ENT I="01">Threatened or endangered species</ENT> <ENT>2</ENT> <ENT>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 § 51.53(c)(3)(ii)(E).</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <PRTPAGE P="50"/> <ENT I="21"> <E T="02">Air Quality</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Air quality during refurbishment (non-attainment and maintenance areas)</ENT> <ENT>2</ENT> <ENT>SMALL, MODERATE, OR LARGE. Air quality impacts from 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 § 51.53(c)(3)(ii)(F).</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Air quality effects of transmission lines </ENT> <ENT>1</ENT> <ENT>SMALL. Production of ozone and oxides of nitrogen is insignificant and does not contribute measurably to ambient levels of these gases.</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Land Use</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Onsite land use</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Power line right of way</ENT> <ENT>1 </ENT> <ENT>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.</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Human Health</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Radiation exposures to the public during refurbishment</ENT> <ENT>1</ENT> <ENT>SMALL. During refurbishment, the gaseous effluents 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.</ENT> </ROW> <ROW> <ENT I="01">Occupational radiation exposures during refurbishment</ENT> <ENT>1</ENT> <ENT>SMALL. Occupational doses from refurbishment are 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.</ENT> </ROW> <ROW> <ENT I="01">Microbiological organisms (occupational health)</ENT> <ENT>1</ENT> <ENT>SMALL. Occupational health impacts are expected to be controlled by continued application of accepted industrial hygiene practices to minimize worker exposures.</ENT> </ROW> <ROW> <ENT I="01">Microbiological organisms (public health)(plants using lakes or canals, or cooling towers or cooling ponds that discharge to a small river)</ENT> <ENT>2</ENT> <ENT>SMALL, MODERATE, OR LARGE. These organisms are not expected to be a problem at most operating plants except possibly at plants using cooling ponds, lakes, or canals that discharge to small rivers. Without site-specific data, it is not possible to predict the effects generically. See § 51.53(c)(3)(ii)(G).</ENT> </ROW> <ROW> <ENT I="01">Noise</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Electromagnetic fields, acute effects (electric shock)</ENT> <ENT>2</ENT> <ENT>SMALL, MODERATE, OR LARGE. Electrical shock resulting 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 § 51.53(c)(3)(ii)(H).</ENT> </ROW> <ROW> <ENT I="01">Electromagnetic fields, chronic effects <SU>5</SU> </ENT> <ENT> <SU>4</SU> NA</ENT> <ENT>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.<SU>5</SU> </ENT> </ROW> <ROW> <ENT I="01">Radiation exposures to public (license renewal term)</ENT> <ENT>1</ENT> <ENT>SMALL. Radiation doses to the public will continue at current levels associated with normal operations.</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Occupational radiation exposures (license renewal term)</ENT> <ENT>1</ENT> <ENT>SMALL. Projected maximum occupational doses during the license renewal term are within the range of doses experienced during normal operations and normal maintenance outages, and would be well below regulatory limits.</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <PRTPAGE P="51"/> <ENT I="21"> <E T="02">Socioeconomics</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Housing impacts</ENT> <ENT>2</ENT> <ENT>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 § 51.53(c)(3)(ii)(I).</ENT> </ROW> <ROW> <ENT I="01">Public services: public safety, social services, and tourism and recreation</ENT> <ENT>1</ENT> <ENT>SMALL. Impacts to public safety, social services, and tourism and recreation are expected to be of small significance at all sites.</ENT> </ROW> <ROW> <ENT I="01">Public services: public utilities</ENT> <ENT>2</ENT> <ENT>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 § 51.53(c)(3)(ii)(I).</ENT> </ROW> <ROW> <ENT I="01">Public services, education (refurbishment)</ENT> <ENT>2</ENT> <ENT>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 § 51.53(c)(3)(ii)(I).</ENT> </ROW> <ROW> <ENT I="01">Public services, education (license renewal term)</ENT> <ENT>1</ENT> <ENT>SMALL. Only impacts of small significance are expected.</ENT> </ROW> <ROW> <ENT I="01">Offsite land use (refurbishment)</ENT> <ENT>2</ENT> <ENT>SMALL OR MODERATE. Impacts may be of moderate significance at plants in low population areas. See § 51.53(c)(3)(ii)(I).</ENT> </ROW> <ROW> <ENT I="01">Offsite land use (license renewal term)</ENT> <ENT>2</ENT> <ENT>SMALL, MODERATE, OR LARGE. Significant changes in land use may be associated with population and tax revenue changes resulting from license renewal. See § 51.53(c)(3)(ii)(I).</ENT> </ROW> <ROW> <ENT I="01">Public services, Transportation </ENT> <ENT>2 </ENT> <ENT>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 § 51.53(c)(3)(ii)(J).</ENT> </ROW> <ROW> <ENT I="01">Historic and archaeological resources</ENT> <ENT>2</ENT> <ENT>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 § 51.53(c)(3)(ii)(K).</ENT> </ROW> <ROW> <ENT I="01">Aesthetic impacts (refurbishment)</ENT> <ENT>1</ENT> <ENT>SMALL. No significant impacts are expected during refurbishment.</ENT> </ROW> <ROW> <ENT I="01">Aesthetic impacts (license renewal term) </ENT> <ENT>1</ENT> <ENT>SMALL. No significant impacts are expected during the license renewal term.</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Aesthetic impacts of transmission lines (license renewal term)</ENT> <ENT>1</ENT> <ENT>SMALL. No significant impacts are expected during the license renewal term.</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Postulated Accidents</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Design basis accidents</ENT> <ENT>1</ENT> <ENT>SMALL. The NRC staff has concluded that the environmental impacts of design basis accidents are of small significance for all plants.</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Severe accidents </ENT> <ENT>2</ENT> <ENT>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 § 51.53(c)(3)(ii)(L).</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Uranium Fuel Cycle and Waste Management</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Offsite radiological impacts (individual effects from other than the disposal of spent fuel and high level waste)</ENT> <ENT>1</ENT> <ENT>SMALL. Off-site impacts of the uranium fuel cycle have been considered by the Commission in Table S-3 of 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.</ENT> </ROW> <ROW> <PRTPAGE P="52"/> <ENT I="11"/> </ROW> <ROW> <ENT I="01">Offsite radiological impacts (collective effects)</ENT> <ENT>1</ENT> <ENT>The 100 year environmental dose commitment to the U.S. 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. <LI>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.</LI> </ENT> </ROW> <ROW> <ENT I="11"/> </ROW> <ROW> <ENT I="01">Offsite radiological impacts (spent fuel and high level waste disposal)</ENT> <ENT>1</ENT> <ENT>For the high level waste and spent fuel 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<E T="51">−3</E>.</ENT> </ROW> <ROW> <PRTPAGE P="53"/> <ENT I="11"/> </ROW> <ROW> <ENT I="01" O="xl"/> <ENT O="xl"/> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01" O="xl"/> <ENT O="xl"/> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Nonradiological impacts of the uranium fuel cycle</ENT> <ENT>1</ENT> <ENT>SMALL. The nonradiological impacts of the uranium fuel cycle resulting from the renewal of an operating license for any plant are found to be small.</ENT> </ROW> <ROW> <ENT I="01">Low-level waste storage and disposal</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <PRTPAGE P="54"/> <ENT I="01">Mixed waste storage and disposal</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">On-site spent fuel</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Nonradiological waste</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Transportation </ENT> <ENT>1 </ENT> <ENT>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 § 51.52.</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Decommissioning</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Radiation doses </ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Waste management</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Air quality</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Water quality </ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW> <ENT I="01">Ecological resources</ENT> <ENT>1 </ENT> <ENT>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.</ENT> </ROW> <ROW RUL="03,s"> <ENT I="01">Socioeconomic impacts</ENT> <ENT>1</ENT> <ENT>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.</ENT> </ROW> <ROW EXPSTB="02" RUL="03,s"> <ENT I="21"> <E T="02">Environmental Justice</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">Environmental justice <SU>6</SU> </ENT> <ENT> <SU>4</SU> NA</ENT> <ENT>NONE. The need for and the content of an analysis of environmental justice will be addressed in plant-specific reviews.<SU>6</SU> </ENT> </ROW> <TNOTE> <SU>1</SU> 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).</TNOTE> <TNOTE> <SU>2</SU> The numerical entries in this column are based on the following category definitions:</TNOTE> <TNOTE>Category 1: For the issue, the analysis reported in the Generic Environmental Impact Statement has shown:</TNOTE> <TNOTE>(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;</TNOTE> <TNOTE>(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</TNOTE> <TNOTE>(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.<PRTPAGE P="55"/> </TNOTE> <TNOTE>The generic analysis of the issue may be adopted in each plant-specific review.</TNOTE> <TNOTE>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.</TNOTE> <TNOTE> <SU>3</SU> 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:</TNOTE> <TNOTE>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.</TNOTE> <TNOTE>MODERATE—For the issue, environmental effects are sufficient to alter noticeably, but not to destabilize, important attributes of the resource.</TNOTE> <TNOTE>LARGE—For the issue, environmental effects are clearly noticeable and are sufficient to destabilize important attributes of the resource.</TNOTE> <TNOTE>For issues where probability is a key consideration (i.e., accident consequences), probability was a factor in determining significance.</TNOTE> <TNOTE> <SU>4</SU> NA (not applicable). The categorization and impact finding definitions do not apply to these issues.</TNOTE> <TNOTE> <SU>5</SU> 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.</TNOTE> <TNOTE> <SU>6</SU> 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.</TNOTE> </GPOTABLE> <CITA TYPE="W">[61 FR 66546, Dec. 18, 1996, as amended at 62 FR 59276, Nov. 3, 1997; 64 FR 48507, Sept. 3, 1999]</CITA> </APPENDIX> </SUBPART> </PART> <PART> <EAR>Pt. 52</EAR> <HD SOURCE="HED">PART 52—EARLY SITE PERMITS; STANDARD DESIGN CERTIFICATIONS; AND COMBINED LICENSES FOR NUCLEAR POWER PLANTS</HD> <CONTENTS> <SUBJGRP> <HD SOURCE="HED">General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>52.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>52.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>52.5</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <SECTNO>52.8</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> <SECTNO>52.9</SECTNO> <SUBJECT>Deliberate misconduct.</SUBJECT> </SUBJGRP> <SUBPART> <HD SOURCE="HED">Subpart A—Early Site Permits</HD> <SECTNO>52.11</SECTNO> <SUBJECT>Scope of subpart.</SUBJECT> <SECTNO>52.13</SECTNO> <SUBJECT>Relationship to subpart F of 10 CFR part 2 and appendix Q of this part.</SUBJECT> <SECTNO>52.15</SECTNO> <SUBJECT>Filing of applications.</SUBJECT> <SECTNO>52.17</SECTNO> <SUBJECT>Contents of applications.</SUBJECT> <SECTNO>52.18</SECTNO> <SUBJECT>Standards for review of applications.</SUBJECT> <SECTNO>52.19</SECTNO> <SUBJECT>Permit and renewal fees.</SUBJECT> <SECTNO>52.21</SECTNO> <SUBJECT>Hearings.</SUBJECT> <SECTNO>52.23</SECTNO> <SUBJECT>Referral to the ACRS.</SUBJECT> <SECTNO>52.24</SECTNO> <SUBJECT>Issuance of early site permit.</SUBJECT> <SECTNO>52.25</SECTNO> <SUBJECT>Extent of activities permitted.</SUBJECT> <SECTNO>52.27</SECTNO> <SUBJECT>Duration of permit.</SUBJECT> <SECTNO>52.29</SECTNO> <SUBJECT>Application for renewal.</SUBJECT> <SECTNO>52.31</SECTNO> <SUBJECT>Criteria for renewal.</SUBJECT> <SECTNO>52.33</SECTNO> <SUBJECT>Duration of renewal.</SUBJECT> <SECTNO>52.35</SECTNO> <SUBJECT>Use of site for other purposes.</SUBJECT> <SECTNO>52.37</SECTNO> <SUBJECT>Reporting of defects and noncompliance; revocation, suspension, modification of permits for cause.</SUBJECT> <SECTNO>52.39</SECTNO> <SUBJECT>Finality of early site permit determinations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Standard Design Certifications</HD> <SECTNO>52.41</SECTNO> <SUBJECT>Scope of subpart.</SUBJECT> <SECTNO>52.43</SECTNO> <SUBJECT>Relationship to appendices M, N, and O of this part.</SUBJECT> <SECTNO>52.45</SECTNO> <SUBJECT>Filing of applications.</SUBJECT> <SECTNO>52.47</SECTNO> <SUBJECT>Contents of applications.</SUBJECT> <SECTNO>52.48</SECTNO> <SUBJECT>Standards for review of applications.</SUBJECT> <SECTNO>52.49</SECTNO> <SUBJECT>Fees for review of applications.</SUBJECT> <SECTNO>52.51</SECTNO> <SUBJECT>Administrative review of applications.</SUBJECT> <SECTNO>52.53</SECTNO> <SUBJECT>Referral to the ACRS.</SUBJECT> <SECTNO>52.54</SECTNO> <SUBJECT>Issuance of standard design certification.</SUBJECT> <SECTNO>52.55</SECTNO> <SUBJECT>Duration of certification.</SUBJECT> <SECTNO>52.57</SECTNO> <SUBJECT>Application for renewal.</SUBJECT> <SECTNO>52.59</SECTNO> <SUBJECT>Criteria for renewal.</SUBJECT> <SECTNO>52.61</SECTNO> <SUBJECT>Duration of renewal.</SUBJECT> <SECTNO>52.63</SECTNO> <SUBJECT>Finality of standard design certifications.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Combined Licenses</HD> <SECTNO>52.71</SECTNO> <SUBJECT>Scope of subpart.</SUBJECT> <SECTNO>52.73</SECTNO> <SUBJECT>Relationship to subparts A and B.</SUBJECT> <SECTNO>52.75</SECTNO> <SUBJECT>Filing of applications.</SUBJECT> <SECTNO>52.77</SECTNO> <SUBJECT>Contents of applications; general information.</SUBJECT> <SECTNO>52.78</SECTNO> <SUBJECT>Contents of applications; training and qualification of nuclear power plant personnel.</SUBJECT> <SECTNO>52.79</SECTNO> <SUBJECT>Contents of applications; technical information.</SUBJECT> <SECTNO>52.81</SECTNO> <SUBJECT>Standards for review of applications.</SUBJECT> <SECTNO>52.83</SECTNO> <SUBJECT>Applicability of part 50 provisions.</SUBJECT> <SECTNO>52.85</SECTNO> <SUBJECT>Administrative review of applications.</SUBJECT> <SECTNO>52.87</SECTNO> <SUBJECT>Referral to the ACRS.</SUBJECT> <SECTNO>52.89</SECTNO> <SUBJECT>Environmental review.</SUBJECT> <SECTNO>52.91</SECTNO> <SUBJECT>Authorization to conduct site activities.</SUBJECT> <SECTNO>52.93</SECTNO> <SUBJECT>Exemptions and variances.</SUBJECT> <SECTNO>52.97</SECTNO> <SUBJECT>Issuance of combined licenses.</SUBJECT> <SECTNO>52.99</SECTNO> <SUBJECT>Inspection during construction.</SUBJECT> <SECTNO>52.103</SECTNO> <SUBJECT>Operation under a combined license.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Violations</HD> <SECTNO>52.111</SECTNO> <SUBJECT>Violations.</SUBJECT> <SECTNO>52.113</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> <APP>Appendix A to Part 52—Design Certification Rule for the U.S. Advanced Boiling Water Reactor<PRTPAGE P="56"/> </APP> <APP>Appendix B to Part 52—Design Certification Rule for the System 80+ Design</APP> <APP>Appendix C to Part 52—Design Certification Rule for the AP600 Design</APP> <APP>Appendices D-L to Part 52[Reserved]</APP> <APP>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</APP> <APP>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</APP> <APP>Appendix O to Part 52—Standardization of Design: Staff Review of Standard Designs</APP> <APP>Appendix P to Part 52 [Reserved]</APP> <APP>Appendix Q to Part 52—Pre-Application Early Review of Site Suitability Issues</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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).</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>54 FR 15386, Apr. 18, 1989, unless otherwise noted.</P> </SOURCE> <SUBJGRP> <HD SOURCE="HED">General Provisions</HD> <SECTION> <SECTNO>§ 52.1</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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 § 52.9.</P> <CITA>[63 FR 1897, Jan. 13, 1998]</CITA> </SECTION> <SECTION> <SECTNO>§ 52.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in this part,</P> <P>(a) <E T="03">Combined license</E> means a combined construction permit and operating license with conditions for a nuclear power facility issued pursuant to subpart C of this part.</P> <P>(b) <E T="03">Early site permit</E> means a Commission approval, issued pursuant to subpart A of this part, for a site or sites for one or more nuclear power facilities.</P> <P>(c) <E T="03">Standard design</E> 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.</P> <P>(d) <E T="03">Standard design certification</E>, <E T="03">design certification</E>, or <E T="03">certification</E> 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 <E T="03">certified standard design</E>.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 52.5</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 52.8</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> <P>(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.<PRTPAGE P="57"/> </P> <P>(b) The approved information collection requirements contained in this part appear in §§ 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.</P> <CITA>[62 FR 52188, Oct. 6, 1997, as amended at 64 FR 72015, Dec. 23, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 52.9</SECTNO> <SUBJECT>Deliberate misconduct.</SUBJECT> <P>(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:</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(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:</P> <P>(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</P> <P>(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.</P> <CITA>[63 FR 1897, Jan. 13, 1998]</CITA> </SECTION> </SUBJGRP> <SUBPART> <HD SOURCE="HED">Subpart A—Early Site Permits</HD> <SECTION> <SECTNO>§ 52.11</SECTNO> <SUBJECT>Scope of subpart.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 52.13</SECTNO> <SUBJECT>Relationship to subpart F of 10 CFR part 2 and appendix Q of this part.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 52.15</SECTNO> <SUBJECT>Filing of applications.</SUBJECT> <P>(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 <PRTPAGE P="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.</P> <P>(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 § 50.4, which is referenced by § 50.30(a)(1), are applicable: paragraphs (a), (b) (1)-(3), (c), (d), and (e).</P> </SECTION> <SECTION> <SECTNO>§ 52.17</SECTNO> <SUBJECT>Contents of applications.</SUBJECT> <P>(a)(1) The application must contain the information required by § 50.33 (a) through (d), the information required by § 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 § 50.33 (g) and (j), and § 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 § 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:</P> <P>(i) The number, type, and thermal power level of the facilities for which the site may be used;</P> <P>(ii) The boundaries of the site;</P> <P>(iii) The proposed general location of each facility on the site;</P> <P>(iv) The anticipated maximum levels of radiological and thermal effluents each facility will produce;</P> <P>(v) The type of cooling systems, intakes, and outflows that may be associated with each facility;</P> <P>(vi) The seismic, meteorological, hydrologic, and geologic characteristics of the proposed site;</P> <P>(vii) The location and description of any nearby industrial, military, or transportation facilities and routes; and</P> <P>(viii) The existing and projected future population profile of the area surrounding the site.</P> <P>(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.</P> <P>(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.</P> <P>(2) The application may also either:</P> <P>(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</P> <P>(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.</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <CITA>[54 FR 15386, Sept. 18, 1989, as amended at 61 FR 65175, Dec. 11, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 52.18</SECTNO> <SUBJECT>Standards for review of applications.</SUBJECT> <P>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 § 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 § 52.17(b)(2)(i) are acceptable, and whether any emergency plans submitted by the applicant under § 52.17(b)(2)(ii) provide reasonable assurance that adequate protective measures can and will be taken in the event of a radiological emergency.</P> </SECTION> <SECTION> <SECTNO>§ 52.19</SECTNO> <SUBJECT>Permit and renewal fees.</SUBJECT> <P>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.</P> <CITA>[56 FR 31499, July 10, 1991]</CITA> </SECTION> <SECTION> <SECTNO>§ 52.21</SECTNO> <SUBJECT>Hearings.</SUBJECT> <P>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 §§ 2.101(a) (1)-(4), and the requirements for issuance of a notice of hearing in §§ 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.</P> </SECTION> <SECTION> <PRTPAGE P="60"/> <SECTNO>§ 52.23</SECTNO> <SUBJECT>Referral to the ACRS.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 52.24</SECTNO> <SUBJECT>Issuance of early site permit.</SUBJECT> <P>After conducting a hearing under § 52.21 of this subpart and receiving the report to be submitted by the Advisory Committee on Reactor Safeguards under § 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.</P> </SECTION> <SECTION> <SECTNO>§ 52.25</SECTNO> <SUBJECT>Extent of activities permitted.</SUBJECT> <P>(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.</P> <P>(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 § 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.</P> </SECTION> <SECTION> <SECTNO>§ 52.27</SECTNO> <SUBJECT>Duration of permit.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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 § 52.103 of this part before operation begins under a combined license which references the early site permit.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 52.29</SECTNO> <SUBJECT>Application for renewal.</SUBJECT> <P>(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.</P> <P>(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.<PRTPAGE P="61"/> </P> <P>(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 § 52.27(b).</P> <P>(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 § 52.31.</P> </SECTION> <SECTION> <SECTNO>§ 52.31</SECTNO> <SUBJECT>Criteria for renewal.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 52.33</SECTNO> <SUBJECT>Duration of renewal.</SUBJECT> <P>Each renewal of an early site permit may be for not less than ten nor more than twenty years.</P> </SECTION> <SECTION> <SECTNO>§ 52.35</SECTNO> <SUBJECT>Use of site for other purposes.</SUBJECT> <P>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 § 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.</P> </SECTION> <SECTION> <SECTNO>§ 52.37</SECTNO> <SUBJECT>Reporting of defects and noncompliance; revocation, suspension, modification of permits for cause.</SUBJECT> <P>For purposes of part 21 and 10 CFR 50.100, an early site permit is a construction permit.</P> </SECTION> <SECTION> <SECTNO>§ 52.39</SECTNO> <SUBJECT>Finality of early site permit determinations.</SUBJECT> <P>(a)(1) Notwithstanding any provision in 10 CFR 50.109, while an early site permit is in effect under §§ 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.</P> <P>(2) In making the findings required for issuance of a construction permit, operating license, or combined license, or the findings required by § 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.<PRTPAGE P="62"/> </P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(iv) Prior to construction, the Commission shall find that the terms of the early site permit have been met.</P> <P>(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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Standard Design Certifications</HD> <SECTION> <SECTNO>§ 52.41</SECTNO> <SUBJECT>Scope of subpart.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 52.43</SECTNO> <SUBJECT>Relationship to appendices M, N, and O of this part.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="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 §§ 52.45 and 52.47.</P> </SECTION> <SECTION> <SECTNO>§ 52.45</SECTNO> <SUBJECT>Filing of applications.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 § 50.4, which is referenced by § 50.30(a)(1), are applicable to the extent technically relevant: paragraphs (a); (b), except for paragraphs (6); (c); and (e).</P> </SECTION> <SECTION> <SECTNO>§ 52.47</SECTNO> <SUBJECT>Contents of applications.</SUBJECT> <P>(a) The requirements of this paragraph apply to all applications for design certification. (1) An application for design certification must contain:</P> <P>(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;</P> <P>(ii) Demonstration of compliance with any technically relevant portions of the Three Mile Island requirements set forth in 10 CFR 50.34(f);</P> <P>(iii) The site parameters postulated for the design, and an analysis and evaluation of the design in terms of such parameters;</P> <P>(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;</P> <P>(v) A design-specific probabilistic risk assessment;</P> <P>(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.</P> <P>(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;</P> <P>(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 <PRTPAGE P="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</P> <P>(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.</P> <P>(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.</P> <P>(3) The staff shall advise the applicant on whether any technical information beyond that required by this section must be submitted.</P> <P>(b) This paragraph applies, according to its provisions, to particular applications:</P> <P>(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.</P> <P>(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</P> <P>(A)(<E T="03">1</E>) The performance of each safety feature of the design has been demonstrated through either analysis, appropriate test programs, experience, or a combination thereof;</P> <P>(<E T="03">2</E>) Interdependent effects among the safety features of the design have been found acceptable by analysis, appropriate test programs, experience, or a combination thereof;</P> <P>(<E T="03">3</E>) 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</P> <P>(<E T="03">4</E>) 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</P> <P>(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)(<E T="03">4</E>) 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.</P> <P>(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.</P> <P>The Appendix O final design approval of such a design must identify the specific testing required for certification of the design.<PRTPAGE P="65"/> </P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 52.48</SECTNO> <SUBJECT>Standards for review of applications.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 52.49</SECTNO> <SUBJECT>Fees for review of applications.</SUBJECT> <P>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.</P> <CITA>[56 FR 31499, July 10, 1991]</CITA> </SECTION> <SECTION> <SECTNO>§ 52.51</SECTNO> <SUBJECT>Administrative review of applications.</SUBJECT> <P>(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 § 52.45 and shall specify the procedures to be used for the rulemaking.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 52.53</SECTNO> <SUBJECT>Referral to the ACRS.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 52.54</SECTNO> <SUBJECT>Issuance of standard design certification.</SUBJECT> <P>After conducting a rulemaking proceeding under § 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 § 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 <PRTPAGE P="66"/>for the design which is the subject of the application.</P> </SECTION> <SECTION> <SECTNO>§ 52.55</SECTNO> <SUBJECT>Duration of certification.</SUBJECT> <P>(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.</P> <P>(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 § 52.103 before operation begins under a combined license which references the design certification.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 52.57</SECTNO> <SUBJECT>Application for renewal.</SUBJECT> <P>(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.</P> <P>(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 § 52.55.</P> <P>(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 § 52.59.</P> </SECTION> <SECTION> <SECTNO>§ 52.59</SECTNO> <SUBJECT>Criteria for renewal.</SUBJECT> <P>(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 § 52.45 and 52.47 of this part.</P> <P>(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.</P> </SECTION> <SECTION> <PRTPAGE P="67"/> <SECTNO>§ 52.61</SECTNO> <SUBJECT>Duration of renewal.</SUBJECT> <P>Each renewal of certification for a standard design will be for not less than ten nor more than fifteen years.</P> </SECTION> <SECTION> <SECTNO>§ 52.63</SECTNO> <SUBJECT>Finality of standard design certifications.</SUBJECT> <P>(a)(1) Notwithstanding any provision in 10 CFR 50.109, while a standard design certification is in effect under § 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 § 52.51 of this subpart.</P> <P>(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.</P> <P>(3) While a design certification is in effect under § 52.55 or § 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 § 50.12(a), the Commission shall consider whether the special circumstances which § 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.</P> <P>(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 § 52.103, the Commission shall treat as resolved those matters resolved in connection with the issuance or renewal of a design certification.</P> <P>(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 § 50.12(a), the Commission shall consider whether the special circumstances which § 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.</P> <P>(2) Subject § 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.</P> <P>(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 <PRTPAGE P="68"/>certified design. This information may be acquired by appropriate arrangements with the design certification applicant.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Combined Licenses</HD> <SECTION> <SECTNO>§ 52.71</SECTNO> <SUBJECT>Scope of subpart.</SUBJECT> <P>This subpart sets out the requirements and procedures applicable to Commission issuance of combined licenses for nuclear power facilities.</P> </SECTION> <SECTION> <SECTNO>§ 52.73</SECTNO> <SUBJECT>Relationship to subparts A and B.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 52.75</SECTNO> <SUBJECT>Filing of applications.</SUBJECT> <P>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 § 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.</P> </SECTION> <SECTION> <SECTNO>§ 52.77</SECTNO> <SUBJECT>Contents of applications; general information.</SUBJECT> <P>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 § 50.33a(b) regarding the submission of antitrust information.</P> </SECTION> <SECTION> <SECTNO>§ 52.78</SECTNO> <SUBJECT>Contents of applications; training and qualification of nuclear power plant personnel.</SUBJECT> <P>(a) <E T="03">Applicability.</E> The requirements of this section apply only to the personnel associated with the operating phase of the combined licenses.</P> <P>(b) The application must demonstrate compliance with the requirements for training programs established in § 50.120 of this chapter.</P> <CITA>[58 FR 21912, Apr. 26, 1993]</CITA> </SECTION> <SECTION> <SECTNO>§ 52.79</SECTNO> <SUBJECT>Contents of applications; technical information.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(3) If the application does not reference an early site permit which contains a site redress plan as described in § 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 § 52.17(c).</P> <P>(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 <PRTPAGE P="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 § 52.47(a)(1), and have available for audit procurement specifications and construction and installation specifications in accordance with § 52.47(a)(2). If the application does not reference a certified design, the application must comply with the requirements of § 52.47(a)(2) for level of design information, and shall contain the technical information required by §§ 52.47(a)(1) (i), (ii), (iv), and (v) and (3), and, if the design is modular, § 52.47(b)(3).</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[54 FR 15386, Apr. 18, 1989, as amended at 57 FR 60978, Dec. 23, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 52.81</SECTNO> <SUBJECT>Standards for review of applications.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 52.83</SECTNO> <SUBJECT>Applicability of part 50 provisions.</SUBJECT> <P>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 § 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 § 52.99. However, any limitations contained in part 50 regarding applicability of the <PRTPAGE P="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 §§ 50.55 (a), (b) and (d), and 50.58.</P> <CITA>[57 FR 60978, Dec. 23, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 52.85</SECTNO> <SUBJECT>Administrative review of applications.</SUBJECT> <P>A proceeding on a combined license is subject to all applicable procedural requirements contained in 10 CFR part 2, including the requirements for docketing (§ 2.101) and issuance of a notice of hearing (§ 2.104). All hearings on combined licenses are governed by the procedures contained in part 2, subpart G.</P> </SECTION> <SECTION> <SECTNO>§ 52.87</SECTNO> <SUBJECT>Referral to the ACRS.</SUBJECT> <P>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 § 52.81, in accordance with the finality provisions of this part.</P> </SECTION> <SECTION> <SECTNO>§ 52.89</SECTNO> <SUBJECT>Environmental review.</SUBJECT> <P>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 § 51.95(a).</P> </SECTION> <SECTION> <SECTNO>§ 52.91</SECTNO> <SUBJECT>Authorization to conduct site activities.</SUBJECT> <P>(a)(1) If the application references an early site permit which contains a site redress plan as described in § 52.17(c) the applicant is authorized by § 52.25 to perform the site preparation activities described in 10 CFR 50.10(e)(1).</P> <P>(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 § 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 § 52.17(c).</P> <P>(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).</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 52.93</SECTNO> <SUBJECT>Exemptions and variances.</SUBJECT> <P>(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.</P> <P>(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 <PRTPAGE P="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.</P> </SECTION> <SECTION> <SECTNO>§ 52.97</SECTNO> <SUBJECT>Issuance of combined licenses.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[54 FR 15386, Apr. 18, 1989, as amended at 57 FR 60978, Dec. 23, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 52.99</SECTNO> <SUBJECT>Inspection during construction.</SUBJECT> <P>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.</P> <CITA>[57 FR 60978, Dec. 23, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 52.103</SECTNO> <SUBJECT>Operation under a combined license.</SUBJECT> <P>(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 <E T="04">Federal Register</E> 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.</P> <P>(b) A request for hearing under paragraph (a) of this section shall show, <E T="03">prima facie,</E> that—</P> <P>(1) One or more of the acceptance criteria in the combined license have not been, or will not be met; and</P> <P>(2) The specific operational consequences of nonconformance that would be contrary to providing reasonable assurance of adequate protection of the public health and safety.</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[57 FR 60978, Dec. 23, 1992]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Violations</HD> <SECTION> <SECTNO>§ 52.111</SECTNO> <SUBJECT>Violations.</SUBJECT> <P>(a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of—</P> <P>(1) The Atomic Energy Act of 1954, as amended;</P> <P>(2) Title II of the Energy Reorganization Act of 1974, as amended; or</P> <P>(3) A regulation or order issued pursuant to those Acts.</P> <P>(b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act:</P> <P>(1) For violations of—</P> <P>(i) Section 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended;</P> <P>(ii) Section 206 of the Energy Reorganization Act;</P> <P>(iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section;</P> <P>(iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section.</P> <P>(2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended.</P> <CITA>[57 FR 55075, Nov. 24, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 52.113</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> <P>(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.</P> <P>(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: §§ 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.</P> <CITA>[57 FR 55075, Nov. 24, 1992, as amended at 58 FR 21912, Apr. 26, 1993]</CITA> </SECTION> <APPENDIX> <PRTPAGE P="73"/> <EAR>Pt. 52, App. A</EAR> <HD SOURCE="HED">Appendix A To Part 52—Design Certification Rule for the U.S. Advanced Boiling Water Reactor</HD> <HD SOURCE="HD2">I. Introduction</HD> <P>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.</P> <HD SOURCE="HD2">II. Definitions</HD> <P>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.</P> <P>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.</P> <P>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.</P> <P>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:</P> <P>1. Definitions and general provisions;</P> <P>2. Design descriptions;</P> <P>3. Inspections, tests, analyses, and acceptance criteria (ITAAC);</P> <P>4. Significant site parameters; and</P> <P>5. Significant interface requirements.</P> <P>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:</P> <P>1. Information required by 10 CFR 52.47, with the exception of generic technical specifications and conceptual design information;</P> <P>2. Information required for a final safety analysis report under 10 CFR 50.34;</P> <P>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</P> <P>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.</P> <P>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.</P> <P>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.</P> <HD SOURCE="HD2">III. Scope and Contents</HD> <P>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.</P> <P>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.</P> <P>C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then Tier 1 controls.</P> <P>D. If there is a conflict between the generic DCD and either the application for design <PRTPAGE P="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.</P> <P>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.</P> <HD SOURCE="HD2">IV. Additional Requirements and Restrictions</HD> <P>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:</P> <P>1. Incorporate by reference, as part of its application, this appendix;</P> <P>2. Include, as part of its application:</P> <P>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;</P> <P>b. The reports on departures from and updates to the plant-specific DCD required by X.B of this appendix;</P> <P>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;</P> <P>d. Information demonstrating compliance with the site parameters and interface requirements;</P> <P>e. Information that addresses the COL action items; and</P> <P>f. Information required by 10 CFR 52.47(a) that is not within the scope of this appendix.</P> <P>3. Physically include, in the plant-specific DCD, the proprietary information and safeguards information referenced in the U.S. ABWR DCD.</P> <P>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.</P> <HD SOURCE="HD2">V. Applicable Regulations</HD> <P>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.</P> <P>B. The U.S. ABWR design is exempt from portions of the following regulations:</P> <P>1. Paragraph (f)(2)(iv) of 10 CFR 50.34—Separate Plant Safety Parameter Display Console;</P> <P>2. Paragraph (f)(2)(viii) of 10 CFR 50.34—Post-Accident Sampling for Boron, Chloride, and Dissolved Gases; and</P> <P>3. Paragraph (f)(3)(iv) of 10 CFR 50.34—Dedicated Containment Penetration.</P> <HD SOURCE="HD2">VI. Issue Resolution</HD> <P>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.</P> <P>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:</P> <P>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;</P> <P>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;</P> <P>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;</P> <P>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;</P> <P>5. All departures from the DCD that are approved by license amendment, but only for that proceeding;</P> <P>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;</P> <P>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, <PRTPAGE P="75"/>dated December 1994, for plants referencing this appendix whose site parameters are within those specified in the Technical Support Document.</P> <P>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.</P> <P>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:</P> <P>1. Modify structures, systems, components, or design features as described in the generic DCD;</P> <P>2. Provide additional or alternative structures, systems, components, or design features not discussed in the generic DCD; or</P> <P>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.</P> <P>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:</P> <P>a. The nature of the proprietary or other information sought;</P> <P>b. The reason why the information currently available to the public at the NRC Web site, <E T="03">http://www.nrc.gov</E>, and/or at the NRC Public Document Room, is insufficient;</P> <P>c. The relevance of the requested information to the hearing issue(s) which the person proposes to raise; and</P> <P>d. A showing that the requesting person has the capability to understand and utilize the requested information.</P> <P>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 <E T="04">Federal Register</E> 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.</P> <HD SOURCE="HD2">VII. Duration of This Appendix</HD> <P>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.</P> <HD SOURCE="HD2">VIII. Processes for Changes and Departures</HD> <P>A. Tier 1 information.</P> <P>1. Generic changes to Tier 1 information are governed by the requirements in 10 CFR 52.63(a)(1).</P> <P>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.</P> <P>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).</P> <P>4. Exemptions from Tier 1 information are governed by the requirements in 10 CFR 52.63(b)(1) and § 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.</P> <P>B. Tier 2 information.</P> <P>1. Generic changes to Tier 2 information are governed by the requirements in 10 CFR 52.63(a)(1).</P> <P>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.</P> <P>3. The Commission may not require new requirements on Tier 2 information by plant-specific order while this appendix is in effect under §§ 52.55 or 52.61, unless:</P> <P>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 <PRTPAGE P="76"/>Section V of this appendix, or to assure adequate protection of the public health and safety or the common defense and security; and</P> <P>b. Special circumstances as defined in 10 CFR 50.12(a) are present.</P> <P>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.</P> <P>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.</P> <P>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—</P> <P>(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;</P> <P>(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</P> <P>(3) The margin of safety as defined in the basis for any technical specification is reduced.</P> <P>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—</P> <P>(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</P> <P>(2) There is a substantial increase in the consequences to the public of a particular severe accident previously reviewed.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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).</P> <P>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.</P> <P>(1) Fuel burnup limit (4.2).</P> <P>(2) Fuel design evaluation (4.2.3).</P> <P>(3) Fuel licensing acceptance criteria (Appendix 4B).</P> <P>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.</P> <P>(1) ASME Boiler & Pressure Vessel Code, Section III.</P> <P>(2) ACI 349 and ANSI/AISC N-690.</P> <P>(3) Motor-operated valves.<PRTPAGE P="77"/> </P> <P>(4) Equipment seismic qualification methods.</P> <P>(5) Piping design acceptance criteria.</P> <P>(6) Fuel system and assembly design (4.2), except burnup limit.</P> <P>(7) Nuclear design (4.3).</P> <P>(8) Equilibrium cycle and control rod patterns (App. 4A).</P> <P>(9) Control rod licensing acceptance criteria (App. 4C).</P> <P>(10) Instrument setpoint methodology.</P> <P>(11) EMS performance specifications and architecture.</P> <P>(12) SSLC hardware and software qualification.</P> <P>(13) Self-test system design testing features and commitments.</P> <P>(14) Human factors engineering design and implementation process.</P> <P>d. Departures from Tier 2* information that are made under paragraph B.6 of this section do not require an exemption from this appendix.</P> <P>C. Operational requirements.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <HD SOURCE="HD2">IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)</HD> <P>A.1An 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.</P> <P>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.</P> <P>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 <PRTPAGE P="78"/>the requirements of paragraph VIII.A.1 of this appendix.</P> <P>B.1The 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 <E T="04">Federal Register</E>.</P> <P>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.</P> <P>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.</P> <HD SOURCE="HD2">X. Records and Reporting</HD> <P>A. Records.</P> <P>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.</P> <P>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).</P> <P>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).</P> <P>B. Reporting.</P> <P>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.</P> <P>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).</P> <P>3. The reports and updates required by paragraphs B.1 and B.2 of this section must be submitted as follows:</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <CITA>[62 FR 25827, May 12, 1997; 62 FR 27293, May 19, 1997, as amended at 64 FR 48953, Sept. 9, 1999]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 52, App. B</EAR> <HD SOURCE="HED">Appendix B To Part 52—Design Certification Rule for the System 80+ Design</HD> <HD SOURCE="HD2">I. Introduction</HD> <P>Appendix B constitutes design certification for the System 80+ <E T="51">1</E> <FTREF/> 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).</P> <FTNT> <P> <SU>1</SU> “System 80+” is a trademark of Combustion Engineering, Inc.</P> </FTNT> <HD SOURCE="HD2">II. Definitions</HD> <P>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.</P> <P>B. Generic technical specifications means the information, required by 10 CFR 50.36 and <PRTPAGE P="79"/>50.36a, for the portion of the plant that is within the scope of this appendix.</P> <P>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.</P> <P>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:</P> <P>1. Definitions and general provisions;</P> <P>2. Design descriptions;</P> <P>3. Inspections, tests, analyses, and acceptance criteria (ITAAC);</P> <P>4. Significant site parameters; and</P> <P>5. Significant interface requirements.</P> <P>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:</P> <P>1. Information required by 10 CFR 52.47, with the exception of generic technical specifications and conceptual design information;</P> <P>2. Information required for a final safety analysis report under 10 CFR 50.34;</P> <P>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</P> <P>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.</P> <P>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.</P> <P>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.</P> <HD SOURCE="HD2">III. Scope and Contents</HD> <P>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.</P> <P>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.</P> <P>C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then Tier 1 controls.</P> <P>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.</P> <P>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.</P> <HD SOURCE="HD2">IV. Additional Requirements and Restrictions</HD> <P>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:</P> <P>1. Incorporate by reference, as part of its application, this appendix;</P> <P>2. Include, as part of its application:<PRTPAGE P="80"/> </P> <P>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;</P> <P>b. The reports on departures from and updates to the plant-specific DCD required by X.B of this appendix;</P> <P>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;</P> <P>d. Information demonstrating compliance with the site parameters and interface requirements;</P> <P>e. Information that addresses the COL action items; and</P> <P>f. Information required by 10 CFR 52.47(a) that is not within the scope of this appendix.</P> <P>3. Physically include, in the plant-specific DCD, the proprietary information referenced in the System 80+ DCD.</P> <P>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.</P> <HD SOURCE="HD2">V. Applicable Regulations</HD> <P>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.</P> <P>B. The System 80+ design is exempt from portions of the following regulations:</P> <P>1. Paragraph (f)(2)(iv) of 10 CFR 50.34—Separate Plant Safety Parameter Display Console;</P> <P>2. Paragraphs (f)(2) (vii), (viii), (xxvi), and (xxviii) of 10 CFR 50.34—Accident Source Terms;</P> <P>3. Paragraph (f)(2)(viii) of 10 CFR 50.34—Post-Accident Sampling for Hydrogen, Boron, Chloride, and Dissolved Gases;</P> <P>4. Paragraph (f)(3)(iv) of 10 CFR 50.34—Dedicated Containment Penetration; and</P> <P>5. Paragraphs III.A.1(a) and III.C.3(b) of Appendix J to 10 CFR 50—Containment Leakage Testing.</P> <HD SOURCE="HD2">VI. Issue Resolution</HD> <P>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.</P> <P>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:</P> <P>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;</P> <P>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;</P> <P>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;</P> <P>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;</P> <P>5. All departures from the DCD that are approved by license amendment, but only for that proceeding;</P> <P>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;</P> <P>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.</P> <P>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.</P> <P>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:<PRTPAGE P="81"/> </P> <P>1. Modify structures, systems, components, or design features as described in the generic DCD;</P> <P>2. Provide additional or alternative structures, systems, components, or design features not discussed in the generic DCD; or</P> <P>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.</P> <P>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 <E T="04">ABB-CE. The request must state</E> with particularity:</P> <P>a. The nature of the proprietary or other information sought;</P> <P>b. The reason why the information currently available to the public at the NRC Web site, <E T="03">http://www.nrc.gov</E>, and/or at the NRC Public Document Room, is insufficient.</P> <P>c. The relevance of the requested information to the hearing issue(s) which the person proposes to raise; and</P> <P>d. A showing that the requesting person has the capability to understand and utilize the requested information.</P> <P>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 <E T="04">Federal Register</E> 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.</P> <HD SOURCE="HD2">VII. Duration of This Appendix</HD> <P>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.</P> <HD SOURCE="HD2">VIII. Processes for Changes and Departures</HD> <P>A. Tier 1 information.</P> <P>1. Generic changes to Tier 1 information are governed by the requirements in 10 CFR 52.63(a)(1).</P> <P>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.</P> <P>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).</P> <P>4. Exemptions from Tier 1 information are governed by the requirements in 10 CFR 52.63(b)(1) and § 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.</P> <P>B. Tier 2 information.</P> <P>1. Generic changes to Tier 2 information are governed by the requirements in 10 CFR 52.63(a)(1).</P> <P>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.</P> <P>3. The Commission may not require new requirements on Tier 2 information by plant-specific order while this appendix is in effect under §§ 52.55 or 52.61, unless:</P> <P>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</P> <P>b. Special circumstances as defined in 10 CFR 50.12(a) are present.</P> <P>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 <PRTPAGE P="82"/>an exemption to a licensee must be subject to an opportunity for a hearing in the same manner as license amendments.</P> <P>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.</P> <P>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—</P> <P>(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;</P> <P>(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</P> <P>(3) The margin of safety as defined in the basis for any technical specification is reduced.</P> <P>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—</P> <P>(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</P> <P>(2) There is a substantial increase in the consequences to the public of a particular severe accident previously reviewed.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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).</P> <P>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.</P> <P>(1) Maximum fuel rod average burnup.</P> <P>(2) Control room human factors engineering.</P> <P>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.</P> <P>(1) ASME Boiler & Pressure Vessel Code, Section III.</P> <P>(2) ACI 349 and ANSI/AISC N-690.</P> <P>(3) Motor-operated valves.</P> <P>(4) Equipment seismic qualification methods.</P> <P>(5) Piping design acceptance criteria.</P> <P>(6) Fuel and control rod design, except burnup limit.</P> <P>(7) Instrumentation & controls setpoint methodology.</P> <P>(8) Instrumentation & controls hardware and software changes.</P> <P>(9) Instrumentation & controls environmental qualification.</P> <P>(10) Seismic design criteria for non-seismic category I structures.</P> <P>d. Departures from Tier 2* information that are made under paragraph B.6 of this section do not require an exemption from this appendix.</P> <P>C. Operational requirements.<PRTPAGE P="83"/> </P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <HD SOURCE="HD2">IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)</HD> <P>A.1An 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.</P> <P>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.</P> <P>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.</P> <P>B.1The 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 <E T="04">Federal Register</E>.</P> <P>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.</P> <P>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 <PRTPAGE P="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.</P> <HD SOURCE="HD2">X. Records and Reporting</HD> <HD SOURCE="HD3">A. Records</HD> <P>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.</P> <P>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).</P> <P>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).</P> <HD SOURCE="HD3">B. Reporting</HD> <P>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.</P> <P>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).</P> <P>3. The reports and updates required by paragraphs B.1 and B.2 of this section must be submitted as follows:</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <CITA>[62 FR 27867, May 21, 1997, as amended at 64 FR 48953, Sept. 9, 1999]</CITA> </APPENDIX> <APPENDIX> <EAR>Pt. 52, App. C</EAR> <HD SOURCE="HED">Appendix C to Part 52—Design Certification Rule for the AP600 Design</HD> <HD SOURCE="HD1">I. Introduction</HD> <P>Appendix C constitutes the standard design certification for the AP600 <E T="51">1</E> <FTREF/> design, in accordance with 10 CFR Part 52, Subpart B. The applicant for certification of the AP600 design is Westinghouse Electric Company LLC.</P> <FTNT> <P> <E T="51">1</E> AP600 is a trademark of Westinghouse Electric Company LLC.</P> </FTNT> <HD SOURCE="HD1">II. Definitions</HD> <P>A.<E T="03"> Generic design control document</E> (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.</P> <P>B.<E T="03"> Generic technical specifications</E> 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.</P> <P>C.<E T="03"> Plant-specific DCD</E> 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.</P> <P>D.<E T="03"> Tier 1</E> 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:</P> <P>1. Definitions and general provisions;</P> <P>2. Design descriptions;</P> <P>3. Inspections, tests, analyses, and acceptance criteria (ITAAC);</P> <P>4. Significant site parameters; and</P> <P>5. Significant interface requirements.<PRTPAGE P="85"/> </P> <P>E. <E T="03">Tier 2</E> 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:</P> <P>1. Information required by 10 CFR 52.47, with the exception of generic technical specifications and conceptual design information;</P> <P>2. Information required for a final safety analysis report under 10 CFR 50.34;</P> <P>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</P> <P>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.</P> <P>5. The investment protection short-term availability controls in Section 16.3 of the DCD.</P> <P>F. <E T="03">Tier 2*</E> 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.</P> <P>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.</P> <HD SOURCE="HD1">III. Scope and Contents</HD> <P>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.</P> <P>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.</P> <P>C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then Tier 1 controls.</P> <P>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.</P> <P>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.</P> <HD SOURCE="HD1">IV. Additional Requirements and Restrictions</HD> <P>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:</P> <P>1. Incorporate by reference, as part of its application, this appendix.</P> <P>2. Include, as part of its application:</P> <P>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;</P> <P>b. The reports on departures from and updates to the plant-specific DCD required by X.B of this appendix;</P> <P>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;</P> <P>d. Information demonstrating compliance with the site parameters and interface requirements;<PRTPAGE P="86"/> </P> <P>e. Information that addresses the COL action items; and</P> <P>f. Information required by 10 CFR 52.47(a) that is not within the scope of this appendix.</P> <P>3. Physically include, in the plant-specific DCD, the proprietary and safeguards information referenced in the AP600 DCD.</P> <P>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.</P> <HD SOURCE="HD1">V. Applicable Regulations</HD> <P>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.</P> <P>B. The AP600 design is exempt from portions of the following regulations:</P> <P>1. Paragraph (a)(1) of 10 CFR 50.34—whole body dose criterion;</P> <P>2. Paragraph (f)(2)(iv) of 10 CFR 50.34—Plant Safety Parameter Display Console;</P> <P>3. Paragraphs (f)(2)(vii), (viii), (xxvi), and (xxviii) of 10 CFR 50.34—Accident Source Term in TID 14844;</P> <P>4. Paragraph (a)(2) of 10 CFR 50.55a—ASME Boiler and Pressure Vessel Code;</P> <P>5. Paragraph (c)(1) of 10 CFR 50.62—Auxiliary (or emergency) feedwater system;</P> <P>6. Appendix A to 10 CFR Part 50, GDC 17—Offsite Power Sources; and</P> <P>7. Appendix A to 10 CFR Part 50, GDC 19—whole body dose criterion.</P> <HD SOURCE="HD1">VI. Issue Resolution</HD> <P>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.</P> <P>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:</P> <P>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;</P> <P>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;</P> <P>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;</P> <P>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;</P> <P>5. All departures from the DCD that are approved by license amendment, but only for that proceeding;</P> <P>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;</P> <P>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.</P> <P>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.</P> <P>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:</P> <P>1. Modify structures, systems, components, or design features as described in the generic DCD;</P> <P>2. Provide additional or alternative structures, systems, components, or design features not discussed in the generic DCD; or</P> <P>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.</P> <P>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 <PRTPAGE P="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:</P> <P>a. The nature of the proprietary or other information sought;</P> <P>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;</P> <P>c. The relevance of the requested information to the hearing issue(s) which the person proposes to raise; and</P> <P>d. A showing that the requesting person has the capability to understand and utilize the requested information.</P> <P>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 <E T="04">Federal Register</E> 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.</P> <HD SOURCE="HD1">VII. Duration of This Appendix</HD> <P>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.</P> <HD SOURCE="HD1">VIII. Processes for Changes and Departures</HD> <P>A. Tier 1 information.</P> <P>1. Generic changes to Tier 1 information are governed by the requirements in 10 CFR 52.63(a)(1).</P> <P>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.</P> <P>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).</P> <P>4. Exemptions from Tier 1 information are governed by the requirements in 10 CFR 52.63(b)(1) and § 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.</P> <P>B. Tier 2 information.</P> <P>1. Generic changes to Tier 2 information are governed by the requirements in 10 CFR 52.63(a)(1).</P> <P>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.</P> <P>3. The Commission may not require new requirements on Tier 2 information by plant-specific order while this appendix is in effect under §§ 52.55 or 52.61, unless:</P> <P>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</P> <P>b. Special circumstances as defined in 10 CFR 50.12(a) are present.</P> <P>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.</P> <P>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 <PRTPAGE P="88"/>licensee shall consider all matters described in the plant-specific DCD.</P> <P>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—</P> <P>(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;</P> <P>(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</P> <P>(3) The margin of safety as defined in the basis for any technical specification is reduced.</P> <P>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—</P> <P>(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</P> <P>(2) There is a substantial increase in the consequences to the public of a particular severe accident previously reviewed.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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).</P> <P>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.</P> <P>(1) Maximum fuel rod average burn-up.</P> <P>(2) Fuel principal design requirements.</P> <P>(3) Fuel criteria evaluation process.</P> <P>(4) Fire areas.</P> <P>(5) Human factors engineering.</P> <P>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.</P> <P>(1) Nuclear Island structural dimensions.</P> <P>(2) ASME Boiler and Pressure Vessel Code, Section III, and Code Case N-284.</P> <P>(3) Design Summary of Critical Sections.</P> <P>(4) ACI 318, ACI 349, and ANSI/AISC—690.</P> <P>(5) Definition of critical locations and thicknesses.</P> <P>(6) Seismic qualification methods and standards.</P> <P>(7) Nuclear design of fuel and reactivity control system, except burn-up limit.</P> <P>(8) Motor-operated and power-operated valves.</P> <P>(9) Instrumentation and control system design processes, methods, and standards.</P> <P>(10) PRHR natural circulation test (first plant only).</P> <P>(11) ADS and CMT verification tests (first three plants only).</P> <P>d. Departures from Tier 2* information that are made under paragraph B.6 of this section do not require an exemption from this appendix.</P> <P>C. Operational requirements.</P> <P>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.<PRTPAGE P="89"/> </P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <HD SOURCE="HD1">IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)</HD> <P>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.</P> <P>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.</P> <P>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.</P> <P>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 <E T="04">Federal Register</E>.</P> <P>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.</P> <P>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.<PRTPAGE P="90"/> </P> <HD SOURCE="HD1">X. Records and Reporting</HD> <HD SOURCE="HD2">A. Records</HD> <P>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.</P> <P>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).</P> <P>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).</P> <HD SOURCE="HD2">B. Reporting</HD> <P>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.</P> <P>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).</P> <P>3. The reports and updates required by paragraphs B.1 and B.2 of this section must be submitted as follows:</P> <P>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.</P> <P>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.</P> <P>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.</P> <P>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.</P> <CITA>[64 FR 72015, Dec. 23, 1999]</CITA> </APPENDIX> <APPENDIX> <HD SOURCE="HED">Appendices D-L to Part 52[Reserved]</HD> <EAR>Pt. 52, App. M</EAR> </APPENDIX> <APPENDIX> <HD SOURCE="HED">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</HD> <P>Section 101 of the Atomic Energy Act of 1954, as amended, and § 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.</P> <P>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 § 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 § 50.22 of this chapter. It thus codifies one approach to the standardization of nuclear power reactors.<PRTPAGE P="91"/> </P> <P>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 § 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.</P> <P>2. An application for a manufacturing license pursuant to this appendix M must be submitted, as specified in § 50.4 of this chapter and meet all the requirements of §§ 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).</P> <P>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.</P> <P>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.</P> <P>(b) The financial information submitted pursuant to § 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.</P> <P>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:</P> <P>(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.</P> <P>(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.</P> <P>(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</P> <P>(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.</P> <P>(e) The applicant is technically and financially qualified to design and manufacture the proposed nuclear power reactor(s).</P> <P>(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.</P> <P>(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.</P> <P> <E T="04">Note:</E> 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.</P> <P>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.</P> <P>7. The holder of a manufacturing license issued pursuant to this appendix M shall submit to the Commission the final design of <PRTPAGE P="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.</P> <P>8. The prohibition in § 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.</P> <P>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 §§ 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.</P> <P>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.</P> <P>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 § 50.57 and subpart A of part 51 of this chapter except that the Commission shall find, pursuant to § 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.</P> <P>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.</P> </APPENDIX> <APPENDIX> <EAR>Pt. 52, App. N</EAR> <HD SOURCE="HED">Appendix N to Part 52—Standardiza-tion of Nuclear Power Plant Designs: Licenses To Construct and Operate Nuclear Power Reactors of Duplicate Design at Multiple Sites</HD> <P>Section 101 of the Atomic Energy Act of 1954, as amended, and § 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 § 50.10(e) of this chapter, and the issuance of an operating license before the operation of the facility.</P> <P>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 (§ 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 (§§ 2.715a, 2.716).</P> <P>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.<SU>1</SU> <FTREF/> </P> <FTNT> <P> <SU>1</SU> 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.</P> </FTNT> <P>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 § 50.58 of this chapter for review of the application by the Advisory Committee on Reactor Safeguards <PRTPAGE P="93"/>and the holding of public hearings, apply to construction permits and operating license subject to this appendix N.</P> <P>2. Applications for construction permits submitted pursuant to this appendix must include the information required by §§ 50.33, 50.33a, 50.34(a) and 50.34a (a) and (b) of this chapter, and be submitted as specified in § 50.4 of this chapter. The applicant shall also submit the information required by § 51.50 of this chapter.</P> <P>For the technical information required by §§ 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 <SU>2</SU> <FTREF/> which, for the purposes of § 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.</P> <FTNT> <P> <SU>2</SU> 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.</P> </FTNT> <P>3. Applications for operating licenses submitted pursuant to this appendix N shall include the information required by §§ 50.33, 50.34 (b) and (c), and 50.34a(c) of this chapter. The applicant shall also submit the information required by § 51.53 of this chapter. For the technical information required by §§ 50.34(b) (2) through (5) and 50.34a(c), reference may be made to a single final safety analysis of the design.</P> </APPENDIX> <APPENDIX> <EAR>Pt. 52, App. O</EAR> <HD SOURCE="HED">Appendix O to Part 52—Standardiza-tion of Design: Staff Review of Standard Designs</HD> <P>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 § 50.22 of this chapter or major portions thereof.</P> <P>1. Any person may submit a proposed preliminary or final standard design for a nuclear power reactor of the type described in § 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.</P> <P>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 §§50.4 and 50.30 of this chapter for license applications.</P> <P>3. The submittal for review of the standard design shall include the information described in §§ 50.33 (a) through (d) of this chapter and the applicable technical information required by §§ 50.34 (a) and (b), as appropriate, and 50.34a of this chapter (other than that required by §§ 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 §§ 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 § 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 § 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.</P> <P>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.</P> <P>5. Upon completion of their review of a submittal under this appendix, the NRC regulatory staff shall publish in the <E T="04">Federal Register</E> 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, <E T="03">http://www.nrc.gov</E>, 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.</P> <P>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 <PRTPAGE P="94"/>Panel, and other presiding officers in any proceeding under subpart G of part 2 of this chapter.</P> <P>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.</P> <CITA>[54 FR 15386, Apr. 18, 1989, as amended at 61 FR 9902, Mar. 12, 1996; 64 FR 48953, Sept. 9, 1999]</CITA> </APPENDIX> <APPENDIX> <HD SOURCE="HED">Appendix P to Part 52 [Reserved]</HD> <EAR>Pt. 52, App. Q</EAR> </APPENDIX> <APPENDIX> <HD SOURCE="HED">Appendix Q to Part 52—Pre-Application Early Review of Site Suitability Issues</HD> <P>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 § 51.20(b) of this chapter and are of the type specified in § 50.21(b) (2) or (3) or § 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.</P> <P>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 §§ 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 §§ 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.</P> <P>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 §§ 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.</P> <P>3. The staff shall publish a note of docketing of the submittal in the <E T="04">Federal Register</E>, 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 §§ 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 § 50.34(a)(1) is requested.</P> <P>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 <E T="04">Federal Register</E> and shall make available a copy of the report at the NRC Web site, <E T="03">http://www.nrc.gov.</E> 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 <PRTPAGE P="95"/>or, if the site is not located in a municipality, to the chief executive of the county.</P> <P>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 § 51.20(b) of this chapter and is of the type specific in § 50.21(b) (2) or (3) or § 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.</P> <P>6. Issuance of a Staff Site Report shall not constitute a commitment to issue a permit or license, to permit on-site work under § 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.</P> <P>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.</P> <CITA>[54 FR 15386, Apr. 18, 1989, as amended at 64 FR 48953, Sept. 9, 1999]</CITA> </APPENDIX> </SUBPART> </PART> <PART> <RESERVED>PART 53 [RESERVED]</RESERVED> </PART> <PART> <EAR>Pt. 54</EAR> <HD SOURCE="HED">PART 54—REQUIREMENTS FOR RENEWAL OF OPERATING LICENSES FOR NUCLEAR POWER PLANTS</HD> <CONTENTS> <SUBJGRP> <HD SOURCE="HED">General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>54.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>54.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>54.4</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>54.5</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <SECTNO>54.7</SECTNO> <SUBJECT>Written communications.</SUBJECT> <SECTNO>54.9</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> <SECTNO>54.11</SECTNO> <SUBJECT>Public inspection of applications.</SUBJECT> <SECTNO>54.13</SECTNO> <SUBJECT>Completeness and accuracy of information.</SUBJECT> <SECTNO>54.15</SECTNO> <SUBJECT>Specific exemptions.</SUBJECT> <SECTNO>54.17</SECTNO> <SUBJECT>Filing of application.</SUBJECT> <SECTNO>54.19</SECTNO> <SUBJECT>Contents of application—general information.</SUBJECT> <SECTNO>54.21</SECTNO> <SUBJECT>Contents of application—technical information.</SUBJECT> <SECTNO>54.22</SECTNO> <SUBJECT>Contents of application—technical specifications.</SUBJECT> <SECTNO>54.23</SECTNO> <SUBJECT>Contents of application—environmental information.</SUBJECT> <SECTNO>54.25</SECTNO> <SUBJECT>Report of the Advisory Committee on Reactor Safeguards.</SUBJECT> <SECTNO>54.27</SECTNO> <SUBJECT>Hearings.</SUBJECT> <SECTNO>54.29</SECTNO> <SUBJECT>Standards for issuance of a renewed license.</SUBJECT> <SECTNO>54.30</SECTNO> <SUBJECT>Matters not subject to a renewal review.</SUBJECT> <SECTNO>54.31</SECTNO> <SUBJECT>Issuance of a renewed license.</SUBJECT> <SECTNO>54.33</SECTNO> <SUBJECT>Continuation of CLB and conditions of renewed license.</SUBJECT> <SECTNO>54.35</SECTNO> <SUBJECT>Requirements during term of renewed license.</SUBJECT> <SECTNO>54.37</SECTNO> <SUBJECT>Additional records and recordkeeping requirements.</SUBJECT> <SECTNO>54.41</SECTNO> <SUBJECT>Violations.</SUBJECT> <SECTNO>54.43</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> </SUBJGRP> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>60 FR 22491, May 8, 1995, unless otherwise noted.</P> </SOURCE> <SUBJGRP> <HD SOURCE="HED">General Provisions</HD> <SECTION> <SECTNO>§ 54.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>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), <PRTPAGE P="96"/>and Title II of the Energy Reorganization Act of 1974 (88 Stat. 1242).</P> </SECTION> <SECTION> <SECTNO>§ 54.3</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) As used in this part,</P> <P> <E T="03">Current licensing basis</E> (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.</P> <P> <E T="03">Integrated plant assessment</E> (IPA) is a licensee assessment that demonstrates that a nuclear power plant facility's structures and components requiring aging management review in accordance with § 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.</P> <P> <E T="03">Nuclear power plant</E> means a nuclear power facility of a type described in 10 CFR 50.21(b) or 50.22.</P> <P> <E T="03">Time-limited aging analyses,</E> for the purposes of this part, are those licensee calculations and analyses that:</P> <P>(1) Involve systems, structures, and components within the scope of license renewal, as delineated in § 54.4(a);</P> <P>(2) Consider the effects of aging;</P> <P>(3) Involve time-limited assumptions defined by the current operating term, for example, 40 years;</P> <P>(4) Were determined to be relevant by the licensee in making a safety determination;</P> <P>(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 § 54.4(b); and</P> <P>(6) Are contained or incorporated by reference in the CLB.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 54.4</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>(a) Plant systems, structures, and components within the scope of this part are—</P> <P>(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—</P> <P>(i) The integrity of the reactor coolant pressure boundary;</P> <P>(ii) The capability to shut down the reactor and maintain it in a safe shutdown condition; or</P> <P>(iii) The capability to prevent or mitigate the consequences of accidents which could result in potential offsite exposures comparable to those referred to in § 50.34(a)(1), § 50.67(b)(2), or § 100.11 of this chapter, as applicable.</P> <P>(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.</P> <P>(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).</P> <P>(b) The intended functions that these systems, structures, and components must be shown to fulfill in § 54.21 are those functions that are the bases for <PRTPAGE P="97"/>including them within the scope of license renewal as specified in paragraphs (a) (1)-(3) of this section.</P> <CITA>[60 FR 22491, May 8, 1995, as amended at 61 FR 65175, Dec. 11, 1996; 64 FR 72002, Dec. 23, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 54.5</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 54.7</SECTNO> <SUBJECT>Written communications.</SUBJECT> <P>All applications, correspondence, reports, and other written communications shall be filed in accordance with applicable portions of 10 CFR 50.4.</P> </SECTION> <SECTION> <SECTNO>§ 54.9</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> <P>(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.</P> <P>(b) The approved information collection requirements contained in this part appear in §§ 54.13, 54.17, 54.19, 54.21, 54.22, 54.23, 54.33, and 54.37.</P> <CITA>[60 FR 22491, May 8, 1995, as amended at 62 FR 52188, Oct. 6, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 54.11</SECTNO> <SUBJECT>Public inspection of applications.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 54.13</SECTNO> <SUBJECT>Completeness and accuracy of information.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 54.15</SECTNO> <SUBJECT>Specific exemptions.</SUBJECT> <P>Exemptions from the requirements of this part may be granted by the Commission in accordance with 10 CFR 50.12.</P> </SECTION> <SECTION> <SECTNO>§ 54.17</SECTNO> <SUBJECT>Filing of application.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(d) An applicant may combine an application for a renewed license with applications for other kinds of licenses.<PRTPAGE P="98"/> </P> <P>(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.</P> <P>(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).</P> <P>(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.</P> <CITA>[60 FR 22491, May 8, 1995, as amended at 62 FR 17690, Apr. 11, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 54.19</SECTNO> <SUBJECT>Contents of application—general information.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 54.21</SECTNO> <SUBJECT>Contents of application—technical information.</SUBJECT> <P>Each application must contain the following information:</P> <P>(a) An integrated plant assessment (IPA). The IPA must—</P> <P>(1) For those systems, structures, and components within the scope of this part, as delineated in § 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—</P> <P>(i) That perform an intended function, as described in § 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</P> <P>(ii) That are not subject to replacement based on a qualified life or specified time period.</P> <P>(2) Describe and justify the methods used in paragraph (a)(1) of this section.</P> <P>(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.</P> <P>(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.</P> <P>(c) An evaluation of time-limited aging analyses.<PRTPAGE P="99"/> </P> <P>(1) A list of time-limited aging analyses, as defined in § 54.3, must be provided. The applicant shall demonstrate that—</P> <P>(i) The analyses remain valid for the period of extended operation;</P> <P>(ii) The analyses have been projected to the end of the period of extended operation; or</P> <P>(iii) The effects of aging on the intended function(s) will be adequately managed for the period of extended operation.</P> <P>(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 § 54.3. The applicant shall provide an evaluation that justifies the continuation of these exemptions for the period of extended operation.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 54.22</SECTNO> <SUBJECT>Contents of application—technical specifications.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 54.23</SECTNO> <SUBJECT>Contents of application—environmental information.</SUBJECT> <P>Each application must include a supplement to the environmental report that complies with the requirements of subpart A of 10 CFR part 51.</P> </SECTION> <SECTION> <SECTNO>§ 54.25</SECTNO> <SUBJECT>Report of the Advisory Committee on Reactor Safeguards.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 54.27</SECTNO> <SUBJECT>Hearings.</SUBJECT> <P>A notice of an opportunity for a hearing will be published in the <E T="04">Federal Register</E> 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 <E T="04">Federal Register</E> of its intent to do so.</P> </SECTION> <SECTION> <SECTNO>§ 54.29</SECTNO> <SUBJECT>Standards for issuance of a renewed license.</SUBJECT> <P>A renewed license may be issued by the Commission up to the full term authorized by § 54.31 if the Commission finds that:</P> <P>(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:</P> <P>(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 § 54.21(a)(1); and</P> <P>(2) time-limited aging analyses that have been identified to require review under § 54.21(c).</P> <P>(b) Any applicable requirements of subpart A of 10 CFR part 51 have been satisfied.</P> <P>(c) Any matters raised under § 2.758 have been addressed.</P> </SECTION> <SECTION> <SECTNO>§ 54.30</SECTNO> <SUBJECT>Matters not subject to a renewal review.</SUBJECT> <P>(a) If the reviews required by § 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 <PRTPAGE P="100"/>function of those systems, structures or components will be maintained in accordance with the CLB throughout the term of its current license.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 54.31</SECTNO> <SUBJECT>Issuance of a renewed license.</SUBJECT> <P>(a) A renewed license will be of the class for which the operating license currently in effect was issued.</P> <P>(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.</P> <P>(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.</P> <P>(d) A renewed license may be subsequently renewed in accordance with all applicable requirements.</P> </SECTION> <SECTION> <SECTNO>§ 54.33</SECTNO> <SUBJECT>Continuation of CLB and conditions of renewed license.</SUBJECT> <P>(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.</P> <P>(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 § 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.</P> <P>(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.</P> <P>(d) The licensing basis for the renewed license includes the CLB, as defined in § 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.</P> </SECTION> <SECTION> <SECTNO>§ 54.35</SECTNO> <SUBJECT>Requirements during term of renewed license.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 54.37</SECTNO> <SUBJECT>Additional records and recordkeeping requirements.</SUBJECT> <P>(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.</P> <P>(b) After the renewed license is issued, the FSAR update required by 10 <PRTPAGE P="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 § 54.21. This FSAR update must describe how the effects of aging will be managed such that the intended function(s) in § 54.4(b) will be effectively maintained during the period of extended operation.</P> </SECTION> <SECTION> <SECTNO>§ 54.41</SECTNO> <SUBJECT>Violations.</SUBJECT> <P>(a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of the following acts—</P> <P>(1) The Atomic Energy Act of 1954, as amended.</P> <P>(2) Title II of the Energy Reorganization Act of 1974, as amended or</P> <P>(3) A regulation or order issued pursuant to those acts.</P> <P>(b) The Commission may obtain a court order for the payment of a civil penalty imposed under Section 234 of the Atomic Energy Act—</P> <P>(1) For violations of the following—</P> <P>(i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended;</P> <P>(ii) Section 206 of the Energy Reorganization Act;</P> <P>(iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section;</P> <P>(iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section.</P> <P>(2) For any violation for which a license may be revoked under Section 186 of the Atomic Energy Act of 1954, as amended.</P> </SECTION> <SECTION> <SECTNO>§ 54.43</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> <P>(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.</P> <P>(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: §§ 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.</P> </SECTION> </SUBJGRP> </PART> <PART> <EAR>Pt. 55</EAR> <HD SOURCE="HED">PART 55—OPERATORS' LICENSES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>55.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>55.2</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>55.3</SECTNO> <SUBJECT>License requirements.</SUBJECT> <SECTNO>55.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>55.5</SECTNO> <SUBJECT>Communications.</SUBJECT> <SECTNO>55.6</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <SECTNO>55.7</SECTNO> <SUBJECT>Additional requirements.</SUBJECT> <SECTNO>55.8</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> <SECTNO>55.9</SECTNO> <SUBJECT>Completeness and accuracy of information.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Exemptions</HD> <SECTNO>55.11</SECTNO> <SUBJECT>Specific exemptions.</SUBJECT> <SECTNO>55.13</SECTNO> <SUBJECT>General exemptions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Medical Requirements</HD> <SECTNO>55.21</SECTNO> <SUBJECT>Medical examination.</SUBJECT> <SECTNO>55.23</SECTNO> <SUBJECT>Certification.</SUBJECT> <SECTNO>55.25</SECTNO> <SUBJECT>Incapacitation because of disability or illness.</SUBJECT> <SECTNO>55.27</SECTNO> <SUBJECT>Documentation.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Applications</HD> <SECTNO>55.31</SECTNO> <SUBJECT>How to apply.</SUBJECT> <SECTNO>55.33</SECTNO> <SUBJECT>Disposition of an initial application.</SUBJECT> <SECTNO>55.35</SECTNO> <SUBJECT>Re-applications.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Written Examinations and Operating Tests</HD> <SECTNO>55.40</SECTNO> <SUBJECT>Implementation.</SUBJECT> <SECTNO>55.41</SECTNO> <SUBJECT>Written examination: Operators.</SUBJECT> <SECTNO>55.43</SECTNO> <SUBJECT>Written examination: Senior operators.</SUBJECT> <SECTNO>55.45</SECTNO> <SUBJECT>Operating tests.</SUBJECT> <SECTNO>55.47</SECTNO> <SUBJECT>Waiver of examination and test requirements.</SUBJECT> <SECTNO>55.49</SECTNO> <SUBJECT>Integrity of examinations and tests.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Licenses</HD> <SECTNO>55.51</SECTNO> <SUBJECT>Issuance of licenses.</SUBJECT> <SECTNO>55.53</SECTNO> <SUBJECT>Conditions of licenses.</SUBJECT> <SECTNO>55.55</SECTNO> <SUBJECT>Expiration.</SUBJECT> <SECTNO>55.57</SECTNO> <SUBJECT>Renewal of licenses.</SUBJECT> <SECTNO>55.59</SECTNO> <SUBJECT>Requalification.</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="102"/> <HD SOURCE="HED">Subpart G—Modification and Revocation of Licenses</HD> <SECTNO>55.61</SECTNO> <SUBJECT>Modification and revocation of licenses.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Enforcement</HD> <SECTNO>55.71</SECTNO> <SUBJECT>Violations.</SUBJECT> <SECTNO>55.73</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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).</P> <P>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).</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>52 FR 9460, Mar. 25, 1987, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 55.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>The regulations in this part:</P> <P>(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,</P> <P>(b) Provide for the terms and conditions upon which the Commission will issue or modify these licenses, and</P> <P>(c) Provide for the terms and conditions to maintain and renew these licenses.</P> </SECTION> <SECTION> <SECTNO>§ 55.2</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>The regulations in this part apply to—</P> <P>(a) Any individual who manipulates the controls of any utilization facility licensed pursuant to part 50 of this chapter, and</P> <P>(b) Any individual designated by a facility licensee to be responsible for directing any licensed activity of a licensed operator.</P> <P>(c) Any facility license.</P> <CITA>[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 55.3</SECTNO> <SUBJECT>License requirements.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 55.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in this part:</P> <P> <E T="03">Act</E> means the Atomic Energy Act of 1954, including any amendments to the Act.</P> <P> <E T="03">Actively performing the functions of an operator or senior operator</E> 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.</P> <P> <E T="03">Commission</E> means the Nuclear Regulatory Commission or its duly authorized representatives.</P> <P> <E T="03">Controls</E> 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.</P> <P> <E T="03">Facility</E> 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, <E T="03">facility</E> means all facilities identified in the license.</P> <P> <E T="03">Facility licensee</E> means an applicant for or holder of a license for a facility.</P> <P> <E T="03">Licensee</E> means an individual licensed operator or senior operator.</P> <P> <E T="03">Operator</E> means any individual licensed under this part to manipulate a control of a facility.</P> <P> <E T="03">Performance testing</E> means testing conducted to verify a simulation facility's performance as compared to actual or predicted reference plant performance.</P> <P> <E T="03">Physician</E> 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.</P> <P> <E T="03">Plant-referenced simulator</E> 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 <PRTPAGE P="103"/>to which the simulator has been designed to respond.</P> <P> <E T="03">Reference plant</E> means the specific nuclear power plant from which a simulation facility's control room configuration, system control arrangement, and design data are derived.</P> <P> <E T="03">Senior operator</E> means any individual licensed under this part to manipulate the controls of a facility and to direct the licensed activities of licensed operators.</P> <P> <E T="03">Simulation facility</E> 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:</P> <P>(1) The plant,</P> <P>(2) A plant-referenced simulator,</P> <P>(3) Another simulation device.</P> <P> <E T="03">Systems approach to training</E> means a training program that includes the following five elements:</P> <P>(1) Systematic analysis of the jobs to be performed.</P> <P>(2) Learning objectives derived from the analysis which describe desired performance after training.</P> <P>(3) Training design and implementation based on the learning objectives.</P> <P>(4) Evaluation of trainee mastery of the objectives during training.</P> <P>(5) Evaluation and revision of the training based on the performance of trained personnel in the job setting.</P> <P> <E T="03">United States,</E> when used in a geographical sense, includes Puerto Rico and all territories and possessions of the United States.</P> </SECTION> <SECTION> <SECTNO>§ 55.5</SECTNO> <SUBJECT>Communications.</SUBJECT> <P>(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:</P> <P>(1) By mail addressed to—Director of Nuclear Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555, or</P> <P>(2) By delivery in person to the Commission's offices at 2120 L Street NW., Washington, DC, or at 11555 Rockville Pike, Rockville, MD.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="104"/>U.S. Nuclear Regulatory Commission Headquarters in Washington, DC.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 55.6</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 55.7</SECTNO> <SUBJECT>Additional requirements.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 55.8</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> <P>(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.</P> <P>(b) The approved information collection requirements contained in this part appear in §§ 55.31, 55.45, 55.53, and 55.59.</P> <P>(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:</P> <P>(1) In §§ 55.23, 55.25, 55.27, 55.31, NRC Form 396 is approved under control number 3150-0024.</P> <P>(2) In §§ 55.31, 55.35, 55.47, and 55.57, NRC Form 398 is approved under control number 3150-0090.</P> <P>(3) In § 55.45, NRC Form 474 is approved under control number 3150-0138.</P> <P>(4) In §§ 55.40, 55.41, 55.43, 55.45, and 55.59, clearance is approved under control number 3150-0101.</P> <CITA>[62 FR 52188, Oct. 6, 1997, as amended at 64 FR 19878, Apr. 23, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 55.9</SECTNO> <SUBJECT>Completeness and accuracy of information.</SUBJECT> <P>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.</P> <CITA>[52 FR 49372, Dec. 31, 1987]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Exemptions</HD> <SECTION> <SECTNO>§ 55.11</SECTNO> <SUBJECT>Specific exemptions.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 55.13</SECTNO> <SUBJECT>General exemptions.</SUBJECT> <P>The regulations in this part do not require a license for an individual who—</P> <P>(a) Under the direction and in the presence of a licensed operator or senior operator, manipulates the controls of—</P> <P>(1) A research or training reactor as part of the individual's training as a student, or</P> <P>(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.<PRTPAGE P="105"/> </P> <P>(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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Medical Requirements</HD> <SECTION> <SECTNO>§ 55.21</SECTNO> <SUBJECT>Medical examination.</SUBJECT> <P>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 § 55.33(a)(1).</P> </SECTION> <SECTION> <SECTNO>§ 55.23</SECTNO> <SUBJECT>Certification.</SUBJECT> <P>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.</P> <P>(a) Form NRC-396 must certify that a physician has conducted the medical examination of the applicant as required in § 55.21.</P> <P>(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 § 55.33.</P> <CITA>[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 55.25</SECTNO> <SUBJECT>Incapacitation because of disability or illness.</SUBJECT> <P>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 § 55.21 of this part, the facility licensee shall notify the Commission, within 30 days of learning of the diagnosis, in accordance with § 50.74(c). For conditions for which a conditional license (as described in § 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 § 55.23 of this part).</P> <CITA>[60 FR 13617, Mar. 14, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 55.27</SECTNO> <SUBJECT>Documentation.</SUBJECT> <P>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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Applications</HD> <SECTION> <SECTNO>§ 55.31</SECTNO> <SUBJECT>How to apply.</SUBJECT> <P>(a) The applicant shall:</P> <P>(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;</P> <P>(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;</P> <P>(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;</P> <P>(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 <PRTPAGE P="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 § 55.45(b) of this part;</P> <P>(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 § 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 §§ 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</P> <P>(6) Provide certification by the facility licensee of medical condition and general health on Form NRC-396, to comply with §§ 55.21, 55.23 and 55.33(a)(1).</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 55.33</SECTNO> <SUBJECT>Disposition of an initial application.</SUBJECT> <P>(a) <E T="03">Requirements for the approval of an initial application.</E> The Commission will approve an initial application for a license pursuant to the regulations in this part, if it finds that—</P> <P>(1) <E T="03">Health.</E> 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 § 55.23.</P> <P>(2) <E T="03">Written examination and operating test.</E> The applicant has passed the requisite written examination and operating test in accordance with §§ 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.</P> <P>(b) <E T="03">Conditional license.</E> If an applicant's general medical condition does not meet the minimum standards under § 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.</P> </SECTION> <SECTION> <SECTNO>§ 55.35</SECTNO> <SUBJECT>Re-applications.</SUBJECT> <P>(a) An applicant whose application for a license has been denied because of <PRTPAGE P="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.</P> <P>(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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Written Examinations and Operating Tests</HD> <SECTION> <SECTNO>§ 55.40</SECTNO> <SUBJECT>Implementation.</SUBJECT> <P>(a) The Commission shall use the criteria in NUREG-1021, “Operator Licensing Examination Standards for Power Reactors,” <SU>1</SU> <FTREF/> in effect six months before the examination date to prepare the written examinations required by §§ 55.41 and 55.43 and the operating tests required by § 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.</P> <FTNT> <P> <SU>1</SU> 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.</P> </FTNT> <P>(b) Power reactor facility licensees may prepare, proctor, and grade the written examinations required by §§ 55.41 and 55.43 and may prepare the operating tests required by § 55.45, subject to the following conditions:</P> <P>(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;</P> <P>(2) Pursuant to § 55.49, power reactor facility licensees shall establish, implement, and maintain procedures to control examination security and integrity;</P> <P>(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</P> <P>(4) Power reactor facility licensees must receive Commission approval of their proposed written examinations and operating tests.</P> <P>(c) In lieu of paragraph (b) of this section and upon written request from a power reactor facility licensee pursuant to § 55.31(a)(3), the Commission shall, for that facility licensee, prepare, proctor, and grade, the written examinations required by §§ 55.41 and 55.43 and the operating tests required by § 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.</P> <P>(d) The Commission shall prepare, proctor, and grade the written examinations required by §§ 55.41 and 55.43 and the operating tests required by § 55.45 for non-power reactor facility licensees.</P> <CITA>[64 FR 19878, Apr. 23, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 55.41</SECTNO> <SUBJECT>Written examination: Operators.</SUBJECT> <P>(a) <E T="03">Content.</E> The written examination for an operator will contain a representative selection of questions on the knowledge, skills, and abilities needed to perform licensed operator <PRTPAGE P="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.</P> <P>(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.</P> <P>(1) Fundamentals of reactor theory, including fission process, neutron multiplication, source effects, control rod effects, criticality indications, reactivity coefficients, and poison effects.</P> <P>(2) General design features of the core, including core structure, fuel elements, control rods, core instrumentation, and coolant flow.</P> <P>(3) Mechanical components and design features of the reactor primary system.</P> <P>(4) Secondary coolant and auxiliary systems that affect the facility.</P> <P>(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.</P> <P>(6) Design, components, and functions of reactivity control mechanisms and instrumentation.</P> <P>(7) Design, components, and functions of control and safety systems, including instrumentation, signals, interlocks, failure modes, and automatic and manual features.</P> <P>(8) Components, capacity, and functions of emergency systems.</P> <P>(9) Shielding, isolation, and containment design features, including access limitations.</P> <P>(10) Administrative, normal, abnormal, and emergency operating procedures for the facility.</P> <P>(11) Purpose and operation of radiation monitoring systems, including alarms and survey equipment.</P> <P>(12) Radiological safety principles and procedures.</P> <P>(13) Procedures and equipment available for handling and disposal of radioactive materials and effluents.</P> <P>(14) Principles of heat transfer thermodynamics and fluid mechanics.</P> </SECTION> <SECTION> <SECTNO>§ 55.43</SECTNO> <SUBJECT>Written examination: Senior operators.</SUBJECT> <P>(a) <E T="03">Content.</E> 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.</P> <P>(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 § 55.41 of this part, to the extent applicable to the facility:</P> <P>(1) Conditions and limitations in the facility license.</P> <P>(2) Facility operating limitations in the technical specifications and their bases.</P> <P>(3) Facility licensee procedures required to obtain authority for design and operating changes in the facility.</P> <P>(4) Radiation hazards that may arise during normal and abnormal situations, including maintenance activities and various contamination conditions.</P> <P>(5) Assessment of facility conditions and selection of appropriate procedures during normal, abnormal, and emergency situations.</P> <P>(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.<PRTPAGE P="109"/> </P> <P>(7) Fuel handling facilities and procedures.</P> </SECTION> <SECTION> <SECTNO>§ 55.45</SECTNO> <SUBJECT>Operating tests.</SUBJECT> <P>(a) <E T="03">Content.</E> 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.</P> <P>(1) Perform pre-startup procedures for the facility, including operating of those controls associated with plant equipment that could affect reactivity.</P> <P>(2) Manipulate the console controls as required to operate the facility between shutdown and designated power levels.</P> <P>(3) Identify annunciators and condition-indicating signals and perform appropriate remedial actions where appropriate.</P> <P>(4) Identify the instrumentation systems and the significance of facility instrument readings.</P> <P>(5) Observe and safely control the operating behavior characteristics of the facility.</P> <P>(6) Perform control manipulations required to obtain desired operating results during normal, abnormal, and emergency situations.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(12) Demonstrate the knowledge and ability as appropriate to the assigned position to assume the responsibilities associated with the safe operation of the facility.</P> <P>(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.</P> <P>(b) <E T="03">Implementation</E>—(1) <E T="03">Administration</E>. The operating test will be administered in a plant walkthrough and in either—</P> <P>(i) A simulation facility which the Commission has approved for use after application has been made by the facility licensee, or</P> <P>(ii) A simulation facility consisting solely of a plant-referenced simulator which has been certified to the Commission by the facility licensee.</P> <P>(2) <E T="03">Schedule for facility licensees</E>. (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.</P> <P>(ii) Those facility licensees which propose to conform with paragraph <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <P>(3) <E T="03">Schedule for facility applicants</E>. (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.</P> <P>(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.</P> <P>(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.</P> <P>(4) <E T="03">Application for and approval of simulation facilities</E>. 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 § 55.4 shall—</P> <P>(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:</P> <P>(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;</P> <P>(B) A description of the components of the simulation facility which are intended to be used for each part of the operating test; and</P> <P>(C) A description of the performance tests as part of the application, and the results of such tests.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="111"/>approval. This application must include a description of corrective actions taken, including results of completed performance testing as required for approval.</P> <P>(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.</P> <P>(5) <E T="03">Certification of simulation facilities.</E> 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 § 55.4, shall—</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988; 62 FR 59276, Nov. 3, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 55.47</SECTNO> <SUBJECT>Waiver of examination and test requirements.</SUBJECT> <P>(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—</P> <P>(1) Has had extensive actual operating experience at a comparable facility, as determined by the Commission, within two years before the date of application;</P> <P>(2) Has discharged his or her responsibilities competently and safely and is capable of continuing to do so; and</P> <P>(3) Has learned the operating procedures for and is qualified to operate competently and safely the facility designated in the application.</P> <P>(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.<PRTPAGE P="112"/> </P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 55.49</SECTNO> <SUBJECT>Integrity of examinations and tests.</SUBJECT> <P>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.</P> <CITA>[64 FR 19878, Apr. 23, 1999]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Licenses</HD> <SECTION> <SECTNO>§ 55.51</SECTNO> <SUBJECT>Issuance of licenses.</SUBJECT> <P> <E T="03">Operator and senior operator licenses.</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 55.53</SECTNO> <SUBJECT>Conditions of licenses.</SUBJECT> <P>Each license contains and is subject to the following conditions whether stated in the license or not:</P> <P>(a) Neither the license nor any right under the license may be assigned or otherwise transferred.</P> <P>(b) The license is limited to the facility for which it is issued.</P> <P>(c) The license is limited to those controls of the facility specified in the license.</P> <P>(d) The license is subject to, and the licensee shall observe, all applicable rules, regulations, and orders of the Commission.</P> <P>(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.</P> <P>(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:</P> <P>(1) That the qualifications and status of the licensee are current and valid; and</P> <P>(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.</P> <P>(g) The licensee shall notify the Commission within 30 days about a conviction for a felony.</P> <P>(h) The licensee shall complete a requalification program as described by § 55.59.</P> <P>(i) The licensee shall have a biennial medical examination.</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <CITA>[52 FR 9460, Mar. 25, 1987, as amended at 56 FR 32070, July 15, 1991]</CITA> </SECTION> <SECTION> <SECTNO>§ 55.55</SECTNO> <SUBJECT>Expiration.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 55.57</SECTNO> <SUBJECT>Renewal of licenses.</SUBJECT> <P>(a) The applicant for renewal of a license shall—</P> <P>(1) Complete and sign Form NRC-398 and include the number of the license for which renewal is sought.</P> <P>(2) File an original and two copies of Form NRC-398 with the appropriate Regional Administrator specified in § 55.5(b).</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(6) Provide certification by the facility licensee of medical condition and general health on Form NRC-396, to comply with §§ 55.21, 55.23 and 55.27.</P> <P>(b) The license will be renewed if the Commission finds that—</P> <P>(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 § 55.23.</P> <P>(2) The licensee—</P> <P>(i) Is capable of continuing to competently and safely assume licensed duties;</P> <P>(ii) Has successfully completed a requalification program that has been approved by the Commission as required by § 55.59; and</P> <P>(iii) Has passed the requalification examinations and annual operating tests as required by § 55.59.<PRTPAGE P="114"/> </P> <P>(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.</P> <P>(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.</P> <CITA>[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994]</CITA> </SECTION> <SECTION> <SECTNO>§ 55.59</SECTNO> <SUBJECT>Requalification.</SUBJECT> <P>(a) <E T="03">Requalification requirements.</E> Each licensee shall—</P> <P>(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.</P> <P>(2) Pass a comprehensive requalification written examination and an annual operating test.</P> <P>(i) The written examination will sample the items specified in §§ 55.41 and 55.43 of this part, to the extent applicable to the facility, the licensee, and any limitation of the license under § 55.53(c) of this part.</P> <P>(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 § 55.45(a) (2) through (13) inclusive to the extent applicable to the facility.</P> <P>(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.</P> <P>(b) <E T="03">Additional training.</E> 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.</P> <P>(c) <E T="03">Requalification program requirements.</E> 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.</P> <P>(1) <E T="03">Schedule.</E> 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.</P> <P>(2) <E T="03">Lectures.</E> 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:</P> <P>(i)Theory and principles of operation.</P> <P>(ii)General and specific plant operating characteristics.</P> <P>(iii)Plant instrumentation and control systems.</P> <P>(iv)Plant protection systems.</P> <P>(v)Engineered safety systems.</P> <P>(vi)Normal, abnormal, and emergency operating procedures.</P> <P>(vii)Radiation control and safety.</P> <P>(viii)Technical specifications.</P> <P>(ix)Applicable portions of title 10, chapter I, Code of Federal Regulations.</P> <P>(3) <E T="03">On-the-job training.</E> The requalification program must include on-the-job training so that—</P> <P>(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 <PRTPAGE P="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.</P> <P>(A) Plant or reactor startups to include a range that reactivity feedback from nuclear heat addition is noticeable and heatup rate is established.</P> <P>(B) Plant shutdown.</P> <P>(C) Manual control of steam generators or feedwater or both during startup and shutdown.</P> <P>(D) Boration or dilution during power operation.</P> <P>(E) Significant (<E T="61">≥</E>10 percent) power changes in manual rod control or recirculation flow.</P> <P>(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).</P> <P>(G) Loss of coolant, including—</P> <P>(<E T="03">1</E>)Significant PWR steam generator leaks</P> <P>(<E T="03">2</E>)Inside and outside primary containment</P> <P>(<E T="03">3</E>)Large and small, including lead-rate determination</P> <P>(<E T="03">4</E>)Saturated reactor coolant response (PWR).</P> <P>(H) Loss of instrument air (if simulated plant specific).</P> <P>(I) Loss of electrical power (or degraded power sources).</P> <P>(J) Loss of core coolant flow/natural circulation.</P> <P>(K) Loss of feedwater (normal and emergency).</P> <P>(L) Loss of service water, if required for safety.</P> <P>(M) Loss of shutdown cooling.</P> <P>(N) Loss of component cooling system or cooling to an individual component.</P> <P>(O) Loss of normal feedwater or normal feedwater system failure.</P> <P>(P) Loss of condenser vacuum.</P> <P>(Q) Loss of protective system channel.</P> <P>(R) Mispositioned control rod or rods (or rod drops).</P> <P>(S) Inability to drive control rods.</P> <P>(T) Conditions requiring use of emergency boration or standby liquid control system.</P> <P>(U) Fuel cladding failure or high activity in reactor coolant or offgas.</P> <P>(V) Turbine or generator trip.</P> <P>(W) Malfunction of an automatic control system that affects reactivity.</P> <P>(X) Malfunction of reactor coolant pressure/volume control system.</P> <P>(Y) Reactor trip.</P> <P>(Z) Main steam line break (inside or outside containment).</P> <P>(AA) A nuclear instrumentation failure.</P> <P>(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.</P> <P>(iii) Each licensed operator and senior operator is cognizant of facility design changes, procedure changes, and facility license changes.</P> <P>(iv) Each licensed operator and senior operator reviews the contents of all abnormal and emergency procedures on a regularly scheduled basis.</P> <P>(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 § 55.45(b)(1), the device approved to meet the requirements of § 55.45(b)(1) must be used for <PRTPAGE P="116"/>credit to be given for meeting the requirements of paragraphs (c)(3)(i) (G through AA) of this section.</P> <P>(4) <E T="03">Evaluation.</E> The requalification program must include—</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 § 55.45(b) have been implemented at a facility, the certified or approved simulation facility must be used to comply with this paragraph.</P> <P>(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.</P> <P>(5) <E T="03">Records.</E> The requalification program documentation must include the following:</P> <P>(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.</P> <P>(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.</P> <P>(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 § 55.11, grants a specific exemption from this record retention requirement.</P> <P>(6) <E T="03">Alternative training programs.</E> 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.</P> <P>(7) <E T="03">Applicability to research and test reactor facilities.</E> 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) <PRTPAGE P="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.</P> <CITA>[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Modification and Revocation of Licenses</HD> <SECTION> <SECTNO>§ 55.61</SECTNO> <SUBJECT>Modification and revocation of licenses.</SUBJECT> <P>(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.</P> <P>(b) Any license may be revoked, suspended, or modified, in whole or in part:</P> <P>(1) For any material false statement in the application or in any statement of fact required under section 182 of the Act,</P> <P>(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,</P> <P>(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</P> <P>(4) For any conduct determined by the Commission to be a hazard to safe operation of the facility.</P> <P>(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 § 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.</P> <CITA>[52 FR 9460, Mar. 25, 1987, as amended at 56 FR 32070, July 15, 1991]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Enforcement</HD> <SECTION> <SECTNO>§ 55.71</SECTNO> <SUBJECT>Violations.</SUBJECT> <P>(a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of—</P> <P>(1) The Atomic Energy Act of 1954, as amended;</P> <P>(2) Title II of the Energy Reorganization Act of 1974, as amended; or</P> <P>(3) A regulation or order issued pursuant to those Acts.</P> <P>(b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act:</P> <P>(1) For violations of—</P> <P>(i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended;</P> <P>(ii) Section 206 of the Energy Reorganization Act;</P> <P>(iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section;</P> <P>(iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section.</P> <P>(2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended.</P> <CITA>[57 FR 55076, Nov. 24, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 55.73</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> <P>(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.</P> <P>(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: §§ 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.</P> <CITA>[57 FR 55076, Nov. 24, 1992]</CITA> </SECTION> </SUBPART> </PART> <PART> <PRTPAGE P="118"/> <EAR>Pt. 60</EAR> <HD SOURCE="HED">PART 60—DISPOSAL OF HIGH-LEVEL RADIOACTIVE WASTES IN GEOLOGIC REPOSITORIES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>60.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>60.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>60.3</SECTNO> <SUBJECT>License required.</SUBJECT> <SECTNO>60.4</SECTNO> <SUBJECT>Communications and records.</SUBJECT> <SECTNO>60.5</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <SECTNO>60.6</SECTNO> <SUBJECT>Exemptions.</SUBJECT> <SECTNO>60.7</SECTNO> <SUBJECT>License not required for certain preliminary activities.</SUBJECT> <SECTNO>60.8</SECTNO> <SUBJECT>Information collection requirements: Approval.</SUBJECT> <SECTNO>60.9</SECTNO> <SUBJECT>Employee protection.</SUBJECT> <SECTNO>60.10</SECTNO> <SUBJECT>Completeness and accuracy of information.</SUBJECT> <SECTNO>60.11</SECTNO> <SUBJECT>Deliberate misconduct.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Licenses</HD> <SUBJGRP> <HD SOURCE="HED">Preapplication Review</HD> <SECTNO>60.15</SECTNO> <SUBJECT>Site characterization.</SUBJECT> <SECTNO>60.16</SECTNO> <SUBJECT>Site characterization plan required.</SUBJECT> <SECTNO>60.17</SECTNO> <SUBJECT>Contents of site characterization plan.</SUBJECT> <SECTNO>60.18</SECTNO> <SUBJECT>Review of site characterization activities.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">License Applications</HD> <SECTNO>60.21</SECTNO> <SUBJECT>Content of application.</SUBJECT> <SECTNO>60.22</SECTNO> <SUBJECT>Filing and distribution of application.</SUBJECT> <SECTNO>60.23</SECTNO> <SUBJECT>Elimination of repetition.</SUBJECT> <SECTNO>60.24</SECTNO> <SUBJECT>Updating of application and environmental impact statement.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Construction Authorization</HD> <SECTNO>60.31</SECTNO> <SUBJECT>Construction authorization.</SUBJECT> <SECTNO>60.32</SECTNO> <SUBJECT>Conditions of construction authorization.</SUBJECT> <SECTNO>60.33</SECTNO> <SUBJECT>Amendment of construction authorization.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">License Issuance and Amendment</HD> <SECTNO>60.41</SECTNO> <SUBJECT>Standards for issuance of a license.</SUBJECT> <SECTNO>60.42</SECTNO> <SUBJECT>Conditions of license.</SUBJECT> <SECTNO>60.43</SECTNO> <SUBJECT>License specification.</SUBJECT> <SECTNO>60.44</SECTNO> <SUBJECT>Changes, tests, and experiments.</SUBJECT> <SECTNO>60.45</SECTNO> <SUBJECT>Amendment of license.</SUBJECT> <SECTNO>60.46</SECTNO> <SUBJECT>Particular activities requiring license amendment.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Permanent Closure</HD> <SECTNO>60.51</SECTNO> <SUBJECT>License amendment for permanent closure.</SUBJECT> <SECTNO>60.52</SECTNO> <SUBJECT>Termination of license.</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Participation by State Governments and Affected Indian Tribes</HD> <SECTNO>60.61</SECTNO> <SUBJECT>Provision of information.</SUBJECT> <SECTNO>60.62</SECTNO> <SUBJECT>Site review.</SUBJECT> <SECTNO>60.63</SECTNO> <SUBJECT>Participation in license reviews.</SUBJECT> <SECTNO>60.64</SECTNO> <SUBJECT>Notice to States.</SUBJECT> <SECTNO>60.65</SECTNO> <SUBJECT>Representation.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Records, Reports, Tests, and Inspections</HD> <SECTNO>60.71</SECTNO> <SUBJECT>Records and reports.</SUBJECT> <SECTNO>60.72</SECTNO> <SUBJECT>Construction records.</SUBJECT> <SECTNO>60.73</SECTNO> <SUBJECT>Reports of deficiencies.</SUBJECT> <SECTNO>60.74</SECTNO> <SUBJECT>Tests.</SUBJECT> <SECTNO>60.75</SECTNO> <SUBJECT>Inspections.</SUBJECT> <SECTNO>60.78</SECTNO> <SUBJECT>Material control and accounting records and reports.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Technical Criteria</HD> <SECTNO>60.101</SECTNO> <SUBJECT>Purpose and nature of findings.</SUBJECT> <SECTNO>60.102</SECTNO> <SUBJECT>Concepts.</SUBJECT> <SUBJGRP> <HD SOURCE="HED">Performance Objectives</HD> <SECTNO>60.111</SECTNO> <SUBJECT>Performance of the geologic repository operations area through permanent closure.</SUBJECT> <SECTNO>60.112</SECTNO> <SUBJECT>Overall system performance objective for the geologic repository after permanent closure.</SUBJECT> <SECTNO>60.113</SECTNO> <SUBJECT>Performance of particular barriers after permanent closure.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Land Ownership and Control</HD> <SECTNO>60.121</SECTNO> <SUBJECT>Requirements for ownership and control interests in land.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Siting Criteria</HD> <SECTNO>60.122</SECTNO> <SUBJECT>Siting criteria.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Design Criteria for the Geologic Repository Operations Area</HD> <SECTNO>60.130</SECTNO> <SUBJECT>General considerations.</SUBJECT> <SECTNO>60.131</SECTNO> <SUBJECT>General design criteria for the geologic repository operations area.</SUBJECT> <SECTNO>60.132</SECTNO> <SUBJECT>Additional design criteria for surface facilities in the geologic repository operations area.</SUBJECT> <SECTNO>60.133</SECTNO> <SUBJECT>Additional design criteria for the underground facility.</SUBJECT> <SECTNO>60.134</SECTNO> <SUBJECT>Design of seals for shafts and boreholes.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Design Criteria for the Waste Package</HD> <SECTNO>60.135</SECTNO> <SUBJECT>Criteria for the waste package and its components.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Preclosure Controlled Area</HD> <SECTNO>60.136</SECTNO> <SUBJECT>Preclosure controlled area.</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Performance Confirmation Requirements</HD> <SECTNO>60.137</SECTNO> <SUBJECT>General requirements for performance confirmation.</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Performance Confirmation Program</HD> <SECTNO>60.140</SECTNO> <SUBJECT>General requirements.</SUBJECT> <SECTNO>60.141</SECTNO> <SUBJECT>Confirmation of geotechnical and design parameters.<PRTPAGE P="119"/> </SUBJECT> <SECTNO>60.142</SECTNO> <SUBJECT>Design testing.</SUBJECT> <SECTNO>60.143</SECTNO> <SUBJECT>Monitoring and testing waste packages.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Quality Assurance</HD> <SECTNO>60.150</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>60.151</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>60.152</SECTNO> <SUBJECT>Implementation.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Training and Certification of Personnel</HD> <SECTNO>60.160</SECTNO> <SUBJECT>General requirements.</SUBJECT> <SECTNO>60.161</SECTNO> <SUBJECT>Training and certification program.</SUBJECT> <SECTNO>60.162</SECTNO> <SUBJECT>Physical requirements.</SUBJECT> </SUBPART> <SUBPART> <RESERVED>Subpart I—Emergency Planning Criteria [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart J—Violations</HD> <SECTNO>60.181</SECTNO> <SUBJECT>Violations.</SUBJECT> <SECTNO>60.183</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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).</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>46 FR 13980, Feb. 25, 1981, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 60.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>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 § 60.11.</P> <CITA>[63 FR 1898, Jan. 13, 1998]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in this part:</P> <P> <E T="03">Accessible environment</E> means:</P> <P>(1) The atmosphere;</P> <P>(2) The land surface;</P> <P>(3) Surface water;</P> <P>(4) Oceans; and</P> <P>(5) The portion of the lithosphere that is outside the postclosure controlled area.</P> <P> <E T="03">Affected Indian Tribe</E> 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; <E T="03">Provided,</E> 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.</P> <P> <E T="03">Anticipated processes and events</E> 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.</P> <P> <E T="03">Barrier</E> means any material or structure that prevents or substantially delays movement of water or radionuclides.</P> <P> <E T="03">Candidate area</E> means a geologic and hydrologic system within which a geologic repository may be located.</P> <P> <E T="03">Commencement of construction</E> 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 <PRTPAGE P="120"/>suitability of a site or to the protection of environmental values, or procurement or manufacture of components of the geologic repository operations area.</P> <P> <E T="03">Commission</E> means the Nuclear Regulatory Commission or its duly authorized representatives.</P> <P> <E T="03">Containment</E> means the confinement of radioactive waste within a designated boundary.</P> <P> <E T="03">Controlled area</E> 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.</P> <P> <E T="03">Design bases means</E> 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:</P> <P>(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</P> <P>(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.</P> <P> <E T="03">Design basis events</E> means:</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P> <E T="03">Director</E> means the Director of the Nuclear Regulatory Commission's Office of Nuclear Material Safety and Safeguards.</P> <P> <E T="03">Disposal</E> means the isolation of radioactive wastes from the accessible environment.</P> <P> <E T="03">Disturbed zone</E> 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.</P> <P> <E T="03">DOE</E> means the U.S. Department of Energy or its duly authorized representatives.</P> <P> <E T="03">Engineered barrier system</E> means the waste packages and the underground facility.</P> <P> <E T="03">Geologic repository</E> 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.</P> <P> <E T="03">Geologic repository operations area</E> 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.</P> <P> <E T="03">Geologic setting</E> means the geologic, hydrologic, and geochemical systems of the region in which a geologic repository operations area is or may be located.</P> <P> <E T="03">Groundwater</E> means all water which occurs below the land surface.<PRTPAGE P="121"/> </P> <P> <E T="03">High-level radioactive waste</E> or <E T="03">HLW</E> 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.</P> <P> <E T="03">HLW facility</E> 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).<E T="51">1</E> <FTREF/> </P> <FTNT> <P> <E T="51">1</E> 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.”</P> </FTNT> <P> <E T="03">Host rock</E> means the geologic medium in which the waste is emplaced.</P> <P> <E T="03">Important to safety</E>, with reference to structures, systems, and components, means those engineered features of the repository whose function is:</P> <P>(1) To provide reasonable assurance that high-level waste can be received, handled, packaged, stored, emplaced, and retrieved without exceeding the requirements of § 60.111(a) for Category 1 design basis events; or</P> <P>(2) To prevent or mitigate Category 2 design basis events that could result in doses equal to or greater than the values specified in § 60.136 to any individual located on or beyond any point on the boundary of the preclosure controlled area.</P> <P> <E T="03">Isolation</E> 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.</P> <P> <E T="03">NRC Public Document Room</E> 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, <E T="03">http://www.nrc.gov</E>, where copies can be made or ordered as set forth in § 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 (<E T="03">PDR@nrc.gov)</E>, fax (202-634-3343), or letter (NRC Public Document Room, LL-6, Washington, DC 20555-0001).</P> <P> <E T="03">NRC Web site</E>, <E T="03">http://www.nrc.gov</E> 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.</P> <P> <E T="03">Permanent closure</E> means final backfilling of the underground facility and the sealing of shafts and boreholes.</P> <P> <E T="03">Performance confirmation</E> 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.</P> <P> <E T="03">Postclosure controlled area</E> 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.</P> <P> <E T="03">Preclosure controlled area</E> means that surface area surrounding the geologic repository operations area for which the licensee exercises authority over <PRTPAGE P="122"/>its use, in accordance with the provisions of this part, until permanent closure has been completed.</P> <P> <E T="03">Radioactive waste</E> or <E T="03">waste</E> means HLW and other radioactive materials other than HLW that are received for emplacement in a geologic repository.</P> <P> <E T="03">Restricted area</E> 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.</P> <P> <E T="03">Retrieval</E> means the act of intentionally removing radioactive waste from the underground location at which the waste had been previously emplaced for disposal.</P> <P> <E T="03">Saturated zone</E> 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.</P> <P> <E T="03">Site</E> means the location of the preclosure controlled area, or of the postclosure controlled area, or both.</P> <P> <E T="03">Site characterization</E> 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.</P> <P> <E T="03">Unanticipated processes and events</E> 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.</P> <P> <E T="03">Underground facility</E> means the underground structure, including openings and backfill materials, but excluding shafts, boreholes, and their seals.</P> <P> <E T="03">Unrestricted area</E> means an area, access to which is neither limited nor controlled by the licensee.</P> <P> <E T="03">Unsaturated zone</E> 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.</P> <P> <E T="03">Waste form</E> means the radioactive waste materials and any encapsulating or stabilizing matrix.</P> <P> <E T="03">Waste package</E> means the waste form and any containers, shielding, packing and other absorbent materials immediately surrounding an individual waste container.</P> <P> <E T="03">Water table</E> means that surface in a groundwater body at which the water pressure is atmospheric.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <PRTPAGE P="123"/> <SECTNO>§ 60.3</SECTNO> <SUBJECT>License required.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 60.4</SECTNO> <SUBJECT>Communications and records.</SUBJECT> <P>(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.</P> <P>(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.</P> <CITA>[53 FR 19251, May 27, 1988, as amended at 53 FR 43421, Oct. 27, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.5</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 60.6</SECTNO> <SUBJECT>Exemptions.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 60.7</SECTNO> <SUBJECT>License not required for certain preliminary activities.</SUBJECT> <P>The requirement for a license set forth in § 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:</P> <P>(a) For purposes of site characterization; or</P> <P>(b) For use, during site characterization or construction, as components of radiographic, radiation monitoring, or similar equipment or instrumentation.</P> </SECTION> <SECTION> <SECTNO>§ 60.8</SECTNO> <SUBJECT>Information collection requirements: Approval.</SUBJECT> <P>(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.</P> <P>(b) The approved information collection requirements contained in this part appear in §§ 60.62, 60.63, and 60.65.</P> <CITA>[61 FR 64268, Dec. 4, 1996, as amended at 62 FR 52188, Oct. 6, 1997]</CITA> </SECTION> <SECTION> <PRTPAGE P="124"/> <SECTNO>§ 60.9</SECTNO> <SUBJECT>Employee protection.</SUBJECT> <P>(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.</P> <P>(1) The protected activities include but are not limited to:</P> <P>(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;</P> <P>(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;</P> <P>(iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements;</P> <P>(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.</P> <P>(v) Assisting or participating in, or is about to assist or participate in, these activities.</P> <P>(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.</P> <P>(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.</P> <P>(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.</P> <P>(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—</P> <P>(1) Denial, revocation, or suspension of the license.</P> <P>(2) Imposition of a civil penalty on the licensee or applicant.</P> <P>(3) Other enforcement action.</P> <P>(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.</P> <P>(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.<PRTPAGE P="125"/> </P> <P>(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.</P> <P>(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.</P> <CITA>[58 FR 52411, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 FR 6765, Feb. 22, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.10</SECTNO> <SUBJECT>Completeness and accuracy of information.</SUBJECT> <P>(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.</P> <P>(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.</P> <CITA>[52 FR 49372, Dec. 31, 1987]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.11</SECTNO> <SUBJECT>Deliberate misconduct.</SUBJECT> <P>(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:</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(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:</P> <P>(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</P> <P>(2) Constitutes a violation of a requirement, procedure, instruction, contract, purchase order, or policy of a licensee, applicant, contractor, or subcontractor.</P> <CITA>[63 FR 1898, Jan. 13, 1998]</CITA> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="126"/> <HD SOURCE="HED">Subpart B—Licenses</HD> <SUBJGRP> <HD SOURCE="HED">Preapplication Review</HD> <SECTION> <SECTNO>§ 60.15</SECTNO> <SUBJECT>Site characterization.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(c) The program of site characterization shall be conducted in accordance with the following:</P> <P>(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.</P> <P>(2) The number of exploratory boreholes and shafts shall be limited to the extent practical consistent with obtaining the information needed for site characterization.</P> <P>(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.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.16</SECTNO> <SUBJECT>Site characterization plan required.</SUBJECT> <P>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.</P> <CITA>[51 FR 27162, July 30, 1986]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.17</SECTNO> <SUBJECT>Contents of site characterization plan.</SUBJECT> <P>The site characterization plan shall contain—</P> <P>(a) A general plan for site characterization activities to be conducted at the area to be characterized, which general plan shall include:</P> <P>(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.</P> <P>(2) A description of such site characterization activities, including the following—</P> <P>(i) The extent of planned excavations;</P> <P>(ii) Plans for any onsite testing with radioactive material, including radioactive tracers, or nonradioactive material;</P> <P>(iii) Plans for any investigation activities that may affect the capability of such area to isolate high-level radioactive waste;</P> <P>(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</P> <P>(v) Plans to apply quality assurance to data collection, recording, and retention.</P> <P>(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;</P> <P>(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</P> <P>(5) Any other information which the Commission, by rule or order, requires.</P> <P>(b) A description of the possible waste form or waste package for the <PRTPAGE P="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</P> <P>(c) A conceptual design for the geologic repository operations area that takes into account likely site-specific requirements.</P> <CITA>[51 FR 27163, July 30, 1986]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.18</SECTNO> <SUBJECT>Review of site characterization activities.<SU>2</SU> <FTREF/> </SUBJECT> <FTNT> <P> <SU>2</SU> 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.</P> </FTNT> <P>(a) The Director shall cause to be published in the <E T="04">Federal Register</E> 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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 § 60.22 of this part.</P> <P>(f) The Director shall publish in the <E T="04">Federal Register</E> 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, <E T="03">http://www.nrc.gov</E>, and copies of any comments received will also be made available there.</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 § 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.</P> <CITA>[51 FR 27163, July 30, 1986, as amended at 64 FR 48954, Sept. 9, 1999]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">License Applications</HD> <SECTION> <SECTNO>§ 60.21</SECTNO> <SUBJECT>Content of application.</SUBJECT> <P>(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.</P> <P>(b) The general information shall include:</P> <P>(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.</P> <P>(2) Proposed schedules for construction, receipt of waste, and emplacement of wastes at the proposed geologic repository operations area.</P> <P>(3) A detailed plan to provide physical protection of high-level radioactive waste in accordance with § 73.51 of this chapter. This plan must include the design for physical protection, the licensee's safeguards contingency plan, <PRTPAGE P="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.</P> <P>(4) A description of the program to meet the requirements of § 60.78.</P> <P>(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.</P> <P>(c) The Safety Analysis Report shall include:</P> <P>(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.</P> <P>(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:</P> <P>(A) The orientation, distribution, aperture in-filling and origin of fractures, discontinuities, and heterogeneities;</P> <P>(B) The presence and characteristics of other potential pathways such as solution features, breccia pipes, or other potentially permeable features;</P> <P>(C) The geomechanical properties and conditions, including pore pressure and ambient stress conditions;</P> <P>(D) The hydrogeologic properties and conditions;</P> <P>(E) The geochemical properties; and</P> <P>(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.</P> <P>(ii) The assessment shall contain:</P> <P>(A) An analysis of the geology, geophysics, hydrogeology, geochemistry, climatology, and meteorology of the site,</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <P>(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—</P> <P>(i) The requirements of § 60.111(a) will be met, assuming occurrence of Category 1 design basis events; and</P> <P>(ii) The requirements of § 60.136 will be met, assuming occurrence of Category 2 design basis events.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(9) Plans for coping with radiological emergencies at any time prior to permanent closure and decontamination or dismantlement of surface facilities.</P> <P>(10) A description of the program to be used to maintain the records described in §§ 60.71 and 60.72.</P> <P>(11) A description of design considerations that are intended to facilitate permanent closure and decontamination or dismantlement of surface facilities.</P> <P>(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.</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(15) The following information concerning activities at the geologic repository operations area:</P> <P>(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.</P> <P>(ii) Identification of key positions which are assigned responsibility for safety at and operation of the geologic repository operations area.</P> <P>(iii) Personnel qualifications and training requirements.</P> <P>(iv) Plans for startup activities and startup testing.</P> <P>(v) Plans for conduct of normal activities, including maintenance, surveillance, and periodic testing of structures, systems, and components of the geologic repository operation area.</P> <P>(vi) Plans for permanent closure and plans for the decontamination or dismantlement of surface facilities.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.22</SECTNO> <SUBJECT>Filing and distribution of application.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <CITA>[54 FR 27871, July 3, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.23</SECTNO> <SUBJECT>Elimination of repetition.</SUBJECT> <P>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: <E T="03">Provided,</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 60.24</SECTNO> <SUBJECT>Updating of application and environmental impact statement.</SUBJECT> <P>(a) The application shall be as complete as possible in the light of information that is reasonably available at the time of docketing.</P> <P>(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:</P> <P>(1) Additional geologic, geophysical, geochemical, hydrologic, meteorologic and other data obtained during construction.</P> <P>(2) Conformance of construction of structures, systems, and components with the design.</P> <P>(3) Results of research programs carried out to confirm the adequacy of designs.</P> <P>(4) Other information bearing on the Commission's issuance of a license that was not available at the time a construction authorization was issued.</P> <P>(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.</P> <CITA>[46 FR 13980, Feb. 25, 1981, as amended at 54 FR 27872, July 3, 1989]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Construction Authorization</HD> <SECTION> <SECTNO>§ 60.31</SECTNO> <SUBJECT>Construction authorization.</SUBJECT> <P>Upon review and consideration of an application and environmental impact statement submitted under this part, the Commission may authorize construction if it determines:</P> <P>(a) <E T="03">Safety.</E> 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:</P> <P>(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.</P> <P>(2) The site and design comply with the performance objectives and criteria contained in Subpart E of this part.</P> <P>(3) The DOE's quality assurance program complies with the requirements of Subpart G of this part.</P> <P>(4) The DOE's personnel training program complies with the criteria contained in Subpart H of this part.</P> <P>(5) The DOE's emergency plan complies with the criteria contained in Subpart I of this part.</P> <P>(6) The DOE's proposed operating procedures to protect health and to <PRTPAGE P="133"/>minimize danger to life or property are adequate.</P> <P>(b) <E T="03">Common defense and security.</E> That there is reasonable assurance that the activities proposed in the application will not be inimical to the common defense and security.</P> <P>(c) <E T="03">Environmental.</E> 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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.32</SECTNO> <SUBJECT>Conditions of construction authorization.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 § 60.24, and (2) the Commission has made the findings stated in § 60.41.</P> <CITA>[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.33</SECTNO> <SUBJECT>Amendment of construction authorization.</SUBJECT> <P>(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 § 60.21.</P> <P>(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.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">License Issuance and Amendment</HD> <SECTION> <SECTNO>§ 60.41</SECTNO> <SUBJECT>Standards for issuance of a license.</SUBJECT> <P>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:</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <P>(d) All applicable requirements of part 51 have been satisfied.</P> <CITA>[46 FR 13980, Feb. 25, 1981, as amended at 63 FR 26961, May 15, 1998]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.42</SECTNO> <SUBJECT>Conditions of license.</SUBJECT> <P>(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.</P> <P>(b) Whether stated therein or not, the following shall be deemed conditions in every license issued:</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 60.43</SECTNO> <SUBJECT>License specification.</SUBJECT> <P>(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.</P> <P>(b) License conditions shall include items in the following categories:</P> <P>(1) Restrictions as to the physical and chemical form and radioisotopic content of radioactive waste.</P> <P>(2) Restrictions as to size, shape, and materials and methods of construction of radioactive waste packaging.</P> <P>(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.</P> <P>(4) Requirements relating to test, calibration, or inspection to assure that the foregoing restrictions are observed.</P> <P>(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.</P> <P>(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.</P> <CITA>[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983; 61 FR 64268, Dec. 4, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.44</SECTNO> <SUBJECT>Changes, tests, and experiments.</SUBJECT> <P>(a)(1) Following authorization to receive and possess source, special nuclear, or byproduct material at a geologic repository operations area, the <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <CITA>[46 FR 13980, Feb. 25, 1981, as amended at 52 FR 31612, Aug. 21, 1987]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.45</SECTNO> <SUBJECT>Amendment of license.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 60.46</SECTNO> <SUBJECT>Particular activities requiring license amendment.</SUBJECT> <P>(a) Unless expressly authorized in the license, an amendment of the license shall be required with respect to any of the following activities:</P> <P>(1) Any action which would make emplaced high-level radioactive waste irretrievable or which would substantially increase the difficulty of retrieving such emplaced waste.</P> <P>(2) Dismantling of structures.</P> <P>(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.</P> <P>(4) Destruction or disposal of records required to be maintained under the provisions of this part.</P> <P>(5) Any substantial change to the design or operating procedures from that specified in the license.</P> <P>(6) Permanent closure.</P> <P>(7) Any other activity involving an unreviewed safety question.</P> <P>(b) An application for such an amendment shall be filed, and shall be reviewed, in accordance with the provisions of § 60.45.</P> <CITA>[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983; 61 FR 64268, Dec. 4, 1996]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <PRTPAGE P="136"/> <HD SOURCE="HED">Permanent Closure</HD> <SECTION> <SECTNO>§ 60.51</SECTNO> <SUBJECT>License amendment for permanent closure.</SUBJECT> <P>(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 §§ 60.21 and 60.22, including:</P> <P>(1) A description of the program for post-permanent closure monitoring of the geologic repository.</P> <P>(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:</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(5) Any substantial revision of plans for permanent closure.</P> <P>(6) Other information bearing upon permanent closure that was not available at the time a license was issued.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.52</SECTNO> <SUBJECT>Termination of license.</SUBJECT> <P>(a) Following permanent closure and the decontamination or dismantlement of surface facilities, DOE may apply for an amendment to terminate the license.</P> <P>(b) Such application shall be filed, and will be reviewed, in accordance with the provisions of § 60.45 and this section.</P> <P>(c) A license shall be terminated only when the Commission finds with respect to the geologic repository:</P> <P>(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.</P> <P>(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.</P> <P>(3) That the termination of the license is authorized by law, including sections 57, 62, and 81 of the Atomic Energy Act, as amended.</P> <CITA>[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28222, June 21, 1983]</CITA> </SECTION> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Participation by State Governments and Affected Indian Tribes</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>51 FR 27164, July 30, 1986, unless otherwise noted.</P> </SOURCE> <SECTION> <PRTPAGE P="137"/> <SECTNO>§ 60.61</SECTNO> <SUBJECT>Provision of information.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(d) Copies of all communications by the Director under this section are available at the NRC Web site, <E T="03">http://www.nrc.gov</E>, and/or at the NRC Public Document Room, and copies are furnished to DOE.</P> <CITA>[51 FR 27164, July 30, 1986, as amended at 64 FR 48954, Sept. 9, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.62</SECTNO> <SUBJECT>Site review.</SUBJECT> <P>(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.</P> <P>(b) Requests for consultation shall be made in writing to the Director.</P> <P>(c) Consultation under this section may include:</P> <P>(1) Keeping the parties informed of the Director's views on the progress of site characterization.</P> <P>(2) Review of applicable NRC regulations, licensing procedures, schedules, and opportunities for State and Tribe participation in the Commission's regulatory activities.</P> <P>(3) Cooperation in development of proposals for State and Tribe participation in license reviews.</P> </SECTION> <SECTION> <SECTNO>§ 60.63</SECTNO> <SUBJECT>Participation in license reviews.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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:</P> <P>(1) The proposed activities are suitable in light of the type and magnitude of impacts which the State or affected Indian Tribe may bear;<PRTPAGE P="138"/> </P> <P>(2) The proposed activities:</P> <P>(i) Will enhance communications between NRC and the State or affected Indian Tribe;</P> <P>(ii) Will make a productive and timely contribution to the review; and</P> <P>(iii) Are authorized by law.</P> <P>(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.</P> <P>(f) Proposals submitted under this section, and responses thereto, shall be made available at the <E T="03">NRC Web site, http://www.nrc.gov</E>, and/or at the NRC Public Document Room.</P> <CITA>[51 FR 27164, July 30, 1986, as amended at 64 FR 48954, Sept. 9, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.64</SECTNO> <SUBJECT>Notice to States.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 60.65</SECTNO> <SUBJECT>Representation.</SUBJECT> <P>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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Records, Reports, Tests, and Inspections</HD> <SECTION> <SECTNO>§ 60.71</SECTNO> <SUBJECT>Records and reports.</SUBJECT> <P>(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.</P> <P>(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 § 60.51(a)(2).</P> <CITA>[48 FR 28222, June 21, 1983, as amended at 53 FR 19251, May 27, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.72</SECTNO> <SUBJECT>Construction records.</SUBJECT> <P>(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 § 60.51(a)(2).</P> <P>(b) The records required under paragraph (a) shall include at least the following:</P> <P>(1) Surveys of the underground facility excavations, shafts, and boreholes referenced to readily identifiable surface features or monuments;</P> <P>(2) A description of the materials encountered;</P> <P>(3) Geologic maps and geologic cross sections;</P> <P>(4) Locations and amount of seepage;</P> <P>(5) Details of equipment, methods, progress, and sequence of work;</P> <P>(6) Construction problems;</P> <P>(7) Anomalous conditions encountered;</P> <P>(8) Instrument locations, readings, and analysis;</P> <P>(9) Location and description of structural support systems;</P> <P>(10) Location and description of dewatering systems; and</P> <P>(11) Details, methods of emplacement, and location of seals used.</P> <CITA>[48 FR 28222, June 21, 1983, as amended at 53 FR 19251, May 27, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.73</SECTNO> <SUBJECT>Reports of deficiencies.</SUBJECT> <P>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 <PRTPAGE P="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.</P> <CITA>[48 FR 28222, June 21, 1983]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.74</SECTNO> <SUBJECT>Tests.</SUBJECT> <P>(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:</P> <P>(1) Radioactive waste,</P> <P>(2) The geologic repository including its structures, systems, and components,</P> <P>(3) Radiation detection and monitoring instruments, and</P> <P>(4) Other equipment and devices used in connection with the receipt, handling, or storage of radioactive waste.</P> <P>(b) The tests required under this section shall include a performance confirmation program carried out in accordance with subpart F of this part.</P> <CITA>[48 FR 28222, June 21, 1983]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.75</SECTNO> <SUBJECT>Inspections.</SUBJECT> <P>(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.</P> <P>(b) DOE shall make available to the Commission for inspection, upon reasonable notice, records kept by DOE pertaining to activities under this part.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[48 FR 28222, June 21, 1983, as amended at 52 FR 31612, Aug. 21, 1987]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.78</SECTNO> <SUBJECT>Material control and accounting records and reports.</SUBJECT> <P>DOE shall implement a program of material control and accounting (and accidental criticality reporting) that is the same as that specified in §§ 72.72, 72.74, 72.76, and 72.78 of this chapter.</P> <CITA>[63 FR 26961, May 15, 1998]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Technical Criteria</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>48 FR 28222, June 21, 1983, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 60.101</SECTNO> <SUBJECT>Purpose and nature of findings.</SUBJECT> <P>(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, § 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 <PRTPAGE P="140"/>to set out performance objectives and site and design criteria which, if satisfied, will support such a finding of no unreasonable risk.</P> <P>(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 § 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.</P> <P>(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, § 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.</P> </SECTION> <SECTION> <SECTNO>§ 60.102</SECTNO> <SUBJECT>Concepts.</SUBJECT> <P>This section provides a functional overview of subpart E. In the event of any inconsistency with definitions found in § 60.2, those definitions shall prevail.</P> <P>(a) <E T="03">The HLW facility.</E> 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 <E T="03">HLW facility.</E> </P> <P>(b) <E T="03">The geologic repository operations area.</E> (1) This part deals with the exercise of authority with respect to a particular class of HLW facility—namely a <E T="03">geologic repository operations area.</E> </P> <P>(2) <E T="03">A geologic repository operations area</E> 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 <E T="03">underground facility.</E> </P> <P>(3) The exercise of Commission authority requires that the geologic repository operations area be used for <E T="03">storage</E> (which includes <E T="03">disposal</E>) of <E T="03">high-level radioactive wastes (HLW).</E> </P> <P>(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 <E T="03">radioactive waste</E> other than HLW, the storage of this radioactive waste is subject to the requirements of this part.</P> <P>(c) <E T="03">Areas related to isolation.</E> 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, <PRTPAGE P="141"/>which is designated the <E T="03">postclosure controlled area,</E> within which DOE is to exercise specified controls to prevent adverse human actions following permanent closure. The location of the controlled area is the <E T="03">site.</E> The <E T="03">accessible environment</E> 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 <E T="03">geologic setting,</E> 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 <E T="03">geologic repository.</E> </P> <P>(d) <E T="03">Stages in the licensing process.</E> There are several stages in the licensing process. The <E T="03">site characterization</E> stage, though begun before submission of a license application, may result in consequences requiring evaluation in the license review. The <E T="03">construction stage</E> would follow, after issuance of a construction authorization. A <E T="03">period of operations</E> follows the issuance of a license by the Commission. The period of operations includes the time during which <E T="03">emplacement</E> of wastes occurs; any subsequent period before permanent closure during which the emplaced wastes are <E T="03">retrievable;</E> and <E T="03">permanent closure,</E> which includes sealing of shafts. Permanent closure represents the end of active human intervention with respect to the engineered barrier system.</P> <P>(e) <E T="03">Isolation of waste.</E> (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 <E T="03">engineered barrier system.</E> This is known as the <E T="03">containment period.</E> The <E T="03">engineered barrier system</E> includes the waste packages and the underground facility. A <E T="03">waste package</E> is composed of the waste form and any containers, shielding, packing, and absorbent materials immediately surrounding an individual waste container. The <E T="03">underground facility</E> means the underground structure, including openings and backfill materials, but excluding, shafts, boreholes, and their seals.</P> <P>(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. <E T="03">Isolation</E> 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.</P> <CITA>[48 FR 28222, June 21, 1983, as amended at 61 FR 64268, Dec. 4, 1996]</CITA> </SECTION> <SUBJGRP> <HD SOURCE="HED">Performance Objectives</HD> <SECTION> <SECTNO>§ 60.111</SECTNO> <SUBJECT>Performance of the geologic repository operations area through permanent closure.</SUBJECT> <P>(a) <E T="03">Protection against radiation exposures and releases of radioactive material</E>. 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.</P> <P>(b) <E T="03">Retrievability of waste.</E> (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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <CITA>[48 FR 28222, June 21, 1983, as amended at 61 FR 64268, Dec. 4, 1996; 62 FR 59276, Nov. 3, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.112</SECTNO> <SUBJECT>Overall system performance objective for the geologic repository after permanent closure.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 60.113</SECTNO> <SUBJECT>Performance of particular barriers after permanent closure.</SUBJECT> <P>(a) <E T="03">General provisions</E>—(1) <E T="03">Engineered barrier system.</E> (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.</P> <P>(ii) In satisfying the preceding requirement, the engineered barrier system shall be designed, assuming anticipated processes and events, so that:</P> <P>(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 § 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</P> <P>(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.</P> <P>(2) <E T="03">Geologic setting.</E> 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.</P> <P>(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:<PRTPAGE P="143"/> </P> <P>(1) Any generally applicable environmental standard for radioactivity established by the Environmental Protection Agency;</P> <P>(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;</P> <P>(3) The geochemical characteristics of the host rock, surrounding strata and groundwater; and</P> <P>(4) Particular sources of uncertainty in predicting the performance of the geologic repository.</P> <P>(c) Additional requirements may be found to be necessary to satisfy the overall system performance objective as it relates to unanticipated processes and events.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Land Ownership and Control</HD> <SECTION> <SECTNO>§ 60.121</SECTNO> <SUBJECT>Requirements for ownership and control of interests in land.</SUBJECT> <P>(a) <E T="03">Ownership of land.</E> (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.</P> <P>(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.</P> <P>(b) <E T="03">Additional controls.</E> 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.</P> <P>(c) <E T="03">Water rights.</E> (1) DOE shall also have obtained such water rights as may be needed to accomplish the purpose of the geologic repository operations area.</P> <P>(2) Water rights are included in the additional controls to be established under paragraph (b) of this section.</P> <CITA>[48 FR 28222, June 21, 1983, as amended at 61 FR 64268, Dec. 4, 1996]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Siting Criteria</HD> <SECTION> <SECTNO>§ 60.122</SECTNO> <SUBJECT>Siting criteria.</SUBJECT> <P>(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.</P> <P>(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:</P> <P>(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</P> <P>(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</P> <P>(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</P> <P>(B) The effect of the potentially adverse human activity or natural condition is compensated by the presence of <PRTPAGE P="144"/>a combination of the favorable characteristics so that the performance objectives relating to isolation of the waste are met, or</P> <P>(C) The potentially adverse human activity or natural condition can be remedied.</P> <P>(b) <E T="03">Favorable conditions.</E> (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.</P> <P>(2) For disposal in the saturated zone, hydrogeologic conditions that provide:</P> <P>(i) A host rock with low horizontal and vertical permeability;</P> <P>(ii) Downward or dominantly horizontal hydraulic gradient in the host rock and immediately surrounding hydrogeologic units; and</P> <P>(iii) Low vertical permeability and low hydraulic gradient between the host rock and the surrounding hydrogeologic units.</P> <P>(3) Geochemical conditions that:</P> <P>(i) Promote precipitation or sorption of radionuclides;</P> <P>(ii) Inhibit the formation of particulates, colloids, and inorganic and organic complexes that increase the mobility of radionuclides; or</P> <P>(iii) Inhibit the transport of radionuclides by particulates, colloids, and complexes.</P> <P>(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.</P> <P>(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.)</P> <P>(6) A low population density within the geologic setting and a postclosure controlled area that is remote from population centers.</P> <P>(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.</P> <P>(8) For disposal in the unsaturated zone, hydrogeologic conditions that provide—</P> <P>(i) Low moisture flux in the host rock and in the overlying and underlying hydrogeologic units;</P> <P>(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;</P> <P>(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;</P> <P>(iv) A host rock that provides for free drainage; or</P> <P>(v) A climatic regime in which the average annual historic precipitation is a small percentage of the average annual potential evapotranspiration.</P> <P>(c) <E T="03">Potentially adverse conditions.</E> The following conditions are potentially adverse conditions if they are characteristic of the postclosure controlled area or may affect isolation within the controlled area.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(4) Structural deformation, such as uplift, subsidence, folding, or faulting <PRTPAGE P="145"/>that may adversely affect the regional groundwater flow system.</P> <P>(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.</P> <P>(6) Potential for changes in hydrologic conditions resulting from reasonably foreseeable climatic changes.</P> <P>(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.</P> <P>(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.</P> <P>(9) Groundwater conditions in the host rock that are not reducing.</P> <P>(10) Evidence of dissolutioning such as breccia pipes, dissolution cavities, or brine pockets.</P> <P>(11) Structural deformation such as uplift, subsidence, folding, and faulting during the Quaternary Period.</P> <P>(12) Earthquakes which have occurred historically that if they were to be repeated could affect the site significantly.</P> <P>(13) Indications, based on correlations of earthquakes with tectonic processes and features, that either the frequency of occurrence or magnitude of earthquakes may increase.</P> <P>(14) More frequent occurrence of earthquakes or earthquakes of higher magnitude than is typical of the area in which the geologic setting is located.</P> <P>(15) Evidence of igneous activity since the start of the Quaternary Period.</P> <P>(16) Evidence of extreme erosion during the Quaternary Period.</P> <P>(17) The presence of naturally occurring materials, whether identified or undiscovered, within the site, in such form that:</P> <P>(i) Economic extraction is currently feasible or potentially feasible during the foreseeable future; or</P> <P>(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.</P> <P>(18) Evidence of subsurface mining for resources within the site.</P> <P>(19) Evidence of drilling for any purpose within the site.</P> <P>(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.</P> <P>(21) Geomechanical properties that do not permit design of underground opening that will remain stable through permanent closure.</P> <P>(22) Potential for the water table to rise sufficiently so as to cause saturation of an underground facility located in the unsaturated zone.</P> <P>(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.</P> <P>(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.</P> <CITA>[48 FR 28222, June 21, 1983, as amended at 50 FR 29647, July 22, 1985; 61 FR 64269, Dec. 4, 1996]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Design Criteria for the Geologic Repository Operations Area</HD> <SECTION> <SECTNO>§ 60.130</SECTNO> <SUBJECT>General considerations.</SUBJECT> <P>Pursuant to the provisions of § 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 <PRTPAGE P="146"/>criteria for the geologic repository operations area.</P> <P>These design criteria are not intended to be exhaustive. However, omissions in §§ 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.</P> <CITA>[61 FR 64269, Dec. 4, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.131</SECTNO> <SUBJECT>General design criteria for the geologic repository operations area.</SUBJECT> <P>(a) <E T="03">Radiological protection.</E> 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:</P> <P>(1) Means to limit concentrations of radioactive material in air;</P> <P>(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;</P> <P>(3) Suitable shielding;</P> <P>(4) Means to monitor and control the dispersal of radioactive contamination;</P> <P>(5) Means to control access to high radiation areas or airborne radioactivity areas; and</P> <P>(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.</P> <P>(b) <E T="03">Protection against design basis events</E>. 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.</P> <P>(c) <E T="03">Protection against dynamic effects of equipment failure and similar events</E>. 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.</P> <P>(d) <E T="03">Protection against fires and explosions</E>. (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.</P> <P>(2) To the extent practicable, the geologic repository operations area shall be designed to incorporate the use of noncombustible and heat resistant materials.</P> <P>(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.</P> <P>(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.</P> <P>(e) <E T="03">Emergency capability</E>. (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.</P> <P>(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.</P> <P>(f) <E T="03">Utility services.</E> (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.</P> <P>(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.<PRTPAGE P="147"/> </P> <P>(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.</P> <P>(g) <E T="03">Inspection, testing, and maintenance.</E> 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.</P> <P>(h) <E T="03">Criticality control.</E> 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 (k<E T="52">eff</E>) 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.</P> <P>(i) <E T="03">Instrumentation and control systems.</E> 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.</P> <P>(j) <E T="03">Compliance with mining regulations.</E> 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.</P> <P>(k) <E T="03">Shaft conveyances used in radioactive waste handling.</E> (1) Hoists important to safety shall be designed to preclude cage free fall.</P> <P>(2) Hoists important to safety shall be designed with a reliable cage location system.</P> <P>(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.</P> <P>(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.</P> <CITA>[48 FR 28222, June 21, 1983, as amended at 61 FR 64269, Dec. 4, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.132</SECTNO> <SUBJECT>Additional design criteria for surface facilities in the geologic repository operations area.</SUBJECT> <P>(a) <E T="03">Facilities for receipt and retrieval of waste.</E> 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.</P> <P>(b) <E T="03">Surface facility ventilation.</E> 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 § 60.111(a).</P> <P>(c) <E T="03">Radiation control and monitoring—</E>(1) <E T="03">Effluent control.</E> 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 § 60.111(a).</P> <P>(2) <E T="03">Effluent monitoring.</E> 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.</P> <P>(d) <E T="03">Waste treatment.</E> Radioactive waste treatment facilities shall be designed to process any radioactive <PRTPAGE P="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.</P> <P>(e) <E T="03">Consideration of decommissioning.</E> 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.</P> <CITA>[48 FR 28222, June 21, 1983, as amended at 61 FR 64270, Dec. 4, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.133</SECTNO> <SUBJECT>Additional design criteria for the underground facility.</SUBJECT> <P>(a) <E T="03">General criteria for the underground facility.</E> (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.</P> <P>(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.</P> <P>(b) <E T="03">Flexibility of design.</E> 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.</P> <P>(c) <E T="03">Retrieval of waste.</E> The underground facility shall be designed to permit retrieval of waste in accordance with the performance objectives of § 60.111.</P> <P>(d) <E T="03">Control of water and gas.</E> The design of the underground facility shall provide for control of water or gas intrusion.</P> <P>(e) <E T="03">Underground openings.</E> (1) Openings in the underground facility shall be designed so that operations can be carried out safely and the retrievability option maintained.</P> <P>(2) Openings in the underground facility shall be designed to reduce the potential for deleterious rock movement or fracturing of overlying or surrounding rock.</P> <P>(f) <E T="03">Rock excavation.</E> 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.</P> <P>(g) <E T="03">Underground facility ventilation.</E> The ventilation system shall be designed to:</P> <P>(1) Control the transport of radioactive particulates and gases within and releases from the underground facility in accordance with the performance objectives of § 60.111(a),</P> <P>(2) Assure the ability to perform essential safety functions assuming occurrence of design basis events.</P> <P>(3) Separate the ventilation of excavation and waste emplacement areas.</P> <P>(h) <E T="03">Engineered barriers.</E> Engineered barriers shall be designed to assist the geologic setting in meeting the performance objectives for the period following permanent closure.</P> <P>(i) <E T="03">Thermal loads.</E> 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.</P> <CITA>[48 FR 28222, June 21, 1983, as amended at 50 FR 29648, July 22, 1985; 61 FR 64270, Dec. 4, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.134</SECTNO> <SUBJECT>Design of seals for shafts and boreholes.</SUBJECT> <P>(a) <E T="03">General design criterion.</E> 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.</P> <P>(b) <E T="03">Selection of materials and placement methods.</E> Materials and placement methods for seals shall be selected to reduce, to the extent practicable:</P> <P>(1) The potential for creating a preferential pathway for groundwater to contact the waste packages or</P> <P>(2) For radionuclide migration through existing pathways.</P> <CITA>[48 FR 28222, June 21, 1983, as amended at 50 FR 29648, July 22, 1985]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <PRTPAGE P="149"/> <HD SOURCE="HED">Design Criteria for the Waste Package</HD> <SECTION> <SECTNO>§ 60.135</SECTNO> <SUBJECT>Criteria for the waste package and its components.</SUBJECT> <P>(a) <E T="03">High-level-waste package design in general.</E> (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.</P> <P>(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.</P> <P>(b) <E T="03">Specific criteria for HLW package design</E>—(1) <E T="03">Explosive, pyrophoric, and chemically reactive materials.</E> 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.</P> <P>(2) <E T="03">Free liquids.</E> 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.</P> <P>(3) <E T="03">Handling.</E> Waste packages shall be designed to maintain waste containment during transportation, emplacement, and retrieval.</P> <P>(4) <E T="03">Unique identification.</E> 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.</P> <P>(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:</P> <P>(1) <E T="03">Solidification.</E> All such radioactive wastes shall be in solid form and placed in sealed containers.</P> <P>(2) <E T="03">Consolidation.</E> Particulate waste forms shall be consolidated (for example, by incorporation into an encapsulating matrix) to limit the availability and generation of particulates.</P> <P>(3) <E T="03">Combustibles.</E> All combustible radioactive wastes shall be reduced to a noncombustible form unless it can be demonstrated that a fire involving the waste packages containing combus-tibles 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.</P> <P>(d) <E T="03">Design criteria for other radioactive wastes.</E> 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.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Preclosure Controlled Area</HD> <SECTION> <SECTNO>§ 60.136</SECTNO> <SUBJECT>Preclosure controlled area.</SUBJECT> <P>(a) A preclosure controlled area must be established for the geologic repository operations area.</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <CITA>[61 FR 64270, Dec. 4, 1996]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Performance Confirmation Requirements</HD> <SECTION> <SECTNO>§ 60.137</SECTNO> <SUBJECT>General requirements for performance confirmation.</SUBJECT> <P>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.</P> </SECTION> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Performance Confirmation Program</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>48 FR 28228, June 21, 1983, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 60.140</SECTNO> <SUBJECT>General requirements.</SUBJECT> <P>(a) The performance confirmation program shall provide data which indicates, where practicable, whether:</P> <P>(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</P> <P>(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.</P> <P>(b) The program shall have been started during site characterization and it will continue until permanent closure.</P> <P>(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.</P> <P>(d) The program shall be implemented so that:</P> <P>(1) It does not adversely affect the ability of the natural and engineered elements of the geologic repository to meet the performance objectives.</P> <P>(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.</P> <P>(3) It monitors and analyzes changes from the baseline condition of parameters that could affect the performance of a geologic repository.</P> <P>(4) It provides an established plan for feedback and analysis of data, and implementation of appropriate action.</P> </SECTION> <SECTION> <SECTNO>§ 60.141</SECTNO> <SUBJECT>Confirmation of geotechnical and design parameters.</SUBJECT> <P>(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.</P> <P>(b) Subsurface conditions shall be monitored and evaluated against design assumptions.</P> <P>(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.</P> <P>(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.</P> <P>(e) In situ monitoring of the thermomechanical response of the underground facility shall be conducted until permanent closure to ensure that <PRTPAGE P="151"/>the performance of the natural and engineering features are within design limits.</P> </SECTION> <SECTION> <SECTNO>§ 60.142</SECTNO> <SUBJECT>Design testing.</SUBJECT> <P>(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.</P> <P>(b) The testing shall be initiated as early as is practicable.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 60.143</SECTNO> <SUBJECT>Monitoring and testing waste packages.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(d) The waste package monitoring program shall continue as long as practical up to the time of permanent closure.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Quality Assurance</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>48 FR 28228, June 21, 1983, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 60.150</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>As used in this part, <E T="03">quality assurance</E> 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.</P> </SECTION> <SECTION> <SECTNO>§ 60.151</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 60.152</SECTNO> <SUBJECT>Implementation.</SUBJECT> <P>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 § 60.151.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Training and Certification of Personnel</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>48 FR 28229, June 21, 1983, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 60.160</SECTNO> <SUBJECT>General requirements.</SUBJECT> <P>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 <PRTPAGE P="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.</P> </SECTION> <SECTION> <SECTNO>§ 60.161</SECTNO> <SUBJECT>Training and certification program.</SUBJECT> <P>DOE shall establish a program for training, proficiency testing, certification and requalification of operating and supervisory personnel.</P> </SECTION> <SECTION> <SECTNO>§ 60.162</SECTNO> <SUBJECT>Physical requirements.</SUBJECT> <P>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.</P> </SECTION> </SUBPART> <SUBPART> <RESERVED>Subpart I—Emergency Planning Criteria [Reserved]</RESERVED> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart J—Violations</HD> <SECTION> <SECTNO>§ 60.181</SECTNO> <SUBJECT>Violations.</SUBJECT> <P>(a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of—</P> <P>(1) The Atomic Energy Act of 1954, as amended;</P> <P>(2) Title II of the Energy Reorganization Act of 1974, as amended; or</P> <P>(3) A regulation or order issued pursuant to those Acts.</P> <P>(b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act:</P> <P>(1) For violations of—</P> <P>(i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended;</P> <P>(ii) Section 206 of the Energy Reorganization Act;</P> <P>(iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section;</P> <P>(iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section.</P> <P>(2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended.</P> <CITA>[57 FR 55076, Nov. 24, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 60.183</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> <P>(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.</P> <P>(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: §§ 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.</P> <CITA>[57 FR 55076, Nov. 24, 1992]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 61</EAR> <HD SOURCE="HED">PART 61—LICENSING REQUIREMENTS FOR LAND DISPOSAL OF RADIOACTIVE WASTE</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>61.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>61.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>61.3</SECTNO> <SUBJECT>License required.</SUBJECT> <SECTNO>61.4</SECTNO> <SUBJECT>Communications.</SUBJECT> <SECTNO>61.5</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <SECTNO>61.6</SECTNO> <SUBJECT>Exemptions.</SUBJECT> <SECTNO>61.7</SECTNO> <SUBJECT>Concepts.</SUBJECT> <SECTNO>61.8</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> <SECTNO>61.9</SECTNO> <SUBJECT>Employee protection.</SUBJECT> <SECTNO>61.9a</SECTNO> <SUBJECT>Completeness and accuracy of information.</SUBJECT> <SECTNO>61.9b</SECTNO> <SUBJECT>Deliberate misconduct.</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="153"/> <HD SOURCE="HED">Subpart B—Licenses</HD> <SECTNO>61.10</SECTNO> <SUBJECT>Content of application.</SUBJECT> <SECTNO>61.11</SECTNO> <SUBJECT>General information.</SUBJECT> <SECTNO>61.12</SECTNO> <SUBJECT>Specific technical information.</SUBJECT> <SECTNO>61.13</SECTNO> <SUBJECT>Technical analyses.</SUBJECT> <SECTNO>61.14</SECTNO> <SUBJECT>Institutional information.</SUBJECT> <SECTNO>61.15</SECTNO> <SUBJECT>Financial information.</SUBJECT> <SECTNO>61.16</SECTNO> <SUBJECT>Other information.</SUBJECT> <SECTNO>61.20</SECTNO> <SUBJECT>Filing and distribution of application.</SUBJECT> <SECTNO>61.21</SECTNO> <SUBJECT>Elimination of repetition.</SUBJECT> <SECTNO>61.22</SECTNO> <SUBJECT>Updating of application.</SUBJECT> <SECTNO>61.23</SECTNO> <SUBJECT>Standards for issuance of a license.</SUBJECT> <SECTNO>61.24</SECTNO> <SUBJECT>Conditions of licenses.</SUBJECT> <SECTNO>61.25</SECTNO> <SUBJECT>Changes.</SUBJECT> <SECTNO>61.26</SECTNO> <SUBJECT>Amendment of license.</SUBJECT> <SECTNO>61.27</SECTNO> <SUBJECT>Application for renewal or closure.</SUBJECT> <SECTNO>61.28</SECTNO> <SUBJECT>Contents of application for closure.</SUBJECT> <SECTNO>61.29</SECTNO> <SUBJECT>Post-closure observation and maintenance.</SUBJECT> <SECTNO>61.30</SECTNO> <SUBJECT>Transfer of license.</SUBJECT> <SECTNO>61.31</SECTNO> <SUBJECT>Termination of license.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Performance Objectives</HD> <SECTNO>61.40</SECTNO> <SUBJECT>General requirement.</SUBJECT> <SECTNO>61.41</SECTNO> <SUBJECT>Protection of the general population from releases of radioactivity.</SUBJECT> <SECTNO>61.42</SECTNO> <SUBJECT>Protection of individuals from inadvertent intrusion.</SUBJECT> <SECTNO>61.43</SECTNO> <SUBJECT>Protection of individuals during operations.</SUBJECT> <SECTNO>61.44</SECTNO> <SUBJECT>Stability of the disposal site after closure.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Technical Requirements for Land Disposal Facilities</HD> <SECTNO>61.50</SECTNO> <SUBJECT>Disposal site suitability requirements for land disposal.</SUBJECT> <SECTNO>61.51</SECTNO> <SUBJECT>Disposal site design for land disposal.</SUBJECT> <SECTNO>61.52</SECTNO> <SUBJECT>Land disposal facility operation and disposal site closure.</SUBJECT> <SECTNO>61.53</SECTNO> <SUBJECT>Environmental monitoring.</SUBJECT> <SECTNO>61.54</SECTNO> <SUBJECT>Alternative requirements for design and operations.</SUBJECT> <SECTNO>61.55</SECTNO> <SUBJECT>Waste classification.</SUBJECT> <SECTNO>61.56</SECTNO> <SUBJECT>Waste characteristics.</SUBJECT> <SECTNO>61.57</SECTNO> <SUBJECT>Labeling.</SUBJECT> <SECTNO>61.58</SECTNO> <SUBJECT>Alternative requirements for waste classification and characteristics.</SUBJECT> <SECTNO>61.59</SECTNO> <SUBJECT>Institutional requirements.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Financial Assurances</HD> <SECTNO>61.61</SECTNO> <SUBJECT>Applicant qualifications and assurances.</SUBJECT> <SECTNO>61.62</SECTNO> <SUBJECT>Funding for disposal site closure and stabilization.</SUBJECT> <SECTNO>61.63</SECTNO> <SUBJECT>Financial assurances for institutional controls.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Participation by State Governments and Indian Tribes</HD> <SECTNO>61.70</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>61.71</SECTNO> <SUBJECT>State and Tribal government consultation.</SUBJECT> <SECTNO>61.72</SECTNO> <SUBJECT>Filing of proposals for State and Tribal participation.</SUBJECT> <SECTNO>61.73</SECTNO> <SUBJECT>Commission approval of proposals.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Records, Reports, Tests, and Inspections</HD> <SECTNO>61.80</SECTNO> <SUBJECT>Maintenance of records, reports, and transfers.</SUBJECT> <SECTNO>61.81</SECTNO> <SUBJECT>Tests at land disposal facilities.</SUBJECT> <SECTNO>61.82</SECTNO> <SUBJECT>Commission inspections of land disposal facilities.</SUBJECT> <SECTNO>61.83</SECTNO> <SUBJECT>Violations.</SUBJECT> <SECTNO>61.84</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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).</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>47 FR 57463, Dec. 27, 1982, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 61.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(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.</P> <P>(b) Except as provided in part 150 of this chapter, which addresses assumption of certain regulatory authority by Agreement States, and § 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 § 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 <PRTPAGE P="154"/>(5) millicuries of radium-226; or (3) disposal of licensed material as provided for in part 20 of this chapter.</P> <P>(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 § 61.9b.</P> <CITA>[47 FR 57463, Dec. 27, 1982, as amended at 56 FR 40690, Aug. 15, 1991; 63 FR 1898, Jan. 13, 1998]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in this part:</P> <P> <E T="03">Active maintenance</E> means any significant remedial activity needed during the period of institutional control to maintain a reasonable assurance that the performance objectives in §§ 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.</P> <P> <E T="03">Buffer zone</E> 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.</P> <P> <E T="03">Chelating agent</E> means amine polycarboxylic acids (e.g., EDTA, DTPA), hydroxy-carboxylic acids, and polycarboxylic acids (e.g., citric acid, carbolic acid, and glucinic acid).</P> <P> <E T="03">Commencement of construction</E> 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.</P> <P> <E T="03">Commission</E> means the Nuclear Regulatory Commission or its duly authorized representatives.</P> <P> <E T="03">Custodial Agency</E> means an agency of the government designated to act on behalf of the government owner of the disposal site.</P> <P> <E T="03">Director</E> means the Director, Office of Nuclear Material Safety and Safeguards, U. S. Nuclear Regulatory Commission.</P> <P> <E T="03">Disposal</E> means the isolation of radioactive wastes from the biosphere inhabited by man and containing his food chains by emplacement in a land disposal facility.</P> <P> <E T="03">Disposal site</E> means that portion of a land disposal facility which is used for disposal of waste. It consists of disposal units and a buffer zone.</P> <P> <E T="03">Disposal unit</E> 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.</P> <P> <E T="03">Engineered barrier</E> 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.</P> <P> <E T="03">Explosive material</E> 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.</P> <P> <E T="03">Government agency</E> 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.</P> <P> <E T="03">Hazardous waste</E> means those wastes designated as hazardous by Environmental Protection Agency regulations in 40 CFR part 261.</P> <P> <E T="03">Hydrogeologic unit</E> 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.</P> <P> <E T="03">Inadvertent intruder</E> means a person who might occupy the disposal site <PRTPAGE P="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.</P> <P> <E T="03">Indian Tribe</E> means an Indian tribe as defined in the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450).</P> <P> <E T="03">Intruder barrier</E> 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.</P> <P> <E T="03">Land disposal facility</E> 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.”</P> <P> <E T="03">License</E> means a license issued under the regulations in part 61 of this chapter. <E T="03">Licensee</E> means the holder of such a license.</P> <P> <E T="03">Monitoring</E> means observing and making measurements to provide data to evaluate the performance and characteristics of the disposal site.</P> <P> <E T="03">Near-surface disposal facility</E> means a land disposal facility in which radioactive waste is disposed of in or within the upper 30 meters of the earth's surface.</P> <P> <E T="03">Person</E> 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.</P> <P> <E T="03">Pyrophoric liquid</E> means any liquid that ignites spontaneously in dry or moist air at or below 130°F (54.5°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.</P> <P> <E T="03">Site closure and stablization</E> 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.</P> <P> <E T="03">State</E> means any State, Territory, or possession of the United States, Puerto Rico, and the District of Columbia.</P> <P> <E T="03">Stability</E> means structural stabillity.</P> <P> <E T="03">Surveillance</E> 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.</P> <P> <E T="03">Tribal Governing Body</E> means a Tribal organization as defined in the Indian Self-Determination and Education Assistance Act (25 U.S.C. 450).</P> <P> <E T="03">Waste</E> 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).</P> <CITA>[47 FR 57463, Dec. 27, 1982, as amended at 54 FR 22583, May 25, 1989; 58 FR 33891, June 22, 1993]</CITA> </SECTION> <SECTION> <PRTPAGE P="156"/> <SECTNO>§ 61.3</SECTNO> <SUBJECT>License required.</SUBJECT> <P>(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 § 61.6 of this part.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 61.4</SECTNO> <SUBJECT>Communications.</SUBJECT> <P>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.</P> <CITA>[53 FR 4111, Feb. 12, 1988, as amended at 53 FR 43421, Oct. 27, 1988]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.5</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 61.6</SECTNO> <SUBJECT>Exemptions.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 61.7</SECTNO> <SUBJECT>Concepts.</SUBJECT> <P>(a) <E T="03">The disposal facility.</E> (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.</P> <P>(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.</P> <P>(b) <E T="03">Waste classification and near-surface disposal.</E> (1) Disposal of radioactive waste in near-surface disposal facilities has the following safety objectives: protection of the general population <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(c) <E T="03">The licensing process.</E> (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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[47 FR 57463, Dec. 27, 1982, as amended at 58 FR 33891, June 22, 1993]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.8</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> <P>(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.</P> <P>(b) The approved information collection requirements contained in this part appear in §§ 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.</P> <CITA>[58 FR 33891, June 22, 1993, as amended at 62 FR 52188, Oct. 6, 1997]</CITA> </SECTION> <SECTION> <PRTPAGE P="159"/> <SECTNO>§ 61.9</SECTNO> <SUBJECT>Employee protection.</SUBJECT> <P>(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.</P> <P>(1) The protected activities include but are not limited to:</P> <P>(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;</P> <P>(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;</P> <P>(iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements;</P> <P>(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.</P> <P>(v) Assisting or participating in, or is about to assist or participate in, these activities.</P> <P>(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.</P> <P>(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.</P> <P>(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.</P> <P>(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—</P> <P>(1) Denial, revocation, or suspension of the license.</P> <P>(2) Imposition of a civil penalty on the licensee or applicant.</P> <P>(3) Other enforcement action.</P> <P>(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.</P> <P>(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.<PRTPAGE P="160"/> </P> <P>(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.</P> <P>(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.</P> <CITA>[58 FR 52412, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 FR 6765, Feb. 22, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.9a</SECTNO> <SUBJECT>Completeness and accuracy of information.</SUBJECT> <P>(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.</P> <P>(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.</P> <CITA>[52 FR 49372, Dec. 31, 1987]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.9b</SECTNO> <SUBJECT>Deliberate misconduct.</SUBJECT> <P>(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:</P> <P>(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</P> <P>(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.</P> <P>(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.</P> <P>(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:</P> <P>(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</P> <P>(2) Constitutes a violation of a requirement, procedure, instruction, contract, purchase order, or policy of a licensee, applicant, contractor, or subcontractor.</P> <CITA>[63 FR 1898, Jan. 13, 1998]</CITA> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="161"/> <HD SOURCE="HED">Subpart B—Licenses</HD> <SECTION> <SECTNO>§ 61.10</SECTNO> <SUBJECT>Content of application.</SUBJECT> <P>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 §§ 61.11 through 61.16. An environmental report prepared in accordance with subpart A of part 51 of this chapter must accompany the application.</P> <CITA>[49 FR 9405, Mar. 12, 1984]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.11</SECTNO> <SUBJECT>General information.</SUBJECT> <P>The general information must include each of the following:</P> <P>(a) Identity of the applicant including:</P> <P>(1) The full name, address, telephone number and description of the business or occupation of the applicant;</P> <P>(2) If the applicant is a partnership, the name, and address of each partner and the principal location where the partnership does business;</P> <P>(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</P> <P>(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.</P> <P>(b) Qualifications of the applicant:</P> <P>(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;</P> <P>(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;</P> <P>(3) A description of the applicant's personnel training program; and</P> <P>(4) The plan to maintain an adequate complement of trained personnel to carry out waste receipt, handling, and disposal operations in a safe manner.</P> <P>(c) A description of:</P> <P>(1) The location of the proposed disposal site;</P> <P>(2) The general character of the proposed activities;</P> <P>(3) The types and quantities of radioactive waste to be received, possessed, and disposed of;</P> <P>(4) Plans for use of the land disposal facility for purposes other than disposal of radioactive wastes; and</P> <P>(5) The proposed facilities and equipment.</P> <P>(d) Proposed schedules for construction, receipt of waste, and first emplacement of waste at the proposed land disposal facility.</P> </SECTION> <SECTION> <SECTNO>§ 61.12</SECTNO> <SUBJECT>Specific technical information.</SUBJECT> <P>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:</P> <P>(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.</P> <P>(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.<PRTPAGE P="162"/> </P> <P>(c) A description of the principal design criteria and their relationship to the performance objectives.</P> <P>(d) A description of the design basis natural events or phenomena and their relationship to the principal design criteria.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(k) A description of the radiation safety program for control and monitoring of radioactive effluents to ensure compliance with the performance objective in § 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.</P> <P>(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.</P> <P>(m) A description of the administrative procedures that the applicant will apply to control activities at the land disposal facility.</P> <P>(n) A description of the facility electronic recordkeeping system as required in § 61.80.</P> <CITA>[47 FR 57463, Dec. 27, 1982, as amended at 58 FR 33891, June 22, 1993; 60 FR 15666, Mar. 27, 1995]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.13</SECTNO> <SUBJECT>Technical analyses.</SUBJECT> <P>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:</P> <P>(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 § 61.41.</P> <P>(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 <PRTPAGE P="163"/>barriers to inadvertent intrusion will be provided.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 61.14</SECTNO> <SUBJECT>Institutional information.</SUBJECT> <P>The institutional information must include:</P> <P>(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 § 61.30 are met, and will assume responsibility for custodial care after site closure and postclosure observation and maintenance.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 61.15</SECTNO> <SUBJECT>Financial information.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 61.16</SECTNO> <SUBJECT>Other information.</SUBJECT> <P>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:</P> <P>(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.</P> <P>(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 § 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 § 70.24(d). In determining whether receipt and possession would be subject to the requirements of § 70.24, the applicant shall not consider the quantity of special nuclear material that has been disposed of.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 61.20</SECTNO> <SUBJECT>Filing and distribution of application.</SUBJECT> <P>(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.</P> <P>(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.<PRTPAGE P="164"/> </P> <P>(c) <E T="03">Fees.</E> 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.</P> <CITA>[47 FR 57463, Dec. 27, 1982, as amended at 49 FR 9405, Mar. 12, 1984]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.21</SECTNO> <SUBJECT>Elimination of repetition.</SUBJECT> <P>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.</P> <CITA>[49 FR 9405, Mar. 12, 1984]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.22</SECTNO> <SUBJECT>Updating of application.</SUBJECT> <P>(a) The application must be as complete as possible in the light of information that is available at the time of submittal.</P> <P>(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.</P> <CITA>[49 FR 9405, Mar. 12, 1984]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.23</SECTNO> <SUBJECT>Standards for issuance of a license.</SUBJECT> <P>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:</P> <P>(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.</P> <P>(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 § 61.41, Protection of the general population from releases of radioactivity.</P> <P>(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 § 61.42, Protection of individuals from inadvertent intrusion.</P> <P>(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.</P> <P>(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.</P> <P>(f) The applicant's demonstration provides reasonable assurance that the applicable technical requirements of subpart D of this part will be met.</P> <P>(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 § 61.59, Institutional requirements.</P> <P>(h) The information on financial assurances meets the requirements of subpart E of this part.</P> <P>(i) The applicant's physical security information provides reasonable assurance that the requirements of part 73 <PRTPAGE P="165"/>of this chapter will be met, insofar as they are applicable to special nuclear material to be possessed before disposal under the license.</P> <P>(j) The applicant's criticality safety procedures are adequate to protect the public health and safety and provide reasonable assurance that the requirements of § 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.</P> <P>(k) Any additional information submitted as requested by the Commission pursuant to § 61.16, Other information, is adequate.</P> <P>(l) The requirements of subpart A of part 51 of this chapter have been met.</P> <CITA>[47 FR 57463, Dec. 27, 1982, as amended at 49 FR 9405, Mar. 12, 1984]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.24</SECTNO> <SUBJECT>Conditions of licenses.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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:</P> <P>(1) Promote the common defense and security;</P> <P>(2) Protect health or to minimize danger to life or property;</P> <P>(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.</P> <P>(i) Any licensee who receives and possesses special nuclear material under this part in quantities that would be subject to the requirements of § 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.<PRTPAGE P="166"/> </P> <P>(j) The authority to dispose of wastes expires on the date stated in the license except as provided in § 61.27(a) of this part.</P> <P>(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:</P> <P>(i) The licensee;</P> <P>(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</P> <P>(iii) An affiliate (as that term is defined in 11 U.S.C. 101(2)) of the licensee.</P> <P>(2) This notification must indicate:</P> <P>(i) The bankruptcy court in which the petition for bankruptcy was filed; and</P> <P>(ii) The date of the filing of the petition.</P> <CITA>[47 FR 57463, Dec. 27, 1982, as amended at 52 FR 1295, Jan. 12, 1987]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.25</SECTNO> <SUBJECT>Changes.</SUBJECT> <P>(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.</P> <P>(b) Amendments authorizing site closure, license transfer, or license termination shall be included in paragraph (a)(1) of this section.</P> <P>(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 § 2.104(e) of part 2 of this chapter.</P> </SECTION> <SECTION> <SECTNO>§ 61.26</SECTNO> <SUBJECT>Amendment of license.</SUBJECT> <P>(a) An application for amendment of a license must be filed in accordance with § 61.20 and shall fully describe the changes desired.</P> <P>(b) In determining whether an amendment to a license will be approved, the Commission will apply the criteria set forth in § 61.23.</P> </SECTION> <SECTION> <SECTNO>§ 61.27</SECTNO> <SUBJECT>Application for renewal or closure.</SUBJECT> <P>(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 § 61.28 must be filed at least 30 days prior to license expiration.</P> <P>(b) Applications for renewal of a license must be filed in accordance with §§ 61.10 through 61.16 and § 61.20. Applications for closure must be filed in accordance with §§ 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.</P> <P>(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.</P> <P>(d) In determining whether a license will be renewed, the Commission will apply the criteria set forth in § 61.23.</P> </SECTION> <SECTION> <PRTPAGE P="167"/> <SECTNO>§ 61.28</SECTNO> <SUBJECT>Contents of application for closure.</SUBJECT> <P>(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 § 61.12(g) that includes each of the following:</P> <P>(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.</P> <P>(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.</P> <P>(3) Any proposed revision of plans for:</P> <P>(i) Decontamination and/or dismantlement of surface facilities;</P> <P>(ii) Backfilling of excavated areas; or</P> <P>(iii) Stabilization of the disposal site for post-closure care.</P> <P>(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.</P> <P>(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.</P> <CITA>[47 FR 57463, Dec. 27, 1982, as amended at 49 FR 9406, Mar. 12, 1984]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.29</SECTNO> <SUBJECT>Post-closure observation and maintenance.</SUBJECT> <P>Following completion of closure authorized in § 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 § 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.</P> </SECTION> <SECTION> <SECTNO>§ 61.30</SECTNO> <SUBJECT>Transfer of license.</SUBJECT> <P>(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:</P> <P>(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;</P> <P>(2) That reasonable assurance has been provided by the licensee that the performance objectives of subpart C of this part are met;</P> <P>(3) That any funds for care and records required by § 61.80 (e) and (f) have been transferred to the disposal site owner;</P> <P>(4) That the post-closure monitoring program is operational for implementation by the disposal site owner; and</P> <P>(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 § 61.23(g) will be met.</P> <CITA>[47 FR 57463, Dec. 27, 1982, as amended at 61 FR 24674, May 16, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.31</SECTNO> <SUBJECT>Termination of license.</SUBJECT> <P>(a) Following any period of institutional control needed to meet the requirements found necessary under § 61.23, the licensee may apply for an amendment to terminate the license.</P> <P>(b) This application must be filed, and will be reviewed, in accordance with the provision of § 61.20 and of this section.</P> <P>(c) A license is terminated only when the Commission finds:</P> <P>(1) That the institutional control requirements found necessary under § 61.23(g) have been met; and<PRTPAGE P="168"/> </P> <P>(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.</P> <P>(3) That the records required by § 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.</P> <CITA>[47 FR 57463, Dec. 27, 1982, as amended at 61 FR 24674, May 16, 1996]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Performance Objectives</HD> <SECTION> <SECTNO>§ 61.40</SECTNO> <SUBJECT>General requirement.</SUBJECT> <P>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 §§ 61.41 through 61.44.</P> </SECTION> <SECTION> <SECTNO>§ 61.41</SECTNO> <SUBJECT>Protection of the general population from releases of radioactivity.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 61.42</SECTNO> <SUBJECT>Protection of individuals from inadvertent intrusion.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 61.43</SECTNO> <SUBJECT>Protection of individuals during operations.</SUBJECT> <P>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 § 61.41 of this part. Every reasonable effort shall be made to maintain radiation exposures as low as is reasonably achievable.</P> </SECTION> <SECTION> <SECTNO>§ 61.44</SECTNO> <SUBJECT>Stability of the disposal site after closure.</SUBJECT> <P>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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Technical Requirements for Land Disposal Facilities</HD> <SECTION> <SECTNO>§ 61.50</SECTNO> <SUBJECT>Disposal site suitability requirements for land disposal.</SUBJECT> <P>(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.</P> <P>(2) The disposal site shall be capable of being characterized, modeled, analyzed and monitored.</P> <P>(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.</P> <P>(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.<PRTPAGE P="169"/> </P> <P>(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.”</P> <P>(6) Upstream drainage areas must be minimized to decrease the amount of runoff which could erode or inundate waste disposal units.</P> <P>(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.</P> <P>(8) The hydrogeologic unit used for disposal shall not discharge ground water to the surface within the disposal site.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(b) Disposal site suitability requirements for land disposal other than near-surface (reserved).</P> </SECTION> <SECTION> <SECTNO>§ 61.51</SECTNO> <SUBJECT>Disposal site design for land disposal.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(b) Disposal site design for other than near-surface disposal (reserved).</P> </SECTION> <SECTION> <SECTNO>§ 61.52</SECTNO> <SUBJECT>Land disposal facility operation and disposal site closure.</SUBJECT> <P>(a) Near-surface disposal facility operation and disposal site closure. (1) Wastes designated as Class A pursuant to § 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 <PRTPAGE P="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 § 61.56(b) of this part.</P> <P>(2) Wastes designated as Class C pursuant to § 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.</P> <P>(3) All wastes shall be disposed of in accordance with the requirements of paragraphs (a) (4) through (11) of this section.</P> <P>(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.</P> <P>(5) Void spaces between waste packages must be filled with earth or other material to reduce future subsidence within the fill.</P> <P>(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 §§ 20.1301 and 20.1302 of this chapter at the time the license is transferred pursuant to § 61.30 of this part.</P> <P>(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.</P> <P>(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 § 61.53(d) of this part and take mitigative measures if needed.</P> <P>(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.</P> <P>(10) Active waste disposal operations must not have an adverse effect on completed closure and stabilization measures.</P> <P>(11) Only wastes containing or contaminated with radioactive materials shall be disposed of at the disposal site.</P> <P>(b) Facility operation and disposal site closure for land disposal facilities other than near-surface (reserved).</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.53</SECTNO> <SUBJECT>Environmental monitoring.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(d) After the disposal site is closed, the licensee responsible for post-operational surveillance of the disposal site <PRTPAGE P="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.</P> </SECTION> <SECTION> <SECTNO>§ 61.54</SECTNO> <SUBJECT>Alternative requirements for design and operations.</SUBJECT> <P>The Commission may, upon request or on its own initiative, authorize provisions other than those set forth in §§ 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.</P> </SECTION> <SECTION> <SECTNO>§ 61.55</SECTNO> <SUBJECT>Waste classification.</SUBJECT> <P>(a) Classification of waste for near surface disposal. (1) <E T="03">Considerations.</E> 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.</P> <P>(2) <E T="03">Classes of waste.</E> (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 § 61.56(a). If Class A waste also meets the stability requirements set forth in § 61.56(b), it is not necessary to segregate the waste for disposal.</P> <P>(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 § 61.56.</P> <P>(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 § 61.56.</P> <P>(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.</P> <P>(3) Classification determined by long-lived radionuclides. If radioactive waste contains only radionuclides listed in Table 1, classification shall be determined as follows:</P> <P>(i) If the concentration does not exceed 0.1 times the value in Table 1, the waste is Class A.</P> <P>(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.</P> <P>(iii) If the concentration exceeds the value in Table 1, the waste is not generally acceptable for near-surface disposal.</P> <P>(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.</P> <GPOTABLE CDEF="s10,8.2" COLS="2" OPTS="L2"> <TTITLE>Table 1</TTITLE> <BOXHD> <CHED H="1">Radionuclide</CHED> <CHED H="1">Concentration curies per cubic meter</CHED> </BOXHD> <ROW> <ENT I="01">C-14</ENT> <ENT>8</ENT> </ROW> <ROW> <ENT I="01">C-14 in activated metal</ENT> <ENT>80</ENT> </ROW> <ROW> <ENT I="01">Ni-59 in activated metal</ENT> <ENT>220</ENT> </ROW> <ROW> <ENT I="01">Nb-94 in activated metal</ENT> <ENT>0.2</ENT> </ROW> <ROW> <ENT I="01">Tc-99</ENT> <ENT>3</ENT> </ROW> <ROW> <ENT I="01">I-129</ENT> <ENT>0.08</ENT> </ROW> <ROW> <PRTPAGE P="172"/> <ENT I="01">Alpha emitting transuranic nuclides with half-life greater than 5 years</ENT> <ENT> <SU>1</SU> 100</ENT> </ROW> <ROW> <ENT I="01">Pu-241</ENT> <ENT> <SU>1</SU> 3,500</ENT> </ROW> <ROW> <ENT I="01">Cm-242</ENT> <ENT> <SU>1</SU> 20,000</ENT> </ROW> <TNOTE> <SU>1</SU> Units are nanocuries per gram.</TNOTE> </GPOTABLE> <P>(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.</P> <P>(i) If the concentration does not exceed the value in Column 1, the waste is Class A.</P> <P>(ii) If the concentration exceeds the value in Column 1, but does not exceed the value in Column 2, the waste is Class B.</P> <P>(iii) If the concentration exceeds the value in Column 2, but does not exceed the value in Column 3, the waste is Class C.</P> <P>(iv) If the concentration exceeds the value in Column 3, the waste is not generally acceptable for near-surface disposal.</P> <P>(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.</P> <GPOTABLE CDEF="s10,3.2,4,4" COLS="4" OPTS="L2"> <TTITLE>Table 2</TTITLE> <BOXHD> <CHED H="1">Radionuclide</CHED> <CHED H="1">Concentration, curies per cubic meter</CHED> <CHED H="2">Col. 1</CHED> <CHED H="2">Col. 2</CHED> <CHED H="2">Col. 3</CHED> </BOXHD> <ROW> <ENT I="01">Total of all nuclides with less than 5 year half-life</ENT> <ENT>700</ENT> <ENT>(<SU>1</SU>)</ENT> <ENT>(<SU>1</SU>)</ENT> </ROW> <ROW> <ENT I="01">H-3</ENT> <ENT>40</ENT> <ENT>(<SU>1</SU>)</ENT> <ENT>(<SU>1</SU>)</ENT> </ROW> <ROW> <ENT I="01">Co-60</ENT> <ENT>700</ENT> <ENT>(<SU>1</SU>)</ENT> <ENT>(<SU>1</SU>)</ENT> </ROW> <ROW> <ENT I="01">Ni-63</ENT> <ENT>3.5</ENT> <ENT>70</ENT> <ENT>700</ENT> </ROW> <ROW> <ENT I="01">Ni-63 in activated metal</ENT> <ENT>35</ENT> <ENT>700</ENT> <ENT>7000</ENT> </ROW> <ROW> <ENT I="01">Sr-90</ENT> <ENT>0.04</ENT> <ENT>150</ENT> <ENT>7000</ENT> </ROW> <ROW> <ENT I="01">Cs-137</ENT> <ENT>1</ENT> <ENT>44</ENT> <ENT>4600</ENT> </ROW> <TNOTE> <SU>1</SU> 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.</TNOTE> </GPOTABLE> <P>(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:</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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<SU>3</SU> and Cs-137 in a concentration of 22 Ci/m<SU>3</SU>. 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.</P> <P>(8) <E T="03">Determination of concentrations in wastes.</E> 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 <PRTPAGE P="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.</P> <CITA>[47 FR 57463, Dec. 27, 1982, as amended at 54 FR 22583, May 25, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.56</SECTNO> <SUBJECT>Waste characteristics.</SUBJECT> <P>(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.</P> <P>(1) Waste must not be packaged for disposal in cardboard or fiberboard boxes.</P> <P>(2) Liquid waste must be solidified or packaged in sufficient absorbent material to absorb twice the volume of the liquid.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(6) Waste must not be pyrophoric. Pyrophoric materials contained in waste shall be treated, prepared, and packaged to be nonflammable.</P> <P>(7) Waste in a gaseous form must be packaged at a pressure that does not exceed 1.5 atmospheres at 20°C. Total activity must not exceed 100 curies per container.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(2) Notwithstanding the provisions in § 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.</P> <P>(3) Void spaces within the waste and between the waste and its package must be reduced to the extent practicable.</P> </SECTION> <SECTION> <SECTNO>§ 61.57</SECTNO> <SUBJECT>Labeling.</SUBJECT> <P>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 § 61.55.</P> </SECTION> <SECTION> <SECTNO>§ 61.58</SECTNO> <SUBJECT>Alternative requirements for waste classification and characteristics.</SUBJECT> <P>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 <PRTPAGE P="174"/>finds reasonable assurance of compliance with the performance objectives in subpart C of this part.</P> </SECTION> <SECTION> <SECTNO>§ 61.59</SECTNO> <SUBJECT>Institutional requirements.</SUBJECT> <P>(a) <E T="03">Land ownership.</E> Disposal of radioactive waste received from other persons may be permitted only on land owned in fee by the Federal or a State government.</P> <P>(b) <E T="03">Institutional control.</E> 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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Financial Assurances</HD> <SECTION> <SECTNO>§ 61.61</SECTNO> <SUBJECT>Applicant qualifications and assurances.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 61.62</SECTNO> <SUBJECT>Funding for disposal site closure and stabilization.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 61.63</SECTNO> <SUBJECT>Financial assurances for institutional controls.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Participation by State Governments and Indian Tribes</HD> <SECTION> <SECTNO>§ 61.70</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 61.71</SECTNO> <SUBJECT>State and Tribal government consultation.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 61.72</SECTNO> <SUBJECT>Filing of proposals for State and Tribal participation.</SUBJECT> <P>(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:<PRTPAGE P="176"/> </P> <P>(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 <E T="04">Federal Register</E> of the notice of tendering of an application submitted under § 61.20.</P> <P>(2) For any other State, or for a tribal governing body, no later than 120 days following publication in the <E T="04">Federal Register</E> of the notice of tendering of an application submitted under § 61.20.</P> <P>(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.</P> <P>(c) At a minimum, proposals must contain each of the following items of information:</P> <P>(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.</P> <P>(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.</P> <P>(3) A description of any work that the State or tribe proposes to perform for the Commission in support of the licensing process.</P> <P>(4) A description of State or tribal plans to facilitate local government and citizen participation.</P> <P>(5) A preliminary estimate of the types and extent of impacts which the State expects, should a disposal facility be located as proposed.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 61.73</SECTNO> <SUBJECT>Commission approval of proposals.</SUBJECT> <P>(a) Upon receipt of a proposal submitted in accordance with § 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.</P> <P>(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:</P> <P>(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</P> <P>(2) The proposed activities will contribute productively to the licensing review.</P> <P>(c) The decision of the Director will be transmitted in writing to the governor or the designated official of the tribal governing body.</P> <P>(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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Records, Reports, Tests, and Inspections</HD> <SECTION> <SECTNO>§ 61.80</SECTNO> <SUBJECT>Maintenance of records, reports, and transfers.</SUBJECT> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="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.</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <P>(g) Each licensee shall comply with the safeguards reporting requirements of §§ 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.</P> <P>(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.</P> <P>(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.</P> <P>(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 <PRTPAGE P="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.</P> <P>(j) Each licensee shall report in accordance with the requirements of § 70.52 of this chapter.</P> <P>(k) Any transfer of byproduct, source, and special nuclear materials by the licensee is subject to the requirements in §§ 30.41, 40.51, and 70.42 of this chapter. Byproduct, source and special nuclear material means materials as defined in these parts, respectively.</P> <P>(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.</P> <P>(1) The manifest information that must be electronically stored is—</P> <P>(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</P> <P>(ii) That information required in paragraph (f) of this section.</P> <P>(2) As specified in facility license conditions, the licensee shall report the stored information, or subsets of this information, on a computer-readable medium.</P> <CITA>[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]]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.81</SECTNO> <SUBJECT>Tests at land disposal facilities.</SUBJECT> <P>(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:</P> <P>(1) Radioactive wastes and facilities used for the receipt, storage, treatment, handling and disposal of radioactive wastes.</P> <P>(2) Radiation detection and monitoring instruments; and</P> <P>(3) Other equipment and devices used in connection with the receipt, possession, handling, treatment, storage, or disposal of radioactive waste.</P> </SECTION> <SECTION> <SECTNO>§ 61.82</SECTNO> <SUBJECT>Commission inspections of land disposal facilities.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 61.83</SECTNO> <SUBJECT>Violations.</SUBJECT> <P>(a) The Commission may obtain an injunction or other court order to prevent a violation of the provisions of—</P> <P>(1) The Atomic Energy Act of 1954, as amended;</P> <P>(2) Title II of the Energy Reorganization Act of 1974, as amended; or</P> <P>(3) A regulation or order issued pursuant to those Acts.</P> <P>(b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act:</P> <P>(1) For violations of—</P> <P>(i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic Energy Act of 1954, as amended;</P> <P>(ii) Section 206 of the Energy Reorganization Act;</P> <P>(iii) Any rule, regulation, or order issued pursuant to the sections specified in paragraph (b)(1)(i) of this section;</P> <P>(iv) Any term, condition, or limitation of any license issued under the sections specified in paragraph (b)(1)(i) of this section.</P> <P>(2) For any violation for which a license may be revoked under section 186 of the Atomic Energy Act of 1954, as amended.</P> <CITA>[57 FR 55077, Nov. 24, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 61.84</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> <P>(a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation <PRTPAGE P="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.</P> <P>(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: §§ 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.</P> <CITA>[57 FR 55077, Nov. 24, 1992]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 62</EAR> <HD SOURCE="HED">PART 62—CRITERIA AND PROCEDURES FOR EMERGENCY ACCESS TO NON-FEDERAL AND REGIONAL LOW-LEVEL WASTE DISPOSAL FACILITIES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>62.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>62.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>62.3</SECTNO> <SUBJECT>Communications.</SUBJECT> <SECTNO>62.4</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <SECTNO>62.5</SECTNO> <SUBJECT>Specific exemptions.</SUBJECT> <SECTNO>62.8</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Request for a Commission Determination</HD> <SECTNO>62.11</SECTNO> <SUBJECT>Filing and distribution of a determination request.</SUBJECT> <SECTNO>62.12</SECTNO> <SUBJECT>Contents of a request for emergency access: General information.</SUBJECT> <SECTNO>62.13</SECTNO> <SUBJECT>Contents of a request for emergency access: Alternatives.</SUBJECT> <SECTNO>62.14</SECTNO> <SUBJECT>Contents of a request for an extension of emergency access.</SUBJECT> <SECTNO>62.15</SECTNO> <SUBJECT>Additional information.</SUBJECT> <SECTNO>62.16</SECTNO> <SUBJECT>Withdrawal of a determination request.</SUBJECT> <SECTNO>62.17</SECTNO> <SUBJECT>Elimination of repetition.</SUBJECT> <SECTNO>62.18</SECTNO> <SUBJECT>Denial of request.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Issuance of a Commission Determination</HD> <SECTNO>62.21</SECTNO> <SUBJECT>Determination for granting emergency access.</SUBJECT> <SECTNO>62.22</SECTNO> <SUBJECT>Notice of issuance of a determination.</SUBJECT> <SECTNO>62.23</SECTNO> <SUBJECT>Determination for granting temporary emergency access.</SUBJECT> <SECTNO>62.24</SECTNO> <SUBJECT>Extension of emergency access.</SUBJECT> <SECTNO>62.25</SECTNO> <SUBJECT>Criteria for a Commission determination.</SUBJECT> <SECTNO>62.26</SECTNO> <SUBJECT>Criteria for designating a disposal facility.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Termination of Emergency Access</HD> <SECTNO>62.31</SECTNO> <SUBJECT>Termination of emergency access.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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).</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>54 FR 5420, Feb. 3, 1989, unless other noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 62.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(a) The regulations in this part establish for specific low-level radioactive waste:</P> <P>(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</P> <P>(2) The terms and conditions upon which the Commission will grant this emergency access.</P> <P>(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.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 62.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in this part:</P> <P> <E T="03">Act</E> means the Low-Level Radioactive Waste Policy Amendments Act of 1985 (Pub. L. 99-240).</P> <P> <E T="03">Agreement State</E> means a State that—<PRTPAGE P="180"/> </P> <P>(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</P> <P>(2) Has authority to regulate the disposal of low-level radioactive waste under such agreement.</P> <P> <E T="03">Commission</E> means the Nuclear Regulatory Commission or its duly authorized representatives.</P> <P> <E T="03">Compact</E> means a Compact entered into by two or more States pursuant to the Low-Level Radioactive Waste Policy Amendments Act of 1985.</P> <P> <E T="03">Compact Commission</E> means the regional commission, committee, or board established in a Compact to administer such Compact.</P> <P> <E T="03">Disposal</E> 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.</P> <P> <E T="03">Emergency access</E> 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.</P> <P> <E T="03">Extension of emergency access</E> 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.</P> <P> <E T="03">Low-level radioactive waste</E> (LLW) means radioactive material that—</P> <P>(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.</P> <P> <E T="03">Non-Federal disposal facility</E> means a low-level radioactive waste disposal facility that is commercially operated or is operated by a State.</P> <P> <E T="03">Person</E> 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 § 62.1(c) of this part; any Governor (or for any <E T="03">State</E> without a Governor, the chief executive officer of the <E T="03">State</E>) on behalf of any NRC or NRC Agreement State licensed generator or generators of low-level radioactive waste within the scope of § 62.1(c) of this part located in his or her <E T="03">State</E>; or their duly authorized representative, legal successor, or agent.</P> <P> <E T="03">Regional disposal facility</E> means a non-Federal low-level radioactive waste disposal facility in operation on January 1, 1985, or subsequently established and operated under a compact.</P> <P> <E T="03">State</E> means any State of the United States, the District of Columbia, and the Commonwealth of Puerto Rico.</P> <P> <E T="03">Temporary emergency access</E> means access that is granted at NRC's discretion under § 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.</P> </SECTION> <SECTION> <SECTNO>§ 62.3</SECTNO> <SUBJECT>Communications.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 62.4</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 62.5</SECTNO> <SUBJECT>Specific exemptions.</SUBJECT> <P>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 <PRTPAGE P="181"/>authorized by law and will not endanger life or property or the common defense and security and is otherwise in the public interest.</P> </SECTION> <SECTION> <SECTNO>§ 62.8</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> <P>(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.</P> <P>(b) The approved information collection requirements contained in this part appear in §§ 62.11, 62.12, 62.13, 62.14, and 62.15.</P> <CITA>[54 FR 5420, Feb. 3, 1989, as amended at 62 FR 52188, Oct. 6, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Request for a Commission Determination</HD> <SECTION> <SECTNO>§ 62.11</SECTNO> <SUBJECT>Filing and distribution of a determination request.</SUBJECT> <P>(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 § 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.</P> <P>(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 <E T="04">Federal Register</E>. 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.</P> <P>(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.</P> <P>(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 § 170.31 of this chapter.</P> <P>(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.</P> <CITA>[54 FR 5420, Feb. 3, 1989, as amended at 64 FR 48954, Sept. 9, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 62.12</SECTNO> <SUBJECT>Contents of a request for emergency access: General information.</SUBJECT> <P>A request for a Commission determination under this part must include the following information for each generator to which the request applies:</P> <P>(a) Name and address of the person making the request;</P> <P>(b) Name and address of the person(s) or company(ies) generating the low-level radioactive waste for which the determination is sought;</P> <P>(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;<PRTPAGE P="182"/> </P> <P>(d) Certification that the radioactive waste for which emergency access is requested is low-level radioactive waste within § 62.1(c) of this part;</P> <P>(e) The low-level waste generation facility(ies) producing the waste for which the request is being made;</P> <P>(f) A description of the activity that generated the waste;</P> <P>(g) Name of the disposal facility or facilities which had been receiving the waste stream of concern before the generator was denied access;</P> <P>(h) A description of the low-level radioactive waste for which emergency access is requested, including—</P> <P>(1) The characteristics and composition of the waste, including, but not limited to—</P> <P>(i) Type of waste (e.g. solidified oil, scintillation fluid, failed equipment);</P> <P>(ii) Principal chemical composition;</P> <P>(iii) Physical state (solid, liquid, gas);</P> <P>(iv) Type of solidification media; and</P> <P>(v) Concentrations and percentages of any hazardous or toxic chemicals, chelating agents, or infectious or biological agents associated with the waste;</P> <P>(2) The radiological characteristics of the waste such as—</P> <P>(i) The classification of the waste in accordance with 61.55;</P> <P>(ii) A list of the radionuclides present or potentially present in the waste, their concentration or contamination levels, and total quantity;</P> <P>(iii) Distribution of the radionuclides within the waste (surface or volume distribution);</P> <P>(iv) Amount of transuranics (nanocuries/gram);</P> <P>(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;</P> <P>(4) The time duration for which emergency access is requested (not to exceed 180 days);</P> <P>(5) Type of disposal container or packaging (55 gallon drum, box, liner, etc.); and</P> <P>(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;</P> <P>(i) Basis for requesting the determination set out in this part, including—</P> <P>(1) The circumstances that led to the denial of access to existing low-level radioactive waste disposal facilities;</P> <P>(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;</P> <P>(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 § 62.13 of this part, and any supporting documentation as appropriate;</P> <P>(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;</P> <P>(5) Other consequences if emergency access is not granted;</P> <P>(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;</P> <P>(k) Documentation certifying that access has been denied;</P> <P>(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;</P> <P>(m) Date by which access is required;<PRTPAGE P="183"/> </P> <P>(n) Any other information which the Commission should consider in making its determination.</P> </SECTION> <SECTION> <SECTNO>§ 62.13</SECTNO> <SUBJECT>Contents of a request for emergency access: Alternatives.</SUBJECT> <P>(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:</P> <P>(1) Storage of low-level radioactive waste at the site of generation;</P> <P>(2) Storage of low-level radioactive waste in a licensed storage facility;</P> <P>(3) Obtaining access to a disposal facility by voluntary agreement;</P> <P>(4) Purchasing disposal capacity available for assignment pursuant to the Act;</P> <P>(5) Requesting disposal at a Federal low-level radioactive waste disposal facility in the case of a Federal or defense related generator of LLW;</P> <P>(6) Reducing the volume of the waste;</P> <P>(7) Ceasing activities that generate low-level radioactive waste; and</P> <P>(8) Other alternatives identified under paragraph (b) of this section.</P> <P>(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.</P> <P>(c) The evaluation of each alternative must consider:</P> <P>(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;</P> <P>(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;</P> <P>(3) The technical and economic feasibility of each alternative including the person's financial capability to implement the alternatives;</P> <P>(4) Any other pertinent societal costs and benefits;</P> <P>(5) Impacts to the environment;</P> <P>(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</P> <P>(7) The time required to develop and implement each alternative.</P> <P>(d) The request must include the basis for:</P> <P>(1) Rejecting each alternative; and</P> <P>(2) Concluding that no alternative is available.</P> </SECTION> <SECTION> <SECTNO>§ 62.14</SECTNO> <SUBJECT>Contents of a request for an extension of emergency access.</SUBJECT> <P>A request for an extension of emergency access must include:</P> <P>(a) Updates of the information required in §§ 62.12 and 62.13; and</P> <P>(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:</P> <P>(1) An identification of additional alternatives that have been evaluated during the period of the initial grant, and</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 62.15</SECTNO> <SUBJECT>Additional information.</SUBJECT> <P>(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.</P> <P>(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 <PRTPAGE P="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.</P> </SECTION> <SECTION> <SECTNO>§ 62.16</SECTNO> <SUBJECT>Withdrawal of a determination request.</SUBJECT> <P>(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 § 62.21 of this part.</P> <P>(b) The Secretary of the Commission will cause to be published in the <E T="04">Federal Register</E> a notice of the withdrawal of a request for a Commission determination under this part.</P> </SECTION> <SECTION> <SECTNO>§ 62.17</SECTNO> <SUBJECT>Elimination of repetition.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 62.18</SECTNO> <SUBJECT>Denial of request.</SUBJECT> <P>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.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Issuance of a Commission Determination</HD> <SECTION> <SECTNO>§ 62.21</SECTNO> <SUBJECT>Determination for granting emergency access.</SUBJECT> <P>(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—</P> <P>(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—</P> <P>(i) To the public health and safety or</P> <P>(ii) The common defense and security; and</P> <P>(2) The threat cannot be mitigated by any alternative consistent with the public health and safety, including those identified in § 62.13.</P> <P>(b) In making a determination under this section, the Commission shall be guided by the criteria set forth in § 62.25 of this part.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 62.22</SECTNO> <SUBJECT>Notice of issuance of a determination.</SUBJECT> <P>(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 <PRTPAGE P="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 § 62.24 of this part absent diligent State and generator action during the period of the initial grant.</P> <P>(b) The Secretary of the Commission will cause to be published in the <E T="04">Federal Register</E> a notice of the issuance of the determination.</P> <P>(c) The Secretary of the Commission shall make a copy of the final determination available for inspection at the NRC Web site, <E T="03">http://www.nrc.gov.</E> </P> <CITA>[54 FR 5420, Feb. 3, 1989, as amended at 64 FR 48954, Sept. 9, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 62.23</SECTNO> <SUBJECT>Determination for granting temporary emergency access.</SUBJECT> <P>(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 § 62.21(a)(1) of this part is made;</P> <P>(b) The notification procedures under § 62.22 of this part are complied with; and</P> <P>(c) The temporary emergency access duration will not exceed forty-five (45) days.</P> </SECTION> <SECTION> <SECTNO>§ 62.24</SECTNO> <SUBJECT>Extension of emergency access.</SUBJECT> <P>(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 § 62.21, the Commission shall make an initial determination of whether—</P> <P>(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;</P> <P>(2) The threat cannot be mitigated by any alternative that is consistent with public health and safety; and</P> <P>(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.</P> <P>(b) After making a determination pursuant to paragraph (a) of this section, the requirements specified in §§ 62.21(c) and 62.22 of this part, must be followed.</P> </SECTION> <SECTION> <SECTNO>§ 62.25</SECTNO> <SUBJECT>Criteria for a Commission determination.</SUBJECT> <P>(a) In making the determination required by § 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.</P> <P>(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 § 62.13 of this part:</P> <P>(1) The nature and extent of the radiation hazard that would result from the denial of emergency access, including consideration of—</P> <P>(i) The standards for radiation protection contained in part 20 of this chapter;</P> <P>(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</P> <P>(iii) Any other Commission requirements specifically applicable to the facility or activity that is the subject of the emergency access request; and</P> <P>(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.</P> <P>(c) For purposes of granting temporary emergency access under § 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.</P> <P>(d) In making the determination that a serious and immediate threat to the common defense and security exists, <PRTPAGE P="186"/>the Commission will consider, notwithstanding the availability of any alternative identified in § 62.13 of this part:</P> <P>(1) Whether the activity generating the wastes is necessary to the protection of the common defense and security, and</P> <P>(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.</P> <FP>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.</FP> <P>(e) In making the determination required by § 62.21(a)(2) of this part, the Commission will consider whether the person submitting the request—</P> <P>(1) Has identified and evaluated any alternative that could mitigate the need for emergency access; and</P> <P>(2) Has considered all pertinent factors in its evaluation of alternatives including state-of-the-art technology and impacts on public health and safety.</P> <P>(f) In making the determination required by § 62.21(a)(2) of this part, the Commission will consider implementation of an alternative to be unreasonable if:</P> <P>(1) It adversely affects public health and safety, the environment, or the common defense and security; or</P> <P>(2) It results in a significant curtailment or cessation of essential services, affecting public health and safety or the common defense and security; or</P> <P>(3) It is beyond the technical and economic capabilities of the person requesting emergency access; or</P> <P>(4) Implementation of the alternative would conflict with applicable State or local or Federal laws and regulations; or</P> <P>(5) It cannot be implemented in a timely manner.</P> <P>(g) The Commission shall make an affirmative determination under § 62.21(a) of this part only if all of the alternatives that were considered are found to be unreasonable.</P> <P>(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.</P> </SECTION> <SECTION> <SECTNO>§ 62.26</SECTNO> <SUBJECT>Criteria for designating a disposal facility.</SUBJECT> <P>(a) The Commission shall designate an appropriate non-Federal or regional disposal facility if an affirmative determination is made pursuant to §§ 62.21, 62.23, or 62.24 of this part.</P> <P>(b) The Commission will exclude a disposal facility from consideration if:</P> <P>(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</P> <P>(2) The disposal facility is in excess of its approved capacity; or</P> <P>(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</P> <P>(4) The volume of waste requiring emergency access exceeds 20 percent of the total volume of low-level radioactive waste accepted for disposal at <PRTPAGE P="187"/>the facility during the previous calendar year.</P> <P>(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—</P> <P>(1) Type of waste and its characteristics,</P> <P>(2) Previous disposal practices,</P> <P>(3) Transportation</P> <P>(4) Radiological effects,</P> <P>(5) Site capability for handling waste,</P> <P>(6) The volume of emergency access waste previously accepted by each site both for the particular year and overall, and</P> <P>(7) Any other considerations deemed appropriate by the Commission.</P> <P>(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 <E T="04">Federal Register</E> notice requesting comment, as provided in paragraph (b) of § 62.11 of this part.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Termination of Emergency Access</HD> <SECTION> <SECTNO>§ 62.31</SECTNO> <SUBJECT>Termination of emergency access.</SUBJECT> <P>(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.</P> <P>(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.</P> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 70</EAR> <HD SOURCE="HED">PART 70—DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>70.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>70.2</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>70.3</SECTNO> <SUBJECT>License requirements.</SUBJECT> <SECTNO>70.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>70.5</SECTNO> <SUBJECT>Communications.</SUBJECT> <SECTNO>70.6</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <SECTNO>70.7</SECTNO> <SUBJECT>Employee protection.</SUBJECT> <SECTNO>70.8</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> <SECTNO>70.9</SECTNO> <SUBJECT>Completeness and accuracy of information.</SUBJECT> <SECTNO>70.10</SECTNO> <SUBJECT>Deliberate misconduct.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Exemptions</HD> <SECTNO>70.11</SECTNO> <SUBJECT>Persons using special nuclear material under certain Department of Energy and Nuclear Regulatory Commission contracts.</SUBJECT> <SECTNO>70.12</SECTNO> <SUBJECT>Carriers.</SUBJECT> <SECTNO>70.13</SECTNO> <SUBJECT>Department of Defense.</SUBJECT> <SECTNO>70.14</SECTNO> <SUBJECT>Foreign military aircraft.</SUBJECT> <SECTNO>70.17</SECTNO> <SUBJECT>Specific exemptions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—General Licenses</HD> <SECTNO>70.18</SECTNO> <SUBJECT>Types of licenses.</SUBJECT> <SECTNO>70.19</SECTNO> <SUBJECT>General license for calibration or reference sources.</SUBJECT> <SECTNO>70.20</SECTNO> <SUBJECT>General license to own special nuclear material.</SUBJECT> <SECTNO>70.20a</SECTNO> <SUBJECT>General license to possess special nuclear material for transport.</SUBJECT> <SECTNO>70.20b</SECTNO> <SUBJECT>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.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—License Applications</HD> <SECTNO>70.21</SECTNO> <SUBJECT>Filing.</SUBJECT> <SECTNO>70.22</SECTNO> <SUBJECT>Contents of applications.</SUBJECT> <SECTNO>70.23</SECTNO> <SUBJECT>Requirements for the approval of applications.</SUBJECT> <SECTNO>70.23a</SECTNO> <SUBJECT>Hearing required for uranium enrichment facility.</SUBJECT> <SECTNO>70.24</SECTNO> <SUBJECT>Criticality accident requirements.</SUBJECT> <SECTNO>70.25</SECTNO> <SUBJECT>Financial assurance and recordkeeping for decommissioning.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Licenses</HD> <SECTNO>70.31</SECTNO> <SUBJECT>Issuance of licenses.</SUBJECT> <SECTNO>70.32</SECTNO> <SUBJECT>Conditions of licenses.</SUBJECT> <SECTNO>70.33</SECTNO> <SUBJECT>Renewal of licenses.</SUBJECT> <SECTNO>70.34</SECTNO> <SUBJECT>Amendment of licenses.</SUBJECT> <SECTNO>70.35</SECTNO> <SUBJECT>Commission action on applications to renew or amend.</SUBJECT> <SECTNO>70.36</SECTNO> <SUBJECT>Inalienability of licenses.</SUBJECT> <SECTNO>70.37</SECTNO> <SUBJECT>Disclaimer of warranties.</SUBJECT> <SECTNO>70.38</SECTNO> <SUBJECT>Expiration and termination of licenses and decommissioning of sites and separate buildings or outdoor areas.</SUBJECT> <SECTNO>70.39</SECTNO> <SUBJECT>Specific licenses for the manufacture or initial transfer of calibration or reference sources.</SUBJECT> <SECTNO>70.40</SECTNO> <SUBJECT>Ineligibility of certain applicants.</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="188"/> <HD SOURCE="HED">Subpart F—Acquisition, Use and Transfer of Special Nuclear Material, Creditors' Rights</HD> <SECTNO>70.41</SECTNO> <SUBJECT>Authorized use of special nuclear material.</SUBJECT> <SECTNO>70.42</SECTNO> <SUBJECT>Transfer of special nuclear material.</SUBJECT> <SECTNO>70.44</SECTNO> <SUBJECT>Creditor regulations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Special Nuclear Material Control, Records, Reports and Inspections</HD> <SECTNO>70.50</SECTNO> <SUBJECT>Reporting requirements.</SUBJECT> <SECTNO>70.51</SECTNO> <SUBJECT>Material balance, inventory, and records requirements.</SUBJECT> <SECTNO>70.52</SECTNO> <SUBJECT>Reports of accidental criticality or loss or theft or attempted theft of special nuclear material.</SUBJECT> <SECTNO>70.53</SECTNO> <SUBJECT>Material status reports.</SUBJECT> <SECTNO>70.54</SECTNO> <SUBJECT>Nuclear material transfer reports.</SUBJECT> <SECTNO>70.55</SECTNO> <SUBJECT>Inspections.</SUBJECT> <SECTNO>70.56</SECTNO> <SUBJECT>Tests.</SUBJECT> <SECTNO>70.57</SECTNO> <SUBJECT>Measurement control program for special nuclear materials control and accounting.</SUBJECT> <SECTNO>70.58</SECTNO> <SUBJECT>Fundamental nuclear material controls.</SUBJECT> <SECTNO>70.59</SECTNO> <SUBJECT>Effluent monitoring reporting requirements.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Additional Requirements for Certain Licensees Authorized to Possess a Critical Mass of Special Nuclear Material</HD> <SECTNO>70.60</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>70.61</SECTNO> <SUBJECT>Performance requirements.</SUBJECT> <SECTNO>70.62</SECTNO> <SUBJECT>Safety program and integrated safety analysis.</SUBJECT> <SECTNO>70.64</SECTNO> <SUBJECT>Requirements for new facilities or new processes at existing facilities.</SUBJECT> <SECTNO>70.65</SECTNO> <SUBJECT>Additional content of applications.</SUBJECT> <SECTNO>70.66</SECTNO> <SUBJECT>Additional requirements for approval of license application.</SUBJECT> <SECTNO>70.72</SECTNO> <SUBJECT>Facility changes and change process.</SUBJECT> <SECTNO>70.73</SECTNO> <SUBJECT>Renewal of licenses.</SUBJECT> <SECTNO>70.74</SECTNO> <SUBJECT>Additional reporting requirements.</SUBJECT> <SECTNO>70.76</SECTNO> <SUBJECT>Backfitting.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Modification and Revocation of Licenses</HD> <SECTNO>70.81</SECTNO> <SUBJECT>Modification and revocation of licenses.</SUBJECT> <SECTNO>70.82</SECTNO> <SUBJECT>Suspension and operation in war or national emergency.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart J—Enforcement</HD> <SECTNO>70.91</SECTNO> <SUBJECT>Violations.</SUBJECT> <SECTNO>70.92</SECTNO> <SUBJECT>Criminal penalties.</SUBJECT> <APP>Appendix A to Part 70—Reportable Safety Events</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>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).</P> <P>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).</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>21 FR 764, Feb. 3, 1956, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 70.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>(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.</P> <P>(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).</P> <P>(c) The regulations in part 72 of this chapter establish requirements, procedures, and criteria for the issuance of licenses to possess:</P> <P>(1) Spent fuel and other radioactive materials associated with spent fuel storage in an independent spent fuel storage installation (ISFSI), or</P> <P>(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.</P> <P>(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 <PRTPAGE P="189"/>certificate of compliance or the approval of a compliance plan.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.2</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>Except as provided in §§ 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 § 70.10.</P> <CITA>[63 FR 1898, Jan. 13, 1998]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.3</SECTNO> <SUBJECT>License requirements.</SUBJECT> <P>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.</P> <CITA>[32 FR 2562, Feb. 7, 1967, as amended at 43 FR 6924, Feb. 17, 1978]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.4</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P> <E T="03">Act</E> means the Atomic Energy Act of 1954 (68 Stat 919), including any amendments thereto;</P> <P> <E T="03">Acute,</E> 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).</P> <P> <E T="03">Agreement State</E> 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. <E T="03">Non-agreement State</E> means any other State.</P> <P> <E T="03">Alert</E> 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.</P> <P> <E T="03">Atomic energy</E> means all forms of energy released in the course of nuclear fission or nuclear transformation;</P> <P> <E T="03">Atomic weapon</E> 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;</P> <P> <E T="03">Available and reliable to perform their function when needed,</E> 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 § 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.</P> <P> <E T="03">Commencement of construction</E> 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.</P> <P> <E T="03">Commission</E> means the Nuclear Regulatory Commission or its duly authorized representatives;</P> <P> <E T="03">Common defense and security</E> means the common defense and security of the United States;</P> <P> <E T="03">Configuration management (CM)</E> 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 <PRTPAGE P="190"/>safety to perform their functions when needed.</P> <P> <E T="03">Contiguous sites</E> 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.</P> <P> <E T="03">Corporation</E> 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.</P> <P> <E T="03">Critical mass of special nuclear material (SNM),</E> 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.</P> <P> <E T="03">Decommission</E> means to remove a facility or site safely from service and reduce residual radioactivity to a level that permits—</P> <P>(1) Release of the property for unrestricted use and termination of the license; or</P> <P>(2) Release of the property under restricted conditions and termination of the license.</P> <P> <E T="03">Department</E> and <E T="03">Department of Energy</E> means the Department of Energy Organization Act (Pub. L. 95-91, 91 Stat. 565, 42 U.S.C. 7101 <E T="03">et seq.</E>), 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).</P> <P> <E T="03">Double contingency principle</E> 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.</P> <P> <E T="03">Effective dose equivalent</E> 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.</P> <P> <E T="03">Effective kilograms of special nuclear material</E> 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.</P> <P> <E T="03">Formula quantity</E> 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.</P> <P> <E T="03">Government agency</E> 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;</P> <P> <E T="03">Hazardous chemicals produced from licensed materials</E> means substances having licensed material as precursor compound(s) or substances that physically or chemically interact with licensed <PRTPAGE P="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.</P> <P> <E T="03">Integrated safety analysis (ISA)</E> 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.</P> <P> <E T="03">Integrated safety analysis summary</E> means a document or documents submitted with the license application, license amendment application, license renewal application, or pursuant to § 70.62(c)(3)(ii) that provides a synopsis of the results of the integrated safety analysis and contains the information specified in § 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.</P> <P> <E T="03">Items relied on for safety</E> 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 § 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(<E T="03">i.e.,</E> beyond those in the minimum set necessary for compliance with the performance requirements) as items relied on for safety.</P> <P> <E T="03">License</E>, except where otherwise specified, means a license issued pursuant to the regulations in this part;</P> <P> <E T="03">Management measures</E> 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.</P> <P> <E T="03">Person</E> 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;</P> <P> <E T="03">Plutonium processing and fuel fabrication plant</E> 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.<PRTPAGE P="192"/> </P> <P> <E T="03">Principal activities</E>, 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.</P> <P> <E T="03">Produce</E>, 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;</P> <P> <E T="03">Research and development</E> 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;</P> <P> <E T="03">Restricted Data</E> 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;</P> <P> <E T="03">Sealed source</E> means any special nuclear material that is encased in a capsule designed to prevent leakage or escape of the special nuclear material.</P> <P> <E T="03">Site Area emergency</E> 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.</P> <P> <E T="03">Source material</E> means source material as defined in section 11z. of the Act and in the regulations contained in part 40 of this chapter;</P> <P> <E T="03">Special nuclear material</E> 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;</P> <P> <E T="03">Special nuclear material of low strategic significance</E> means:</P> <P>(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</P> <P>(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</P> <P>(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).</P> <FP>This class of material is sometimes referred to as a Category III quantity of material.</FP> <P> <E T="03">Special nuclear material of moderate strategic significance</E> means:</P> <P>(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</P> <P>(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).</P> <FP>This class of material is sometimes referred to as a Category II quantity of material.</FP> <P> <E T="03">Special nuclear material scrap</E> means the various forms of special nuclear material generated during chemical and mechanical processing, other than recycle material and normal process <PRTPAGE P="193"/>intermediates, which are unsuitable for use in their present form, but all or part of which will be used after further processing.</P> <P> <E T="03">Strategic special nuclear material</E> means uranium-235 (contained in uranium enriched to 20 percent or more in the U<E T="51">235</E> isotope), uranium-233, or plutonium.</P> <P> <E T="03">Transient shipment</E> means a shipment of nuclear material, originating and terminating in foreign countries, on a vessel or aircraft which stops at a United States port.</P> <P> <E T="03">Unacceptable performance deficiencies</E> 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 10CFR 70.61(b), (c), or (d).</P> <P> <E T="03">United States</E>, when used in a geographical sense, includes Puerto Rico and all territories and possessions of the United States.</P> <P> <E T="03">Uranium enrichment facility</E> means:</P> <P>(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</P> <P>(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.</P> <P> <E T="03">Worker,</E> when used in Subpart H of this Part, means an individual who receives an occupational dose as defined in 10 CFR 20.1003.</P> <CITA>[21 FR 764, Feb. 3, 1956]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>For <E T="04">Federal Register</E> citations affecting § 70.4, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.</P> </EDNOTE> </SECTION> <SECTION> <SECTNO>§ 70.5</SECTNO> <SUBJECT>Communications.</SUBJECT> <P>(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:</P> <P>(1) By mail addressed to: Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555.</P> <P>(2) By delivery in person to the Commission's offices to the Director, Office of Nuclear Material Safety and Safeguards at:</P> <P>(i) 2120 L Street NW., Washington, DC; or</P> <P>(ii) 11545 Rockville Pike, Two White Flint North, Rockville, Maryland.</P> <P>(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.</P> <P>(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:</P> <P>(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.</P> <P>(ii) Health and safety design review of sealed sources and devices and approval, for licensing purposes, of sealed sources and devices.</P> <P>(iii) Processing of source material for extracting of metallic compounds (including Zirconium, Hafnium, Tantalum, Titanium, Niobium, etc.).</P> <P>(iv) Distribution of products containing radioactive material to persons exempt pursuant to 10 CFR 32.11 through 32.26.</P> <P>(v) New uses or techniques for use of byproduct, source, or special nuclear material.</P> <P>(vi) Reviews pursuant to § 70.32(c).</P> <P>(vii) Uranium enrichment facilities.</P> <P>(2) <E T="03">Submissions</E>—(i) <E T="03">Region I.</E> The regional licensing program involves all Federal facilities in the region and <PRTPAGE P="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.</P> <P>(ii) <E T="03">Region II.</E> 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.</P> <P>(iii) <E T="03">Region III.</E> 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.</P> <P>(iv) <E T="03">Region IV.</E> 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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.6</SECTNO> <SUBJECT>Interpretations.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 70.7</SECTNO> <SUBJECT>Employee protection.</SUBJECT> <P>(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.</P> <P>(1) The protected activities include but are not limited to:</P> <P>(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;</P> <P>(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;<PRTPAGE P="195"/> </P> <P>(iii) Requesting the Commission to institute action against his or her employer for the administration or enforcement of these requirements;</P> <P>(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.</P> <P>(v) Assisting or participating in, or is about to assist or participate in, these activities.</P> <P>(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.</P> <P>(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.</P> <P>(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.</P> <P>(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—</P> <P>(1) Denial, revocation, or suspension of the license.</P> <P>(2) Imposition of a civil penalty on the licensee or applicant.</P> <P>(3) Other enforcement action.</P> <P>(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.</P> <P>(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).</P> <P>(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.</P> <P>(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.</P> <P>(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.</P> <CITA>[58 FR 52413, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 FR 6765, Feb. 22, 1996]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.8</SECTNO> <SUBJECT>Information collection requirements: OMB approval.</SUBJECT> <P>(a) The Nuclear Regulatory Commission has submitted the information <PRTPAGE P="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.</P> <P>(b) The approved information collection requirements contained in this part appear in §§ 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.</P> <P>(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:</P> <P>(1) In § 70.21, Form N-71 is approved under control number 3150-0056.</P> <P>(2) In § 70.38, NRC Form 314 is approved under control number 3150-0028.</P> <P>(3) In § 70.53, DOE/NRC Form 742 is approved under control number 3150-0004.</P> <P>(4) In § 70.53, DOE/NRC Form 742C is approved under control number 3150-0058.</P> <P>(5) In § 70.54, DOE/NRC Form 741 is approved under control number 3150-0003.</P> <P>(6) In § 70.53, NRC Form 327 is approved under control number 3150-0139.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.9</SECTNO> <SUBJECT>Completeness and accuracy of information.</SUBJECT> <P>(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.</P> <P>(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.</P> <CITA>[52 FR 49373, Dec. 31, 1987]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.10</SECTNO> <SUBJECT>Deliberate misconduct.</SUBJECT> <P>(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:</P> <P>(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</P> <P>(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.</P> <P>(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.<PRTPAGE P="197"/> </P> <P>(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:</P> <P>(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</P> <P>(2) Constitutes a violation of a requirement, procedure, instruction, contract, purchase order, or policy of a licensee, applicant, contractor, or subcontractor.</P> <CITA>[63 FR 1899, Jan. 13, 1998]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Exemptions</HD> <SECTION> <SECTNO>§ 70.11</SECTNO> <SUBJECT>Persons using special nuclear material under certain Department of Energy and Nuclear Regulatory Commission contracts.</SUBJECT> <P>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:</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.12</SECTNO> <SUBJECT>Carriers.</SUBJECT> <P>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 § 70.20a and § 70.20b.</P> <CITA>[46 FR 12696, Feb. 18, 1981]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.13</SECTNO> <SUBJECT>Department of Defense.</SUBJECT> <P>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.</P> </SECTION> <SECTION> <SECTNO>§ 70.14</SECTNO> <SUBJECT>Foreign military aircraft.</SUBJECT> <P>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).</P> <CITA>[46 FR 12194, Feb. 13, 1981. Redesignated at 65 FR 56225, Sept. 18, 2000]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.17</SECTNO> <SUBJECT>Specific exemptions.</SUBJECT> <P>(a) The Commission may, upon application of any interested person or upon <PRTPAGE P="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.</P> <P>(b) [Reserved]</P> <P>(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.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—General Licenses</HD> <SECTION> <SECTNO>§ 70.18</SECTNO> <SUBJECT>Types of licenses.</SUBJECT> <P>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.</P> <CITA>[29 FR 5884, May 5, 1964]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.19</SECTNO> <SUBJECT>General license for calibration or reference sources.</SUBJECT> <P>(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:</P> <P>(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;</P> <P>(2) Any Government agency as defined in § 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</P> <P>(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.</P> <P>(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 § 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.</P> <P>(c) The general license in paragraph (a) of this section is subject to the provisions of §§ 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:</P> <P>(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;</P> <P>(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: <SU>1</SU> <FTREF/> </P> <FTNT> <P> <SU>1</SU> Sources generally licensed under this section prior to January 19, 1975 may bear labels authorized by the regulations in effect on January 1, 1975. </P> </FTNT> <EXTRACT> <P>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.<PRTPAGE P="199"/> </P> <HD SOURCE="HD1">caution—radioactive material—this source contains plutonium. do not touch radioactive portion of this source.</HD> <HD SOURCE="HD3">(Name of Manufacturer or Initial Transferor) </HD> </EXTRACT> <P>(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.</P> <P>(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.</P> <P>(5) Shall not use such source for any purpose other than the calibration of radiation detectors or the standardization of other sources.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.20</SECTNO> <SUBJECT>General license to own special nuclear material.</SUBJECT> <P>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.</P> <CITA>[33 FR 9810, July 9, 1968]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.20a</SECTNO> <SUBJECT>General license to possess special nuclear material for transport.</SUBJECT> <P>(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 §§ 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 § 73.37 of this chapter, in the regular course of carriage for another or storage incident thereto. Carriers generally licensed under § 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 §§ 70.7 (a) through (e); 70.32 (a) and (b), and §§ 70.42, 70.52, 70.55, 70.61, 70.62, and 70.71.</P> <P>(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.</P> <P>(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.</P> <P>(d) Any person who possesses formula quantities of strategic special nuclear material under this general license:</P> <P>(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 §§ 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.</P> <P>(2) Shall assure that the transportation is in accordance with the applicable physical protection requirements of §§ 73.20, 73.25, 73.26, 73.27 and 73.70(g) of this chapter and the applicable approved transportation security plan.</P> <P>(3) Shall be subject to part 26 and § 73.80 of this chapter.</P> <P>(e) Any person who possesses irradiated reactor fuel under this general license shall:<PRTPAGE P="200"/> </P> <P>(1) Assure or receive certification from the shipper that the transportation is in accordance with the applicable physical protection requirements of § 73.37 of this chapter; and</P> <P>(2) Comply with the reporting requirements of § 73.71 of this chapter.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.20b</SECTNO> <SUBJECT>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.</SUBJECT> <P>(a) A general license is hereby issued to any person to possess transient shipments of the following kinds and quantities of special nuclear material:</P> <P>(1) A formula quantity of special nuclear material of the types and quantities subject to the requirements of §§ 73.20, 73.25, 73.26, and 73.27 of this chapter.</P> <P>(2) Special nuclear material of moderate and low strategic significance of the types and quantities subject to the requirements of § 73.67 of this chapter.</P> <P>(3) Irradiated reactor fuel of the type and quantity subject to the requirements of § 73.37 of this chapter.</P> <P>(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 §§ 70.32 (a) and (b), 70.52, 70.55, 70.61, 70.62, and 70.71.</P> <P>(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 §§ 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.</P> <P>(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 § 73.67 of this chapter and shall comply with the requirements of § 73.71(b) of this chapter.</P> <P>(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 § 73.37 of this chapter and shall comply with the requirements of § 73.71(b) of this chapter.</P> <P>(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.</P> <P>(2) A person generally licensed under this section shall assure that:</P> <P>(i) The notification will be received at least 10 days before transport of the shipment commences at the shipping facility;</P> <P>(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</P> <P>(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.</P> <P>(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 § 70.20b(a)(2) and § 70.20b(a)(3) must include the information listed in paragraphs (f)(3) (i) through (viii) of this section.</P> <P>(i) Location of all scheduled stops in United States territory;</P> <P>(ii) Arrival and departure times for all scheduled stops in United States territory;</P> <P>(iii) The type of transport vehicle;</P> <P>(iv) A physical description of the shipment (elements, isotopes, and enrichments);<PRTPAGE P="201"/> </P> <P>(v) The number and types of containers;</P> <P>(vi) The name and telephone number of the carrier's representative at each stopover location in United States territory;</P> <P>(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;</P> <P>(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</P> <P>(ix) A physical protection plan for implementing the requirement of § 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.</P> <P>(g) Persons generally licensed under this section making unscheduled stops at United States ports, immediately after the decision to make an unscheduled stop, shall:</P> <P>(1) Provide to the Division of Industrial and Medical Nuclear Safety, the information required under paragraph (f) of this section.</P> <P>(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.</P> <P>(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 § 73.67(e) of this chapter.</P> <P>(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 § 73.37(e) of this chapter.</P> <P>(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.</P> <CITA>[52 FR 9652, Mar. 26, 1987, as amended at 60 FR 24552, May 9, 1995]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—License Applications</HD> <SECTION> <SECTNO>§ 70.21</SECTNO> <SUBJECT>Filing.</SUBJECT> <P>(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.</P> <P>(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 §70.5.</P> <P>(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.</P> <P>(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.</P> <P>(c) Any application which contains Restricted Data shall be prepared in such manner that all Restricted Data are separated from the unclassified information.</P> <P>(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.</P> <P>(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 § 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 § 170.31 of this chapter.<PRTPAGE P="202"/> </P> <P>(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.</P> <P>(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 § 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 § 75.6 and §§ 75.11 through 75.14 of this chapter.</P> <P>(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.</P> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.22</SECTNO> <SUBJECT>Contents of applications.</SUBJECT> <P>(a) Each application for a license shall contain the following information:</P> <P>(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;</P> <P>(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;</P> <P>(3) The period of time for which the license is requested;</P> <P>(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;</P> <P>(5) [Reserved]</P> <P>(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;</P> <P>(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.);</P> <P>(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.). </P> <NOTE> <HD SOURCE="HED">Note:</HD> <P>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.</P> </NOTE> <P>(9) As provided by § 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 <PRTPAGE P="203"/>must be submitted on or before July 27, 1990.</P> <P>(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 §§ 70.58, 74.31, 74.33, or 74.51 of this chapter, as applicable, will be accomplished.</P> <P>(c) [Reserved]</P> <P>(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.</P> <P>(e) Each application and statement shall contain complete and accurate disclosure as to all matters and things required to be disclosed.</P> <P>(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. <SU>2</SU> <FTREF/> </P> <FTNT> <P> <SU>2</SU> 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.</P> </FTNT> <P>(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 § 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 §§ 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 § 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.</P> <P>(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.)</P> <P>(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.</P> <P>(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 § 70.4, <PRTPAGE P="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.</P> <P>(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.</P> <P>(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:</P> <P>(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</P> <P>(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.</P> <P>(2) One or more of the following factors may be used to support an evaluation submitted under paragraph (i)(1)(i) of this section:</P> <P>(i) The radioactive material is physically separated so that only a portion could be involved in an accident;</P> <P>(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;</P> <P>(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;</P> <P>(iv) The solubility of the material released would reduce the dose received;</P> <P>(v) The facility design or engineered safety features in the facility would cause the release fraction to be lower than 0.001;</P> <P>(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</P> <P>(vii) Other factors appropriate for the specific facility.</P> <P>(3) Emergency plans submitted under paragraph (i)(1)(ii) of this section must include the following information:</P> <P>(i)<E T="03"> Facility description</E>. A brief description of the licensee's facility and area near the site.</P> <P>(ii)<E T="03"> Types of accidents</E>. An identification of each type of radioactive materials accident for which protective actions may be needed.</P> <P>(iii)<E T="03"> Classification of accidents</E>. A classification system for classifying accidents as alerts or site area emergencies.</P> <P>(iv)<E T="03"> Detection of accidents</E>. Identification of the means of detecting each type of accident in a timely manner.</P> <P>(v)<E T="03"> Mitigation of consequences</E>. 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.</P> <P>(vi)<E T="03"> Assessment of releases</E>. A brief description of the methods and equipment to assess releases of radioactive materials.</P> <P>(vii)<E T="03"> Responsibilities</E>. 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.</P> <P>(viii)<E T="03"> Notification and coordination</E>. A commitment to and a brief description of the means to promptly notify offsite <PRTPAGE P="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.<SU>1</SU> <FTREF/> </P> <FTNT> <P> <SU>1</SU> 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.</P> </FTNT> <P>(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.</P> <P>(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.</P> <P>(xi) Safe shutdown. A brief description of the means of restoring the facility to a safe condition after an accident.</P> <P>(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, andoverall effectiveness of the response. Deficiencies found by the critiques must be corrected.</P> <P>(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.</P> <P>(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.</P> <P>(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.<PRTPAGE P="206"/> </P> <P>(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.</P> <P>(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.</P> <P>(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 § 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 § 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.</P> <P>(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 § 73.21 of this chapter.</P> <P>(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.</P> <P>(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.</P> <CITA>[21 FR 764, Feb. 3, 1956]</CITA> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>For <E T="04">Federal Register</E> citations affecting § 70.22, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.</P> </EDNOTE> </SECTION> <SECTION> <SECTNO>§ 70.23</SECTNO> <SUBJECT>Requirements for the approval of applications.</SUBJECT> <P>(a) An application for a license will be approved if the Commission determines that:</P> <P>(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, <SU>1</SU> <FTREF/> in activities licensed by the Commission under section 103 or 104 of the Act, or for such <PRTPAGE P="207"/>other uses as the Commission determines to be appropriate to carry out the purposes of the Act;</P> <FTNT> <P> <SU>1</SU> The types of research and development activities specified in section 31 are those relating to:</P> <P>(1) Nuclear processes;</P> <P>(2) The theory and production of atomic energy, including processes, materials, and devices related to such production;</P> <P>(3) Utilization of special nuclear material and radioactive material for medical, biological, agricultural, health or military purposes;</P> <P>(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</P> <P>(5) The protection of health and the promotion of safety during research and production activities.</P> </FTNT> <P>(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;</P> <P>(3) The applicant's proposed equipment and facilities are adequate to protect health and minimize danger to life or property;</P> <P>(4) The applicant's proposed procedures to protect health and to minimize danger to life or property are adequate;</P> <P>(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;</P> <P>(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 § 70.22 (b)(2), the applicant's proposed controls are adequate;</P> <P>(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.</P> <P>(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;</P> <P>(9) Where the applicant is required to submit a plan for physical protection of special nuclear material in transit pursuant to § 70.22(g), of this chapter, the applicant's plan is adequate;</P> <P>(10) Where the applicant is required to submit a physical security plan pursuant to § 70.22(h), the applicant's proposed plan is adequate;</P> <P>(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.</P> <P>(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.</P> <P>(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 § 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. <SU>3</SU> <FTREF/> Failure to obtain <PRTPAGE P="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.</P> <FTNT> <P> <SU>3</SU> The criteria in appendix B of part 50 of this chapter will be used by the Commission <PRTPAGE/>in determining the adequacy of the quality assurance program.</P> </FTNT> <CITA>[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]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.23a</SECTNO> <SUBJECT>Hearing required for uranium enrichment facility.</SUBJECT> <P>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.</P> <CITA>[57 FR 18392, Apr. 30, 1992]</CITA> </SECTION> <SECTION> <SECTNO>§ 70.24</SECTNO> <SUBJECT>Criticality accident requirements.</SUBJECT> <P>(a) Each licensee authorized to possess special nuclear ma