[Title 10 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2008 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          
 
          10


          Parts 51 to 199

                         Revised as of January 1, 2008


          Energy
          
 


________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of January 1, 2008
          With Ancillaries
                    Published by:
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

[[Page ii]]

          U.S. GOVERNMENT OFFICIAL EDITION NOTICE

          Legal Status and Use of Seals and Logos
          
          
          The seal of the National Archives and Records Administration 
              (NARA) authenticates the Code of Federal Regulations (CFR) as 
              the official codification of Federal regulations established 
              under the Federal Register Act. Under the provisions of 44 
              U.S.C. 1507, the contents of the CFR, a special edition of the 
              Federal Register, shall be judicially noticed. The CFR is 
              prima facie evidence of the original documents published in 
              the Federal Register (44 U.S.C. 1510).

          It is prohibited to use NARA's official seal and the stylized Code 
              of Federal Regulations logo on any republication of this 
              material without the express, written permission of the 
              Archivist of the United States or the Archivist's designee. 
              Any person using NARA's official seals and logos in a manner 
              inconsistent with the provisions of 36 CFR part 1200 is 
              subject to the penalties specified in 18 U.S.C. 506, 701, and 
              1017.

          Use of ISBN Prefix

          This is the Official U.S. Government edition of this publication 
              and is herein identified to certify its authenticity. Use of 
              the 0-16 ISBN prefix is for U.S. Government Printing Office 
              Official Editions only. The Superintendent of Documents of the 
              U.S. Government Printing Office requests that any reprinted 
              edition clearly be labeled as a copy of the authentic work 
              with a new ISBN.

              
              
          U . S . G O V E R N M E N T P R I N T I N G O F F I C E

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

          U.S. Superintendent of Documents  Washington, DC 
              20402-0001

          http://bookstore.gpo.gov

          Phone: toll-free (866) 512-1800; DC area (202) 512-1800

[[Page iii]]




                            Table of Contents



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

  Title 10:
          Chapter I--Nuclear Regulatory Commission (Continued)       3
  Finding Aids:
      Material Approved for Incorporation by Reference........     793
      Table of CFR Titles and Chapters........................     795
      Alphabetical List of Agencies Appearing in the CFR......     813
      List of CFR Sections Affected...........................     823

[[Page iv]]





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

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

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

[[Page v]]



                               EXPLANATION

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

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

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

LEGAL STATUS

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

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, January 1, 2008), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

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

OMB CONTROL NUMBERS

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

[[Page vi]]

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

OBSOLETE PROVISIONS

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

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call 202-741-6010.

CFR INDEXES AND TABULAR GUIDES

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

[[Page vii]]


REPUBLICATION OF MATERIAL

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

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
fedreg.info@nara.gov.

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call toll-free, 
866-512-1800, or DC area, 202-512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or 
fax your order to 202-512-2250, 24 hours a day. For payment by check, 
write to: US Government Printing Office - New Orders, P.O. Box 979050, 
St. Louis, MO 63197-9000. For GPO Customer Service call 202-512-1803.

ELECTRONIC SERVICES

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

    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    January 1, 2008.







[[Page ix]]



                               THIS TITLE

    Title 10--Energy is composed of four volumes. The parts in these 
volumes are arranged in the following order: parts 1-50, 51-199, 200-499 
and part 500-end. The first and second volumes containing parts 1-199 
are comprised of chapter I--Nuclear Regulatory Commission. The third and 
fourth volumes containing part 200-end are comprised of chapters II, III 
and X--Department of Energy, chapter XIII--Nuclear Waste Technical 
Review Board, 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, 2008.

    For this volume, Cheryl E. Sirofchuck was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.

[[Page 1]]



                            TITLE 10--ENERGY




                  (This book contains parts 51 to 199)

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

chapter i--Nuclear Regulatory Commission (Continued)........          51

[[Page 3]]



          CHAPTER I--NUCLEAR REGULATORY COMMISSION (CONTINUED)




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


  Editorial Note: Nomenclature changes to chapter I appear at 70 FR 
69421, Nov. 16, 2005, and at 72 FR 33386, June 18, 2007.
Part                                                                Page
51              Environmental protection regulations for 
                    domestic licensing and related 
                    regulatory functions....................           5
52              Licenses, certifications, and approvals for 
                    nuclear power plants....................          67
53

[Reserved]

54              Requirements for renewal of operating 
                    licenses for nuclear power plants.......         141
55              Operators' licenses.........................         148
60              Disposal of high-level radioactive wastes in 
                    geologic repositories...................         164
61              Licensing requirements for land disposal of 
                    radioactive waste.......................         199
62              Criteria and procedures for emergency access 
                    to non-federal and regional low-level 
                    waste disposal facilities...............         226
63              Disposal of high-level radioactive wastes in 
                    a geologic repository at Yucca Mountain, 
                    Nevada..................................         234
70              Domestic licensing of special nuclear 
                    material................................         276
71              Packaging and transportation of radioactive 
                    material................................         325
72              Licensing requirements for the independent 
                    storage of spent nuclear fuel, high-
                    level radioactive waste, and reactor-
                    related greater than Class C waste......         382
73              Physical protection of plants and materials.         443
74              Material control and accounting of special 
                    nuclear material........................         520
75              Safeguards on nuclear material--
                    implementation of US/IAEA agreement.....         543
76              Certification of gaseous diffusion plants...         556
81              Standard specifications for the granting of 
                    patent licenses.........................         582

[[Page 4]]

95              Facility security clearance and safeguarding 
                    of national security information and 
                    restricted data.........................         590
100             Reactor site criteria.......................         608
110             Export and import of nuclear equipment and 
                    material................................         622
140             Financial protection requirements and 
                    indemnity agreements....................         675
150             Exemptions and continued regulatory 
                    authority in Agreement States and in 
                    offshore waters under section 274.......         748
160             Trespassing on Commission property..........         759
170             Fees for facilities, materials, import and 
                    export licenses, and other regulatory 
                    services under the Atomic Energy Act of 
                    1954, as amended........................         760
171             Annual fees for reactor licenses and fuel 
                    cycle licenses and materials licenses, 
                    including holders of certificates of 
                    compliance, registrations, and quality 
                    assurance program approvals and 
                    government agencies licensed by the NRC.         776
172-199

[Reserved]

[[Page 5]]



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




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

  Subpart A_National Environmental Policy Act_Regulations Implementing 
                             Section 102(2)

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

                         Preliminary Procedures

           classification of licensing and regulatory actions

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

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

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

                                 scoping

51.28 Scoping--participants.
51.29 Scoping-environmental impact statement and supplement to 
          environmental impact statement.

                        environmental assessment

51.30 Environmental assessment.
51.31 Determinations based on environmental assessment.

                    finding of no significant impact

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

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

                                 general

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

               environmental reports--general requirements

51.45 Environmental report.

      environmental reports--production and utilization facilities

51.49 Environmental report--limited work authorization.
51.50 Environmental report--construction permit, early site permit, or 
          combined license stage.
51.51 Uranium fuel cycle environmental data--Table S-3.
51.52 Environmental effects of transportation of fuel and waste--Table 
          S-4.
51.53 Postconstruction environmental reports.
51.54 Environmental report--manufacturing license.
51.55 Environmental report--standard design certification.
51.58 Environmental report--number of copies; distribution.

                environmental reports--materials licenses

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

[[Page 6]]

51.67 Environmental information concerning geologic repositories.

                    environmental reports--rulemaking

51.68 Environmental report--rulemaking.

                     Environmental Impact Statements

       draft environmental impact statements--general requirements

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

   draft environmental impact statements--production and utilization 
                               facilities

51.75 Draft environmental impact statement--construction permit, early 
          site permit, or combined license.
51.76 Draft environmental impact statement--limited work authorization.
51.77 Distribution of draft environmental impact statement.

        draft environmental impact statements--materials licenses

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

            draft environmental impact statements--rulemaking

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

 legislative environmental impact statements--proposals for legislation

51.88 Proposals for legislation.

       final environmental impact statements--general requirements

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

   final environmental impact statements--production and utilization 
                               facilities

51.95 Postconstruction environmental impact statements.

        final environmental impact statements--materials licenses

51.97 Final environmental impact statement--materials license.

            final environmental impact statements--rulemaking

51.99 [Reserved]

                NEPA Procedure and Administrative Action

                                 general

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

                  production and utilization facilities

51.105 Public hearings in proceedings for issuance of construction 
          permits or early site permits; limited work authorizations.
51.105a Public hearings in proceedings for issuance of manufacturing 
          licenses.
51.106 Public hearings in proceedings for issuance of operating 
          licenses.
51.107 Public hearings in proceedings for issuance of combined licenses; 
          limited work authorizations.
51.108 Public hearings on Commission findings that inspections, tests, 
          analyses, and acceptance criteria of combined licenses are 
          met.

                           materials licenses

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

                               rulemaking

51.110 [Reserved]

         Public Notice of and Access to Environmental Documents

51.116 Notice of intent.
51.117 Draft environmental impact statement--notice of availability.
51.118 Final environmental impact statement--notice of availability.
51.119 Publication of finding of no significant impact; distribution.
51.120 Availability of environmental documents for public inspection.
51.121 Status of NEPA actions.

[[Page 7]]

51.122 List of interested organizations and groups.
51.123 Charges for environmental documents; distribution to public; 
          distribution to governmental agencies.

                               Commenting

51.124 Commission duty to comment.

                          Responsible Official

51.125 Responsible official.

Appendix A to Subpart A of Part 51--Format for Presentation of Material 
          in Environmental Impact Statements
Appendix B to Subpart A of Part 51--Environmental Effect of Renewing the 
          Operating License of a Nuclear Power Plant

Subpart B [Reserved]

    Authority: Sec. 161, 68 Stat. 948, as amended, sec. 1701, 106 Stat. 
2951, 2952, 2953, (42 U.S.C. 2201, 2297f); secs. 201, as amended, 202, 
88 Stat. 1242, as amended, 1244 (42 U.S.C. 5841, 5842); sec. 1704, 112 
Stat. 2750 (44 U.S.C. 3504 note). Subpart A also issued under National 
Environmental Policy Act of 1969, secs. 102, 104, 105, 83 Stat. 853-854, 
as amended (42 U.S.C. 4332, 4334, 4335); and Pub. L. 95-604, Title II, 
92 Stat. 3033-3041; and sec. 193, Pub. L. 101-575, 104 Stat. 2835 (42 
U.S.C. 2243). Sections 51.20, 51.30, 51.60, 51.80. and 51.97 also issued 
under secs. 135, 141, Pub. L. 97-425, 96 Stat. 2232, 2241, and sec. 148, 
Pub. L. 100-203, 101 Stat. 1330-223 (42 U.S.C. 10155, 10161, 10168). 
Section 51.22 also issued under sec. 274, 73 Stat. 688, as amended by 92 
Stat. 3036-3038 (42 U.S.C. 2021) and under Nuclear Waste Policy Act of 
1982, sec 121, 96 Stat. 2228 (42 U.S.C. 10141). Sections 51.43, 51.67, 
and 51.109 also under Nuclear Waste Policy Act of 1982, sec 114(f), 96 
Stat. 2216, as amended (42 U.S.C. 10134(f)).

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



Sec. 51.1  Scope.

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



Sec. 51.2  Subparts.

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



Sec. 51.3  Resolution of conflict.

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



Sec. 51.4  Definitions.

    As used in this part:
    Act means the Atomic Energy Act of 1954 (Pub. L. 83-703, 68 Stat. 
919) including any amendments thereto.
    Commission means the Nuclear Regulatory Commission or its authorized 
representatives.
    Construction means the activities in paragraph (1) of this 
definition, and does not mean the activities in paragraph (2) of this 
definition.
    (1) Activities constituting construction are the driving of piles, 
subsurface preparation, placement of backfill, concrete, or permanent 
retaining walls within an excavation, installation of foundations, or 
in-place assembly, erection, fabrication, or testing, which are for:
    (i) Safety-related structures, systems, or components (SSCs) of a 
facility, as defined in 10 CFR 50.2;
    (ii) SSCs relied upon to mitigate accidents or transients or used in 
plant emergency operating procedures;
    (iii) SSCs whose failure could prevent safety-related SSCs from 
fulfilling their safety-related function;
    (iv) SSCs whose failure could cause a reactor scram or actuation of 
a safety-related system;
    (v) SSCs necessary to comply with 10 CFR part 73;
    (vi) SSCs necessary to comply with 10 CFR 50.48 and criterion 3 of 
10 CFR part 50, appendix A; and
    (vii) Onsite emergency facilities (i.e., technical support and 
operations support centers), necessary to comply with 10 CFR 50.47 and 
10 CFR part 50, appendix E.
    (2) Construction does not include:
    (i) Changes for temporary use of the land for public recreational 
purposes;

[[Page 8]]

    (ii) Site exploration, including necessary borings to determine 
foundation conditions or other preconstruction monitoring to establish 
background information related to the suitability of the site, the 
environmental impacts of construction or operation, or the protection of 
environmental values;
    (iii) Preparation of a site for construction of a facility, 
including clearing of the site, grading, installation of drainage, 
erosion and other environmental mitigation measures, and construction of 
temporary roads and borrow areas;
    (iv) Erection of fences and other access control measures;
    (v) Excavation;
    (vi) Erection of support buildings (such as, construction equipment 
storage sheds, warehouse and shop facilities, utilities, concrete mixing 
plants, docking and unloading facilities, and office buildings) for use 
in connection with the construction of the facility;
    (vii) Building of service facilities, such as paved roads, parking 
lots, railroad spurs, exterior utility and lighting systems, potable 
water systems, sanitary sewerage treatment facilities, transmission 
lines;
    (viii) Procurement or fabrication of components or portions of the 
proposed facility occurring at other than the final, in-place location 
at the facility;
    (ix) Manufacture of a nuclear power reactor under a manufacturing 
license under subpart F of part 52 of this chapter to be installed at 
the proposed site and to be part of the proposed facility; or
    (x) With respect to production or utilization facilities, other than 
testing facilities and nuclear power plants, required to be licensed 
under Section 104.a or Section 104.c of the Act, the erection of 
buildings which will be used for activities other than operation of a 
facility and which may also be used to house a facility (e.g., the 
construction of a college laboratory building with space for 
installation of a training reactor).
    NRC means the Nuclear Regulatory Commission, the agency established 
by Title II of the Energy Reorganization Act of 1974, as amended.
    NRC staff means any NRC officer or employee or his/her authorized 
representative, except a Commissioner, a member of a Commissioner's 
immediate staff, an Atomic Safety and Licensing Board, an Atomic Safety 
and Licensing Appeal Board, a presiding officer, an administrative 
judge, an administrative law judge, or any other officer or employee of 
the Commission who performs adjudicatory functions.
    NRC Staff Director means:

Executive Director for Operations;
Director, Office of Nuclear Reactor Regulation;
Director, Office of Nuclear Material Safety and Safeguards;
Director, Office of Nuclear Regulatory Research;
Director, Office of Governmental and Public Affairs; and

    The designee of any NRC staff director.

[49 FR 9381, Mar. 12, 1984, as amended at 51 FR 35999, Oct. 8, 1986; 52 
FR 31612, Aug. 21, 1987; 72 FR 57443, Oct. 9, 2007]



Sec. 51.5  Interpretations.

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



Sec. 51.6  Specific exemptions.

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



  Subpart A_National Environmental Policy Act_Regulations Implementing 
                             Section 102(2)



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

    (a) The National Environmental Policy Act of 1969, as amended (NEPA) 
directs that, to the fullest extent possible: (1) The policies, 
regulations, and public laws of the United States shall be interpreted 
and administered in accordance with the policies set forth in

[[Page 9]]

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

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

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

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



Sec. 51.11  Relationship to other subparts. [Reserved]



Sec. 51.12  Application of subpart to ongoing environmental work.

    (a) Except as otherwise provided in this section, the regulations in 
this subpart shall apply to the fullest extent practicable to NRC's 
ongoing environmental work.

[[Page 10]]

    (b) No environmental report or any supplement to an environmental 
report filed with the NRC and no environmental assessment, environmental 
impact statement or finding of no significant impact or any supplement 
to any of the foregoing issued by the NRC before June 7, 1984, need be 
redone and no notice of intent to prepare an environmental impact 
statement or notice of availability of these environmental documents 
need be republished solely by reason of the promulgation on March 12, 
1984, of this revision of part 51.

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



Sec. 51.13  Emergencies.

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



Sec. 51.14  Definitions.

    (a) As used in this subpart:
    Categorical Exclusion means a category of actions which do not 
individually or cumulatively have a significant effect on the human 
environment and which the Commission has found to have no such effect in 
accordance with procedures set out in Sec. 51.22, and for which, 
therefore, neither an environmental assessment nor an environmental 
impact statement is required.
    Cooperating Agency means any Federal agency other than the NRC which 
has jurisdiction by law or special expertise with respect to any 
environmental impact involved in a proposal (or a reasonable 
alternative) for legislation or other major Federal action significantly 
affecting the quality of the human environment. By agreement with the 
Commission, a State or local agency of similar qualifications or, when 
the effects are on a reservation, an Indian Tribe, may become a 
cooperating agency.
    Council means the Council on Environmental Quality (CEQ) established 
by Title II of NEPA.
    DOE means the U.S. Department of Energy or its duly authorized 
representatives.
    Environmental Assessment means a concise public document for which 
the Commission is responsible that serves to:
    (1) Briefly provide sufficient evidence and analysis for determining 
whether to prepare an environmental impact statement or a finding of no 
significant impact.
    (2) Aid the Commission's compliance with NEPA when no environmental 
impact statement is necessary.
    (3) Facilitate preparation of an environmental impact statement when 
one is necessary.
    Environmental document includes an environmental assessment, an 
environmental impact statement, a finding of no significant impact, an 
environmental report and any supplements to or comments upon those 
documents, and a notice of intent.
    Environmental Impact Statement means a detailed written statement as 
required by section 102(2)(C) of NEPA.
    Environmental report means a document submitted to the Commission by 
an applicant for a permit, license, or other form of permission, or an 
amendment to or renewal of a permit, license or other form of 
permission, or by a petitioner for rulemaking, in order to aid the 
Commission in complying with section 102(2) of NEPA.
    Finding of No Significant Impact means a concise public document for 
which the Commission is responsible that briefly states the reasons why 
an action, not otherwise excluded, will not have a significant effect on 
the human environment and for which therefore an environmental impact 
statement will not be prepared.
    NEPA means the National Environmental Policy Act of 1969, as amended 
(Pub. L. 91-190, 83 Stat. 852, 856, as amended by Pub. L. 94-83, 89 
Stat. 424, 42 U.S.C. 4321, et seq.).
    Notice of Intent means a notice that an environmental impact 
statement will be prepared and considered.

[[Page 11]]

    Uranium enrichment facility means:
    (1) Any facility used for separating the isotopes for uranium or 
enriching uranium in the isotope 235, except laboratory scale facilities 
designed or used for experimental or analytical purposes only; or
    (2) Any equipment or device, or important component part especially 
designed for such equipment or device, capable of separating the 
isotopes of uranium or enriching uranium in the isotope 235.
    (b) The definitions in 40 CFR 1508.3, 1508.7, 1508.8, 1508.14, 
1508.15, 1508.16, 1508.17, 1508.18, 1508.20, 1508.23, 1508.25, 1508.26, 
and 1508.27, will also be used in implementing section 102(2) of NEPA.

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



Sec. 51.15  Time schedules.

    Consistent with the purposes of NEPA, the Administrative Procedure 
Act, the Commission's rules of practice in part 2 of this chapter, 
Sec. Sec. 51.100 and 51.101, and with other essential considerations of 
national policy:
    (a) The appropriate NRC staff director may, and upon the request of 
an applicant for a proposed action or a petitioner for rulemaking shall, 
establish a time schedule for all or any constituent part of the NRC 
staff NEPA process. To the maximum extent practicable, the NRC staff 
will conduct its NEPA review in accordance with any time schedule 
established under this section.
    (b) As specified in 10 CFR part 2, the presiding officer, the Atomic 
Safety and Licensing 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.

[49 FR 9381, Mar. 12, 1984, as amended at 69 FR 2276, Jan. 14, 2004]



Sec. 51.16  Proprietary information.

    (a) Proprietary information, such as trade secrets or privileged or 
confidential commercial or financial information, will be treated in 
accordance with the procedures provided in Sec. 2.390 of this chapter.
    (b) Any proprietary information which a person seeks to have 
withheld from public disclosure shall be submitted in accordance with 
Sec. 2.390 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.

[69 FR 2276, Jan. 14, 2004]



Sec. 51.17  Information collection requirements; OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0021.
    (b) The approved information collection requirements in this part 
appear in Sec. Sec. 51.6, 51.16, 51.41, 51.45, 51.49, 51.50, 51.51, 
51.52, 51.53, 51.54, 51.55, 51.58, 51.60, 51.61, 51.62, 51.66, 51.68, 
and 51.69.

[49 FR 24513, June 14, 1984, as amended at 62 FR 52188, Oct. 6, 1997; 67 
FR 67100, Nov. 4, 2002; 72 FR 57443, Oct. 9, 2007]

                         Preliminary Procedures

           classification of licensing and regulatory actions



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

    (a) Licensing and regulatory actions requiring an environmental 
impact statement shall meet at least one of the following criteria:
    (1) The proposed action is a major Federal action significantly 
affecting the quality of the human environment.

[[Page 12]]

    (2) The proposed action involves a matter which the Commission, in 
the exercise of its discretion, has determined should be covered by an 
environmental impact statement.
    (b) The following types of actions require an environmental impact 
statement or a supplement to an environmental impact statement:
    (1) Issuance of a limited work authorization or a permit to 
construct a nuclear power reactor, testing facility, or fuel 
reprocessing plant under part 50 of this chapter, or issuance of an 
early site permit under part 52 of this chapter.
    (2) Issuance or renewal of a full power or design capacity license 
to operate a nuclear power reactor, testing facility, or fuel 
reprocessing plant under part 50 of this chapter, or a combined license 
under part 52 of this chapter.
    (3) Issuance of a permit to construct or a design capacity license 
to operate or renewal of a design capacity license to operate an 
isotopic enrichment plant pursuant to part 50 of this chapter.
    (4) Conversion of a provisional operating license for a nuclear 
power reactor, testing facility or fuel reprocessing plant to a full 
term or design capacity license pursuant to part 50 of this chapter if a 
final environmental impact statement covering full term or design 
capacity operation has not been previously prepared.
    (5)-(6) [Reserved]
    (7) Issuance of a license to possess and use special nuclear 
material for processing and fuel fabrication, scrap recovery, or 
conversion of uranium hexafluoride pursuant to part 70 of this chapter.
    (8) Issuance of a license to possess and use source material for 
uranium milling or production of uranium hexafluoride pursuant to part 
40 of this chapter.
    (9) Issuance of a license pursuant to part 72 of this chapter for 
the storage of spent fuel in an independent spent fuel storage 
installation (ISFSI) at a site not occupied by a nuclear power reactor, 
or for the storage of spent fuel or high-level radioactive waste in a 
monitored retrievable storage installation (MRS).
    (10) Issuance of a license for a uranium enrichment facility.
    (11) Issuance of renewal of a license authorizing receipt and 
disposal of radioactive waste from other persons pursuant to part 61 of 
this chapter.
    (12) Issuance of a license amendment pursuant to part 61 of this 
chapter authorizing (i) closure of a land disposal site, (ii) transfer 
of the license to the disposal site owner for the purpose of 
institutional control, or (iii) termination of the license at the end of 
the institutional control period.
    (13) Issuance of a construction authorization and license pursuant 
to part 60 or part 63 of this chapter.
    (14) Any other action which the Commission determines is a major 
Commission action significantly affecting the quality of the human 
environment. As provided in Sec. 51.22(b), the Commission may, in 
special circumstances, prepare an environmental impact statement on an 
action covered by a categorical exclusion.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31681, Aug. 19, 1988; 53 
FR 24052, June 27, 1988; 54 FR 15398, Apr. 18, 1989; 54 FR 27870, July 
3, 1989; 57 FR 18392, Apr. 30, 1992; 66 FR 55790, Nov. 2, 2001; 72 FR 
49509, Aug. 28, 2007]



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

    All licensing and regulatory actions subject to this subpart require 
an environmental assessment except those identified in Sec. 51.20(b) as 
requiring an environmental impact statement, those identified in Sec. 
51.22(c) as categorical exclusions, and those identified in Sec. 
51.22(d) as other actions not requiring environmental review. As 
provided in Sec. 51.22(b), the Commission may, in special 
circumstances, prepare an environmental assessment on an action covered 
by a categorical exclusion.

[54 FR 27870, July 3, 1989]



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

    (a) Licensing and regulatory actions eligible for categorical 
exclusion shall

[[Page 13]]

meet the following criterion: The proposed action belongs to a category 
of actions which the Commission, by rule or regulation, has declared to 
be a categorical exclusion, after first finding that the category of 
actions does not individually or cumulatively have a significant effect 
on the human environment.
    (b) Except in special circumstances, as determined by the Commission 
upon its own initiative or upon request of any interested person, an 
environmental assessment or an environmental impact statement is not 
required for any action within a category of actions included in the 
list of categorical exclusions set out in paragraph (c) of this section. 
Special circumstances include the circumstance where the proposed action 
involves unresolved conflicts concerning alternative uses of available 
resources within the meaning of section 102(2)(E) of NEPA.
    (c) The following categories of actions are categorical exclusions:
    (1) Amendments to Parts 1, 2, 4, 7, 8, 9, 10, 11, 19, 21, 25, 55, 
75, 95, 110, 140, 150, 170, or 171 of this chapter, and actions on 
petitions for rulemaking relating to Parts 1, 2, 4, 7, 9, 10, 11, 14, 
19, 21, 25, 55, 75, 95, 110, 140, 150, 170, or 171.
    (2) Amendments to the regulations in this chapter which are 
corrective or of a minor or nonpolicy nature and do not substantially 
modify existing regulations, and actions on petitions for rulemaking 
relating to these amendments.
    (3) Amendments to parts 20, 30, 31, 32, 33, 34, 35, 39, 40, 50, 51, 
52, 54, 60, 61, 63, 70, 71, 72, 73, 74, 81, and 100 of this chapter 
which relate to--
    (i) Procedures for filing and reviewing applications for licenses or 
construction permits or early site permits or other forms of permission 
or for amendments to or renewals of licenses or construction permits or 
early site permits or other forms of permission;
    (ii) Recordkeeping requirements; or
    (iii) Reporting requirements; and
    (iv) Actions on petitions for rulemaking relating to these 
amendments.
    (4) Entrance into or amendment, suspension, or termination of all or 
part of an agreement with a State pursuant to section 274 of the Atomic 
Energy Act of 1954, as amended, providing for assumption by the State 
and discontinuance by the Commission of certain regulatory authority of 
the Commission.
    (5) Procurement of general equipment and supplies.
    (6) Procurement of technical assistance, confirmatory research 
provided that the confirmatory research does not involve any significant 
construction impacts, and personal services relating to the safe 
operation and protection of commercial reactors, other facilities, and 
materials subject to NRC licensing and regulation.
    (7) Personnel actions.
    (8) Issuance, amendment, or renewal of operators' licenses pursuant 
to part 55 of this chapter.
    (9) Issuance of an amendment to a permit or license for a reactor 
under part 50 or part 52 of this chapter, which changes a requirement 
with respect to installation or use of a facility component located 
within the restricted area, as defined in part 20 of this chapter, or 
which changes an inspection or a surveillance requirement, provided 
that--
    (i) The amendment involves no significant hazards consideration;
    (ii) There is no significant change in the types or significant 
increase in the amounts of any effluents that may be released offsite; 
and
    (iii) There is no significant increase in individual or cumulative 
occupational radiation exposure.
    (10) Issuance of an amendment to a permit or license under parts 30, 
31, 32, 33, 34, 35, 36, 39, 40, 50, 52, 60, 61, 63, 70, or part 72 of 
this chapter which--
    (i) Changes surety, insurance and/or indemnity requirements; or
    (ii) Changes recordkeeping, reporting, or administrative procedures 
or requirements.
    (11) Issuance of amendments to licenses for fuel cycle plants and 
radioactive waste disposal sites and amendments to materials licenses 
identified in Sec. 51.60(b)(1) which are administrative, 
organizational, or procedural in nature, or which result in a change in 
process operations or equipment, provided that (i) there is no 
significant change in the types or significant increase in the amounts 
of any effluents that may be released offsite, (ii) there is no 
significant increase in individual or cumulative occupational radiation

[[Page 14]]

exposure, (iii) there is no significant construction impact, and (iv) 
there is no significant increase in the potential for or consequences 
from radiological accidents.
    (12) Issuance of an amendment to a license under parts 50, 52, 60, 
61, 63, 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 under parts 50, 52, 70, 72, and 73 of this chapter, 
provided that the amendment or approval does not involve any significant 
construction impacts. These amendments and approvals are confined to--
    (i) Organizational and procedural matters;
    (ii) Modifications to systems used for security and/or materials 
accountability;
    (iii) Administrative changes; and
    (iv) Review and approval of transportation routes pursuant to 10 CFR 
73.37.
    (13) Approval of package designs for packages to be used for the 
transportation of licensed materials.
    (14) Issuance, amendment, or renewal of materials licenses issued 
pursuant to 10 CFR parts 30, 31, 32, 33, 34, 35, 36, 39, 40 or part 70 
authorizing the following types of activities:
    (i) Distribution of radioactive material and devices or products 
containing radioactive material to general licensees and to persons 
exempt from licensing.
    (ii) Distribution of radiopharmaceuticals, generators, reagent kits 
and/or sealed sources to persons licensed pursuant to 10 CFR 35.18.
    (iii) Nuclear pharmacies.
    (iv) Medical and veterinary.
    (v) Use of radioactive materials for research and development and 
for educational purposes.
    (vi) Industrial radiography.
    (vii) Irradiators.
    (viii) Use of sealed sources and use of gauging devices, analytical 
instruments and other devices containing sealed sources.
    (ix) Use of uranium as shielding material in containers or devices.
    (x) Possession of radioactive material incident to performing 
services such as installation, maintenance, leak tests and calibration.
    (xi) Use of sealed sources and/or radioactive tracers in well-
logging procedures.
    (xii) Acceptance of packaged radioactive wastes from others for 
transfer to licensed land burial facilities provided the interim storage 
period for any package does not exceed 180 days and the total possession 
limit for all packages held in interim storage at the same time does not 
exceed 50 curies.
    (xiii) Manufacturing or processing of source, byproduct, or special 
nuclear materials for distribution to other licensees, except processing 
of source material for extraction of rare earth and other metals.
    (xiv) Nuclear laundries.
    (xv) Possession, manufacturing, processing, shipment, testing, or 
other use of depleted uranium military munitions.
    (xvi) Any use of source, byproduct, or special nuclear material not 
listed above which involves quantities and forms of source, byproduct, 
or special nuclear material similar to those listed in paragraphs 
(c)(14) (i) through (xv) of this section (Category 14).
    (15) Issuance, amendment or renewal of licenses for import of 
nuclear facilities and materials pursuant to part 110 of this chapter, 
except for import of spent power reactor fuel.
    (16) Issuance or amendment of guides for the implementation of 
regulations in this chapter, and issuance or amendment of other 
informational and procedural documents that do not impose any legal 
requirements.
    (17) Issuance of an amendment to a permit or license under parts 30, 
40, 50, 52, 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.
    (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.

[[Page 15]]

    (19) Issuance, amendment, modification, or renewal of a certificate 
of compliance of gaseous diffusion enrichment facilities pursuant to 10 
CFR part 76.
    (20) Decommissioning of sites where licensed operations have been 
limited to the use of--
    (i) Small quantities of short-lived radioactive materials; or
    (ii) Radioactive materials in sealed sources, provided there is no 
evidence of leakage of radioactive material from these sealed sources.
    (21) Approvals of direct or indirect transfers of any license issued 
by NRC and any associated amendments of license required to reflect the 
approval of a direct or indirect transfer of an NRC license.
    (22) Issuance of a standard design approval under part 52 of this 
chapter.
    (23) The Commission finding for a combined license under Sec. 
52.103(g) of this chapter.
    (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 or 63 of this chapter shall not require an 
environmental impact statement, an environmental assessment, or any 
environmental review under subparagraph (E) or (F) of section 102(2) of 
NEPA.

[49 FR 9381, Mar. 12, 1984, as amended at 51 FR 9766, Mar. 21, 1986; 51 
FR 33231, Sept. 18, 1986; 52 FR 8241, Mar. 17, 1987; 54 FR 27870, July 
3, 1989; 58 FR 7737, Feb. 9, 1993; 59 FR 48959, Sept. 23, 1994; 60 FR 
22491, May 8, 1995; 61 FR 9902, Mar. 12, 1996; 62 FR 39091, July 21, 
1997; 63 FR 66735, Dec. 3, 1998; 65 FR 54950, Sept. 12, 2000; 66 FR 
55790, Nov. 2, 2001; 67 FR 78141, Dec. 23, 2002; 72 FR 49509, Aug. 28, 
2007]



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

    (a) The Commission has made a generic determination that, if 
necessary, spent fuel generated in any reactor can be stored safely and 
without significant environmental impacts for at least 30 years beyond 
the licensed life for operation (which may include the term of a revised 
or renewed license) of that reactor at its spent fuel storage basin or 
at either onsite or offsite independent spent fuel storage 
installations. Further, the Commission believes there is reasonable 
assurance that at least one mined geologic repository will be available 
within the first quarter of the twenty-first century, and sufficient 
repository capacity will be available within 30 years beyond the 
licensed life for operation of any reactor to dispose of the commercial 
high-level waste and spent fuel originating in such reactor and 
generated up to that time.
    (b) Accordingly, as provided in Sec. Sec. 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, 
reactor combined 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 power reactor under 
parts 50 and 54 of this chapter, or issuance or amendment of a combined 
license for a nuclear power reactor under parts 52 and 54 of this 
chapter, or the issuance of an initial license for storage of spent fuel 
at an ISFSI, or any amendment thereto.
    (c) This section does not alter any requirements to consider the 
environmental impacts of spent fuel storage during the term of a reactor 
operating license or combined license, or a license for an ISFSI in a 
licensing proceeding.

[49 FR 34694, Aug. 31, 1984, as amended at 55 FR 38474, Sept. 18, 1990; 
72 FR 49509, Aug. 28, 2007]

[[Page 16]]

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



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

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



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

    (a) Whenever the appropriate NRC staff director determines that an 
environmental impact statement will be prepared by NRC in connection 
with a proposed action, a notice of intent will be prepared as provided 
in Sec. 51.27, and will be published in the Federal Register as 
provided in Sec. 51.116, and an appropriate scoping process (see 
Sec. Sec. 51.27, 51.28, and 51.29) will be conducted.
    (b) The scoping process may include a public scoping meeting.
    (c) Upon receipt of an application and accompanying environmental 
impact statement under Sec. 60.22 or Sec. 63.22 of this chapter 
(pertaining to geologic repositories for high-level radioactive waste), 
the appropriate NRC staff director will include in the notice of 
docketing required to be published by Sec. 2.101(f)(8) of this chapter 
a statement of Commission intention to adopt the environmental impact 
statement to the extent practicable. However, if the appropriate NRC 
staff director determines, at the time of such publication or at any 
time thereafter, that NRC should prepare a supplemental environmental 
impact statement in connection with the Commission's action on the 
license application, the NRC shall follow the procedures set out in 
paragraph (a) of this section.
    (d) Whenever the appropriate NRC staff director determines that a 
supplement to an environmental impact statement will be prepared by the 
NRC, a notice of intent will be prepared as provided in Sec. 51.27, and 
will be published in the Federal Register as provided in Sec. 51.116. 
The NRC staff need not conduct a scoping process (see Sec. Sec. 51.27, 
51.28, and 51.29), provided, however, that if scoping is conducted, then 
the scoping must be directed at matters to be addressed in the 
supplement. If scoping is conducted in a proceeding for a combined 
license referencing an early site permit under part 52, then the scoping 
must be directed at matters to be addressed in the supplement as 
described in Sec. 51.92(e).

[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 27870, July 3, 1989; 66 
FR 55791, Nov. 2, 2001; 72 FR 49510, Aug. 28, 2007]



Sec. 51.27  Notice of intent.

    (a) The notice of intent required by Sec. 51.26(a) shall:
    (1) State that an environmental impact statement will be prepared;
    (2) Describe the proposed action and, to the extent sufficient 
information is available, possible alternatives;
    (3) State whether the applicant or petitioner for rulemaking has 
filed an environmental report, and, if so, where copies are available 
for public inspection;
    (4) Describe the proposed scoping process, including the role of 
participants, whether written comments will be accepted, the last date 
for submitting comments and where comments should be sent, whether a 
public scoping meeting will be held, the time and place of any scoping 
meeting or when the time and place of the meeting will be announced; and
    (5) State the name, address and telephone number of an individual in 
NRC who can provide information about the proposed action, the scoping 
process, and the environmental impact statement.
    (b) The notice of intent required by Sec. 51.26(d) shall:
    (1) State that a supplement to a final environmental impact 
statement will be prepared in accordance with Sec. 51.72

[[Page 17]]

or Sec. 51.92. For a combined license application that references an 
early site permit, the supplement to the early site permit environmental 
impact statement will be prepared in accordance with Sec. 51.92(e);
    (2) Describe the proposed action and, to the extent required, 
possible alternatives. For the case of a combined license referencing an 
early site permit, identify the proposed action as the issuance of a 
combined license for the construction and operation of a nuclear power 
plant as described in the combined license application at the site 
described in the early site permit referenced in the combined license 
application;
    (3) Identify the environmental report prepared by the applicant and 
information on where copies are available for public inspection;
    (4) Describe the matters to be addressed in the supplement to the 
final environmental impact statement;
    (5) Describe any proposed scoping process that the NRC staff may 
conduct, 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
    (6) 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 supplement to the environmental impact 
statement.

[49 FR 9381, Mar. 12, 1984, as amended at 72 FR 49510, Aug. 28, 2007]

                                 scoping



Sec. 51.28  Scoping--participants.

    (a) The appropriate NRC staff director shall invite the following 
persons to participate in the scoping process:
    (1) The applicant or the petitioner for rulemaking;
    (2) Any person who has petitioned for leave to intervene in the 
proceeding or who has been admitted as a party to the proceeding;
    (3) Any other Federal agency which has jurisdiction by law or 
special expertise with respect to any environmental impact involved or 
which is authorized to develop and enforce relevant environmental 
standards;
    (4) Affected State and local agencies, including those authorized to 
develop and enforce relevant environmental standards;
    (5) Any affected Indian tribe; and
    (6) Any person who has requested an opportunity to participate in 
the scoping process.
    (b) The appropriate NRC staff director may also invite any other 
appropriate person to participate in the scoping process.
    (c) Participation in the scoping process for an environmental impact 
statement does not entitle the participant to become a party to the 
proceeding to which the environmental impact statement relates. 
Participation in an adjudicatory proceeding is governed by the 
procedures in 10 CFR 2.714 and 2.715. Participation in a rulemaking 
proceeding in which the Commission has decided to have a hearing is 
governed by the provisions in the notice of hearing.



Sec. 51.29  Scoping-environmental impact statement and supplement to environmental impact statement.

    (a) The scoping process for an environmental impact statement shall 
begin as soon as practicable after publication of the notice of intent 
as provided in Sec. 51.116, and shall be used to:
    (1) Define the proposed action which is to be the subject of the 
statement or supplement. For environmental impact statements other than 
a supplement to an early site permit final environmental impact 
statement prepared for a combined license application, the provisions of 
40 CFR 1502.4 will be used for this purpose. For a supplement to an 
early site permit final environmental impact statement prepared for a 
combined license application, the proposed action shall be as set forth 
in the relevant provisions of Sec. 51.92(e).
    (2) Determine the scope of the statement and identify the 
significant issues to be analyzed in depth.
    (3) Identify and eliminate from detailed study issues which are 
peripheral or are not significant or which

[[Page 18]]

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

[49 FR 9381, Mar. 12, 1984, as amended at 72 FR 49510, Aug. 28, 2007]

                        environmental assessment



Sec. 51.30  Environmental assessment.

    (a) An environmental assessment for proposed actions, other than 
those for a standard design certification under 10 CFR part 52 or a 
manufacturing license under part 52, shall identify the proposed action 
and include:
    (1) A brief discussion of:
    (i) The need for the proposed action;
    (ii) Alternatives as required by section 102(2)(E) of NEPA;
    (iii) The environmental impacts of the proposed action and 
alternatives as appropriate; and
    (2) A list of agencies and persons consulted, and identification of 
sources used.
    (b) Unless otherwise determined by the Commission, an environmental 
assessment will not include discussion of any aspect of the storage of 
spent fuel within the scope of the generic determination in Sec. 
51.23(a) and in accordance with the provisions of Sec. 51.23(b).
    (c) An environmental assessment for a proposed action regarding a 
monitored retrievable storage installation (MRS) will not address the 
need for the MRS or any alternative to the design criteria for an MRS 
set forth in section 141(b)(1) of the Nuclear Waste Policy Act of 1982 
(96 Stat. 2242, 42 U.S.C. 10161(b)(1)).
    (d) An environmental assessment for a standard design certification 
under subpart B of part 52 of this chapter must identify the proposed 
action, and will be limited to the consideration of the costs and 
benefits of severe accident mitigation design alternatives and the bases 
for not incorporating severe accident mitigation design alternatives in 
the design certification. An environmental assessment for an amendment 
to a design certification will be limited to the consideration of 
whether the design change which is the subject of the proposed amendment 
renders a severe accident mitigation design alternative previously 
rejected in the earlier environmental assessment to become cost 
beneficial, or results in the identification of new severe accident 
mitigation design alternatives, in which case the costs and benefits of 
new severe accident mitigation design alternatives and the bases

[[Page 19]]

for not incorporating new severe accident mitigation design alternatives 
in the design certification must be addressed.
    (e) An environmental assessment for a manufacturing license under 
subpart F of part 52 of this chapter must identify the proposed action, 
and will be limited to the consideration of the costs and benefits of 
severe accident mitigation design alternatives and the bases for not 
incorporating severe accident mitigation design alternatives in the 
manufacturing license. An environmental assessment for an amendment to a 
manufacturing license will be limited to consideration of whether the 
design change which is the subject of the proposed amendment either 
renders a severe accident mitigation design alternative previously 
rejected in an environmental assessment to become cost beneficial, or 
results in the identification of new severe accident mitigation design 
alternatives, in which case the costs and benefits of new severe 
accident mitigation design alternatives and the bases for not 
incorporating new severe accident mitigation design alternatives in the 
manufacturing license must be addressed. In either case, the 
environmental assessment will not address the environmental impacts 
associated with manufacturing the reactor under the manufacturing 
license.

[49 FR 9381, Mar. 12, 1984, as amended at 49 FR 34694, Aug. 31, 1984; 53 
FR 31681, Aug. 19, 1988; 72 FR 49510, Aug. 28, 2007]



Sec. 51.31  Determinations based on environmental assessment.

    (a) General. Upon completion of an environmental assessment for 
proposed actions other than those involving a standard design 
certification or a manufacturing license under part 52 of this chapter, 
the appropriate NRC staff director will determine whether to prepare an 
environmental impact statement or a finding of no significant impact on 
the proposed action. As provided in Sec. 51.33, a determination to 
prepare a draft finding of no significant impact may be made.
    (b) Standard design certification. (1) For actions involving the 
issuance or amendment of a standard design certification, the Commission 
shall prepare a draft environmental assessment for public comment as 
part of the proposed rule. The proposed rule must state that:
    (i) The Commission has determined in Sec. 51.32 that there is no 
significant environmental impact associated with the issuance of the 
standard design certification or its amendment, as applicable; and
    (ii) Comments on the environmental assessment will be limited to the 
consideration of SAMDAs as required by Sec. 51.30(d).
    (2) The Commission will prepare a final environmental assessment 
following the close of the public comment period for the proposed 
standard design certification.
    (c) Manufacturing license. (1) Upon completion of the environmental 
assessment for actions involving issuance or amendment of a 
manufacturing license (manufacturing license environmental assessment), 
the appropriate NRC staff director will determine the costs and benefits 
of severe accident mitigation design alternatives and the bases for not 
incorporating severe accident mitigation design alternatives in the 
design of the reactor to be manufactured under the manufacturing 
license. The NRC staff director may determine to prepare a draft 
environmental assessment.
    (2) The manufacturing license environmental assessment must state 
that:
    (i) The Commission has determined in Sec. 51.32 that there is no 
significant environmental impact associated with the issuance of a 
manufacturing license or an amendment to a manufacturing license, as 
applicable;
    (ii) The environmental assessment will not address the environmental 
impacts associated with manufacturing the reactor under the 
manufacturing license; and
    (iii) Comments on the environmental assessment will be limited to 
the consideration of severe accident mitigation design alternatives as 
required by Sec. 51.30(e).
    (3) If the NRC staff director makes a determination to prepare and 
issue a draft environmental assessment for public review and comment 
before making a final determination on the manufacturing license 
application, the assessment will be marked, ``Draft.''

[[Page 20]]

The NRC notice of availability on the draft environmental assessment 
will include a request for comments which specifies where comments 
should be submitted and when the comment period expires. The notice will 
state that copies of the environmental assessment and any related 
environmental documents are available for public inspection and where 
inspections can be made. A copy of the final environmental assessment 
will be sent to the U.S. Environmental Protection Agency, the applicant, 
any party to a proceeding, each commenter, and any other Federal, State, 
and local agencies, and Indian tribes, State, regional, and metropolitan 
clearinghouses expressing an interest in the action. Additional copies 
will be made available in accordance with Sec. 51.123.
    (4) When a hearing is held under the regulations in part 2 of this 
chapter on the proposed issuance of the manufacturing license or 
amendment, the NRC staff director will prepare a final environmental 
assessment which may be subject to modification as a result of review 
and decision as appropriate to the nature and scope of the proceeding.
    (5) Only a party admitted into the proceeding with respect to a 
contention on the environmental assessment, or an entity participating 
in the proceeding pursuant to Sec. 2.315(c) of this chapter, may take a 
position and offer evidence on the matters within the scope of the 
environmental assessment.

[72 FR 49510, Aug. 28, 2007]

                    finding of no significant impact



Sec. 51.32  Finding of no significant impact.

    (a) A finding of no significant impact will:
    (1) Identify the proposed action;
    (2) State that the Commission has determined not to prepare an 
environmental impact statement for the proposed action;
    (3) Briefly present the reasons why the proposed action will not 
have a significant effect on the quality of the human environment;
    (4) Include the environmental assessment or a summary of the 
environmental assessment. If the assessment is included, the finding 
need not repeat any of the discussion in the assessment but may 
incorporate it by reference;
    (5) Note any other related environmental documents; and
    (6) State that the finding and any related environmental documents 
are available for public inspection and where the documents may be 
inspected.
    (b) The Commission finds that there is no significant environmental 
impact associated with the issuance of:
    (1) A standard design certification under subpart B of part 52 of 
this chapter;
    (2) An amendment to a design certification;
    (3) A manufacturing license under subpart F of part 52 of this 
chapter; or
    (4) An amendment to a manufacturing license.

[49 FR 9381, Mar. 12, 1984, as amended at 72 FR 49511, Aug. 28, 2007]



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

    (a) As provided in paragraph (b) of this section, the appropriate 
NRC staff director may make a determination to prepare and issue a draft 
finding of no significant impact for public review and comment before 
making a final determination whether to prepare an environmental impact 
statement or a final finding of no significant impact on the proposed 
action.
    (b) Circumstances in which a draft finding of no significant impact 
may be prepared will ordinarily include the following:
    (1) A finding of no significant impact appears warranted for the 
proposed action but the proposed action is (i) closely similar to one 
which normally requires the preparation of an environmental impact 
statement, or (ii) without precedent; and
    (2) The appropriate NRC staff director determines that preparation 
of a draft finding of no significant impact will further the purposes of 
NEPA.
    (c) A draft finding of no significant impact will (1) be marked 
``Draft'', (2) contain the information specified in Sec. 51.32, (3) be 
accompanied by or include a request for comments on the proposed action 
and on the draft finding within thirty (30) days, or such longer period 
as may be specified in the notice

[[Page 21]]

of the draft finding, and (4) be published in the Federal Register as 
required by Sec. Sec. 51.35 and 51.119.
    (d) A draft finding will be distributed as provided in Sec. 
51.74(a). Additional copies will be made available in accordance with 
Sec. 51.123.
    (e) When a draft finding of no significant impact is issued for a 
proposed action, a final determination to prepare an environmental 
impact statement or a final finding of no significant impact for that 
action shall not be made until the last day of the public comment period 
has expired.



Sec. 51.34  Preparation of finding of no significant impact.

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



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

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

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

                                 general



Sec. 51.40  Consultation with NRC staff.

    (a) A prospective applicant or petitioner for rulemaking is 
encouraged to confer with NRC staff as early as possible in its planning 
process before submitting environmental information or filing an 
environmental report.
    (b) Requests for guidance or information on environmental matters 
may include inquiries relating to:
    (1) Applicable NRC rules and regulations;
    (2) Format, content and procedures for filing environmental reports 
and other environmental information, including the type and quantity of 
environmental information likely to be needed to address issues and 
concerns identified in the scoping process described in Sec. 51.29 in a 
manner appropriate to their relative significance;
    (3) Availability of relevant environmental studies and environmental 
information;
    (4) Need for, appropriate level and scope of any environmental 
studies or information which the Commission may require to be submitted 
in connection with an application or petition for rulemaking;
    (5) Public meetings with NRC staff.
    (c) Questions concerning environmental matters should be addressed 
to the following NRC staff offices as appropriate:
    (1) Utilization facilities: ATTN: Document Control Desk, Director, 
Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555-0001, telephone (301) 415-1270, e-mail 
RidsNrrOd@nrc.gov.
    (2) Production facilities: ATTN: Document Control Desk, Director, 
Office of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555-0001, telephone (301) 415-
7800, e-mail RidsNmssOd@nrc.gov.
    (3) Materials licenses: ATTN: Document Control Desk, Director, 
Office of

[[Page 22]]

Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555-0001, telephone (301) 415-7800, e-mail 
RidsNmssOd@nrc.gov.
    (4) Rulemaking: ATTN: Chief, Rules and Directives Branch, Office of 
Administration, U.S. Nuclear Regulatory Commission, Washington, DC 
20555-0001, telephone (800) 368-5642, e-mail NRCREP@nrc.gov.
    (5) General Environmental Matters: Executive Director for 
Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555, 
Telephone: (301) 415-1700.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 13399, Apr. 25, 1988; 60 
FR 24552, May 9, 1995; 68 FR 58810, Oct. 10, 2003]



Sec. 51.41  Requirement to submit environmental information.

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

               environmental reports--general requirements



Sec. 51.45  Environmental report.

    (a) General. As required by Sec. Sec. 51.50, 51.53, 51.54, 51.55, 
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. An applicant or petitioner for rulemaking may submit a 
supplement to an environmental report at any time.
    (b) Environmental considerations. The environmental report shall 
contain a description of the proposed action, a statement of its 
purposes, a description of the environment affected, and discuss the 
following considerations:
    (1) The impact of the proposed action on the environment. Impacts 
shall be discussed in proportion to their significance;
    (2) Any adverse environmental effects which cannot be avoided should 
the proposal be implemented;
    (3) Alternatives to the proposed action. The discussion of 
alternatives shall be sufficiently complete to aid the Commission in 
developing and exploring, pursuant to section 102(2)(E) of NEPA, 
``appropriate alternatives to recommended courses of action in any 
proposal which involves unresolved conflicts concerning alternative uses 
of available resources.'' To the extent practicable, the environmental 
impacts of the proposal and the alternatives should be presented in 
comparative form;
    (4) The relationship between local short-term uses of man's 
environment and the maintenance and enhancement of long-term 
productivity; and
    (5) Any irreversible and irretrievable commitments of resources 
which would be involved in the proposed action should it be implemented.
    (c) Analysis. The environmental report must 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. An environmental report prepared at the early site permit stage 
under Sec. 51.50(b), construction permit stage under Sec. 51.50(a), or 
combined license stage under Sec. 51.50(c) must include a description 
of impacts of the preconstruction activities performed by the applicant 
(i.e., those activities listed in paragraph (b)(1) through (b)(8) in the 
definition of construction contained in Sec. 51.4) necessary to support 
the construction and operation of the facility which is the subject of 
the limited work authorization, construction permit, or combined license 
application. The environmental report must also contain an analysis of 
the cumulative impacts of the activities to be authorized by the limited 
work authorization, construction permit, or combined license in light of 
the preconstruction impacts described in the environmental report. 
Except for

[[Page 23]]

an environmental report prepared at the early site permit stage, or an 
environmental report prepared at the license renewal stage under Sec. 
51.53(c), the analysis in the environmental report should also include 
consideration of the economic, technical, and other benefits and costs 
of the proposed action and its alternatives. Environmental reports 
prepared at the license renewal stage under Sec. 51.53(c) need not 
discuss the economic or technical benefits and costs of either the 
proposed action or alternatives except if these 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 under Sec. 
51.53(c) need not discuss issues not related to the environmental 
effects of the proposed action and its alternatives. The analyses for 
environmental reports shall, to the fullest extent practicable, quantify 
the various factors considered. To the extent that there are important 
qualitative considerations or factors that cannot be quantified, those 
considerations or factors shall be discussed in qualitative terms. The 
environmental report should contain sufficient data to aid the 
Commission in its development of an independent analysis.
    (d) Status of compliance. The environmental report shall list all 
Federal permits, licenses, approvals and other entitlements which must 
be obtained in connection with the proposed action and shall describe 
the status of compliance with these requirements. The environmental 
report shall also include a discussion of the status of compliance with 
applicable environmental quality standards and requirements including, 
but not limited to, applicable zoning and land-use regulations, and 
thermal and other water pollution limitations or requirements which have 
been imposed by Federal, State, regional, and local agencies having 
responsibility for environmental protection. The discussion of 
alternatives in the report shall include a discussion of whether the 
alternatives will comply with such applicable environmental quality 
standards and requirements.
    (e) Adverse information. The information submitted pursuant to 
paragraphs (b) through (d) of this section should not be confined to 
information supporting the proposed action but should also include 
adverse information.

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28486, June 5, 1996; 61 
FR 66542, Dec. 18, 1996; 68 FR 58810, Oct. 10, 2003; 72 FR 49511, Aug. 
28, 2007; 72 FR 57443, Oct. 9, 2007]

      environmental reports--production and utilization facilities



Sec. 51.49  Environmental report--limited work authorization.

    (a) Limited work authorization submitted as part of complete 
construction permit or combined license application. Each applicant for 
a construction permit or combined license applying for a limited work 
authorization under Sec. 50.10(d) of this chapter in a complete 
application under 10 CFR 2.101(a)(1) through (a)(4), shall submit with 
its application a separate document, entitled, ``Applicant's 
Environmental Report--Limited Work Authorization Stage,'' which is in 
addition to the environmental report required by Sec. 51.50 of this 
part. Each environmental report must also contain the following 
information:
    (1) A description of the activities proposed to be conducted under 
the limited work authorization;
    (2) A statement of the need for the activities; and
    (3) A description of the environmental impacts that may reasonably 
be expected to result from the activities, the mitigation measures that 
the applicant proposes to implement to achieve the level of 
environmental impacts described, and a discussion of the reasons for 
rejecting mitigation measures that could be employed by the applicant to 
further reduce environmental impacts.
    (b) Phased application for limited work authorization and 
construction permit or combined license. If the construction permit or 
combined license application is filed in accordance with Sec. 
2.101(a)(9) of this chapter, then the environmental report for part one 
of the application may be limited to a discussion of the activities 
proposed to be conducted under the limited work authorization. If the 
scope of the environmental report for part one is so limited, then

[[Page 24]]

part two of the application must include the information required by 
Sec. 51.50, as applicable.
    (c) Limited work authorization submitted as part of an early site 
permit application. Each applicant for an early site permit under 
subpart A of part 52 of this chapter requesting a limited work 
authorization shall submit with its application the environmental report 
required by Sec. 51.50(b). Each environmental report must contain the 
following information:
    (1) A description of the activities proposed to be conducted under 
the limited work authorization;
    (2) A statement of the need for the activities; and
    (3) A description of the environmental impacts that may reasonably 
be expected to result from the activities, the mitigation measures that 
the applicant proposes to implement to achieve the level of 
environmental impacts described, and a discussion of the reasons for 
rejecting mitigation measures that could be employed by the applicant to 
further reduce environmental impacts.
    (d) Limited work authorization request submitted by early site 
permit holder. Each holder of an early site permit requesting a limited 
work authorization shall submit with its application a document 
entitled, ``Applicant's Environmental Report--Limited Work Authorization 
under Early Site Permit,'' containing the following information:
    (1) A description of the activities proposed to be conducted under 
the limited work authorization;
    (2) A statement of the need for the activities;
    (3) A description of the environmental impacts that may reasonably 
be expected to result from the activities, the mitigation measures that 
the applicant proposes to implement to achieve the level of 
environmental impacts described, and a discussion of the reasons for 
rejecting mitigation measures that could be employed by the applicant to 
further reduce environmental impacts; and
    (4) Any new and significant information for issues related to the 
impacts of construction of the facility that were resolved in the early 
site permit proceeding with respect to the environmental impacts of the 
activities to be conducted under the limited work authorization.
    (5) A description of the process used to identify new and 
significant information regarding NRC's conclusions in the early site 
permit environmental impact statement. The process must be a reasonable 
methodology for identifying this new and significant information.
    (e) Limited work authorization for a site where an environmental 
impact statement was prepared, but the facility construction was not 
completed. If the limited work authorization is for activities to be 
conducted at a site for which the Commission has previously prepared an 
environmental impact statement for the construction and operation of a 
nuclear power plant, and a construction permit was issued but 
construction of the plant was never completed, then the applicant's 
environmental report may incorporate by reference the earlier 
environmental impact statement. In the event of such referencing, the 
environmental report must identify:
    (1) Any new and significant information material to issues related 
to the impacts of construction of the facility that were resolved in the 
construction permit proceeding for the matters required to be addressed 
in paragraph (a) of this section; and
    (2) A description of the process used to identify new and 
significant information regarding the NRC's conclusions in the 
construction permit environmental impact statement. The process must use 
a reasonable methodology for identifying this new and significant 
information.
    (f) Environmental report. An environmental report submitted in 
accordance with this section must separately evaluate the environmental 
impacts and proposed alternatives attributable to the activities 
proposed to be conducted under the limited work authorization. At the 
option of the applicant, the ``Applicant's Environmental Report--Limited 
Work Authorization Stage,'' may contain the information required to be 
submitted in the environmental report required under Sec. 51.50,

[[Page 25]]

which addresses the impacts of construction and operation for the 
proposed facility (including the environmental impacts attributable to 
the limited work authorization), and discusses the overall costs and 
benefits balancing for the proposed action.

[72 FR 57444, Oct. 9, 2007]



Sec. 51.50  Environmental report--construction permit, early site permit, or combined license stage.

    (a) Construction permit stage. Each applicant for a permit to 
construct a production or utilization facility covered by Sec. 51.20 
shall submit with its application a separate document, entitled 
``Applicant's Environmental Report--Construction Permit Stage,'' which 
shall contain the information specified in Sec. Sec. 51.45, 51.51, and 
51.52. Each environmental report shall identify procedures for reporting 
and keeping records of environmental data, and any conditions and 
monitoring requirements for protecting the non-aquatic environment, 
proposed for possible inclusion in the license as environmental 
conditions in accordance with Sec. 50.36b of this chapter.
    (b) Early site permit stage. Each applicant for an early site permit 
shall submit with its application a separate document, entitled 
``Applicant's Environmental Report--Early Site Permit Stage,'' which 
shall contain the information specified in Sec. Sec. 51.45, 51.51, and 
51.52, as modified in this paragraph.
    (1) The environmental report must include an evaluation of 
alternative sites to determine whether there is any obviously superior 
alternative to the site proposed.
    (2) The environmental report may address one or more of the 
environmental effects of construction and operation of a reactor, or 
reactors, which have design characteristics that fall within the site 
characteristics and design parameters for the early site permit 
application, provided however, that the environmental report must 
address all environmental effects of construction and operation 
necessary to determine whether there is any obviously superior 
alternative to the site proposed. The environmental report need not 
include an assessment of the economic, technical, or other benefits (for 
example, need for power) and costs of the proposed action or an 
evaluation of alternative energy sources.
    (3) For other than light-water-cooled nuclear power reactors, the 
environmental report must contain the basis for evaluating the 
contribution of the environmental effects of fuel cycle activities for 
the nuclear power reactor.
    (4) Each environmental report must identify the procedures for 
reporting and keeping records of environmental data, and any conditions 
and monitoring requirements for protecting the non-aquatic environment, 
proposed for possible inclusion in the license as environmental 
conditions in accordance with Sec. 50.36b of this chapter.
    (c) Combined license stage. Each applicant for a combined license 
shall submit with its application a separate document, entitled 
``Applicant's Environmental Report--Combined License Stage.'' Each 
environmental report shall contain the information specified in 
Sec. Sec. 51.45, 51.51, and 51.52, as modified in this paragraph. For 
other than light-water-cooled nuclear power reactors, the environmental 
report shall contain the basis for evaluating the contribution of the 
environmental effects of fuel cycle activities for the nuclear power 
reactor. Each environmental report shall identify procedures for 
reporting and keeping records of environmental data, and any conditions 
and monitoring requirements for protecting the non-aquatic environment, 
proposed for possible inclusion in the license as environmental 
conditions in accordance with Sec. 50.36b of this chapter. The combined 
license environmental report may reference information contained in a 
final environmental document previously prepared by the NRC staff.
    (1) Application referencing an early site permit. If the combined 
license application references an early site permit, then the 
``Applicant's Environmental Report--Combined License Stage'' need not 
contain information or analyses submitted to the Commission in 
``Applicant's Environmental Report--Early Site Permit Stage,'' or 
resolved in the Commission's early site permit environmental impact 
statement, but must

[[Page 26]]

contain, in addition to the environmental information and analyses 
otherwise required:
    (i) Information to demonstrate that the design of the facility falls 
within the site characteristics and design parameters specified in the 
early site permit;
    (ii) Information to resolve any significant environmental issue that 
was not resolved in the early site permit proceeding;
    (iii) Any new and significant information for issues related to the 
impacts of construction and operation of the facility that were resolved 
in the early site permit proceeding;
    (iv) A description of the process used to identify new and 
significant information regarding the NRC's conclusions in the early 
site permit environmental impact statement. The process must use a 
reasonable methodology for identifying such new and significant 
information; and
    (v) A demonstration that all environmental terms and conditions that 
have been included in the early site permit will be satisfied by the 
date of issuance of the combined license. Any terms or conditions of the 
early site permit that could not be met by the time of issuance of the 
combined license, must be set forth as terms or conditions of the 
combined license.
    (2) Application referencing standard design certification. If the 
combined license references a standard design certification, then the 
combined license environmental report may incorporate by reference the 
environmental assessment previously prepared by the NRC for the 
referenced design certification. If the design certification 
environmental assessment is referenced, then the combined license 
environmental report must contain information to demonstrate that the 
site characteristics for the combined license site fall within the site 
parameters in the design certification environmental assessment.
    (3) Application referencing a manufactured reactor. If the combined 
license application proposes to use a manufactured reactor, then the 
combined license environmental report may incorporate by reference the 
environmental assessment previously prepared by the NRC for the 
underlying manufacturing license. If the manufacturing license 
environmental assessment is referenced, then the combined license 
environmental report must contain information to demonstrate that the 
site characteristics for the combined license site fall within the site 
parameters in the manufacturing license environmental assessment. The 
environmental report need not address the environmental impacts 
associated with manufacturing the reactor under the manufacturing 
license.

[72 FR 49511, Aug. 28, 2007]



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

    (a) Under Sec. 51.50, every environmental report prepared for the 
construction permit stage or early site permit stage or combined license 
stage of a light-water-cooled nuclear power reactor, and submitted on or 
after September 4, 1979, shall take Table S-3, Table of Uranium Fuel 
Cycle Environmental Data, as the basis for evaluating the contribution 
of the environmental effects of uranium mining and milling, the 
production of uranium hexafluoride, isotopic enrichment, fuel 
fabrication, reprocessing of irradiated fuel, transportation of 
radioactive materials and management of low-level wastes and high-level 
wastes related to uranium fuel cycle activities to the environmental 
costs of licensing the nuclear power reactor. Table S-3 shall be 
included in the environmental report and may be supplemented by a 
discussion of the environmental significance of the data set forth in 
the table as weighed in the analysis for the proposed facility.
    (b) Table S-3.

[[Page 27]]



      Table S-3--Table of Uranium Fuel Cycle Environmental Data \1\
     [Normalized to model LWR annual fuel requirement [WASH-1248] or
                  reference reactor year [NUREG-0116]]
                  [See footnotes at end of this table]
------------------------------------------------------------------------
                                                    Maximum effect per
                                                 annual fuel requirement
    Environmental considerations        Total      or reference reactor
                                                 year of model 1,000 MWe
                                                           LWR
------------------------------------------------------------------------
        Natural Resource Use
Land (acres):
  Temporarily committed \2\.........        100
    Undisturbed area................         79
    Disturbed area..................         22  Equivalent to a 110 MWe
                                                  coal-fired power
                                                  plant.
  Permanently committed.............         13
  Overburden moved (millions of MT).        2.8  Equivalent to 95 MWe
                                                  coal-fired power
                                                  plant.
                                     -----------
Water (millions of gallons):
  Discharged to air.................        160  =2 percent of model
                                                  1,000 MWe LWR with
                                                  cooling tower.
  Discharged to water bodies........     11,090
  Discharged to ground..............        127
                                     -----------
      Total.........................     11,377  <4 percent of model
                                                  1,000 MWe LWR with
                                                  once-through cooling.
                                     -----------
Fossil fuel:
  Electrical energy (thousands of MW-       323  <5 percent of model
   hour).                                         1,000 MWe LWR output.
  Equivalent coal (thousands of MT).        118  Equivalent to the
                                                  consumption of a 45
                                                  MWe coal-fired power
                                                  plant.
  Natural gas (millions of scf).....        135  <0.4 percent of model
                                                  1,000 MWe energy
                                                  output.
 
      Effluents--Chemical (MT)
 
Gases (including entrainment): \3\
  SOX...............................      4,400
  NOX\4\............................      1,190  Equivalent to emissions
                                                  from 45 MWe coal-fired
                                                  plant for a year.
  Hydrocarbons......................         14
  CO................................       29.6
  Particulates......................      1,154
Other gases:
  F.................................        .67  Principally from UF6
                                                  production,
                                                  enrichment, and
                                                  reprocessing.
                                                  Concentration within
                                                  range of state
                                                  standards--below level
                                                  that has effects on
                                                  human health.
  HCl...............................       .014
 
Liquids:
SO-4................................        9.9  From enrichment, fuel
NO-3................................       25.8   fabrication, and
Fluoride............................       12.9   reprocessing steps.
Ca++................................        5.4   Components that
C1-.................................        8.5   constitute a potential
Na+.................................       12.1   for adverse
NH3.................................       10.0   environmental effect
Fe..................................         .4   are present in dilute
                                                  concentrations and
                                                  receive additional
                                                  dilution by receiving
                                                  bodies of water to
                                                  levels below
                                                  permissible standards.
                                                  The constituents that
                                                  require dilution and
                                                  the flow of dilution
                                                  water are: NH3--600
                                                  cfs., NO3--20 cfs.,
                                                  Fluoride--70 cfs.
Tailings solutions (thousands of MT)        240  From mills only--no
                                                  significant effluents
                                                  to environment.
Solids..............................     91,000  Principally from mills--
                                                  no significant
                                                  effluents to
                                                  environment.
  Effluents--Radiological (curies)
 
Gases (including entrainment):
  Rn-222............................  .........  Presently under
                                                  reconsideration by the
                                                  Commission.
  Ra-226............................        .02
  Th-230............................        .02
  Uranium...........................       .034
  Tritium (thousands)...............       18.1
  C-14..............................         24
  Kr-85 (thousands).................        400
  Ru-106............................        .14  Principally from fuel
                                                  reprocessing plants.
  I-129.............................        1.3
  I-131.............................        .83
  Tc-99.............................  .........  Presently under
                                                  consideration by the
                                                  Commission.
  Fission products and transuranics.       .203
 
Liquids:
  Uranium and daughters.............        2.1  Principally from
                                                  milling--included
                                                  tailings liquor and
                                                  returned to ground--no
                                                  effluents; therefore,
                                                  no effect on
                                                  environment.
  Ra-226............................      .0034  From UF6 production.
  Th-230............................      .0015

[[Page 28]]

 
  Th-234............................        .01  From fuel fabrication
                                                  plants--concentration
                                                  10 percent of 10 CFR
                                                  20 for total
                                                  processing 26 annual
                                                  fuel requirements for
                                                  model LWR.
  Fission and activation products...   5.9x10-6
Solids (buried on site):
  Other than high level (shallow)...     11,300  9,100 Ci comes from low
                                                  level reactor wastes
                                                  and 1,500 Ci comes
                                                  from reactor
                                                  decontamination and
                                                  decommissioning--burie
                                                  d at land burial
                                                  facilities. 600 Ci
                                                  comes from mills--
                                                  included in tailings
                                                  returned to ground.
                                                  Approximately 60 Ci
                                                  comes from conversion
                                                  and spent fuel
                                                  storage. No
                                                  significant effluent
                                                  to the environment.
  TRU and HLW (deep)................  1.1x10\7\  Buried at Federal
                                                  Repository.
Effluents--thermal (billions of           4,063  <5 percent of model
 British thermal units).                          1,000 MWe LWR.
Transportation (person-rem):
  Exposure of workers and general           2.5
   public.
  Occupational exposure (person-rem)       22.6  From reprocessing and
                                                  waste management.
------------------------------------------------------------------------
\1\ In some cases where no entry appears it is clear from the background
  documents that the matter was addressed and that, in effect, the Table
  should be read as if a specific zero entry had been made. However,
  there are other areas that are not addressed at all in the Table.
  Table S-3 does not include health effects from the effluents described
  in the Table, or estimates of releases of Radon-222 from the uranium
  fuel cycle or estimates of Technetium-99 released from waste
  management or reprocessing activities. These issues may be the subject
  of litigation in the individual licensing proceedings.
Data supporting this table are given in the ``Environmental Survey of
  the Uranium Fuel Cycle,'' WASH-1248, April 1974; the ``Environmental
  Survey of the Reprocessing and Waste Management Portion of the LWR
  Fuel Cycle,'' NUREG-0116 (Supp.1 to WASH-1248); the ``Public Comments
  and Task Force Responses Regarding the Environmental Survey of the
  Reprocessing and Waste Management Portions of the LWR Fuel Cycle,''
  NUREG-0216 (Supp. 2 to WASH-1248); and in the record of the final
  rulemaking pertaining to Uranium Fuel Cycle Impacts from Spent Fuel
  Reprocessing and Radioactive Waste Management, Docket RM-50-3. The
  contributions from reprocessing, waste management and transportation
  of wastes are maximized for either of the two fuel cycles (uranium
  only and no recycle). The contribution from transportation excludes
  transportation of cold fuel to a reactor and of irradiated fuel and
  radioactive wastes from a reactor which are considered in Table S-4 of
  Sec.  51.20(g). The contributions from the other steps of the fuel
  cycle are given in columns A-E of Table S-3A of WASH-1248.
\2\ The contributions to temporarily committed land from reprocessing
  are not prorated over 30 years, since the complete temporary impact
  accrues regardless of whether the plant services one reactor for one
  year or 57 reactors for 30 years.
\3\ Estimated effluents based upon combustion of equivalent coal for
  power generation.
\4\ 1.2 percent from natural gas use and process.


[49 FR 9381, Mar. 12, 1984; 49 FR 10922, Mar. 23, 1984, as amended at 67 
FR 77652, Dec. 19, 2002; 72 FR 49512, Aug. 28, 2007]



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

    Under Sec. 51.50, every environmental report prepared for the 
construction permit stage or early site permit stage or combined license 
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 of paragraph (b) of this section.
    (a)(1) The reactor has a core thermal power level not exceeding 
3,800 megawatts;
    (2) The reactor fuel is in the form of sintered uranium dioxide 
pellets having a uranium-235 enrichment not exceeding 4% by weight, and 
the pellets are encapsulated in zircaloy rods;
    (3) The average level of irradiation of the irradiated fuel from the 
reactor does not exceed 33,000 megawatt-days per metric ton, and no 
irradiated fuel assembly is shipped until at least 90 days after it is 
discharged from the reactor;
    (4) With the exception of irradiated fuel, all radioactive waste 
shipped from the reactor is packaged and in a solid form;
    (5) Unirradiated fuel is shipped to the reactor by truck; irradiated 
fuel is shipped from the reactor by truck, rail, or barge; and 
radioactive waste other than irradiated fuel is shipped from the reactor 
by truck or rail; and
    (6) The environmental impacts of transportation of fuel and waste to 
and

[[Page 29]]

from the reactor, with respect to normal conditions of transport and 
possible accidents in transport, are as set forth in Summary Table S-4 
in paragraph (c) of this section; and the values in the table represent 
the contribution of the transportation to the environmental costs of 
licensing the reactor.
    (b) For reactors not meeting the conditions of paragraph (a) of this 
section, the statement shall contain a full description and detailed 
analysis of the environmental effects of transportation of fuel and 
wastes to and from the reactor, including values for the environmental 
impact under normal conditions of transport and for the environmental 
risk from accidents in transport. The statement shall indicate that the 
values determined by the analysis represent the contribution of such 
effects to the environmental costs of licensing the reactor.
    (c)

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


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


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


[49 FR 9381, Mar. 12, 1984; 49 FR 10922, Mar. 23, 1984, as amended at 53 
FR 43420, Oct. 27, 1988; 72 FR 49512, Aug. 28, 2007]



Sec. 51.53  Postconstruction environmental reports.

    (a) General. Any environmental report prepared under the provisions 
of this section may incorporate by reference any information contained 
in a prior environmental report or supplement thereto that relates to 
the production or utilization facility or site, or any information 
contained in a final environmental document previously prepared by the 
NRC staff that relates to the production or utilization facility or 
site. Documents that may be referenced include, but are not limited to,

[[Page 30]]

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, operating 
license, early site permit, combined license and any license amendment 
for that facility.
    (b) Operating license stage. Each applicant for a license to operate 
a production or utilization facility covered by Sec. 51.20 shall submit 
with its application 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 Sec. Sec. 51.45, 51.51, and 51.52, but only to the 
extent that they differ from those discussed or reflect new information 
in addition to that discussed in the final environmental impact 
statement prepared by the Commission in connection with the construction 
permit. No discussion of need for power, or of alternative energy 
sources, or of alternative sites for the facility, or of any aspect of 
the storage of spent fuel for the facility within the scope of the 
generic determination in Sec. 51.23(a) and in accordance with Sec. 
51.23(b) is required in this report.
    (c) Operating license renewal stage. (1) Each applicant for renewal 
of a license to operate a nuclear power plant under part 54 of this 
chapter shall submit with its application a separate document entitled 
``Applicant's Environmental Report--Operating License Renewal Stage.''
    (2) The report must contain a description of the proposed action, 
including the applicant's plans to modify the facility or its 
administrative control procedures as described in accordance with Sec. 
54.21 of this chapter. This report must describe in detail the 
modifications directly affecting the environment or affecting plant 
effluents that affect the environment. In addition, the applicant shall 
discuss in this report the environmental impacts of alternatives and any 
other matters described in Sec. 51.45. The report is not required to 
include discussion of need for power or the economic costs and economic 
benefits of the proposed action or of alternatives to the proposed 
action except insofar as such costs and benefits are either essential 
for a determination regarding the inclusion of an alternative in the 
range of alternatives considered or relevant to mitigation. The 
environmental report need not discuss other issues not related to the 
environmental effects of the proposed action and the alternatives. In 
addition, the environmental report need not discuss any aspect of the 
storage of spent fuel for the facility within the scope of the generic 
determination in Sec. 51.23(a) and in accordance with Sec. 51.23(b).
    (3) For those applicants seeking an initial renewed license and 
holding an operating license, construction permit, or combined license 
as of June 30, 1995, the environmental report shall include the 
information required in paragraph (c)(2) of this section subject to the 
following conditions and considerations:
    (i) The environmental report for the operating license renewal stage 
is not required to contain analyses of the environmental impacts of the 
license renewal issues identified as Category 1 issues in appendix B to 
subpart A of this part.
    (ii) The environmental report must contain analyses of the 
environmental impacts of the proposed action, including the impacts of 
refurbishment activities, if any, associated with license renewal and 
the impacts of operation during the renewal term, for those issues 
identified as Category 2 issues in appendix B to subpart A of this part. 
The required analyses are as follows:
    (A) If the applicant's plant utilizes cooling towers or cooling 
ponds and withdraws make-up water from a river whose annual flow rate is 
less than 3.15x10\12\ ft\3\/year (9x10\10\ m\3\/year), an assessment of 
the impact of the proposed action on the flow of the river and related 
impacts on instream and riparian

[[Page 31]]

ecological communities must be provided. The applicant shall also 
provide an assessment of the impacts of the withdrawal of water from the 
river on alluvial aquifers during low flow.
    (B) If the applicant's plant utilizes once-through cooling or 
cooling pond heat dissipation systems, the applicant shall provide a 
copy of current Clean Water Act 316(b) determinations and, if necessary, 
a 316(a) variance in accordance with 40 CFR part 125, or equivalent 
State permits and supporting documentation. If the applicant can not 
provide these documents, it shall assess the impact of the proposed 
action on fish and shellfish resources resulting from heat shock and 
impingement and entrainment.
    (C) If the applicant's plant uses Ranney wells or pumps more than 
100 gallons (total onsite) of ground water per minute, an assessment of 
the impact of the proposed action on ground-water use must be provided.
    (D) If the applicant's plant is located at an inland site and 
utilizes cooling ponds, an assessment of the impact of the proposed 
action on groundwater quality must be provided.
    (E) All license renewal applicants shall assess the impact of 
refurbishment and other license-renewal-related construction activities 
on important plant and animal habitats. Additionally, the applicant 
shall assess the impact of the proposed action on threatened or 
endangered species in accordance with the Endangered Species Act.
    (F) If the applicant's plant is located in or near a nonattainment 
or maintenance area, an assessment of vehicle exhaust emissions 
anticipated at the time of peak refurbishment workforce must be provided 
in accordance with the Clean Air Act as amended.
    (G) If the applicant's plant uses a cooling pond, lake, or canal or 
discharges into a river having an annual average flow rate of less than 
3.15x10\12\ ft\3\/year (9x10\10\ m\3\/year), an assessment of the impact 
of the proposed action on public health from thermophilic organisms in 
the affected water must be provided.
    (H) If the applicant's transmission lines that were constructed for 
the specific purpose of connecting the plant to the transmission system 
do not meet the recommendations of the National Electric Safety Code for 
preventing electric shock from induced currents, an assessment of the 
impact of the proposed action on the potential shock hazard from the 
transmission lines must be provided.
    (I) An assessment of the impact of the proposed action on housing 
availability, land-use, and public schools (impacts from refurbishment 
activities only) within the vicinity of the plant must be provided. 
Additionally, the applicant shall provide an assessment of the impact of 
population increases attributable to the proposed project on the public 
water supply.
    (J) All applicants shall assess the impact of highway traffic 
generated by the proposed project on the level of service of local 
highways during periods of license renewal refurbishment activities and 
during the term of the renewed license.
    (K) All applicants shall assess whether any historic or 
archaeological properties will be affected by the proposed project.
    (L) If the staff has not previously considered severe accident 
mitigation alternatives for the applicant's plant in an environmental 
impact statement or related supplement or in an environmental 
assessment, a consideration of alternatives to mitigate severe accidents 
must be provided.
    (M) [Reserved]
    (iii) The report must contain a consideration of alternatives for 
reducing adverse impacts, as required by Sec. 51.45(c), for all 
Category 2 license renewal issues in appendix B to subpart A of this 
part. No such consideration is required for Category 1 issues in 
appendix B to subpart A of this part.
    (iv) The environmental report must contain any new and significant 
information regarding the environmental impacts of license renewal of 
which the applicant is aware.
    (d) Postoperating license stage. Each applicant for a license 
amendment authorizing decommissioning activities for a production or 
utilization facility either for unrestricted use or based on continuing 
use restrictions applicable to the site; and each applicant for a 
license amendment approving a license termination plan or 
decommissioning

[[Page 32]]

plan under Sec. 50.82 of this chapter either for unrestricted use or 
based on continuing use restrictions applicable to the site; and each 
applicant for a license or license amendment to store spent fuel at a 
nuclear power reactor after expiration of the operating license for the 
nuclear power reactor shall submit with its application a separate 
document, entitled ``Supplement to Applicant's Environmental Report--
Post Operating License Stage,'' which will update ``Applicant's 
Environmental Report--Operating License Stage,'' as appropriate, to 
reflect any new information or significant environmental change 
associated with the applicant's proposed decommissioning activities or 
with the applicant's proposed activities with respect to the planned 
storage of spent fuel. Unless otherwise required by the Commission, in 
accordance with the generic determination in Sec. 51.23(a) and the 
provisions in Sec. 51.23(b), the applicant shall only address the 
environmental impact of spent fuel storage for the term of the license 
applied for. The ``Supplement to Applicant's Environmental Report--Post 
Operating License Stage'' may incorporate by reference any information 
contained in ``Applicants Environmental Report--Construction Permit 
Stage.

[61 FR 66543, Dec. 18, 1996, as amended at 64 FR 48506, Sept. 3, 1999; 
68 FR 58810, Oct. 10, 2003; 72 FR 49513, Aug. 28, 2007]



Sec. 51.54  Environmental report--manufacturing license.

    (a) Each applicant for a manufacturing license under subpart F of 
part 52 of this chapter shall submit with its application a separate 
document entitled, ``Applicant's Environmental Report--Manufacturing 
License.'' The environmental report must address the costs and benefits 
of severe accident mitigation design alternatives, and the bases for not 
incorporating severe accident mitigation design alternatives into the 
design of the reactor to be manufactured. The environmental report need 
not address the environmental impacts associated with manufacturing the 
reactor under the manufacturing license, the benefits and impacts of 
utilizing the reactor in a nuclear power plant, or an evaluation of 
alternative energy sources.
    (b) Each applicant for an amendment to a manufacturing license shall 
submit with its application a separate document entitled, ``Applicant's 
Supplemental Environmental Report--Amendment to Manufacturing License.'' 
The environmental report must address whether the design change which is 
the subject of the proposed amendment either renders a severe accident 
mitigation design alternative previously rejected in an environmental 
assessment to become cost beneficial, or results in the identification 
of new severe accident mitigation design alternatives that may be 
reasonably incorporated into the design of the manufactured reactor. The 
environmental report need not address the environmental impacts 
associated with manufacturing the reactor under the manufacturing 
license.

[72 FR 49513, Aug. 28, 2007]



Sec. 51.55  Environmental report--standard design certification.

    (a) Each applicant for a standard design certification under subpart 
B of part 52 of this chapter shall submit with its application a 
separate document entitled, ``Applicant's Environmental Report--Standard 
Design Certification.'' The environmental report must address the costs 
and benefits of severe accident mitigation design alternatives, and the 
bases for not incorporating severe accident mitigation design 
alternatives in the design to be certified.
    (b) Each applicant for an amendment to a design certification shall 
submit with its application a separate document entitled, ``Applicant's 
Supplemental Environmental Report--Amendment to Standard Design 
Certification.'' The environmental report must address whether the 
design change which is the subject of the proposed amendment either 
renders a severe accident mitigation design alternative previously 
rejected in an environmental assessment to become cost beneficial, or 
results in the identification of new severe accident mitigation

[[Page 33]]

design alternatives that may be reasonably incorporated into the design 
certification.

[72 FR 49513, Aug. 28, 2007]



Sec. 51.58  Environmental report--number of copies; distribution.

    (a) Each applicant for a license or permit to site, construct, 
manufacture, or operate a production or utilization facility covered by 
Sec. Sec. 51.20(b)(1), (b)(2), (b)(3), or (b)(4), each applicant for 
renewal of an operating or combined license for a nuclear power plant, 
each applicant for a license amendment authorizing the decommissioning 
of a production or utilization facility covered by Sec. 51.20, and each 
applicant for a license or license amendment to store spent fuel at a 
nuclear power plant after expiration of the operating license or 
combined license for the nuclear power plant shall submit a copy to the 
Director of the Office of Nuclear Reactor Regulation, the Director of 
the Office of New Reactors, the Director of the Office of Nuclear 
Material Safety and Safeguards, as appropriate, of an environmental 
report or any supplement to an environmental report. These reports must 
be sent either by mail addressed: ATTN: Document Control Desk; U.S. 
Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand 
delivery to the NRC's offices at 11555 Rockville Pike, Rockville, 
Maryland, between the hours of 7:30 a.m. and 4:15 p.m. eastern time; or, 
where practicable, by electronic submission, for example, via Electronic 
Information Exchange, or CD-ROM. Electronic submissions must be made in 
a manner that enables the NRC to receive, read, authenticate, 
distribute, and archive the submission, and process and retrieve it a 
single page at a time. Detailed guidance on making electronic 
submissions can be obtained by visiting the NRC's Web site at http://
www.nrc.gov/site-help/e-submittals.html, by calling (301) 415-0439, by 
e-mail to EIE@nrc.gov, or by writing the Office of Information Services, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The 
guidance discusses, among other topics, the formats the NRC can accept, 
the use of electronic signatures, and the treatment of nonpublic 
information. If the communication is on paper, the signed original must 
be sent. If a submission due date falls on a Saturday, Sunday, or 
Federal holiday, the next Federal working day becomes the official due 
date. The applicant shall maintain the capability to generate additional 
copies of the environmental report or any supplement to the 
environmental report for subsequent 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 New Reactors, the Director of the 
Office of Nuclear Reactor Regulation, or the Director of the Office of 
Nuclear Material Safety and Safeguards, as appropriate.
    (b) Each applicant for a license to manufacture a nuclear power 
reactor, or for an amendment to a license to manufacture, seeking 
approval of the final design of the nuclear power reactor under subpart 
F of part 52 of this chapter, shall submit to the Commission an 
environmental report or any supplement to an environmental report in the 
manner specified in Sec. 50.3 of this chapter. The applicant shall 
maintain the capability to generate additional copies of the 
environmental report or any supplement to the environmental report for 
subsequent 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 the 
Office of New Reactors or the Director of the Office of Nuclear Reactor 
Regulation.

[72 FR 49513, Aug. 28, 2007]

                environmental reports--materials licenses



Sec. 51.60  Environmental report--materials licenses.

    (a) Each applicant for a license or other form of permission, or an 
amendment to or renewal of a license or other form of permission issued 
pursuant to parts 30, 32, 33, 34, 35, 36, 39, 40, 61, 70 and/or 72 of 
this chapter, and covered by paragraphs (b)(1) through (b)(5) of this 
section, shall submit with its application to: ATTN: Document Control

[[Page 34]]

Desk, Director, Nuclear Material Safety and Safeguards, a separate 
document, entitled ``Applicant's Environmental Report'' or ``Supplement 
to Applicant's Environmental Report,'' as appropriate. The ``Applicant's 
Environmental Report'' shall contain the information specified in Sec. 
51.45. If the application is for an amendment to or a renewal of a 
license or other form of permission for which the applicant has 
previously submitted an environmental report, the supplement to 
applicant's environmental report may be limited to incorporating by 
reference, updating or supplementing the information previously 
submitted to reflect any significant environmental change, including any 
significant environmental change resulting from operational experience 
or a change in operations or proposed decommissioning activities. If the 
applicant is the U.S. Department of Energy, the environmental report may 
be in the form of either an environmental impact statement or an 
environmental assessment, as appropriate.
    (b) As required by paragraph (a) of this section, each applicant 
shall prepare an environmental report for the following types of 
actions:
    (1) Issuance or renewal of a license or other form of permission 
for:
    (i) Possession and use of special nuclear material for processing 
and fuel fabrication, scrap recovery, or conversion of uranium 
hexafluoride pursuant to part 70 of this chapter.
    (ii) Possession and use of source material for uranium milling or 
production of uranium hexafluoride pursuant to part 40 of this chapter.
    (iii) Storage of spent fuel in an independent spent fuel storage 
installation (ISFSI) or the storage of spent fuel or high-level radio-
active waste in a monitored retrievable storage installation (MRS) 
pursuant to part 72 of this chapter.
    (iv) Receipt and disposal of radioactive waste from other persons 
pursuant to part 61 of this chapter.
    (v) Processing of source material for extraction of rare earth and 
other metals.
    (vi) Use of radioactive tracers in field flood studies involving 
secondary and tertiary oil and gas recovery.
    (vii) Construction and operation of a uranium enrichment facility.
    (2) Issuance of an amendment that would authorize or result in (i) a 
significant expansion of a site, (ii) a significant change in the types 
of effluents, (iii) a significant increase in the amounts of effluents, 
(iv) a significant increase in individual or cumulative occupational 
radiation exposure, (v) a significant increase in the potential for or 
consequences from radiological accidents, or (vi) a significant increase 
in spent fuel storage capacity, in a license or other form of permission 
to conduct an activity listed in paragraph (b)(1) of this section.
    (3) Amendment of a license to authorize the decommissioning of an 
independent spent fuel storage installation (ISFSI) or a monitored 
retrievable storage installation (MRS) pursuant to part 72 of this 
chapter.
    (4) Issuance of a license amendment pursuant to part 61 of this 
chapter authorizing (i) closure of a land disposal site, (ii) transfer 
of the license to the disposal site owner for the purpose of 
institutional control, or (iii) termination of the license at the end of 
the institutional control period.
    (5) Any other licensing action for which the Commission determines 
an Environmental Report is necessary.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31681, Aug. 19, 1988; 57 
FR 18392, Apr. 30, 1992; 58 FR 7737, Feb. 9, 1993; 62 FR 26732, May 14, 
1997; 68 FR 58811, Oct. 10, 2003]



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

    Each applicant for issuance of a license for storage of spent fuel 
in an independent spent fuel storage installation (ISFSI) or for the 
storage of spent fuel and high-level radioactive waste in a monitored 
retrievable storage installation (MRS) pursuant to part 72 of this 
chapter shall submit with its application to: ATTN: Document Control 
Desk, Director, Office of Nuclear Material Safety and Safeguards, a 
separate document entitled ``Applicant's Environmental Report--ISFSI 
License'' or ``Applicant's Environmental Report--MRS License,'' as

[[Page 35]]

appropriate. If the applicant is the U.S. Department of Energy, the 
environmental report may be in the form of either an environmental 
impact statement or an environmental assessment, as appropriate. The 
environmental report shall contain the information specified in Sec. 
51.45 and shall address the siting evaluation factors contained in 
subpart E of part 72 of this chapter. Unless otherwise required by the 
Commission, in accordance with the generic determination in Sec. 
51.23(a) and the provisions in Sec. 51.23(b), no discussion of the 
environmental impact of the storage of spent fuel at an ISFSI beyond the 
term of the license or amendment applied for is required in an 
environmental report submitted by an applicant for an initial license 
for storage of spent fuel in an ISFSI, or any amendment thereto.

[53 FR 31681, Aug. 19, 1988, as amended at 68 FR 58811, Oct. 10, 2003]



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

    (a) Each applicant for issuance of a license for land disposal of 
radioactive waste pursuant to part 61 of this chapter shall submit with 
its application to: ATTN: Document Control Desk, Director of Nuclear 
Material Safety and Safeguards, a separate document, entitled 
``Applicant's Environmental Report--License for Land Disposal of 
Radioactive Waste.'' The environmental report and any supplement to the 
environmental report may incorporate by reference information contained 
in the application or in any previous application, statement or report 
filed with the Commission provided that such references are clear and 
specific and that copies of the information so incorporated are 
available at the NRC Web site, http://www.nrc.gov, and/or at the NRC 
Public Document Room.
    (b) The environmental report shall contain the information specified 
in Sec. 51.45, shall address the applicant's environmental monitoring 
program required by Sec. Sec. 61.12(l), 61.53 and 61.59(b) of this 
chapter, and shall be as complete as possible in the light of 
information that is available at the time the environmental report is 
submitted.
    (c) The applicant shall supplement the environmental report in a 
timely manner as necessary to permit the Commission to review, prior to 
issuance, amendment or renewal of a license, new information regarding 
the environmental impact of previously proposed activities, information 
regarding the environmental impact of any changes in previously proposed 
activities, or any significant new information regarding the 
environmental impact of closure activities and long-term performance of 
the disposal site.

[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 43420, Oct. 27, 1988; 64 
FR 48952, Sept. 9, 1999; 68 FR 58811, Oct. 10, 2003]



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

    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 
under parts 30, 32, 33, 34, 35, 36, 39, 40, 61, 70, and/or 72 of this 
chapter, and covered by Sec. Sec. 51.60(b)(1) through (6); or by 
Sec. Sec. 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 manner specified in Sec. 51.58(a). 
The applicant shall maintain the capability to generate additional 
copies of the environmental report or any supplement to the 
environmental report for subsequent 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.

[72 FR 49514, Aug. 28, 2007]



Sec. 51.67  Environmental information concerning geologic repositories.

    (a) In lieu of an environmental report, the Department of Energy, as 
an applicant for a license or license amendment pursuant to part 60 or 
63 of this chapter, shall submit to the Commission any final 
environmental impact statement which the Department prepares in 
connection with any geologic repository developed under Subtitle A of 
Title I, or under Title IV, of the Nuclear Waste Policy Act of 1982, as 
amended. (See Sec. 60.22 or Sec. 63.22 of this chapter as to the 
required time and

[[Page 36]]

manner of submission.) The statement shall include, among the 
alternatives under consideration, denial of a license or construction 
authorization by the Commission.
    (b) Under applicable provisions of law, the Department of Energy may 
be required to supplement its final environmental impact statement if it 
makes a substantial change in its proposed action that is relevant to 
environmental concerns or determines that there are significant new 
circumstances or information relevant to environmental concerns and 
bearing on the proposed action or its impacts. The Department shall 
submit any supplement to its final environmental impact statement to the 
Commission. (See Sec. 60.22 or Sec. 63.22 of this chapter as to the 
required time and manner of submission.)
    (c) Whenever the Department of Energy submits a final environmental 
impact statement, or a final supplement to an environmental impact 
statement, to the Commission pursuant to this section, it shall also 
inform the Commission of the status of any civil action for judicial 
review initiated pursuant to section 119 of the Nuclear Waste Policy Act 
of 1982. This status report, which the Department shall update from time 
to time to reflect changes in status, shall:
    (1) State whether the environmental impact statement has been found 
by the courts of the United States to be adequate or inadequate; and
    (2) Identify any issues relating to the adequacy of the 
environmental impact statement that may remain subject to judicial 
review.

[54 FR 27870, July 3, 1989, as amended at 66 FR 55791, Nov. 2, 2001]

                    environmental reports--rulemaking



Sec. 51.68  Environmental report--rulemaking.

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

[68 FR 58811, Oct. 10, 2003]

                     Environmental Impact Statements

       draft environmental impact statements--general requirements



Sec. 51.70  Draft environmental impact statement--general.

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



Sec. 51.71  Draft environmental impact statement--contents.

    (a) Scope. The draft environmental impact statement will be prepared 
in accordance with the scope decided upon in the scoping process 
required by

[[Page 37]]

Sec. Sec. 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 
Sec. Sec. 51.45, 51.50, 51.51, 51.52, 51.53, 51.54, 51.61 and 51.62.
    (b) Analysis of major points of view. To the extent sufficient 
information is available, the draft environmental impact statement will 
include consideration of major points of view concerning the 
environmental impacts of the proposed action and the alternatives, and 
contain an analysis of significant problems and objections raised by 
other Federal, State, and local agencies, by any affected Indian tribes, 
and by other interested persons.
    (c) Status of compliance. The draft environmental impact statement 
will list all Federal permits, licenses, approvals, and other 
entitlements which must be obtained in implementing the proposed action 
and will describe the status of compliance with those requirements. If 
it is uncertain whether a Federal permit, license, approval, or other 
entitlement is necessary, the draft environmental impact statement will 
so indicate.
    (d) Analysis. Unless excepted in this paragraph or Sec. 51.75, 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 and consideration of the economic, technical, and 
other benefits and costs of the proposed action and alternatives and 
indicate what other interests and considerations of Federal policy, 
including factors not related to environmental quality if applicable, 
are relevant to the consideration of environmental effects of the 
proposed action identified under paragraph (a) of this section. The 
draft supplemental environmental impact statement prepared at the 
license renewal stage under Sec. 51.95(c) need not discuss the economic 
or technical benefits and costs of either the proposed action or 
alternatives except if 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 under Sec. 51.95(c) will rely on conclusions 
as amplified by the supporting information in the GEIS for issues 
designated as Category 1 in appendix B to subpart A of this part. The 
draft supplemental environmental impact statement must contain an 
analysis of those issues identified as Category 2 in appendix B to 
subpart A of this part that are open for the proposed action. The 
analysis for all draft environmental impact statements will, to the 
fullest extent practicable, quantify the various factors considered. To 
the extent that there are important qualitative considerations or 
factors that cannot be quantified, these considerations or factors will 
be discussed in qualitative terms. 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 
issued or imposed under 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 environmental quality 
standards and requirements irrespective of whether a certification or 
license from the appropriate authority has been obtained.\3\ While 
satisfaction

[[Page 38]]

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

    \3\ Compliance with the environmental quality standards and 
requirements of the Federal Water Pollution Control Act (imposed by EPA 
or designated permitting states) is not a substitute for, and does not 
negate the requirement for NRC to weigh all environmental effects of the 
proposed action, including the degradation, if any, of water quality, 
and to consider alternatives to the proposed action that are available 
for reducing adverse effects. Where an environmental assessment of 
aquatic impact from plant discharges is available from the permitting 
authority, the NRC will consider the assessment in its determination of 
the magnitude of environmental impacts for striking an overall cost-
benefit balance at the construction permit and operating license and 
early site permit and combined 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 
decision-makers 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 and early site permit and combined 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 decision-makers would be unreasonable at the license 
renewal stage.
---------------------------------------------------------------------------

    (e) Effect of limited work authorization. If a limited work 
authorization was issued either in connection with or subsequent to an 
early site permit, or in connection with a construction permit or 
combined license application, then the environmental impact statement 
for the construction permit or combined license application will not 
address or consider the sunk costs associated with the limited work 
authorization.
    (f) Preliminary recommendation. The draft environmental impact 
statement normally will include a preliminary recommendation by the NRC 
staff respecting the proposed action. This preliminary recommendation 
will be based on the information and analysis described in paragraphs 
(a) through (d) of this section and Sec. Sec. 51.75, 51.76, 51.80, 
51.85, and 51.95, as appropriate, and will be reached after considering 
the environmental effects of the proposed action and reasonable 
alternatives, \4\ and, except for supplemental environmental impact 
statements for the operating license renewal stage prepared pursuant to 
Sec. 51.95(c), after weighing the costs and benefits of the proposed 
action. In lieu of a recommendation, the NRC staff may indicate in the 
draft statement that two or more alternatives remain under 
consideration.
---------------------------------------------------------------------------

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

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28488, June 5, 1996; 61 
FR 66544, Dec. 18, 1996; 72 FR 49514, Aug. 28, 2007; 72 FR 57445, Oct. 
9, 2007]



Sec. 51.72  Supplement to draft environmental impact statement.

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



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

    Each draft environmental impact statement and each supplement to a

[[Page 39]]

draft environmental impact statement distributed in accordance with 
Sec. 51.74, and each news release provided pursuant to Sec. 51.74(d) 
will be accompanied by or include a request for comments on the proposed 
action and on the draft environmental impact statement or any supplement 
to the draft environmental impact statement and will state where 
comments should be submitted and the date on which the comment period 
closes. A minimum comment period of 45 days will be provided. The 
comment period will be calculated from the date on which the 
Environmental Protection Agency notice stating that the draft statement 
or the supplement to the draft statement has been filed with EPA is 
published in the Federal Register. If no comments are provided within 
the time specified, it will be presumed, unless the agency or person 
requests an extension of time, that the agency or person has no comment 
to make. To the extent practicable, NRC staff will grant reasonable 
requests for extensions of time of up to fifteen (15) days.



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

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

   draft environmental impact statements--production and utilization 
                               facilities



Sec. 51.75  Draft environmental impact statement--construction permit, early site permit, or combined licesne.

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

[[Page 40]]

be prepared in accordance with the procedures and measures described in 
Sec. Sec. 51.70, 51.71, 51.72, 51.73, and this section. The 
contribution of the environmental effects of the uranium fuel cycle 
activities specified in Sec. 51.51 shall be evaluated on the basis of 
impact values set forth in Table S-3, Table of Uranium Fuel Cycle 
Environmental Data, which shall be set out in the draft environmental 
impact statement. With the exception of radon-222 and technetium-99 
releases, no further discussion of fuel cycle release values and other 
numerical data that appear explicitly in the table shall be required.\5\ 
The impact statement shall take account of dose commitments and health 
effects from fuel cycle effluents set forth in Table S-3 and shall in 
addition take account of economic, socioeconomic, and possible 
cumulative impacts and other fuel cycle impacts as may reasonably appear 
significant. The draft environmental impact statement must include an 
evaluation of alternative sites to determine whether there is any 
obviously superior alternative to the site proposed. The draft 
environmental impact statement must also include an evaluation of the 
environmental effects of construction and operation of a reactor, or 
reactors, which have design characteristics that fall within the site 
characteristics and design parameters for the early site permit 
application, but only to the extent addressed in the early site permit 
environmental report or otherwise necessary to determine whether there 
is any obviously superior alternative to the site proposed. The draft 
environmental impact statement must not include an assessment of the 
economic, technical, or other benefits (for example, need for power) and 
costs of the proposed action or an evaluation of alternative energy 
sources, unless these matters are addressed in the early site permit 
environmental report.
---------------------------------------------------------------------------

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

    (c) Combined license stage. A draft environmental impact statement 
relating to issuance of a combined license that does not reference an 
early site permit will be prepared in accordance with the procedures and 
measures described in Sec. Sec. 51.70, 51.71, 51.72, and 51.73. The 
contribution of the environmental effects of the uranium fuel cycle 
activities specified in Sec. 51.51 shall be evaluated on the basis of 
impact values set forth in Table S-3, Table of Uranium Fuel Cycle 
Environmental Data, which shall be set out in the draft environmental 
impact statement. With the exception of radon-222 and technetium-99 
releases, no further discussion of fuel cycle release values and other 
numerical data that appear explicitly in the table shall be required.\5\ 
The impact statement shall take account of dose commitments and health 
effects from fuel cycle effluents set forth in Table S-3 and shall in 
addition take account of economic, socioeconomic, and possible 
cumulative impacts and other fuel cycle impacts as may reasonably appear 
significant. The impact statement will include a discussion of the 
storage of spent fuel for the nuclear power plant within the scope of 
the generic determination in Sec. 51.23(a) and in accordance with Sec. 
51.23(b).
    (1) Combined license application referencing an early site permit. 
If the combined license application references an early site permit, 
then the NRC staff shall prepare a draft supplement to the early site 
permit environmental impact statement. The supplement must be prepared 
in accordance with Sec. 51.92(e).
    (2) Combined license application referencing a standard design 
certification. If the combined license application references a standard 
design certification and the site characteristics of the combined 
license's site fall within the site parameters specified in the design 
certification environmental assessment, then the draft combined license 
environmental impact statement shall incorporate by reference the design 
certification environmental assessment, and summarize the findings and 
conclusions of the environmental assessment with respect to severe 
accident mitigation design alternatives.

[[Page 41]]

    (3) Combined license application referencing a manufactured reactor. 
If the combined license application proposes to use a manufactured 
reactor and the site characteristics of the combined license's site fall 
within the site parameters specified in the manufacturing license 
environmental assessment, then the draft combined license environmental 
impact statement shall incorporate by reference the manufacturing 
license environmental assessment, and summarize the findings and 
conclusions of the environmental assessment with respect to severe 
accident mitigation design alternatives. The combined license 
environmental impact statement report will not address the environmental 
impacts associated with manufacturing the reactor under the 
manufacturing license.

[72 FR 49514, Aug. 28, 2007]



Sec. 51.76  Draft environmental impact statement--limited work authorization.

    The NRC will prepare a draft environmental impact statement relating 
to issuance of a limited work authorization in accordance with the 
procedures and measures described in Sec. Sec. 51.70, 51.71, and 51.73, 
as further supplemented or modified in the following paragraphs.
    (a) Limited work authorization submitted as part of complete 
construction permit or combined license application. If the application 
for a limited work authorization is submitted as part of a complete 
construction permit or combined license application, then the NRC may 
prepare a partial draft environmental impact statement. The analysis 
called for by Sec. 51.71(d) must be limited to the activities proposed 
to be conducted under the limited work authorization. Alternatively, the 
NRC may prepare a complete draft environmental impact statement prepared 
in accordance with Sec. 51.75(a) or (c), as applicable.
    (b) Phased application for limited work authorization under Sec. 
2.101(a)(9) of this chapter. If the application for a limited work 
authorization is submitted in accordance with Sec. 2.101(a)(9) of this 
chapter, then the draft environmental impact statement for part one of 
the application may be limited to consideration of the activities 
proposed to be conducted under the limited work authorization, and the 
proposed redress plan. However, if the environmental report contains the 
full set of information required to be submitted under Sec. 51.50(a) or 
(c), then a draft environmental impact statement must be prepared in 
accordance with Sec. 51.75(a) or (c), as applicable. Siting issues, 
including whether there is an obviously superior alternative site, or 
issues related to operation of the proposed nuclear power plant at the 
site, including need for power, may not be considered. After part two of 
the application is docketed, the NRC will prepare a draft supplement to 
the final environmental impact statement for part two of the application 
under Sec. 51.72. No updating of the information contained in the final 
environmental impact statement prepared for part one is necessary in 
preparation of the supplemental environmental impact statement. The 
draft supplement must consider all environmental impacts associated with 
the prior issuance of the limited work authorization, but may not 
address or consider the sunk costs associated with the limited work 
authorization.
    (c) Limited work authorization submitted as part of an early site 
permit application. If the application for a limited work authorization 
is submitted as part of an application for an early site permit, then 
the NRC will prepare an environmental impact statement in accordance 
with Sec. 51.75(b). However, the analysis called for by Sec. 51.71(d) 
must also address the activities proposed to be conducted under the 
limited work authorization.
    (d) Limited work authorization request submitted by an early site 
permit holder. If the application for a limited work authorization is 
submitted by a holder of an early site permit, then the NRC will prepare 
a draft supplement to the environmental impact statement for the early 
site permit. The supplement is limited to consideration of the 
activities proposed to be conducted under the limited work 
authorization, the adequacy of the proposed redress plan, and whether 
there is new and significant information identified with respect to 
issues related to the impacts of construction of the facility that

[[Page 42]]

were resolved in the early site permit proceeding with respect to the 
environmental impacts of the activities to be conducted under the 
limited work authorization. No other updating of the information 
contained in the final environmental impact statement prepared for the 
early site permit is required.
    (e) Limited work authorization for a site where an environmental 
impact statement was prepared, but the facility construction was not 
completed. If the limited work authorization is for activities to be 
conducted at a site for which the Commission has previously prepared an 
environmental impact statement for the construction and operation of a 
nuclear power plant, and a construction permit was issued but 
construction of the plant was not completed, then the draft 
environmental impact statement shall incorporate by reference the 
earlier environmental impact statement. The draft environmental impact 
statement must be limited to a consideration of whether there is 
significant new information with respect to the environmental impacts of 
construction, relevant to the activities to be conducted under the 
limited work authority, so that the conclusion of the referenced 
environmental impact statement on the impacts of construction would, 
when analyzed in accordance with Sec. 51.71, lead to the conclusion 
that the limited work authorization should not be issued or should be 
issued with appropriate conditions.
    (f) Draft environmental impact statement. A draft environmental 
impact statement prepared under this section must separately evaluate 
the environmental impacts and proposed alternatives attributable to the 
activities proposed to be conducted under the limited work 
authorization. However, if the ``Applicant's Environmental Report--
Limited Work Authorization Stage,'' also contains the information 
required to be submitted in the environmental report required under 
Sec. 51.50, then the environmental impact statement must address the 
impacts of construction and operation for the proposed facility 
(including the environmental impacts attributable to the limited work 
authorization), and discuss the overall costs and benefits balancing for 
the underlying proposed action, in accordance with Sec. 51.71, and 
Sec. 51.75(a) or (c), as applicable.

[72 FR 57445, Oct. 9, 2007]



Sec. 51.77  Distribution of draft environmental impact statement.

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

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

        draft environmental impact statements--materials licenses



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

    (a) The NRC staff will either prepare a draft environmental impact 
statement or as provided in Sec. 51.92, a supplement to a final 
environmental impact statement for each type of action identified in 
Sec. 51.20(b) (7) through (12). Except as the context may otherwise 
require, procedures and measures similar to those described in 
Sec. Sec. 51.70, 51.71, 51.72 and 51.73 will be followed.
    (b)(1) Independent spent fuel storage installation (ISFSI). Unless 
otherwise determined by the Commission and in accordance with the 
generic determination in Sec. 51.23(a) and the provisions of Sec. 
51.23(b), a draft environmental impact statement on the issuance of an 
initial license for storage of spent fuel at an independent spent fuel 
storage installation (ISFSI) or any amendment thereto, will address 
environmental impacts of spent fuel only for the term of the license or 
amendment applied for.

[[Page 43]]

    (2) Monitored retrievable storage installation (MRS). As provided in 
sections 141 (c), (d), and (e) and 148 (a) and (c) of the Nuclear Waste 
Policy Act of 1982, as amended (NWPA) (96 Stat. 2242, 2243, 42 U.S.C. 
10161 (c), (d), (e); 101 Stat. 1330-235, 1330-236, 42 U.S.C. 10168 (a) 
and (c)), a draft environmental impact statement for the construction of 
a monitored retrievable storage installation (MRS) will not address the 
need for the MRS or any alternative to the design criteria for an MRS 
set forth in section 141(b)(1) of the NWPA (96 Stat. 2242, 42 U.S.C. 
10161(b)(1)) but may consider alternative facility designs which are 
consistent with these design criteria.

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



Sec. 51.81  Distribution of draft environmental impact statement.

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

            draft environmental impact statements--rulemaking



Sec. 51.85  Draft environmental impact statement--rulemaking.

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



Sec. 51.86  Distribution of draft environmental impact statement.

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

 legislative environmental impact statements--proposals for legislation



Sec. 51.88  Proposals for legislation.

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

       final environmental impact statements--general requirements



Sec. 51.90  Final environmental impact statement--general.

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



Sec. 51.91  Final environmental impact statement--contents.

    (a)(1) The final environmental impact statement will include 
responses to any comments on the draft environmental impact statement or 
on any supplement to the draft environmental impact statement. Responses 
to comments may include:
    (i) Modification of alternatives, including the proposed action;
    (ii) Development and evaluation of alternatives not previously given 
serious consideration;
    (iii) Supplementation or modification of analyses;
    (iv) Factual corrections;
    (v) Explanation of why comments do not warrant further response, 
citing sources, authorities or reasons which support this conclusion.
    (2) All substantive comments received on the draft environmental 
impact statement or any supplement to the draft environmental impact 
statement (or summaries thereof where the response has been 
exceptionally voluminous) will be attached to the final statement, 
whether or not each comment is discussed individually in the text of the 
statement.
    (3) If changes in the draft environmental impact statement in 
response to comments are minor and are confined either to factual 
corrections or to explanations of why the comments do not warrant 
further response, the changes may be made by attaching errata sheets to 
the draft statement. The entire document with a new cover may then be 
issued as the final environmental impact statement.

[[Page 44]]

    (b) The final environmental impact statement will discuss any 
relevant responsible opposing view not adequately discussed in the draft 
environmental impact statement or in any supplement to the draft 
environmental impact statement, and respond to the issues raised.
    (c) The final environmental impact statement will state how the 
alternatives considered in it and decisions based on it will or will not 
achieve the requirements of sections 101 and 102(1) of NEPA and of any 
other relevant and applicable environmental laws and policies.
    (d) The final environmental impact statement will include a final 
analysis and a final recommendation on the action to be taken.



Sec. 51.92  Supplement to the final environmental impact statement.

    (a) If the proposed action has not been taken, the NRC staff will 
prepare a supplement to a final environmental impact statement for which 
a notice of availability has been published in the Federal Register as 
provided in Sec. 51.118, if:
    (1) There are substantial changes in the proposed action that are 
relevant to environmental concerns; or
    (2) There are new and significant circumstances or information 
relevant to environmental concerns and bearing on the proposed action or 
its impacts.
    (b) In a proceeding for a combined license application under 10 CFR 
part 52 referencing an early site permit under part 52, the NRC staff 
shall prepare a supplement to the final environmental impact statement 
for the referenced early site permit in accordance with paragraph (e) of 
this section.
    (c) 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.
    (d) 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.
    (e) The supplement to an early site permit final environmental 
impact statement which is prepared for a combined license application in 
accordance with Sec. 51.75(c)(1) and paragraph (b) of this section 
must:
    (1) Identify the proposed action as the issuance of a combined 
license for the construction and operation of a nuclear power plant as 
described in the combined license application at the site described in 
the early site permit referenced in the combined license application;
    (2) Incorporate by reference the final environmental impact 
statement prepared for the early site permit;
    (3) Contain no separate discussion of alternative sites;
    (4) Include an analysis of the economic, technical, and other 
benefits and costs of the proposed action, to the extent that the final 
environmental impact statement prepared for the early site permit did 
not include an assessment of these benefits and costs;
    (5) Include an analysis of other energy alternatives, to the extent 
that the final environmental impact statement prepared for the early 
site permit did not include an assessment of energy alternatives;
    (6) Include an analysis of any environmental issue related to the 
impacts of construction or operation of the facility that was not 
resolved in the proceeding on the early site permit; and
    (7) Include an analysis of the issues related to the impacts of 
construction and operation of the facility that were resolved in the 
early site permit proceeding for which new and significant information 
has been identified, including, but not limited to, new and significant 
information demonstrating that the design of the facility falls outside 
the site characteristics and design parameters specified in the early 
site permit.
    (f)(1) A supplement to a final environmental impact statement will 
be accompanied by or will include a request for comments as provided in 
Sec. 51.73 and a notice of availability will be published in the 
Federal Register as provided in Sec. 51.117 if paragraphs (a) or (b) of 
this section applies.
    (2) If comments are not requested, a notice of availability of a 
supplement

[[Page 45]]

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

[72 FR 49515, Aug. 28, 2007]



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

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



Sec. 51.94  Requirement to consider final environmental impact statement.

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

   final environmental impact statements--production and utilization 
                               facilities



Sec. 51.95  Postconstruction environmental impact statements.

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

[[Page 46]]

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, or of alternative sites, or of any aspect of the storage 
of spent fuel for the nuclear power plant within the scope of the 
generic determination in Sec. 51.23(a) and in accordance with Sec. 
51.23(b), and will only be prepared in connection with the first 
licensing action authorizing full-power operation.
    (c) Operating license renewal stage. In connection with the renewal 
of an operating license or combined license for a nuclear power plant 
under parts 52 or 54 of this chapter, the Commission shall prepare an 
environmental impact statement, 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, 11555 Rockville Pike, Rockville, Maryland.
    (1) The supplemental environmental impact statement for the 
operating license renewal stage shall address those issues as required 
by Sec. 51.71. In addition, the NRC staff must comply with 40 CFR 
1506.6(b)(3) in conducting the additional scoping process as required by 
Sec. 51.71(a).
    (2) The supplemental environmental impact statement for license 
renewal is not required to include discussion of need for power or the 
economic costs and economic benefits of the proposed action or of 
alternatives to the proposed action except insofar as such benefits and 
costs are either essential for a determination regarding the inclusion 
of an alternative in the range of alternatives considered or relevant to 
mitigation. In addition, the supplemental environmental impact statement 
prepared at the license renewal stage need not discuss other issues not 
related to the environmental effects of the proposed action and the 
alternatives, or any aspect of the storage of spent fuel for the 
facility within the scope of the generic determination in Sec. 51.23(a) 
and in accordance with Sec. 51.23(b). The analysis of alternatives in 
the supplemental environmental impact statement should be limited to the 
environmental impacts of such alternatives and should otherwise be 
prepared in accordance with Sec. 51.71 and appendix A to subpart A of 
this part.
    (3) The supplemental environmental impact statement shall be issued 
as a final impact statement in accordance with Sec. Sec. 51.91 and 
51.93 after considering any significant new information relevant to the 
proposed action contained in the supplement or incorporated by 
reference.
    (4) The supplemental environmental impact statement must contain the 
NRC staff's recommendation regarding the environmental acceptability of 
the license renewal action. In order to make its recommendation and 
final conclusion on the proposed action, the NRC staff, adjudicatory 
officers, and Commission shall integrate the conclusions, as amplified 
by the supporting information in the generic environmental impact 
statement for issues designated Category 1 (with the exception of 
offsite radiological impacts for collective effects and the disposal of 
spent fuel and high level waste) or resolved Category 2,information 
developed for those open Category 2 issues applicable to the plant in 
accordance with Sec. 51.53(c)(3)(ii), and any significant new 
information. Given this information, the NRC staff, adjudicatory 
officers, and Commission shall determine whether or not the adverse 
environmental impacts of license renewal are so great that preserving 
the option of license renewal for energy planning decisionmakers would 
be unreasonable.
    (d) Postoperating license stage. In connection with the amendment of 
an operating or combined license authorizing decommissioning activities 
at a production or utilization facility covered by Sec. 51.20, either 
for unrestricted use or based on continuing use restrictions applicable 
to the site, or with the issuance, amendment or renewal of a license to 
store spent fuel at a nuclear power reactor after expiration of the 
operating or combined license for the nuclear power reactor, the NRC 
staff will prepare a supplemental environmental impact statement for the 
post operating or post combined license stage or an environmental 
assessment, as appropriate, which will update the prior environmental 
documentation prepared by the NRC for compliance

[[Page 47]]

with NEPA under the provisions of this part. The supplement or 
assessment may incorporate by reference any information contained in the 
final environmental impact statement--for the operating or combined 
license stage, as appropriate, or in the records of decision prepared in 
connection with the early site permit, construction permit, operating 
license, or combined license for that facility. The supplement will 
include a request for comments as provided in Sec. 51.73. Unless 
otherwise required by the Commission in accordance with the generic 
determination in Sec. 51.23(a) and the provisions of Sec. 51.23(b), a 
supplemental environmental impact statement for the postoperating or 
post combined license stage or an environmental assessment, as 
appropriate, will address the environmental impacts of spent fuel 
storage only for the term of the license, license amendment or license 
renewal applied for.

[61 FR 66545, Dec. 18, 1996, as amended at 72 FR 49516, Aug. 28, 2007]

        final environmental impact statements--materials licenses



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

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

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

            final environmental impact statements--rulemaking



Sec. 51.99  [Reserved]

                NEPA Procedure and Administrative Action

                                 general



Sec. 51.100  Timing of Commission action.

    (a)(1) Except as provided in Sec. 51.13 and paragraph (b) of this 
section, no decision on a proposed action, including the issuance of a 
permit, license, or other form of permission, or amendment to or renewal 
of a permit, license, or other form of permission, or the issuance of an 
effective regulation, for which an environmental impact statement is 
required, will be made and no record of decision will be issued until 
the later of the following dates:
    (i) Ninety (90) days after publication by the Environmental 
Protection Agency of a Federal Register notice stating that the draft 
environmental impact statement has been filed with EPA.
    (ii) Thirty (30) days after publication by the Environmental 
Protection Agency of a Federal Register notice stating that the final 
environmental impact statement has been filed with EPA.
    (2) If a notice of filing of a final environmental impact statement 
is published by the Environmental Protection Agency within ninety (90) 
days after a notice of filing of a draft environmental impact statement 
has been published by EPA, the minimum thirty

[[Page 48]]

(30) day period and the minimum ninety (90) day period may run 
concurrently to the extent they overlap.
    (b) In any rulemaking proceeding for the purpose of protecting the 
public health or safety or the common defense and security, the 
Commission may make and publish the decision on the final rule at the 
same time that the Environmental Protection Agency publishes the Federal 
Register notice of filing of the final environmental impact statement.



Sec. 51.101  Limitations on actions.

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

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



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

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



Sec. 51.103  Record of decision--general.

    (a) The record of decision required by Sec. 51.102 shall be clearly 
identified and shall:
    (1) State the decision.
    (2) Identify all alternatives considered by the Commission in 
reaching the decision, state that these alternatives were included in 
the range of

[[Page 49]]

alternatives discussed in the environmental impact statement, and 
specify the alternative or alternatives which were considered to be 
environmentally preferable.
    (3) Discuss preferences among alternatives based on relevant 
factors, including economic and technical considerations where 
appropriate, the NRC's statutory mission, and any essential 
considerations of national policy, which were balanced by the Commission 
in making the decision and state how these considerations entered into 
the decision.
    (4) State whether the Commission has taken all practicable measures 
within its jurisdiction to avoid or minimize environmental harm from the 
alternative selected, and if not, to explain why those measures were not 
adopted. Summarize any license conditions and monitoring programs 
adopted in connection with mitigation measures.
    (5) In making a final decision on a license renewal action pursuant 
to part 54 of this chapter, the Commission shall determine whether or 
not the adverse environmental impacts of license renewal are so great 
that preserving the option of license renewal for energy planning 
decisionmakers would be unreasonable.
    (6) In a construction permit or a combined license proceeding where 
a limited work authorization under 10 CFR 50.10 was issued, the 
Commission's decision on the construction permit or combined license 
application will not address or consider the sunk costs associated with 
the limited work authorization in determining the proposed action.
    (b) The record of decision may be integrated into any other record 
prepared by the Commission in connection with the action.
    (c) The record of decision may incorporate by reference material 
contained in a final environmental impact statement.

[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28490, June 5, 1996; 61 
FR 66546, Dec. 18, 1996; 61 FR 68543, Dec. 30, 1996; 72 FR 57445, Oct. 
9, 2007]



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

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

[[Page 50]]

work authorization or in accordance with the terms of any notice of 
hearing applicable to the limited work authorization. In the proceeding, 
the presiding officer will decide all matters in controversy among the 
parties.

[49 FR 9381, Mar. 12, 1984, as amended at 72 FR 57445, Oct. 9, 2007]

                  production and utilization facilities



Sec. 51.105  Public hearings in proceedings for issuance of construction permits or early site permits; limited work authorizations.

    (a) In addition to complying with applicable requirements of Sec. 
51.104, in a proceeding for the issuance of a construction permit or 
early site permit for a nuclear power reactor, testing facility, fuel 
reprocessing plant or isotopic enrichment plant, the presiding officer 
will:
    (1) Determine whether the requirements of Sections 102(2) (A), (C), 
and (E) of NEPA and the regulations in this subpart have been met;
    (2) Independently consider the final balance among conflicting 
factors contained in the record of the proceeding with a view to 
determining the appropriate action to be taken;
    (3) Determine, after weighing the environmental, economic, 
technical, and other benefits against environmental and other costs, and 
considering reasonable alternatives, whether the construction permit or 
early site permit should be issued, denied, or appropriately conditioned 
to protect environmental values;
    (4) Determine, in an uncontested proceeding, whether the NEPA review 
conducted by the NRC staff has been adequate; and
    (5) Determine, in a contested proceeding, whether in accordance with 
the regulations in this subpart, the construction permit or early site 
permit should be issued as proposed by the NRC's Director of New 
Reactors or Director of Nuclear Reactor Regulation.
    (b) The presiding officer in an early site permit hearing shall not 
admit contentions proffered by any party concerning the benefits 
assessment (e.g., need for power) or alternative energy sources if those 
issues were not addressed by the applicant in the early site permit 
application.
    (c)(1) In addition to complying with the applicable provisions of 
Sec. 51.104, in any proceeding for the issuance of a construction 
permit for a nuclear power plant or an early site permit under part 52 
of this chapter, where the applicant requests a limited work 
authorization under Sec. 50.10(d) of this chapter, the presiding 
officer shall--
    (i) Determine whether the requirements of Section 102(2)(A), (C), 
and (E) of NEPA and the regulations in the subpart have been met, with 
respect to the activities to be conducted under the limited work 
authorization;
    (ii) Independently consider the balance among conflicting factors 
with respect to the limited work authorization which is contained in the 
record of the proceeding, with a view to determining the appropriate 
action to be taken;
    (iii) Determine whether the redress plan will adequately redress the 
activities performed under the limited work authorization, should 
limited work activities be terminated by the holder or the limited work 
authorization be revoked by the NRC, or upon effectiveness of the 
Commission's final decision denying the associated construction permit 
or early site permit, as applicable;
    (iv) In an uncontested proceeding, determine whether the NEPA review 
conducted by the NRC staff for the limited work authorization has been 
adequate; and
    (v) In a contested proceeding, determine whether, in accordance with 
the regulations in this subpart, the limited work authorization should 
be issued as proposed.
    (2) If the limited work authorization is for activities to be 
conducted at a site for which the Commission has previously prepared an 
environmental impact statement for the construction and operation of a 
nuclear power plant, and a construction permit was issued but 
construction of the plant was never completed, then in making the 
determinations in paragraph (c)(1) of this section, the presiding 
officer shall be limited to a consideration whether there is, with 
respect to construction

[[Page 51]]

activities encompassed by the environmental impact statement which are 
analogous to the activities to be conducted under the limited work 
authorization, new and significant information on the environmental 
impacts of those activities, such that the limited work authorization 
should not be issued as proposed.
    (3) The presiding officer's determination in this paragraph shall be 
made in a partial initial decision to be issued separately from, and in 
advance of, the presiding officer's decision in paragraph (a) of this 
section.

[72 FR 49516, Aug. 28, 2007, as amended at 72 FR 57446, Oct. 9, 2007]



Sec. 51.105a  Public hearings in proceedings for issuance of manufacturing licenses.

    In addition to complying with applicable requirements of Sec. 
51.31(c), in a proceeding for the issuance of a manufacturing license, 
the presiding officer will determine whether, in accordance with the 
regulations in this subpart, the manufacturing license should be issued 
as proposed by the NRC's Director of New Reactors or Director of Nuclear 
Reactor Regulation.

[72 FR 49516, Aug. 28, 2007]



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

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



Sec. 51.107  Public hearings in proceedings for issuance of combined licenses; limited work authorizations.

    (a) In addition to complying with the applicable requirements of 
Sec. 51.104, in a proceeding for the issuance of a combined license for 
a nuclear power reactor under part 52 of this chapter, the presiding 
officer will:
    (1) Determine whether the requirements of Sections 102(2) (A), (C), 
and (E) of NEPA and the regulations in this subpart have been met;
    (2) Independently consider the final balance among conflicting 
factors contained in the record of the proceeding with a view to 
determining the appropriate action to be taken;
    (3) Determine, after weighing the environmental, economic, 
technical, and other benefits against environmental and other costs, and 
considering reasonable alternatives, whether the combined license should 
be issued, denied, or appropriately conditioned to protect environmental 
values;
    (4) Determine, in an uncontested proceeding, whether the NEPA review 
conducted by the NRC staff has been adequate; and
    (5) Determine, in a contested proceeding, whether in accordance with 
the regulations in this subpart, the combined license should be issued 
as proposed by the NRC's Director of New Reactors or Director of Nuclear 
Reactor Regulation.
    (b) If a combined license application references an early site 
permit, then the presiding officer in the combined license hearing shall 
not admit any contention proffered by any party on environmental issues 
which have been accorded finality under Sec. 52.39 of this chapter, 
unless the contention:

[[Page 52]]

    (1) Demonstrates that the nuclear power reactor proposed to be built 
does not fit within one or more of the site characteristics or design 
parameters included in the early site permit;
    (2) Raises any significant environmental issue that was not resolved 
in the early site permit proceeding; or
    (3) Raises any issue involving the impacts of construction and 
operation of the facility that was resolved in the early site permit 
proceeding for which new and significant information has been 
identified.
    (c) If the combined license application references a standard design 
certification, or proposes to use a manufactured reactor, then the 
presiding officer in a combined license hearing shall not admit 
contentions proffered by any party concerning severe accident mitigation 
design alternatives unless the contention demonstrates that the site 
characteristics fall outside of the site parameters in the standard 
design certification or underlying manufacturing license for the 
manufactured reactor.
    (d)(1) In any proceeding for the issuance of a combined license 
where the applicant requests a limited work authorization under Sec. 
50.10(d) of this chapter, the presiding officer, in addition to 
complying with any applicable provision of Sec. 51.104, shall:
    (i) Determine whether the requirements of Section 102(2)(A), (C), 
and (E) of NEPA and the regulations in this subpart have been met, with 
respect to the activities to be conducted under the limited work 
authorization;
    (ii) Independently consider the balance among conflicting factors 
with respect to the limited work authorization which is contained in the 
record of the proceeding, with a view to determining the appropriate 
action to be taken;
    (iii) Determine whether the redress plan will adequately redress the 
activities performed under the limited work authorization, should 
limited work activities be terminated by the holder or the limited work 
authorization be revoked by the NRC, or upon effectiveness of the 
Commission's final decision denying the combined license application;
    (iv) In an uncontested proceeding, determine whether the NEPA review 
conducted by the NRC staff for the limited work authorization has been 
adequate; and
    (v) In a contested proceeding, determine whether, in accordance with 
the regulations in this subpart, the limited work authorization should 
be issued as proposed by the Director of New Reactors or the Director of 
Nuclear Reactor Regulation, as applicable.
    (2) If the limited work authorization is for activities to be 
conducted at a site for which the Commission has previously prepared an 
environmental impact statement for the construction and operation of a 
nuclear power plant, and a construction permit was issued but 
construction of the plant was never completed, then in making the 
determinations in paragraph (c)(1) of this section, the presiding 
officer shall be limited to a consideration whether there is, with 
respect to construction activities encompassed by the environmental 
impact statement which are analogous to the activities to be conducted 
under the limited work authorization, new and significant information on 
the environmental impacts of those activities, so that the limited work 
authorization should not be issued as proposed by the Director of New 
Reactors or the Director of Nuclear Reactor Regulation, as applicable.
    (3) In making the determination required by this section, the 
presiding officer may not address or consider the sunk costs associated 
with the limited work authorization.
    (4) The presiding officer's determination in this paragraph shall be 
made in a partial initial decision to be issued separately from, and in 
advance of, the presiding officer's decision in paragraph (a) of this 
section on the combined license.

[72 FR 49517, Aug. 28, 2007, as amended at 72 FR 57446, Oct. 9, 2007]



Sec. 51.108  Public hearings on Commission findings that inspections, tests, analyses, and acceptance criteria of combined licenses are met.

    In any public hearing requested under 10 CFR 52.103(b), the 
Commission

[[Page 53]]

will not admit any contentions on environmental issues, the adequacy of 
the environmental impact statement for the combined license issued under 
subpart C of part 52, or the adequacy of any other environmental impact 
statement or environmental assessment referenced in the combined license 
application. The Commission will not make any environmental findings in 
connection with the finding under 10 CFR 52.103(g).

[72 FR 49517, Aug. 28, 2007]

                           materials licenses



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

    (a)(1) In a proceeding for issuance of a construction authorization 
for a high-level radioactive waste repository at a geologic repository 
operations area under parts 60 and 63 of this chapter, and in a 
proceeding for issuance of a license to receive and possess source, 
special nuclear, and byproduct material at a geologic repository 
operations area under parts 60 and 63 of this chapter, the NRC staff 
shall, upon the publication of the notice of hearing in the Federal 
Register, present its position on whether it is practicable to adopt, 
without further supplementation, the environmental impact statement 
(including any supplement thereto) prepared by the Secretary of Energy. 
If the position of the staff is that supplementation of the 
environmental impact statement by NRC is required, it shall file its 
final supplemental environmental impact statement with the Environmental 
Protection Agency, furnish that statement to commenting agencies, and 
make it available to the public, before presenting its position, or as 
soon thereafter as may be practicable. In discharging its 
responsibilities under this paragraph, the staff shall be guided by the 
principles set forth in paragraphs (c) and (d) of this section.
    (2) Any other party to the proceeding who contends that it is not 
practicable to adopt the DOE environmental impact statement, as it may 
have been supplemented, shall file a contention to that effect within 
thirty (30) days after the publication of the notice of hearing in the 
Federal Register. Such contention must be accompanied by one or more 
affidavits which set forth factual and/or technical bases for the claim 
that, under the principles set forth in paragraphs (c) and (d) of this 
section, it is not practicable to adopt the DOE environmental impact 
statement, as it may have been supplemented. The presiding officer shall 
resolve disputes concerning adoption of the DOE environmental impact 
statement by using, to the extent possible, the criteria and procedures 
that are followed in ruling on motions to reopen under Sec. 2.326 of 
this chapter.
    (b) In any such proceeding, the presiding officer will determine 
those matters in controversy among the parties within the scope of NEPA 
and this subpart, specifically including whether, and to what extent, it 
is practicable to adopt the environmental impact statement prepared by 
the Secretary of Energy in connection with the issuance of a 
construction authorization and license for such repository.
    (c) The presiding officer will find that it is practicable to adopt 
any environmental impact statement prepared by the Secretary of Energy 
in connection with a geologic repository proposed to be constructed 
under Title I of the Nuclear Waste Policy Act of 1982, as amended, 
unless:
    (1)(i) The action proposed to be taken by the Commission differs 
from the action proposed in the license application submitted by the 
Secretary of Energy; and
    (ii) The difference may significantly affect the quality of the 
human environment; or
    (2) Significant and substantial new information or new 
considerations render such environmental impact statement inadequate.
    (d) To the extent that the presiding officer determines it to be 
practicable, in accordance with paragraph (c) of this section, to adopt 
the environmental impact statement prepared by the Secretary of Energy, 
such adoption shall be deemed to satisfy all responsibilities of the 
Commission under NEPA and no further consideration under NEPA or this 
subpart shall be required.

[[Page 54]]

    (e) To the extent that it is not practicable, in accordance with 
paragraph (c) of this section, to adopt the environmental impact 
statement prepared by the Secretary of Energy, the presiding officer 
will:
    (1) Determine whether the requirements of section 102(2) (A), (C), 
and (E) of NEPA and the regulations in this subpart have been met;
    (2) Independently consider the final balance among conflicting 
factors contained in the record of the proceeding with a view to 
determining the appropriate action to be taken;
    (3) Determine, after weighing the environmental, economic, technical 
and other benefits against environmental and other costs, whether the 
construction authorization or license should be issued, denied, or 
appropriately conditioned to protect environmental values;
    (4) Determine, in an uncontested proceeding, whether the NEPA review 
conducted by the NRC staff has been adequate; and
    (5) Determine, in a contested proceeding, whether in accordance with 
the regulations in this subpart, the construction authorization or 
license should be issued as proposed.
    (f) In making the determinations described in paragraph (e), the 
environmental impact statement will be deemed modified to the extent 
that findings and conclusions differ from those in the final statement 
prepared by the Secretary of Energy, as it may have been supplemented. 
The initial decision will be distributed to any persons not otherwise 
entitled to receive it who responded to the request in the notice of 
docketing, as described in Sec. 51.26(c). If the Commission or the 
Atomic Safety and Licensing Appeal Board reaches conclusions different 
from those of the presiding officer with respect to such matters, the 
final environmental impact statement will be deemed modified to that 
extent and the decision will be similarly distributed.
    (g) The provisions of this section shall be followed, in place of 
those set out in Sec. 51.104, in any proceedings for the issuance of a 
license to receive and possess source, special nuclear, and byproduct 
material at a geologic repository operations area.

[54 FR 27870, July 3, 1989, as amended at 69 FR 2276, Jan. 14, 2004]

                               rulemaking



Sec. 51.110  [Reserved]

         Public Notice of and Access to Environmental Documents



Sec. 51.116  Notice of intent.

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



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

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

[[Page 55]]

clearinghouses, and to interested persons upon request.



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

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

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



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

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



Sec. 51.120  Availability of environmental documents for public inspection.

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

[64 FR 48952, Sept. 9, 1999]



Sec. 51.121  Status of NEPA actions.

    Individuals or organizations desiring information on the NRC's NEPA 
process or on the status of specific NEPA actions should address 
inquiries to:
    (a) Utilization facilities: ATTN: Document Control Desk, Director, 
Office of Nuclear Reactor Regulation, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555-0001, telephone (301) 415-1270, e-mail 
RidsNrrOd@nrc.gov.
    (b) Production facilities: ATTN: Document Control Desk, Director, 
Office of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555-0001, telephone (301) 415-
7800, e-mail RidsNmssOd@nrc.gov.
    (c) Materials licenses: ATTN: Document Control Desk, Director, 
Office of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555-0001, telephone (301) 415-
7800, e-mail RidsNmssOd@nrc.gov.
    (d) Rulemaking: ATTN: Chief, Rules and Directives Branch, Office of 
Administration, U.S. Nuclear Regulatory Commission, Washington, DC 
20555-0001, telephone (800) 368-5642, e-mail NRCREP@nrc.gov.
    (e) General environmental matters: Executive Director for 
Operations, U.S. Nuclear Regulatory Commission,

[[Page 56]]

Washington, DC 20555, Telephone: (301) 415-1700.

[53 FR 13399, Apr. 25, 1988, as amended at 60 FR 24552, May 9, 1995; 68 
FR 58811, Oct. 10, 2003]



Sec. 51.122  List of interested organizations and groups.

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

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



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

    (a) Distribution to public. Upon written request to the Office of 
Information Services, U.S. Nuclear Regulatory Commission, Washington, DC 
20555-0001, e-mail DISTRIBUTION@nrc.gov, 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 Sec. Sec. 51.93(a) and 
51.119(c), respectively. When more than one copy of an environmental 
impact statement or a finding of no significant impact is requested or 
when available NRC copies have been exhausted, the requestor will be 
advised that the NRC will provide copies at the charges specified in 
Sec. 9.35 of this chapter.
    (b) Distribution to governmental agencies. Upon written request to 
the Office of Information Services, U.S. Nuclear Regulatory Commission, 
Washington, DC 20555-0001, e-mail DISTRIBUTION@nrc.gov, and to the 
extent available, copies of draft and final environmental impact 
statements and draft final findings of no significant impact will be 
made available in the number requested to Federal, State and local 
agencies, Indian Tribes, and State, regional, and metropolitan 
clearinghouses. When available NRC copies have been exhausted, the 
requester will be advised that the NRC will provide copies at the 
charges specified in Sec. 9.35 of this chapter.
    (c) Charges. Charges for the reproduction of environmental documents 
by the NRC at locations other than the NRC Public Document Room located 
in Washington, DC vary according to location.

[50 FR 21037, May 22, 1985, as amended at 52 FR 31612, Aug. 21, 1987; 53 
FR 43421, Oct. 27, 1988; 61 FR 9902, Mar. 12, 1996; 64 FR 48952, Sept. 
9, 1999; 68 FR 58812, Oct. 10, 2003]

                               Commenting



Sec. 51.124  Commission duty to comment.

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

                          Responsible Official



Sec. 51.125  Responsible official.

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



  Sec. Appendix A to Subpart A of Part 51--Format for Presentation of 
               Material in Environmental Impact Statements

1. General
2. Cover sheet
3. Summary
4. Purpose of and need for action
5. Alternatives including the proposed action
6. Affected environment

[[Page 57]]

7. Environmental consequences and mitigating actions
8. List of preparers
9. Appendices

                               1. General.

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

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

                             2. Cover sheet.

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

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

                               3. Summary.

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

                   4. Purpose of and need for action.

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

[[Page 58]]

             5. Alternatives including the proposed action.

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

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

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

                        6. Affected environment.

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

          7. Environmental consequences and mitigating actions.

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

                          8. List of preparers.

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

                             9. Appendices.

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

                         Discussion of Footnotes

                               1. Tiering.

    40 CFR 1502.20 states:
    ``Agencies are encouraged to tier their environmental impact 
statements to eliminate repetitive discussions of the same issues and to 
focus on the actual issues ripe for decision at each level of 
environmental review (Sec. 1508.28). Whenever a broad environmental 
impact statement has been prepared (such as a program or policy 
statement) and a subsequent statement or environmental assessment is 
then prepared on an action included within the entire program or policy 
(such as a site specific action) the subsequent statement or 
environmental assessment need only summarize the issues discussed in the 
broader statement and incorporate discussions from the broader statement 
by reference and

[[Page 59]]

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

                              2. Adoption.

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

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



    Sec. Appendix B to Subpart A of Part 51--Environmental Effect of 
         Renewing the Operating License of a Nuclear Power Plant

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

[[Page 60]]



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

[[Page 61]]

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

[[Page 62]]

 
Ground-water use conflicts (Ranney wells)..            2  SMALL, MODERATE, OR LARGE. Ranney wells can result in
                                                           potential ground-water depression beyond the site
                                                           boundary. Impacts of large ground-water withdrawal
                                                           for cooling tower makeup at nuclear power plants
                                                           using Ranney wells must be evaluated at the time of
                                                           application for license renewal. See Sec.
                                                           51.53(c)(3)(ii)(C).
Ground-water quality degradation (Ranney               1  SMALL. Ground-water quality at river sites may be
 wells).                                                   degraded by induced infiltration of poor-quality
                                                           river water into an aquifer that supplies large
                                                           quantities of reactor cooling water. However, the
                                                           lower quality infiltrating water would not preclude
                                                           the current uses of ground water and is not expected
                                                           to be a problem during the license renewal term.
Ground-water quality degradation (saltwater            1  SMALL. Nuclear power plants do not contribute
 intrusion).                                               significantly to saltwater intrusion.
Ground-water quality degradation (cooling              1  SMALL. Sites with closed-cycle cooling ponds may
 ponds in salt marshes).                                   degrade ground-water quality. Because water in salt
                                                           marshes is brackish, this is not a concern for plants
                                                           located in salt marshes.
Ground-water quality degradation (cooling              2  SMALL, MODERATE, OR LARGE. Sites with closed-cycle
 ponds at inland sites).                                   cooling ponds may degrade ground-water quality. For
                                                           plants located inland, the quality of the ground
                                                           water in the vicinity of the ponds must be shown to
                                                           be adequate to allow continuation of current uses.
                                                           See Sec.  51.53(c)(3)(ii)(D).
----------------------------------------------------------------------------------------------------------------
                                              Terrestrial Resources
----------------------------------------------------------------------------------------------------------------
Refurbishment impacts......................            2  SMALL, MODERATE, OR LARGE. Refurbishment impacts are
                                                           insignificant if no loss of important plant and
                                                           animal habitat occurs. However, it cannot be known
                                                           whether important plant and animal communities may be
                                                           affected until the specific proposal is presented
                                                           with the license renewal application. See Sec.
                                                           51.53(c)(3)(ii)(E).
Cooling tower impacts on crops and                     1  SMALL. Impacts from salt drift, icing, fogging, or
 ornamental vegetation.                                    increased humidity associated with cooling tower
                                                           operation have not been found to be a problem at
                                                           operating nuclear power plants and are not expected
                                                           to be a problem during the license renewal term.
Cooling tower impacts on native plants.....            1  SMALL. Impacts from salt drift, icing, fogging, or
                                                           increased humidity associated with cooling tower
                                                           operation have not been found to be a problem at
                                                           operating nuclear power plants and are not expected
                                                           to be a problem during the license renewal term.
Bird collisions with cooling towers........            1  SMALL. These collisions have not been found to be a
                                                           problem at operating nuclear power plants and are not
                                                           expected to be a problem during the license renewal
                                                           term.
Cooling pond impacts on terrestrial                    1  SMALL. Impacts of cooling ponds on terrestrial
 resources.                                                ecological resources are considered to be of small
                                                           significance at all sites.
Power line right-of-way management (cutting            1  SMALL. The impacts of right-of-way maintenance on
 and herbicide application).                               wildlife are expected to be of small significance at
                                                           all sites.
Bird collision with power lines............            1  SMALL. Impacts are expected to be of small
                                                           significance at all sites.
Impacts of electromagnetic fields on flora             1  SMALL. No significant impacts of electromagnetic
 and fauna (plants, agricultural crops,                    fields on terrestrial flora and fauna have been
 honeybees, wildlife, livestock).                          identified. Such effects are not expected to be a
                                                           problem during the license renewal term.
Floodplains and wetland on power line right            1  SMALL. Periodic vegetation control is necessary in
 of way.                                                   forested wetlands underneath power lines and can be
                                                           achieved with minimal damage to the wetland. No
                                                           significant impact is expected at any nuclear power
                                                           plant during the license renewal term.
----------------------------------------------------------------------------------------------------------------
                                Threatened or Endangered Species (for all plants)
----------------------------------------------------------------------------------------------------------------
Threatened or endangered species...........            2  SMALL, MODERATE, OR LARGE. Generally, plant
                                                           refurbishment and continued operation are not
                                                           expected to adversely affect threatened or endangered
                                                           species. However, consultation with appropriate
                                                           agencies would be needed at the time of license
                                                           renewal to determine whether threatened or endangered
                                                           species are present and whether they would be
                                                           adversely affected. See Sec.  51.53(c)(3)(ii)(E).
----------------------------------------------------------------------------------------------------------------
                                                   Air Quality
----------------------------------------------------------------------------------------------------------------
Air quality during refurbishment (non-                 2  SMALL, MODERATE, OR LARGE. Air quality impacts from
 attainment and maintenance areas).                        plant refurbishment associated with license renewal
                                                           are expected to be small. However, vehicle exhaust
                                                           emissions could be cause for concern at locations in
                                                           or near nonattainment or maintenance areas. The
                                                           significance of the potential impact cannot be
                                                           determined without considering the compliance status
                                                           of each site and the numbers of workers expected to
                                                           be employed during the outage. See Sec.
                                                           51.53(c)(3)(ii)(F).

[[Page 63]]

 
Air quality effects of transmission lines..            1  SMALL. Production of ozone and oxides of nitrogen is
                                                           insignificant and does not contribute measurably to
                                                           ambient levels of these gases.
----------------------------------------------------------------------------------------------------------------
                                                    Land Use
----------------------------------------------------------------------------------------------------------------
Onsite land use............................            1  SMALL. Projected onsite land use changes required
                                                           during refurbishment and the renewal period would be
                                                           a small fraction of any nuclear power plant site and
                                                           would involve land that is controlled by the
                                                           applicant.
Power line right of way....................            1  SMALL. Ongoing use of power line right of ways would
                                                           continue with no change in restrictions. The effects
                                                           of these restrictions are of small significance.
----------------------------------------------------------------------------------------------------------------
                                                  Human Health
----------------------------------------------------------------------------------------------------------------
Radiation exposures to the public during               1  SMALL. During refurbishment, the gaseous effluents
 refurbishment.                                            would result in doses that are similar to those from
                                                           current operation. Applicable regulatory dose limits
                                                           to the public are not expected to be exceeded.
Occupational radiation exposures during                1  SMALL. Occupational doses from refurbishment are
 refurbishment.                                            expected to be within the range of annual average
                                                           collective doses experienced for pressurized-water
                                                           reactors and boiling-water reactors. Occupational
                                                           mortality risk from all causes including radiation is
                                                           in the mid-range for industrial settings.
Microbiological organisms (occupational                1  SMALL. Occupational health impacts are expected to be
 health).                                                  controlled by continued application of accepted
                                                           industrial hygiene practices to minimize worker
                                                           exposures.
Microbiological organisms (public                      2  SMALL, MODERATE, OR LARGE. These organisms are not
 health)(plants using lakes or canals, or                  expected to be a problem at most operating plants
 cooling towers or cooling ponds that                      except possibly at plants using cooling ponds, lakes,
 discharge to a small river).                              or canals that discharge to small rivers. Without
                                                           site-specific data, it is not possible to predict the
                                                           effects generically. See Sec.  51.53(c)(3)(ii)(G).
Noise......................................            1  SMALL. Noise has not been found to be a problem at
                                                           operating plants and is not expected to be a problem
                                                           at any plant during the license renewal term.
Electromagnetic fields, acute effects                  2  SMALL, MODERATE, OR LARGE. Electrical shock resulting
 (electric shock).                                         from direct access to energized conductors or from
                                                           induced charges in metallic structures have not been
                                                           found to be a problem at most operating plants and
                                                           generally are not expected to be a problem during the
                                                           license renewal term. However, site-specific review
                                                           is required to determine the significance of the
                                                           electric shock potential at the site. See Sec.
                                                           51.53(c)(3)(ii)(H).
Electromagnetic fields, chronic effects \5\       \4\ NA  UNCERTAIN. Biological and physical studies of 60-Hz
                                                           electromagnetic fields have not found consistent
                                                           evidence linking harmful effects with field
                                                           exposures. However, research is continuing in this
                                                           area and a consensus scientific view has not been
                                                           reached.\5\
Radiation exposures to public (license                 1  SMALL. Radiation doses to the public will continue at
 renewal term).                                            current levels associated with normal operations.
Occupational radiation exposures (license              1  SMALL. Projected maximum occupational doses during the
 renewal term).                                            license renewal term are within the range of doses
                                                           experienced during normal operations and normal
                                                           maintenance outages, and would be well below
                                                           regulatory limits.
----------------------------------------------------------------------------------------------------------------
                                                 Socioeconomics
----------------------------------------------------------------------------------------------------------------
Housing impacts............................            2  SMALL, MODERATE, OR LARGE. Housing impacts are
                                                           expected to be of small significance at plants
                                                           located in a medium or high population area and not
                                                           in an area where growth control measures that limit
                                                           housing development are in effect. Moderate or large
                                                           housing impacts of the workforce associated with
                                                           refurbishment may be associated with plants located
                                                           in sparsely populated areas or in areas with growth
                                                           control measures that limit housing development. See
                                                           Sec.  51.53(c)(3)(ii)(I).
Public services: public safety, social                 1  SMALL. Impacts to public safety, social services, and
 services, and tourism and recreation.                     tourism and recreation are expected to be of small
                                                           significance at all sites.
Public services: public utilities..........            2  SMALL OR MODERATE. An increased problem with water
                                                           shortages at some sites may lead to impacts of
                                                           moderate significance on public water supply
                                                           availability. See Sec.  51.53(c)(3)(ii)(I).
Public services, education (refurbishment).            2  SMALL, MODERATE, OR LARGE. Most sites would experience
                                                           impacts of small significance but larger impacts are
                                                           possible depending on site- and project-specific
                                                           factors. See Sec.  51.53(c)(3)(ii)(I).
Public services, education (license renewal            1  SMALL. Only impacts of small significance are
 term).                                                    expected.

[[Page 64]]

 
Offsite land use (refurbishment)...........            2  SMALL OR MODERATE. Impacts may be of moderate
                                                           significance at plants in low population areas. See
                                                           Sec.  51.53(c)(3)(ii)(I).
Offsite land use (license renewal term)....            2  SMALL, MODERATE, OR LARGE. Significant changes in land
                                                           use may be associated with population and tax revenue
                                                           changes resulting from license renewal. See Sec.
                                                           51.53(c)(3)(ii)(I).
Public services, Transportation............            2  SMALL, MODERATE, OR LARGE. Transportation impacts
                                                           (level of service) of highway traffic generated
                                                           during plant refurbishment and during the term of the
                                                           renewed license are generally expected to be of small
                                                           significance. However, the increase in traffic
                                                           associated with additional workers and the local road
                                                           and traffic control conditions may lead to impacts of
                                                           moderate or large significance at some sites. See
                                                           Sec.  51.53(c)(3)(ii)(J).
Historic and archaeological resources......            2  SMALL, MODERATE, OR LARGE. Generally, plant
                                                           refurbishment and continued operation are expected to
                                                           have no more than small adverse impacts on historic
                                                           and archaeological resources. However, the National
                                                           Historic Preservation Act requires the Federal agency
                                                           to consult with the State Historic Preservation
                                                           Officer to determine whether there are properties
                                                           present that require protection. See Sec.
                                                           51.53(c)(3)(ii)(K).
Aesthetic impacts (refurbishment)..........            1  SMALL. No significant impacts are expected during
                                                           refurbishment.
Aesthetic impacts (license renewal term)...            1  SMALL. No significant impacts are expected during the
                                                           license renewal term.
Aesthetic impacts of transmission lines                1  SMALL. No significant impacts are expected during the
 (license renewal term).                                   license renewal term.
----------------------------------------------------------------------------------------------------------------
                                              Postulated Accidents
----------------------------------------------------------------------------------------------------------------
Design basis accidents.....................            1  SMALL. The NRC staff has concluded that the
                                                           environmental impacts of design basis accidents are
                                                           of small significance for all plants.
Severe accidents...........................            2  SMALL. The probability weighted consequences of
                                                           atmospheric releases, fallout onto open bodies of
                                                           water, releases to ground water, and societal and
                                                           economic impacts from severe accidents are small for
                                                           all plants. However, alternatives to mitigate severe
                                                           accidents must be considered for all plants that have
                                                           not considered such alternatives. See Sec.
                                                           51.53(c)(3)(ii)(L).
----------------------------------------------------------------------------------------------------------------
                                     Uranium Fuel Cycle and Waste Management
----------------------------------------------------------------------------------------------------------------
Offsite radiological impacts (individual               1  SMALL. Off-site impacts of the uranium fuel cycle have
 effects from other than the disposal of                   been considered by the Commission in Table S-3 of
 spent fuel and high level waste).                         this part. Based on information in the GEIS, impacts
                                                           on individuals from radioactive gaseous and liquid
                                                           releases including radon-222 and technetium-99 are
                                                           small.
Offsite radiological impacts (collective               1  The 100 year environmental dose commitment to the U.S.
 effects).                                                 population from the fuel cycle, high level waste and
                                                           spent fuel disposal excepted, is calculated to be
                                                           about 14,800 person rem, or 12 cancer fatalities, for
                                                           each additional 20-year power reactor operating term.
                                                           Much of this, especially the contribution of radon
                                                           releases from mines and tailing piles, consists of
                                                           tiny doses summed over large populations. This same
                                                           dose calculation can theoretically be extended to
                                                           include many tiny doses over additional thousands of
                                                           years as well as doses outside the U. S. The result
                                                           of such a calculation would be thousands of cancer
                                                           fatalities from the fuel cycle, but this result
                                                           assumes that even tiny doses have some statistical
                                                           adverse health effect which will not ever be
                                                           mitigated (for example no cancer cure in the next
                                                           thousand years), and that these doses projected over
                                                           thousands of years are meaningful. However, these
                                                           assumptions are questionable. In particular, science
                                                           cannot rule out the possibility that there will be no
                                                           cancer fatalities from these tiny doses. For
                                                           perspective, the doses are very small fractions of
                                                           regulatory limits, and even smaller fractions of
                                                           natural background exposure to the same populations.
                                                          Nevertheless, despite all the uncertainty, some
                                                           judgement as to the regulatory NEPA implications of
                                                           these matters should be made and it makes no sense to
                                                           repeat the same judgement in every case. Even taking
                                                           the uncertainties into account, the Commission
                                                           concludes that these impacts are acceptable in that
                                                           these impacts would not be sufficiently large to
                                                           require the NEPA conclusion, for any plant, that the
                                                           option of extended operation under 10 CFR Part 54
                                                           should be eliminated. Accordingly, while the
                                                           Commission has not assigned a single level of
                                                           significance for the collective effects of the fuel
                                                           cycle, this issue is considered Category 1.

[[Page 65]]

 
Offsite radiological impacts (spent fuel               1  For the high level waste and spent fuel disposal
 and high level waste disposal).                           component of the fuel cycle, there are no current
                                                           regulatory limits for offsite releases of
                                                           radionuclides for the current candidate repository
                                                           site. However, if we assume that limits are developed
                                                           along the lines of the 1995 National Academy of
                                                           Sciences (NAS) report, ``Technical Bases for Yucca
                                                           Mountain Standards,'' and that in accordance with the
                                                           Commission's Waste Confidence Decision, 10 CFR 51.23,
                                                           a repository can and likely will be developed at some
                                                           site which will comply with such limits, peak doses
                                                           to virtually all individuals will be 100 millirem per
                                                           year or less. However, while the Commission has
                                                           reasonable confidence that these assumptions will
                                                           prove correct, there is considerable uncertainty
                                                           since the limits are yet to be developed, no
                                                           repository application has been completed or
                                                           reviewed, and uncertainty is inherent in the models
                                                           used to evaluate possible pathways to the human
                                                           environment. The NAS report indicated that 100
                                                           millirem per year should be considered as a starting
                                                           point for limits for individual doses, but notes that
                                                           some measure of consensus exists among national and
                                                           international bodies that the limits should be a
                                                           fraction of the 100 millirem per year. The lifetime
                                                           individual risk from 100 millirem annual dose limit
                                                           is about 3 x 10-3.
                                                          Estimating cumulative doses to populations over
                                                           thousands of years is more problematic. The
                                                           likelihood and consequences of events that could
                                                           seriously compromise the integrity of a deep geologic
                                                           repository were evaluated by the Department of Energy
                                                           in the ``Final Environmental Impact Statement:
                                                           Management of Commercially Generated Radioactive
                                                           Waste,'' October 1980. The evaluation estimated the
                                                           70-year whole-body dose commitment to the maximum
                                                           individual and to the regional population resulting
                                                           from several modes of breaching a reference
                                                           repository in the year of closure, after 1,000 years,
                                                           after 100,000 years, and after 100,000,000 years.
                                                           Subsequently, the NRC and other federal agencies have
                                                           expended considerable effort to develop models for
                                                           the design and for the licensing of a high level
                                                           waste repository, especially for the candidate
                                                           repository at Yucca Mountain. More meaningful
                                                           estimates of doses to population may be possible in
                                                           the future as more is understood about the
                                                           performance of the proposed Yucca Mountain
                                                           repository. Such estimates would involve very great
                                                           uncertainty, especially with respect to cumulative
                                                           population doses over thousands of years. The
                                                           standard proposed by the NAS is a limit on maximum
                                                           individual dose. The relationship of potential new
                                                           regulatory requirements, based on the NAS report, and
                                                           cumulative population impacts has not been
                                                           determined, although the report articulates the view
                                                           that protection of individuals will adequately
                                                           protect the population for a repository at Yucca
                                                           Mountain. However, EPA's generic repository standards
                                                           in 40 CFR part 191 generally provide an indication of
                                                           the order of magnitude of cumulative risk to
                                                           population that could result from the licensing of a
                                                           Yucca Mountain repository, assuming the ultimate
                                                           standards will be within the range of standards now
                                                           under consideration. The standards in 40 CFR part 191
                                                           protect the population by imposing ``containment
                                                           requirements'' that limit the cumulative amount of
                                                           radioactive material released over 10,000 years.
                                                           Reporting performance standards that will be required
                                                           by EPA are expected to result in releases and
                                                           associated health consequences in the range between
                                                           10 and 100 premature cancer deaths with an upper
                                                           limit of 1,000 premature cancer deaths world-wide for
                                                           a 100,000 metric tonne (MTHM) repository.
                                                          Nevertheless, despite all the uncertainty, some
                                                           judgement as to the regulatory NEPA implications of
                                                           these matters should be made and it makes no sense to
                                                           repeat the same judgement in every case. Even taking
                                                           the uncertainties into account, the Commission
                                                           concludes that these impacts are acceptable in that
                                                           these impacts would not be sufficiently large to
                                                           require the NEPA conclusion, for any plant, that the
                                                           option of extended operation under 10 CFR part 54
                                                           should be eliminated. Accordingly, while the
                                                           Commission has not assigned a single level of
                                                           significance for the impacts of spent fuel and high
                                                           level waste disposal, this issue is considered
                                                           Category 1.
Nonradiological impacts of the uranium fuel            1  SMALL. The nonradiological impacts of the uranium fuel
 cycle.                                                    cycle resulting from the renewal of an operating
                                                           license for any plant are found to be small.

[[Page 66]]

 
Low-level waste storage and disposal.......            1  SMALL. The comprehensive regulatory controls that are
                                                           in place and the low public doses being achieved at
                                                           reactors ensure that the radiological impacts to the
                                                           environment will remain small during the term of a
                                                           renewed license. The maximum additional on-site land
                                                           that may be required for low-level waste storage
                                                           during the term of a renewed license and associated
                                                           impacts will be small. Nonradiological impacts on air
                                                           and water will be negligible. The radiological and
                                                           nonradiological environmental impacts of long-term
                                                           disposal of low-level waste from any individual plant
                                                           at licensed sites are small. In addition, the
                                                           Commission concludes that there is reasonable
                                                           assurance that sufficient low-level waste disposal
                                                           capacity will be made available when needed for
                                                           facilities to be decommissioned consistent with NRC
                                                           decommissioning requirements.
Mixed waste storage and disposal...........            1  SMALL. The comprehensive regulatory controls and the
                                                           facilities and procedures that are in place ensure
                                                           proper handling and storage, as well as negligible
                                                           doses and exposure to toxic materials for the public
                                                           and the environment at all plants. License renewal
                                                           will not increase the small, continuing risk to human
                                                           health and the environment posed by mixed waste at
                                                           all plants. The radiological and nonradiological
                                                           environmental impacts of long-term disposal of mixed
                                                           waste from any individual plant at licensed sites are
                                                           small. In addition, the Commission concludes that
                                                           there is reasonable assurance that sufficient mixed
                                                           waste disposal capacity will be made available when
                                                           needed for facilities to be decommissioned consistent
                                                           with NRC decommissioning requirements.
On-site spent fuel.........................            1  SMALL. The expected increase in the volume of spent
                                                           fuel from an additional 20 years of operation can be
                                                           safely accommodated on site with small environmental
                                                           effects through dry or pool storage at all plants if
                                                           a permanent repository or monitored retrievable
                                                           storage is not available.
Nonradiological waste......................            1  SMALL. No changes to generating systems are
                                                           anticipated for license renewal. Facilities and
                                                           procedures are in place to ensure continued proper
                                                           handling and disposal at all plants.
Transportation.............................            1  SMALL. The impacts of transporting spent fuel enriched
                                                           up to 5 percent uranium-235 with average burnup for
                                                           the peak rod to current levels approved by NRC up to
                                                           62,000 MWd/MTU and the cumulative impacts of
                                                           transporting high-level waste to a single repository,
                                                           such as Yucca Mountain, Nevada are found to be
                                                           consistent with the impact values contained in 10 CFR
                                                           51.52(c), Summary Table S-4--Environmental Impact of
                                                           Transportation of Fuel and Waste to and from One
                                                           Light-Water-Cooled Nuclear Power Reactor. If fuel
                                                           enrichment or burnup conditions are not met, the
                                                           applicant must submit an assessment of the
                                                           implications for the environmental impact values
                                                           reported in Sec.  51.52.
----------------------------------------------------------------------------------------------------------------
                                                 Decommissioning
----------------------------------------------------------------------------------------------------------------
Radiation doses............................            1  SMALL. Doses to the public will be well below
                                                           applicable regulatory standards regardless of which
                                                           decommissioning method is used. Occupational doses
                                                           would increase no more than 1 man-rem caused by
                                                           buildup of long-lived radionuclides during the
                                                           license renewal term.
Waste management...........................            1  SMALL. Decommissioning at the end of a 20-year license
                                                           renewal period would generate no more solid wastes
                                                           than at the end of the current license term. No
                                                           increase in the quantities of Class C or greater than
                                                           Class C wastes would be expected.
Air quality................................            1  SMALL. Air quality impacts of decommissioning are
                                                           expected to be negligible either at the end of the
                                                           current operating term or at the end of the license
                                                           renewal term.
Water quality..............................            1  SMALL. The potential for significant water quality
                                                           impacts from erosion or spills is no greater whether
                                                           decommissioning occurs after a 20-year license
                                                           renewal period or after the original 40-year
                                                           operation period, and measures are readily available
                                                           to avoid such impacts.
Ecological resources.......................            1  SMALL. Decommissioning after either the initial
                                                           operating period or after a 20-year license renewal
                                                           period is not expected to have any direct ecological
                                                           impacts.
Socioeconomic impacts......................            1  SMALL. Decommissioning would have some short-term
                                                           socioeconomic impacts. The impacts would not be
                                                           increased by delaying decommissioning until the end
                                                           of a 20-year relicense period, but they might be
                                                           decreased by population and economic growth.
----------------------------------------------------------------------------------------------------------------

[[Page 67]]

 
                                              Environmental Justice
----------------------------------------------------------------------------------------------------------------
Environmental justice \6\..................       \4\ NA  NONE. The need for and the content of an analysis of
                                                           environmental justice will be addressed in plant-
                                                           specific reviews.\6\
----------------------------------------------------------------------------------------------------------------
\1\ Data supporting this table are contained in NUREG-1437, ``Generic Environmental Impact Statement for License
  Renewal of Nuclear Plants'' (May 1996) and NUREG-1437, Vol. 1, Addendum 1, ``Generic Environmental Impact
  Statement for License Renewal of Nuclear Plants: Main Report Section 6.3--`Transportation,' Table 9.1 `Summary
  of findings on NEPA issues for license renewal of nuclear power plants,' Final Report'' (August 1999).
\2\ The numerical entries in this column are based on the following category definitions:
Category 1: For the issue, the analysis reported in the Generic Environmental Impact Statement has shown:
(1) The environmental impacts associated with the issue have been determined to apply either to all plants or,
  for some issues, to plants having a specific type of cooling system or other specified plant or site
  characteristic;
(2) A single significance level (i.e., small, moderate, or large) has been assigned to the impacts (except for
  collective off site radiological impacts from the fuel cycle and from high level waste and spent fuel
  disposal); and
(3) Mitigation of adverse impacts associated with the issue has been considered in the analysis, and it has been
  determined that additional plant-specific mitigation measures are likely not to be sufficiently beneficial to
  warrant implementation.
The generic analysis of the issue may be adopted in each plant-specific review.
Category 2: For the issue, the analysis reported in the Generic Environmental Impact Statement has shown that
  one or more of the criteria of Category 1 cannot be met, and therefore additional plant-specific review is
  required.
\3\ The impact findings in this column are based on the definitions of three significance levels. Unless the
  significance level is identified as beneficial, the impact is adverse, or in the case of ``small,'' may be
  negligible. The definitions of significance follow:
SMALL--For the issue, environmental effects are not detectable or are so minor that they will neither
  destabilize nor noticeably alter any important attribute of the resource. For the purposes of assessing
  radiological impacts, the Commission has concluded that those impacts that do not exceed permissible levels in
  the Commission's regulations are considered small as the term is used in this table.
MODERATE--For the issue, environmental effects are sufficient to alter noticeably, but not to destabilize,
  important attributes of the resource.
LARGE--For the issue, environmental effects are clearly noticeable and are sufficient to destabilize important
  attributes of the resource.
For issues where probability is a key consideration (i.e., accident consequences), probability was a factor in
  determining significance.
\4\ NA (not applicable). The categorization and impact finding definitions do not apply to these issues.
\5\ If, in the future, the Commission finds that, contrary to current indications, a consensus has been reached
  by appropriate Federal health agencies that there are adverse health effects from electromagnetic fields, the
  Commission will require applicants to submit plant-specific reviews of these health effects as part of their
  license renewal applications. Until such time, applicants for license renewal are not required to submit
  information on this issue.
\6\ Environmental Justice was not addressed in NUREG-1437, ``Generic Environmental Impact Statement for License
  Renewal of Nuclear Plants,'' because guidance for implementing Executive Order 12898 issued on February 11,
  1994, was not available prior to completion of NUREG-1437. This issue will be addressed in individual license
  renewal reviews.


[61 FR 66546, Dec. 18, 1996, as amended at 62 FR 59276, Nov. 3, 1997; 64 
FR 48507, Sept. 3, 1999; 66 FR 39278, July 30, 2001]

Subpart B [Reserved]



PART 52_LICENSES, CERTIFICATIONS, AND APPROVALS FOR NUCLEAR POWER PLANTS--Table of Contents




                           General Provisions

Sec.
52.0 Scope; applicability of 10 CFR Chapter I provisions.
52.1 Definitions.
52.2 Interpretations.
52.3 Written communications.
52.4 Deliberate misconduct.
52.5 Employee protection.
52.6 Completeness and accuracy of information.
52.7 Specific exemptions.
52.8 Combining licenses; elimination of repetition.
52.9 Jurisdictional limits.
52.10 Attacks and destructive acts.
52.11 Information collection requirements: OMB approval.

                      Subpart A_Early Site Permits

52.12 Scope of subpart.
52.13 Relationship to other subparts.
52.15 Filing of applications.
52.16 Contents of applications; general information.
52.17 Contents of applications; technical information.
52.18 Standards for review of applications.
52.21 Administrative review of applications; hearings.
52.23 Referral to the Advisory Committee on Reactor Safeguards (ACRS).
52.24 Issuance of early site permit.
52.25 Extent of activities permitted.
52.26 Duration of permit.
52.27 Limited work authorization after issuance of early site permit.
52.28 Transfer of early site permit.
52.29 Application for renewal.
52.31 Criteria for renewal.
52.33 Duration of renewal.
52.35 Use of site for other purposes.
52.39 Finality of early site permit determinations.

[[Page 68]]

                Subpart B_Standard Design Certifications

52.41 Scope of subpart.
52.43 Relationship to other subparts.
52.45 Filing of applications.
52.46 Contents of applications; general information.
52.47 Contents of applications; technical information.
52.48 Standards for review of applications.
52.51 Administrative review of applications.
52.53 Referral to the Advisory Committee on Reactor Safeguards (ACRS).
52.54 Issuance of standard design certification.
52.55 Duration of certification.
52.57 Application for renewal.
52.59 Criteria for renewal.
52.61 Duration of renewal.
52.63 Finality of standard design certifications.

                       Subpart C_Combined Licenses

52.71 Scope of subpart.
52.73 Relationship to other subparts.
52.75 Filing of applications.
52.77 Contents of applications; general information.
52.79 Contents of applications; technical information in final safety 
          analysis report.
52.80 Contents of applications; additional technical information.
52.81 Standards for review of applications.
52.83 Finality of referenced NRC approvals; partial initial decision on 
          site suitability.
52.85 Administrative review of applications; hearings.
52.87 Referral to the Advisory Committee on Reactor Safeguards (ACRS).
52.89 [Reserved]
52.91 Authorization to conduct limited work authorization activities.
52.93 Exemptions and variances.
52.97 Issuance of combined licenses.
52.98 Finality of combined licenses; information requests.
52.99 Inspection during construction.
52.103 Operation under a combined license.
52.104 Duration of combined license.
52.105 Transfer of combined license.
52.107 Application for renewal.
52.109 Continuation of combined license.
52.110 Termination of license.

Subpart D [Reserved]

                   Subpart E_Standard Design Approvals

52.131 Scope of subpart.
52.133 Relationship to other subparts.
52.135 Filing of applications.
52.136 Contents of applications; general information.
52.137 Contents of applications; technical information.
52.139 Standards for review of applications.
52.141 Referral to the Advisory Committee on Reactor Safeguards (ACRS).
52.143 Staff approval of design.
52.145 Finality of standard design approvals; information requests.
52.147 Duration of design approval.

                    Subpart F_Manufacturing Licenses

52.151 Scope of subpart.
52.153 Relationship to other subparts.
52.155 Filing of applications.
52.156 Contents of applications; general information.
52.157 Contents of applications; technical information in final safety 
          analysis report.
52.158 Contents of application; additional technical information.
52.159 Standards for review of application.
52.161 [Reserved]
52.163 Administrative review of applications; hearings.
52.165 Referral to the Advisory Committee on Reactor Safeguards (ACRS).
52.167 Issuance of manufacturing license.
52.169 [Reserved]
52.171 Finality of manufacturing licenses; information requests.
52.173 Duration of manufacturing license.
52.175 Transfer of manufacturing license.
52.177 Application for renewal.
52.179 Criteria for renewal.
52.181 Duration of renewal.

Subpart G [Reserved]

                          Subpart H_Enforcement

52.301 Violations.
52.303 Criminal penalties.

Appendix A to Part 52--Design Certification Rule for the U.S. Advanced 
          Boiling Water Reactor
Appendix B to Part 52--Design Certification Rule for the System 80+ 
          Design
Appendix C to Part 52--Design Certification Rule for the AP600 Design
Appendix D to Part 52--Design Certification Rule for the AP1000 Design
Appendixes E-M to Part 52 [Reserved]
Appendix N to Part 52--Standardization of Nuclear Power Plant Designs: 
          Combined Licenses to Construct and Operate Nuclear Power 
          Reactors of Identical Design at Multiple Sites

    Authority: Secs. 103, 104, 161, 182, 183, 186, 189, 68 Stat. 936, 
948, 953, 954, 955, 956, as amended, sec. 234, 83 Stat. 444, as amended 
(42 U.S.C. 2133, 2201, 2232, 2233, 2236, 2239, 2282); secs. 201, 202, 
206, 88 Stat. 1242, 1244, 1246, as amended (42 U.S.C. 5841, 5842, 5846); 
sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note).

    Source: 72 FR 49517, Aug. 28, 2007, unless otherwise noted.

[[Page 69]]

                           General Provisions



Sec. 52.0  Scope; applicability of 10 CFR Chapter I provisions.

    (a) This part governs the issuance of early site permits, standard 
design certifications, combined licenses, standard design approvals, and 
manufacturing licenses for nuclear power facilities licensed under 
Section 103 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 approval, certification, permit, or 
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 approval, 
certification, permit, or license, subject to this part, that they may 
be individually subject to NRC enforcement action for violation of the 
provisions in 10 CFR 52.4.
    (b) Unless otherwise specifically provided for in this part, the 
regulations in 10 CFR Chapter I apply to a holder of or applicant for an 
approval, certification, permit, or license. A holder of or applicant 
for an approval, certification, permit, or license issued under this 
part shall comply with all requirements in 10 CFR Chapter I that are 
applicable. A license, approval, certification, or permit issued under 
this part is subject to all requirements in 10 CFR Chapter I which, by 
their terms, are applicable to early site permits, design 
certifications, combined licenses, design approvals, or manufacturing 
licenses.



Sec. 52.1  Definitions.

    (a) As used in this part--
    Combined license means a combined construction permit and operating 
license with conditions for a nuclear power facility issued under 
subpart C of this part.
    Decommission means to remove a facility or site safely from service 
and reduce residual radioactivity to a level that permits--
    (i) Release of the property for unrestricted use and termination of 
the license; or
    (ii) Release of the property under restricted conditions and 
termination of the license.
    Design characteristics are the actual features of a reactor or 
reactors. Design characteristics are specified in a standard design 
approval, a standard design certification, a combined license 
application, or a manufacturing license.
    Design parameters are the postulated features of a reactor or 
reactors that could be built at a proposed site. Design parameters are 
specified in an early site permit.
    Early site permit means a Commission approval, issued under subpart 
A of this part, for a site or sites for one or more nuclear power 
facilities. An early site permit is a partial construction permit.
    License means a license, including an early site permit, combined 
license or manufacturing license under this part or a renewed license 
issued by the Commission under this part or part 54 of this chapter.
    Licensee means a person who is authorized to conduct activities 
under a license issued by the Commission.
    Limited work authorization means the authorization provided by the 
Director of New Reactors or the Director of Nuclear Reactor Regulation 
under Sec. 50.10 of this chapter.
    Major feature of the emergency plans means an aspect of those plans 
necessary to:
    (i) Address in whole or part one or more of the 16 standards in 10 
CFR 50.47(b); or
    (ii) Describe the emergency planning zones as required in 10 CFR 
50.33(g).
    Manufacturing license means a license, issued under subpart F of 
this part, authorizing the manufacture of nuclear power reactors but not 
their construction, installation, or operation at the sites on which the 
reactors are to be operated.
    Modular design means a nuclear power station that consists of two or 
more essentially identical nuclear reactors (modules) and each module is 
a separate nuclear reactor capable of being operated independent of the 
state of completion or operating condition of any other module co-
located on the same site, even though the nuclear

[[Page 70]]

power station may have some shared or common systems.
    Prototype plant means a nuclear power plant that is used to test new 
safety features, such as the testing required under 10 CFR 50.43(e). The 
prototype plant is similar to a first-of-a-kind or standard plant design 
in all features and size, but may include additional safety features to 
protect the public and the plant staff from the possible consequences of 
accidents during the testing period.
    Site characteristics are the actual physical, environmental and 
demographic features of a site. Site characteristics are specified in an 
early site permit or in a final safety analysis report for a combined 
license.
    Site parameters are the postulated physical, environmental and 
demographic features of an assumed site. Site parameters are specified 
in a standard design approval, standard design certification, or 
manufacturing license.
    Standard design means a design which is sufficiently detailed and 
complete to support certification or approval in accordance with subpart 
B or E 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.
    Standard design approval or design approval means an NRC staff 
approval, issued under subpart E of this part, of a final standard 
design for a nuclear power reactor of the type described in 10 CFR 
50.22. The approval may be for either the final design for the entire 
reactor facility or the final design of major portions thereof.
    Standard design certification or design certification means a 
Commission approval, issued under subpart B of this part, of a final 
standard design for a nuclear power facility. This design may be 
referred to as a certified standard design.
    (b) 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.

[72 FR 49517, Aug. 28, 2007, as amended at 72 FR 57446, Oct. 9, 2007]



Sec. 52.2  Interpretations.

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



Sec. 52.3  Written communications.

    (a) General requirements. All correspondence, reports, applications, 
and other written communications from an applicant, licensee, or holder 
of a standard design approval to the Nuclear Regulatory Commission 
concerning the regulations in this part, individual license conditions, 
or the terms and conditions of an early site permit or standard design 
approval, must be sent either by mail addressed: ATTN: Document Control 
Desk, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by 
hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, 
Maryland, between the hours of 7:30 a.m. and 4:15 p.m. eastern time; or, 
where practicable, by electronic submission, for example, via Electronic 
Information Exchange, e-mail, or CD-ROM. Electronic submissions must be 
made in a manner that enables the NRC to receive, read, authenticate, 
distribute, and archive the submission, and process and retrieve it a 
single page at a time. Detailed guidance on making electronic 
submissions can be obtained by visiting the NRC's Web site at http://
www.nrc.gov/site-help/eie.html, by calling (301) 415-6030, by e-mail at 
EIE@nrc.gov, or by writing the Office of Information Services, U.S. 
Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance 
discusses, among other topics, the formats the NRC can accept, the use 
of electronic signatures, and the treatment of nonpublic information. If 
the communication is on paper, the signed original must be sent. If a 
submission due date falls on a Saturday, Sunday, or Federal holiday, the 
next Federal working day becomes the official due date.
    (b) Distribution requirements. Copies of all correspondence, 
reports, and other written communications concerning

[[Page 71]]

the regulations in this part or individual license conditions, or the 
terms and conditions of an early site permit or standard design 
approval, must be submitted to the persons listed in paragraph (b)(1) of 
this section (addresses for the NRC Regional Offices are listed in 
appendix D to part 20 of this chapter).
    (1) Applications for amendment of permits and licenses; reports; and 
other communications. All written communications (including responses 
to: generic letters, bulletins, information notices, regulatory 
information summaries, inspection reports, and miscellaneous requests 
for additional information) that are required of holders of early site 
permits, standard design approvals, combined licenses, or manufacturing 
licenses issued under this part must be submitted as follows, except as 
otherwise specified in paragraphs (b)(2) through (b)(7) of this section: 
to the NRC's Document Control Desk (if on paper, the signed original), 
with a copy to the appropriate Regional Office, and a copy to the 
appropriate NRC Resident Inspector, if one has been assigned to the site 
of the facility or the place of manufacture of a reactor licensed under 
subpart F of this part.
    (2) Applications and amendments to applications. Applications for 
early site permits, standard design approvals, combined licenses, 
manufacturing licenses and amendments to any of these types of 
applications must be submitted to the NRC's Document Control Desk, with 
a copy to the appropriate Regional Office, and a copy to the appropriate 
NRC Resident Inspector, if one has been assigned to the site of the 
facility or the place of manufacture of a reactor licensed under subpart 
F of this part, except as otherwise specified in paragraphs (b)(3) 
through (b)(7) of this section. If the application or amendment is on 
paper, the submission to the Document Control Desk must be the signed 
original.
    (3) Acceptance review application. Written communications required 
for an application for determination of suitability for docketing must 
be submitted to the NRC's Document Control Desk, with a copy to the 
appropriate Regional Office. If the communication is on paper, the 
submission to the Document Control Desk must be the signed original.
    (4) Security plan and related submissions. Written communications, 
as defined in paragraphs (b)(4)(i) through (iv) of this section, must be 
submitted to the NRC's Document Control Desk, with a copy to the 
appropriate Regional Office. If the communication is on paper, the 
submission to the Document Control Desk must be the signed original.
    (i) Physical security plan under Sec. 52.79 of this chapter;
    (ii) Safeguards contingency plan under Sec. 52.79 of this chapter;
    (iii) Change to security plan, guard training and qualification 
plan, or safeguards contingency plan made without prior Commission 
approval under Sec. 50.54(p) of this chapter;
    (iv) Application for amendment of physical security plan, guard 
training and qualification plan, or safeguards contingency plan under 
Sec. 50.90 of this chapter.
    (5) Emergency plan and related submissions. Written communications 
as defined in paragraphs (b)(5)(i) through (iii) of this section must be 
submitted to the NRC's Document Control Desk, with a copy to the 
appropriate Regional Office, and a copy to the appropriate NRC Resident 
Inspector if one has been assigned to the site of the facility. If the 
communication is on paper, the submission to the Document Control Desk 
must be the signed original.
    (i) Emergency plan under Sec. 52.17(b) or Sec. 52.79(a);
    (ii) Change to an emergency plan under Sec. 50.54(q) of this 
chapter;
    (iii) Emergency implementing procedures under appendix E, Section V 
of part 50 of this chapter.
    (6) Updated FSAR. An updated final safety analysis report (FSAR) or 
replacement pages under Sec. 50.71(e) of this chapter, or the 
regulations in this part must be submitted to the NRC's Document Control 
Desk, with a copy to the appropriate Regional Office, and a copy to the 
appropriate NRC Resident Inspector if one has been assigned to the site 
of the facility or the place of manufacture of a reactor licensed under

[[Page 72]]

subpart F of this part. Paper copy submissions may be made using 
replacement pages; however, if a licensee chooses to use electronic 
submission, all subsequent updates or submissions must be performed 
electronically on a total replacement basis. If the communication is on 
paper, the submission to the Document Control Desk must be the signed 
original. If the communications are submitted electronically, see 
Guidance for Electronic Submissions to the Commission.
    (7) Quality assurance related submissions. (i) A change to the 
safety analysis report quality assurance program description under Sec. 
50.54(a)(3) or Sec. 50.55(f)(4) of this chapter, or a change to a 
licensee's NRC-accepted quality assurance topical report under Sec. 
50.54(a)(3) or Sec. 50.55(f)(4) of this chapter, must be submitted to 
the NRC's Document Control Desk, with a copy to the appropriate Regional 
Office, and a copy to the appropriate NRC Resident Inspector if one has 
been assigned to the site of the facility. If the communication is on 
paper, the submission to the Document Control Desk must be the signed 
original.
    (ii) A change to an NRC-accepted quality assurance topical report 
from nonlicensees (i.e., architect/engineers, NSSS suppliers, fuel 
suppliers, constructors, etc.) must be submitted to the NRC's Document 
Control Desk. If the communication is on paper, the signed original must 
be sent.
    (8) Certification of permanent cessation of operations. The 
licensee's certification of permanent cessation of operations under 
Sec. 52.110(a)(1), must state the date on which operations have ceased 
or will cease, and must be submitted to the NRC's Document Control Desk. 
This submission must be under oath or affirmation.
    (9) Certification of permanent fuel removal. The licensee's 
certification of permanent fuel removal under Sec. 52.110(a)(1), must 
state the date on which the fuel was removed from the reactor vessel and 
the disposition of the fuel, and must be submitted to the NRC's Document 
Control Desk. This submission must be under oath or affirmation.
    (c) Form of communications. All paper copies submitted to meet the 
requirements set forth in paragraph (b) of this section must be 
typewritten, printed or otherwise reproduced in permanent form on 
unglazed paper. Exceptions to these requirements imposed on paper 
submissions may be granted for the submission of micrographic, 
photographic, or similar forms.
    (d) Regulation governing submission. Applicants, licensees, and 
holders of standard design approvals submitting correspondence, reports, 
and other written communications under the regulations of this part are 
requested but not required to cite whenever practical, in the upper 
right corner of the first page of the submission, the specific 
regulation or other basis requiring submission.



Sec. 52.4  Deliberate misconduct.

    (a) Applicability. This section applies to any:
    (1) Licensee;
    (2) Holder of a standard design approval;
    (3) Applicant for a standard design certification;
    (4) Applicant for a license or permit;
    (5) Applicant for a standard design approval;
    (6) Employee of a licensee;
    (7) Employee of an applicant for a license, a standard design 
certification, or a standard design approval;
    (8) Any contractor (including a supplier or consultant), 
subcontractor, or employee of a contractor or subcontractor of any 
licensee; or
    (9) Any contractor (including a supplier or consultant), 
subcontractor, or employee of a contractor or subcontractor of any 
applicant for a license, a standard design certification, or a standard 
design approval.
    (b) Definitions. For purposes of this section:
    Deliberate misconduct means an intentional act or omission that a 
person or entity knows:
    (i) Would cause a licensee or an applicant for a license, standard 
design certification, or standard design approval to be in violation of 
any rule, regulation, or order; or any term, condition, or limitation, 
of any license, standard design certification, or standard design 
approval; or

[[Page 73]]

    (ii) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order, or policy of a licensee, holder 
of a standard design approval, applicant for a license, standard design 
certification, or standard design approval, or contractor, or 
subcontractor.
    (c) Prohibition against deliberate misconduct. Any person or entity 
subject to this section, who knowingly provides to any licensee, any 
applicant for a license, standard design certification or standard 
design approval, or a contractor, or subcontractor of a person or entity 
subject to this section, any components, equipment, materials, or other 
goods or services that relate to a licensee's or applicant's activities 
under this part, may not:
    (1) Engage in deliberate misconduct that causes or would have 
caused, if not detected, a licensee, holder of a standard design 
approval, 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, any standard design approval, or standard design 
certification; or
    (2) Deliberately submit to the NRC; a licensee, an applicant for a 
license, standard design certification or standard design approval; or a 
licensee's, standard design approval holder'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.
    (d) A person or entity who violates paragraph (c)(1) or (c)(2) of 
this section may be subject to enforcement action in accordance with the 
procedures in 10 CFR part 2, subpart B.



Sec. 52.5  Employee protection.

    (a) Discrimination by a Commission licensee, holder of a standard 
design approval, an applicant for a license, standard design 
certification, or standard design approval, a contractor or 
subcontractor of a Commission licensee, holder of a standard design 
approval, applicant for a license, standard design certification, or 
standard design approval, against an employee for engaging in certain 
protected activities is prohibited. Discrimination includes discharge 
and other actions that relate to compensation, terms, conditions, or 
privileges of employment. The protected activities are established in 
Section 211 of the Energy Reorganization Act of 1974, as amended, and in 
general are related to the administration or enforcement of a 
requirement imposed under the Atomic Energy Act or the Energy 
Reorganization Act.
    (1) The protected activities include but are not limited to:
    (i) Providing the Commission or his or her employer information 
about alleged violations of either of the statutes named in the 
introductory text of paragraph (a) of this section or possible 
violations of requirements imposed under either of those statutes;
    (ii) Refusing to engage in any practice made unlawful under either 
of the statutes named in the introductory text of paragraph (a) of this 
section or under these requirements if the employee has identified the 
alleged illegality to the employer;
    (iii) Requesting the Commission to institute action against his or 
her employer for the administration or enforcement of these 
requirements;
    (iv) Testifying in any Commission proceeding, or before Congress, or 
at any Federal or State proceeding regarding any provision (or proposed 
provision) of either of the statutes named in the introductory text of 
paragraph (a) of this section; and
    (v) Assisting or participating in, or is about to assist or 
participate in, these activities.
    (2) These activities are protected even if no formal proceeding is 
actually initiated as a result of the employee assistance or 
participation.
    (3) This section has no application to any employee alleging 
discrimination prohibited by this section who, acting without direction 
from his or her employer (or the employer's agent), deliberately causes 
a violation of any requirement of the Energy Reorganization Act of 1974, 
as amended, or the Atomic Energy Act of 1954, as amended.
    (b) Any employee who believes that he or she has been discharged or 
otherwise discriminated against by any person for engaging in protected 
activities

[[Page 74]]

specified in paragraph (a)(1) of this section may seek a remedy for the 
discharge or discrimination through an administrative proceeding in the 
Department of Labor. The administrative proceeding must be initiated 
within 180 days after an alleged violation occurs. The employee may do 
this by filing a complaint alleging the violation with the Department of 
Labor, Employment Standards Administration, Wage and Hour Division. The 
Department of Labor may order reinstatement, back pay, and compensatory 
damages.
    (c) A violation of paragraph (a), (e), or (f) of this section by a 
Commission licensee, a holder of a standard design approval, an 
applicant for a Commission license, standard design certification, or a 
standard design approval, or a contractor or subcontractor of a 
Commission licensee, holder of a standard design approval, or any 
applicant may be grounds for--
    (1) Denial, revocation, or suspension of the license or standard 
design approval;
    (2) Withdrawal or revocation of a proposed or final standard design 
certification;
    (3) Imposition of a civil penalty on the licensee, holder of a 
standard design approval, or applicant (including an applicant for a 
standard design certification under this part following Commission 
adoption of final design certification rule) or a contractor or 
subcontractor of the licensee, holder of a standard design approval, or 
applicant.
    (4) Other enforcement action.
    (d) Actions taken by an employer, or others, which adversely affect 
an employee may be predicated upon nondiscriminatory grounds. The 
prohibition applies when the adverse action occurs because the employee 
has engaged in protected activities. An employee's engagement in 
protected activities does not automatically render him or her immune 
from discharge or discipline for legitimate reasons or from adverse 
action dictated by nonprohibited considerations.
    (e)(1) Each licensee, each holder of a standard design approval, and 
each applicant for a license, standard design certification, or standard 
design approval, shall prominently post the revision of NRC Form 3, 
``Notice to Employees,'' referenced in 10 CFR 19.11(e). 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 thirty (30) days after an 
application is docketed and remain posted while the application is 
pending before the Commission, during the term of the license, standard 
design certification, or standard design approval under 10 CFR part 52, 
and for 30 days following license termination or the expiration or 
termination of the standard design certification or standard design 
approval under 10 CFR part 52.
    (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, by 
calling (301) 415-7232, via e-mail to forms@nrc.gov, or by visiting the 
NRC's Web site at http://www.nrc.gov and selecting forms from the index 
found on the NRC's home page.
    (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 under 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.
    (g) Part 19 of this chapter sets forth requirements and regulatory 
provisions applicable to licensees, holders of a standard design 
approval, applicants for a license, standard design certification, or 
standard design approval, and contractors or subcontractors of a 
Commission licensee, or holder of a standard design approval, and are in 
addition to the requirements in this section.

[72 FR 49517, Aug. 28, 2007, as amended at 72 FR 63974, Nov. 14, 2007]

[[Page 75]]



Sec. 52.6  Completeness and accuracy of information.

    (a) Information provided to the Commission by a licensee (including 
an early site permit holder, a combined license holder, and a 
manufacturing license holder), a holder of a standard design approval 
under this part, and an applicant for a license or an applicant for a 
standard design certification or a standard design approval under this 
part, and information required by statute or by the Commission's 
regulations, orders, license conditions, or terms and conditions of a 
standard design approval to be maintained by the licensee, the holder of 
a standard design approval under this part, the applicant for a standard 
design certification under this part following Commission adoption of a 
final design certification rule, and an applicant for a license, a 
standard design certification, or a standard design approval under this 
part shall be complete and accurate in all material respects.
    (b) Each applicant or licensee, each holder of a standard design 
approval under this part, and each applicant for a standard design 
certification under this part following Commission adoption of a final 
design certification regulation, shall notify the Commission of 
information identified by the applicant or the licensee as having for 
the regulated activity a significant implication for public health and 
safety or common defense and security. An applicant, licensee, or holder 
violates this paragraph only if the applicant, licensee, or holder fails 
to notify the Commission of information that the applicant, licensee, or 
holder has been 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 2 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.



Sec. 52.7  Specific exemptions.

    The Commission may, upon application by any interested person or 
upon its own initiative, grant exemptions from the requirements of the 
regulations of this part. The Commission's consideration will be 
governed by Sec. 50.12 of this chapter, unless other criteria are 
provided for in this part, in which case the Commission's consideration 
will be governed by the criteria in this part. Only if those criteria 
are not met will the Commission's consideration be governed by Sec. 
50.12 of this chapter. The Commission's consideration of requests for 
exemptions from requirements of the regulations of other parts in this 
chapter, which are applicable by virtue of this part, shall be governed 
by the exemption requirements of those parts.



Sec. 52.8  Combining licenses; elimination of repetition.

    (a) An applicant for a license under this part may combine in its 
application several applications for different kinds of licenses under 
the regulations of this chapter.
    (b) An applicant may incorporate by reference in its application 
information contained in previous applications, statements or reports 
filed with the Commission, provided, however, that such references are 
clear and specific.
    (c) The Commission may combine in a single license the activities of 
an applicant which would otherwise be licensed separately.



Sec. 52.9  Jurisdictional limits.

    No permit, license, standard design approval, or standard design 
certification under this part shall be deemed to have been issued for 
activities which are not under or within the jurisdiction of the United 
States.



Sec. 52.10  Attacks and destructive acts.

    Neither an applicant for a license to manufacture, construct, and 
operate a utilization facility under this part, nor for an amendment to 
this license, or an applicant for an early site permit, a standard 
design certification, or standard design approval under this part, or 
for an amendment to the early site permit, standard design 
certification, or standard design approval, is required to provide for 
design features or other measures for the specific purpose of protection 
against the effects of--

[[Page 76]]

    (a) Attacks and destructive acts, including sabotage, directed 
against the facility by an enemy of the United States, whether a foreign 
government or other person; or
    (b) Use or deployment of weapons incident to U.S. defense 
activities.



Sec. 52.11  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under Control Number 3150-0151.
    (b) The approved information collection requirements contained in 
this part appear in Sec. Sec. 52.7, 52.15, 52.16, 52.17, 52.29, 52.35, 
52.39, 52.45, 52.46, 52.47, 52.57, 52.63, 52.75, 52.77, 52.79, 52.80, 
52.93, 52.99, 52.110, 52.135, 52.136, 52.137, 52.155, 52.156, 52.157, 
52.158, 52.171, 52.177, and appendices A, B, C, D, and N of part 52.



                      Subpart A_Early Site Permits



Sec. 52.12  Scope of subpart.

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



Sec. 52.13  Relationship to other subparts.

    This subpart applies when any person who may apply for a 
construction permit under 10 CFR part 50, or for a combined license 
under this part seeks an early site permit from the Commission 
separately from an application for a construction permit or a combined 
license.



Sec. 52.15  Filing of applications.

    (a) Any person who may apply for a construction permit under 10 CFR 
part 50, or for a combined license under this part, may file an 
application for an early site permit with the Director, Office of New 
Reactors, or the Director, Office of Nuclear Reactor Regulation, as 
appropriate. 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 for 
which a permit is sought.
    (b) The application must comply with the applicable filing 
requirements of Sec. Sec. 52.3 and 50.30 of this chapter.
    (c) The fees associated with the filing and review of an application 
for the initial issuance or renewal of an early site permit are set 
forth in 10 CFR part 170.



Sec. 52.16  Contents of applications; general information.

    The application must contain all of the information required by 10 
CFR 50.33(a) through (d) and (j) of this chapter.



Sec. 52.17  Contents of applications; technical information.

    (a) For applications submitted before September 27, 2007, the rule 
provisions in effect at the date of docketing apply unless otherwise 
requested by the applicant in writing. The application must contain:
    (1) A site safety analysis report. The site safety analysis report 
shall include the following:
    (i) The specific number, type, and thermal power level of the 
facilities, or range of possible facilities, for which the site may be 
used;
    (ii) The anticipated maximum levels of radiological and thermal 
effluents each facility will produce;
    (iii) The type of cooling systems, intakes, and outflows that may be 
associated with each facility;
    (iv) The boundaries of the site;
    (v) The proposed general location of each facility on the site;
    (vi) The seismic, meteorological, hydrologic, and geologic 
characteristics of the proposed site with appropriate consideration of 
the most severe of the

[[Page 77]]

natural phenomena that have been historically reported for the site and 
surrounding area and with sufficient margin for the limited accuracy, 
quantity, and period of time in which the historical data have been 
accumulated;
    (vii) The location and description of any nearby industrial, 
military, or transportation facilities and routes;
    (viii) The existing and projected future population profile of the 
area surrounding the site;
    (ix) A description and safety assessment of the site on which a 
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 paragraphs 
(a)(1)(ix)(A) and (a)(1)(ix)(B) of this section. In performing this 
assessment, an applicant shall assume a fission product release \1\ from 
the core into the containment assuming that the facility is operated at 
the ultimate power level contemplated. The applicant shall perform an 
evaluation and analysis of the postulated fission product release, using 
the expected demonstrable containment leak rate and any fission product 
cleanup systems intended to mitigate the consequences of the accidents, 
together with applicable site characteristics, including site 
meteorology, to evaluate the offsite radiological consequences. Site 
characteristics must comply with part 100 of this chapter. The 
evaluation must determine that:
---------------------------------------------------------------------------

    \1\ The fission product release assumed for this evaluation should 
be based upon a major accident, hypothesized for purposes of site 
analysis or postulated from considerations of possible accidental 
events. Such accidents have generally been assumed to result in 
substantial meltdown of the core with subsequent release into the 
containment of appreciable quantities of fission products.
---------------------------------------------------------------------------

    (A) An individual located at any point on the boundary of the 
exclusion area for any 2 hour period following the onset of the 
postulated fission product release, would not receive a radiation dose 
in excess of 25 rem \2\ total effective dose equivalent (TEDE).
---------------------------------------------------------------------------

    \2\ A whole body dose of 25 rem has been stated to correspond 
numerically to the once in a lifetime accidental or emergency dose for 
radiation workers which, according to NCRP recommendations at the time 
could be disregarded in the determination of their radiation exposure 
status (see NBS Handbook 69 dated June 5, 1959). However, its use is not 
intended to imply that this number constitutes an acceptable limit for 
an emergency dose to the public under accident conditions. Rather, this 
dose value has been set forth in this section as a reference value, 
which can be used in the evaluation of plant design features with 
respect to postulated reactor accidents, to assure that these designs 
provide assurance of low risk of public exposure to radiation, in the 
event of an accidents.
---------------------------------------------------------------------------

    (B) An individual located at any point on the outer boundary of the 
low population zone, who is exposed to the radioactive cloud resulting 
from the postulated fission product release (during the entire period of 
its passage) would not receive a radiation dose in excess of 25 rem 
TEDE;
    (x) Information demonstrating that site characteristics are such 
that adequate security plans and measures can be developed;
    (xi) For applications submitted after September 27, 2007, a 
description of the quality assurance program applied to site-related 
activities for the future design, fabrication, construction, and testing 
of the structures, systems, and components of a facility or facilities 
that may be constructed on the site. Appendix B to 10 CFR part 50 sets 
forth the requirements for quality assurance programs for nuclear power 
plants. The description of the quality assurance program for a nuclear 
power plant site shall include a discussion of how the applicable 
requirements of appendix B to part 50 of this chapter will be satisfied; 
and
    (xii) An evaluation of the site against applicable sections of the 
Standard Review Plan (SRP) revision in effect 6 months before the docket 
date of the application. The evaluation required by this section shall 
include an identification and description of all differences in 
analytical techniques and procedural measures proposed for a site and 
those corresponding techniques and measures given in the SRP acceptance 
criteria. Where such a difference exists, the evaluation shall discuss 
how the

[[Page 78]]

proposed alternative provides an acceptable method of complying with the 
Commission's regulations, or portions thereof, that underlie the 
corresponding SRP acceptance criteria. The SRP is not a substitute for 
the regulations, and compliance is not a requirement.
    (2) A complete environmental report as required by 10 CFR 51.50(b).
    (b)(1) The site safety analysis report must identify physical 
characteristics of 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. If physical characteristics are 
identified that could pose a significant impediment to the development 
of emergency plans, the application must identify measures that would, 
when implemented, mitigate or eliminate the significant impediment.
    (2) The site safety analysis report may also:
    (i) Propose major features of the emergency plans, in accordance 
with the pertinent standards of 10 CFR 50.47, and the requirements of 
appendix E to 10 CFR part 50, such as the exact size and configuration 
of the emergency planning zones, for review and approval by NRC, in 
consultation with the Department of Homeland Security (DHS) in the 
absence of complete and integrated emergency plans; or
    (ii) Propose complete and integrated emergency plans for review and 
approval by the NRC, in consultation with DHS, in accordance with the 
applicable standards of 10 CFR 50.47, and the requirements of appendix E 
to 10 CFR part 50. To the extent approval of emergency plans is sought, 
the application must contain the information required by Sec. Sec. 
50.33(g) and (j) of this chapter.
    (3) Emergency plans submitted under paragraph (b)(2)(ii) of this 
section must include the proposed inspections, tests, and analyses that 
the holder of a combined license referencing the early site permit shall 
perform, and the acceptance criteria that 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 be operated in conformity with the emergency 
plans, the provisions of the Act, and the Commission's rules and 
regulations. Major features of an emergency plan submitted under 
paragraph (b)(2)(i) of this section may include proposed inspections, 
tests, analyses, and acceptance criteria.
    (4) Under paragraphs (b)(1) and (b)(2)(i) of this section, the site 
safety analysis report must include a description of contacts and 
arrangements made with Federal, State, and local governmental agencies 
with emergency planning responsibilities. The site safety analysis 
report must contain any certifications that have been obtained. If these 
certifications cannot be obtained, the site safety analysis report must 
contain information, including a utility plan, sufficient to show that 
the proposed plans provide reasonable assurance that adequate protective 
measures can and will be taken in the event of a radiological emergency 
at the site. 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 under the plans in the event of an emergency.
    (c) An applicant may request that a limited work authorization under 
10 CFR 50.10 be issued in conjunction with the early site permit. The 
application must include the information otherwise required by 10 CFR 
50.10(d)(3). Applications submitted before, and pending as of November 
8, 2007, must include the information required by Sec. 52.17(c) 
effective on the date of docketing.

[72 FR 49517, Aug. 28, 2007, as amended at 72 FR 57447, Oct. 9, 2007]



Sec. 52.18  Standards for review of applications.

    Applications filed under this subpart will be reviewed according to 
the applicable standards set out in 10 CFR part

[[Page 79]]

50 and its appendices and 10 CFR part 100. In addition, the Commission 
shall prepare an environmental impact statement during review of the 
application, in accordance with the applicable provisions of 10 CFR part 
51. The Commission shall determine, after consultation with DHS, whether 
the information required of the applicant by Sec. 52.17(b)(1) shows 
that there is no significant impediment to the development of emergency 
plans that cannot be mitigated or eliminated by measures proposed by the 
applicant, whether any major features of emergency plans submitted by 
the applicant under Sec. 52.17(b)(2)(i) are acceptable in accordance 
with the applicable standards of 10 CFR 50.47 and the requirements of 
appendix E to 10 CFR part 50, and whether any emergency plans submitted 
by the applicant under Sec. 52.17(b)(2)(ii) provide reasonable 
assurance that adequate protective measures can and will be taken in the 
event of a radiological emergency.



Sec. 52.21  Administrative review of applications; hearings.

    An early site permit is subject to all procedural requirements in 10 
CFR part 2, including the requirements for docketing in Sec. 
2.101(a)(1) through (4) of this chapter, and the requirements for 
issuance of a notice of hearing in Sec. Sec. 2.104(a) and (d) of this 
chapter, 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 construction 
and operation of the reactor or reactors, or an analysis of alternative 
energy sources. The presiding officer in an early site permit hearing 
shall not admit contentions proffered by any party concerning an 
assessment of the benefits of construction and operation of the reactor 
or reactors, or an analysis of alternative energy sources if those 
issues were not addressed by the applicant in the early site permit 
application. All hearings conducted on applications for early site 
permits filed under this part are governed by the procedures contained 
in subparts C, G, L, and N of 10 CFR part 2, as applicable.



Sec. 52.23  Referral to the Advisory Committee on Reactor Safeguards (ACRS).

    The Commission shall refer a copy of the application for an early 
site permit to the ACRS. The ACRS shall report on those portions of the 
application which concern safety.



Sec. 52.24  Issuance of early site permit.

    (a) After conducting a hearing under Sec. 52.21 and receiving the 
report to be submitted by the ACRS under Sec. 52.23, the Commission may 
issue an early site permit, in the form the Commission deems 
appropriate, if the Commission finds that:
    (1) An application for an early site permit meets the applicable 
standards and requirements of the Act and the Commission's regulations;
    (2) Notifications, if any, to other agencies or bodies have been 
duly made;
    (3) There is reasonable assurance that the site is in conformity 
with the provisions of the Act, and the Commission's regulations;
    (4) The applicant is technically qualified to engage in any 
activities authorized;
    (5) The proposed inspections, tests, analyses and acceptance 
criteria, including any on emergency planning, are necessary and 
sufficient, within the scope of the early site permit, to provide 
reasonable assurance that the facility has been constructed and will be 
operated in conformity with the license, the provisions of the Act, and 
the Commission's regulations;
    (6) Issuance of the permit will not be inimical to the common 
defense and security or to the health and safety of the public;
    (7) Any significant adverse environmental impact resulting from 
activities requested under Sec. 52.17(c) can be redressed; and
    (8) The findings required by subpart A of 10 CFR part 51 have been 
made.
    (b) The early site permit must specify the site characteristics, 
design parameters, and terms and conditions of the early site permit the 
Commission deems appropriate. Before issuance of either a construction 
permit or combined license referencing an early site permit, the 
Commission shall find that

[[Page 80]]

any relevant terms and conditions of the early site permit have been 
met. Any terms or conditions of the early site permit that could not be 
met by the time of issuance of the construction permit or combined 
license, must be set forth as terms or conditions of the construction 
permit or combined license.
    (c) The early site permit shall specify those 10 CFR 50.10 
activities requested under Sec. 52.17(c) that the permit holder is 
authorized to perform.

[72 FR 49517, Aug. 28, 2007, as amended at 72 FR 57447, Oct. 9, 2007]



Sec. 52.25  Extent of activities permitted.

    If the activities authorized by Sec. 52.24(c) are performed 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 remains in effect solely for 
the purpose of site redress, and the holder of the permit shall redress 
the site in accordance with the terms of the site redress plan required 
by Sec. 52.17(c). If, before redress is complete, a use not envisaged 
in the redress plan is found for the site or parts thereof, the holder 
of the permit shall carry out the redress plan to the greatest extent 
possible consistent with the alternate use.



Sec. 52.26  Duration of permit.

    (a) Except as provided in paragraph (b) of this section, an early 
site permit issued under this subpart may be valid for not less than 10, 
nor more than 20 years from the date of issuance.
    (b) 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 that references the early site permit and 
is docketed before the date of expiration of the early site permit, or, 
if a timely application for renewal of the permit has been docketed, 
before the Commission has determined whether to renew the permit.
    (c) An applicant for a construction permit or combined license may, 
at its own risk, reference in its application a site for which an early 
site permit application has been docketed but not granted.
    (d) Upon issuance of a construction permit or combined license, a 
referenced early site permit is subsumed, to the extent referenced, into 
the construction permit or combined license.

[72 FR 49517, Aug. 28, 2007. Redesignated at 72 FR 57447, Oct. 9, 2007]



Sec. 52.27  Limited work authorization after issuance of early site permit.

    A holder of an early site permit may request a limited work 
authorization in accordance with Sec. 50.10 of this chapter.

[72 FR 57447, Oct. 9, 2007]



Sec. 52.28  Transfer of early site permit.

    An application to transfer an early site permit will be processed 
under 10 CFR 50.80.



Sec. 52.29  Application for renewal.

    (a) Not less than 12, nor more than 36 months before the expiration 
date stated in the early site permit, or any later renewal period, the 
permit holder may apply for a renewal of the permit. An application for 
renewal must contain all information necessary to bring up to date the 
information and data contained in the previous application.
    (b) Any person whose interests may be affected by renewal of the 
permit may request a hearing on the application for renewal. The request 
for a hearing must comply with 10 CFR 2.309. If a hearing is granted, 
notice of the hearing will be published in accordance with 10 CFR 2.309.
    (c) An early site permit, either original or renewed, for which a 
timely application for renewal has been filed, remains in effect until 
the Commission has determined whether to renew the permit. If the permit 
is not renewed, it continues to be valid in certain proceedings in 
accordance with the provisions of Sec. 52.27(b).
    (d) The Commission shall refer a copy of the application for renewal 
to the ACRS. The ACRS shall report on those portions of the application 
which concern safety and shall apply the criteria set forth in Sec. 
52.31.

[[Page 81]]



Sec. 52.31  Criteria for renewal.

    (a) The Commission shall grant the renewal if it determines that:
    (1) The site complies with the Act, the Commission's regulations, 
and orders applicable and in effect at the time the site permit was 
originally issued; and
    (2) Any new requirements the Commission may wish to impose are:
    (i) Necessary for adequate protection to public health and safety or 
common defense and security;
    (ii) Necessary for compliance with the Commission's regulations, and 
orders applicable and in effect at the time the site permit was 
originally issued; or
    (iii) 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 the direct and indirect costs of 
implementation of those requirements are justified in view of this 
increased protection.
    (b) A denial of renewal for failure to comply with the provisions of 
Sec. 52.31(a) 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 that it is used to correct the deficiencies cited in the 
denial of the renewal.



Sec. 52.33  Duration of renewal.

    Each renewal of an early site permit may be for not less than 10, 
nor more than 20 years, plus any remaining years on the early site 
permit then in effect before renewal.



Sec. 52.35  Use of site for other purposes.

    A site for which an early site permit has been issued under this 
subpart may be used for purposes other than those described in the 
permit, including the location of other types of energy facilities. The 
permit holder shall inform the Director of New Reactors or the Director 
of Nuclear Reactor Regulation, as appropriate, (Director) 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 at least 30 days in advance of any actual construction or site 
modification for the activities. The information provided could be the 
basis for imposing new requirements on the permit, in accordance with 
the provisions of Sec. 52.39. If the permit holder informs the Director 
that the holder no longer intends to use the site for a nuclear power 
plant, the Director may terminate the permit.



Sec. 52.39  Finality of early site permit determinations.

    (a) Commission finality. (1) Notwithstanding any provision in 10 CFR 
50.109, while an early site permit is in effect under Sec. Sec. 52.27 
or 52.33, the Commission may not change or impose new site 
characteristics, design parameters, or terms and conditions, including 
emergency planning requirements, on the early site permit unless the 
Commission:
    (i) Determines that a modification is necessary 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;
    (ii) Determines the modification is necessary to assure adequate 
protection of the public health and safety or the common defense and 
security;
    (iii) Determines that a modification is necessary based on an update 
under paragraph (b) of this section; or
    (iv) Issues a variance requested under paragraph (d) of this 
section.
    (2) In making the findings required for issuance of a construction 
permit or combined license, or the findings required by Sec. 52.103, or 
in any enforcement hearing other than one initiated by the Commission 
under paragraph (a)(1) of this section, if the application for the 
construction permit 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, except as provided for in paragraphs (b), (c), and (d) of this 
section.
    (i) If the early site permit approved an emergency plan (or major 
features thereof) that is in use by a licensee of a nuclear power plant, 
the Commission shall treat as resolved changes to the early site permit 
emergency plan (or major features thereof) that are identical to changes 
made to the licensee's

[[Page 82]]

emergency plans in compliance with Sec. 50.54(q) of this chapter 
occurring after issuance of the early site permit.
    (ii) If the early site permit approved an emergency plan (or major 
features thereof) that is not in use by a licensee of a nuclear power 
plant, the Commission shall treat as resolved changes that are 
equivalent to those that could be made under Sec. 50.54(q) of this 
chapter without prior NRC approval had the emergency plan been in use by 
a licensee.
    (b) Updating of early site permit-emergency preparedness. 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 shall update the emergency preparedness 
information that was provided under Sec. 52.17(b), and discuss whether 
the updated information materially changes the bases for compliance with 
applicable NRC requirements.
    (c) Hearings and petitions. (1) In any proceeding for the issuance 
of a construction permit, operating license, or combined license 
referencing an early site permit, contentions on the following matters 
may be litigated in the same manner as other issues material to the 
proceeding:
    (i) The nuclear power reactor proposed to be built does not fit 
within one or more of the site characteristics or design parameters 
included in the early site permit;
    (ii) One or more of the terms and conditions of the early site 
permit have not been met;
    (iii) A variance requested under paragraph (d) of this section is 
unwarranted or should be modified;
    (iv) New or additional information is provided in the application 
that substantially alters the bases for a previous NRC conclusion or 
constitutes a sufficient basis for the Commission to modify or impose 
new terms and conditions related to emergency preparedness; or
    (v) Any significant environmental issue that was not resolved in the 
early site permit proceeding, or any issue involving the impacts of 
construction and operation of the facility that was resolved in the 
early site permit proceeding for which significant new information has 
been identified.
    (2) Any person may file a petition requesting that the site 
characteristics, design parameters, or terms and conditions of the early 
site permit should be modified, or that the permit should be suspended 
or revoked. The petition will be considered in accordance with Sec. 
2.206 of this chapter. Before construction commences, the Commission 
shall consider the petition and determine whether any immediate action 
is required. If the petition is granted, 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. Any change required by the Commission in 
response to the petition must meet the requirements of paragraph (a)(1) 
of this section.
    (d) Variances. An applicant for a construction permit, operating 
license, or combined license referencing an early site permit may 
include in its application a request for a variance from one or more 
site characteristics, design parameters, or terms and conditions of the 
early site permit, or from the site safety analysis report. In 
determining whether to grant the variance, the Commission shall apply 
the same technically relevant criteria applicable to the application for 
the original or renewed early site permit. Once a construction permit or 
combined license referencing an early site permit is issued, variances 
from the early site permit will not be granted for that construction 
permit or combined license.
    (e) Early site permit amendment. The holder of an early site permit 
may not make changes to the early site permit, including the site safety 
analysis report, without prior Commission approval. The request for a 
change to the early site permit must be in the form of an application 
for a license amendment, and must meet the requirements of 10 CFR 50.90 
and 50.92.
    (f) Information requests. Except for information requests seeking to 
verify compliance with the current licensing basis of the early site 
permit, information requests to the holder of an early site permit must 
be evaluated before issuance to ensure that the burden to

[[Page 83]]

be imposed on respondents is justified in view of the potential safety 
significance of the issue to be addressed in the requested information. 
Each evaluation performed by the NRC staff must be in accordance with 10 
CFR 50.54(f), and must be approved by the Executive Director for 
Operations or his or her designee before issuance of the request.



                Subpart B_Standard Design Certifications



Sec. 52.41  Scope of subpart.

    (a) This subpart sets forth the requirements and procedures 
applicable to Commission issuance of rules granting standard design 
certifications for nuclear power facilities separate from the filing of 
an application for a construction permit or combined license for such a 
facility.
    (b)(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 April 18, 1989.
    (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 (b)(1) of this section or 
uses simplified, inherent, passive, or other innovative means to 
accomplish its safety functions.



Sec. 52.43  Relationship to other subparts.

    (a) This subpart applies to a person that requests a standard design 
certification from the NRC separately from an application for a combined 
license filed under subpart C of this part for a nuclear power facility. 
An applicant for a combined license may reference a standard design 
certification.
    (b) Subpart E of this part governs the NRC staff review and approval 
of a final standard design. Subpart E may be used independently of the 
provisions in this subpart.
    (c) Subpart F of 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. Subpart F may 
be used independently of the provisions in this subpart. However, an 
applicant for a manufacturing license under subpart F may reference a 
design certification.



Sec. 52.45  Filing of applications.

    (a) An application for design certification may be filed 
notwithstanding the fact that an application for a construction permit, 
combined license, or manufacturing license for such a facility has not 
been filed.
    (b) The application must comply with the applicable filing 
requirements of Sec. Sec. 52.3 and Sec. Sec. 2.811 through 2.819 of 
this chapter.
    (c) The fees associated with the review of an application for the 
initial issuance or renewal of a standard design certification are set 
forth in 10 CFR part 170.



Sec. 52.46  Contents of applications; general information.

    The application must contain all of the information required by 10 
CFR 50.33(a) through (c) and (j).



Sec. 52.47  Contents of applications; technical information.

    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, before design certification, 
that information normally contained in certain procurement 
specifications and construction and installation specifications be 
completed and available for audit if the information is necessary for 
the Commission to make its safety determination.
    (a) The application must contain a final safety analysis report 
(FSAR) that describes the facility, presents the

[[Page 84]]

design bases and the limits on its operation, and presents a safety 
analysis of the structures, systems, and components and of the facility 
as a whole, and must include the following information:
    (1) The site parameters postulated for the design, and an analysis 
and evaluation of the design in terms of those site parameters;
    (2) A description and analysis of the structures, systems, and 
components (SSCs) of the facility, with emphasis upon performance 
requirements, the bases, with technical justification therefor, upon 
which these requirements have been established, and the evaluations 
required to show that safety functions will be accomplished. It is 
expected that the standard plant will reflect through its design, 
construction, and operation an extremely low probability for accidents 
that could result in the release of significant quantities of 
radioactive fission products. The description shall be sufficient to 
permit understanding of the system designs and their relationship to the 
safety evaluations. Such items as the reactor core, reactor coolant 
system, instrumentation and control systems, electrical systems, 
containment system, other engineered safety features, auxiliary and 
emergency systems, power conversion systems, radioactive waste handling 
systems, and fuel handling systems shall be discussed insofar as they 
are pertinent. The following power reactor design characteristics will 
be taken into consideration by the Commission:
    (i) Intended use of the reactor including the proposed maximum power 
level and the nature and inventory of contained radioactive materials;
    (ii) The extent to which generally accepted engineering standards 
are applied to the design of the reactor;
    (iii) The extent to which the reactor incorporates unique, unusual 
or enhanced safety features having a significant bearing on the 
probability or consequences of accidental release of radioactive 
materials; and
    (iv) The safety features that are to be engineered into the facility 
and those barriers that must be breached as a result of an accident 
before a release of radioactive material to the environment can occur. 
Special attention must be directed to plant design features intended to 
mitigate the radiological consequences of accidents. In performing this 
assessment, an applicant shall assume a fission product release \3\ from 
the core into the containment assuming that the facility is operated at 
the ultimate power level contemplated. The applicant shall perform an 
evaluation and analysis of the postulated fission product release, using 
the expected demonstrable containment leak rate and any fission product 
cleanup systems intended to mitigate the consequences of the accidents, 
together with applicable postulated site parameters, including site 
meteorology, to evaluate the offsite radiological consequences. The 
evaluation must determine that:
---------------------------------------------------------------------------

    \3\ The fission product release assumed for this evaluation should 
be based upon a major accident, hypothesized for purposes of site 
analysis or postulated from considerations of possible accidental 
events. These accidents have generally been assumed to result in 
substantial meltdown of the core with subsequent release into the 
containment of appreciable quantities of fission products.
---------------------------------------------------------------------------

    (A) An individual located at any point on the boundary of the 
exclusion area for any 2-hour period following the onset of the 
postulated fission product release, would not receive a radiation dose 
in excess of 25 rem \4\ total effective dose equivalent (TEDE);
---------------------------------------------------------------------------

    \4\ A whole body dose of 25 rem has been stated to correspond 
numerically to the once in a lifetime accidental or emergency dose for 
radiation workers which, according to NCRP recommendations at the time 
could be disregarded in the determination of their radiation exposure 
status (see NBS Handbook 69 dated June 5, 1959). However, its use is not 
intended to imply that this number constitutes an acceptable limit for 
an emergency dose to the public under accident conditions. This dose 
value has been set forth in this section as a reference value, which can 
be used in the evaluation of plant design features with respect to 
postulated reactor accidents, to assure that these designs provide 
assurance of low risk of public exposure to radiation, in the event of 
an accident.
---------------------------------------------------------------------------

    (B) An individual located at any point on the outer boundary of the 
low population zone, who is exposed to the radioactive cloud resulting 
from the postulated fission product release (during the entire period of 
its passage)

[[Page 85]]

would not receive a radiation dose in excess of 25 rem TEDE;
    (3) The design of the facility including:
    (i) The principal design criteria for the facility. Appendix A to 10 
CFR part 50, general design criteria (GDC), establishes minimum 
requirements for the principal design criteria for water-cooled nuclear 
power plants similar in design and location to plants for which 
construction permits have previously been issued by the Commission and 
provides guidance to applicants in establishing principal design 
criteria for other types of nuclear power units;
    (ii) The design bases and the relation of the design bases to the 
principal design criteria;
    (iii) Information relative to materials of construction, general 
arrangement, and approximate dimensions, sufficient to provide 
reasonable assurance that the design will conform to the design bases 
with an adequate margin for safety;
    (4) An analysis and evaluation of the design and performance of 
structures, systems, and components with the objective of assessing the 
risk to public health and safety resulting from operation of the 
facility and including determination of the margins of safety during 
normal operations and transient conditions anticipated during the life 
of the facility, and the adequacy of structures, systems, and components 
provided for the prevention of accidents and the mitigation of the 
consequences of accidents. Analysis and evaluation of emergency core 
cooling system (ECCS) cooling performance and the need for high-point 
vents following postulated loss-of-coolant accidents shall be performed 
in accordance with the requirements of Sec. Sec. 50.46 and 50.46a of 
this chapter;
    (5) The kinds and quantities of radioactive materials expected to be 
produced in the operation and the means for controlling and limiting 
radioactive effluents and radiation exposures within the limits set 
forth in part 20 of this chapter;
    (6) The information required by Sec. 20.1406 of this chapter;
    (7) The technical qualifications of the applicant to engage in the 
proposed activities in accordance with the regulations in this chapter;
    (8) The information necessary to demonstrate compliance with any 
technically relevant portions of the Three Mile Island requirements set 
forth in 10 CFR 50.34(f), except paragraphs (f)(1)(xii), (f)(2)(ix), and 
(f)(3)(v);
    (9) For applications for light-water-cooled nuclear power plants, an 
evaluation of the standard plant design against the Standard Review Plan 
(SRP) revision in effect 6 months before the docket date of the 
application. The evaluation required by this section shall include an 
identification and description of all differences in design features, 
analytical techniques, and procedural measures proposed for the design 
and those corresponding features, techniques, and measures given in the 
SRP acceptance criteria. Where a difference exists, the evaluation shall 
discuss how the proposed alternative provides an acceptable method of 
complying with the Commission's regulations, or portions thereof, that 
underlie the corresponding SRP acceptance criteria. The SRP is not a 
substitute for the regulations, and compliance is not a requirement.
    (10) The information with respect to the design of equipment to 
maintain control over radioactive materials in gaseous and liquid 
effluents produced during normal reactor operations described in 10 CFR 
50.34a(e);
    (11) Proposed technical specifications prepared in accordance with 
the requirements of Sec. Sec. 50.36 and 50.36a of this chapter;
    (12) An analysis and description of the equipment and systems for 
combustible gas control as required by 10 CFR 50.44;
    (13) The list of electric equipment important to safety that is 
required by 10 CFR 50.49(d);
    (14) A description of protection provided against pressurized 
thermal shock events, including projected values of the reference 
temperature for reactor vessel beltline materials as defined in 10 CFR 
50.60 and 50.61;
    (15) Information demonstrating how the applicant will comply with 
requirements for reduction of risk from anticipated transients without 
scram events in Sec. 50.62;

[[Page 86]]

    (16) A coping analysis, and any design features necessary to address 
station blackout, as required by 10 CFR 50.63;
    (17) Information demonstrating how the applicant will comply with 
requirements for criticality accidents in Sec. 50.68(b)(2)-(b)(4);
    (18) A description and analysis of the fire protection design 
features for the standard plant necessary to comply with 10 CFR part 50, 
appendix A, GDC 3, and Sec. 50.48 of this chapter;
    (19) A description of the quality assurance program applied to the 
design of the structures, systems, and components of the facility. 
Appendix B to 10 CFR part 50, ``Quality Assurance Criteria for Nuclear 
Power Plants and Fuel Reprocessing Plants,'' sets forth the requirements 
for quality assurance programs for nuclear power plants. The description 
of the quality assurance program for a nuclear power plant shall include 
a discussion of how the applicable requirements of appendix B to 10 CFR 
part 50 were satisfied;
    (20) The information necessary to demonstrate that the standard 
plant complies with the earthquake engineering criteria in 10 CFR part 
50, appendix S;
    (21) 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 up to 6 
months before the docket date of the application and which are 
technically relevant to the design;
    (22) The information necessary to demonstrate how operating 
experience insights have been incorporated into the plant design;
    (23) For light-water reactor designs, a description and analysis of 
design features for the prevention and mitigation of severe accidents, 
e.g., challenges to containment integrity caused by core-concrete 
interaction, steam explosion, high-pressure core melt ejection, hydrogen 
combustion, and containment bypass;
    (24) A representative conceptual design for those portions of the 
plant for which the application does not seek certification, to aid the 
NRC in its review of the FSAR and to permit assessment of the adequacy 
of the interface requirements in paragraph (a)(25) of this section;
    (25) 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 
FSAR;
    (26) Justification that compliance with the interface requirements 
of paragraph (a)(25) of this section is verifiable through inspections, 
tests, or analyses. The method to be used for verification of interface 
requirements must be included as part of the proposed ITAAC required by 
paragraph (b)(1) of this section; and
    (27) A description of the design-specific probabilistic risk 
assessment (PRA) and its results.
    (b) The application must also contain:
    (1) The proposed inspections, tests, analyses, and acceptance 
criteria that are necessary and sufficient to provide reasonable 
assurance that, if the inspections, tests, and analyses are performed 
and the acceptance criteria met, a facility that incorporates the design 
certification has been constructed and will be operated in conformity 
with the design certification, the provisions of the Act, and the 
Commission's rules and regulations; and
    (2) An environmental report as required by 10 CFR 51.55.
    (c) This paragraph applies, according to its provisions, to 
particular applications:
    (1) An application for certification of a nuclear power reactor 
design that is an evolutionary change from light-water reactor designs 
of plants that have been licensed and in commercial operation before 
April 18, 1989, must provide an essentially complete nuclear power plant 
design except for site-specific elements such as the service water 
intake structure and the ultimate heat sink;
    (2) An application for certification of a nuclear power reactor 
design that differs significantly from the light-water reactor designs 
described in paragraph (c)(1) of this section or uses simplified, 
inherent, passive, or other innovative

[[Page 87]]

means to accomplish its safety functions must provide an essentially 
complete nuclear power reactor design except for site-specific elements 
such as the service water intake structure and the ultimate heat sink, 
and must meet the requirements of 10 CFR 50.43(e); and
    (3) An application for certification of a modular nuclear power 
reactor design must describe and analyze the possible operating 
configurations of the reactor modules with common systems, interface 
requirements, and system interactions. The final safety analysis must 
also account for differences among the configurations, including any 
restrictions that will be necessary during the construction and startup 
of a given module to ensure the safe operation of any module already 
operating.



Sec. 52.48  Standards for review of applications.

    Applications filed under this subpart will be reviewed for 
compliance with the standards set out in 10 CFR parts 20, 50 and its 
appendices, 51, 73, and 100.



Sec. 52.51  Administrative review of applications.

    (a) A standard design certification is a rule that will be issued in 
accordance with the provisions of subpart H of 10 CFR part 2, as 
supplemented by the provisions of this section. The Commission shall 
initiate the rulemaking after an application has been filed under Sec. 
52.45 and shall specify the procedures to be used for the rulemaking. 
The notice of proposed rulemaking published in the Federal Register must 
provide an opportunity for the submission of comments on the proposed 
design certification rule. If, at the time a proposed design 
certification rule is published in the Federal Register under this 
paragraph (a), the Commission decides that a legislative hearing should 
be held, the information required by 10 CFR 2.1502(c) must be included 
in the Federal Register document for the proposed design certification.
    (b) Following the submission of comments on the proposed design 
certification rule, the Commission may, at its discretion, hold a 
legislative hearing under the procedures in subpart O of part 2 of this 
chapter. The Commission shall publish a document in the Federal Register 
of its decision to hold a legislative hearing. The document shall 
contain the information specified in paragraph (c) of this section, and 
specify whether the Commission or a presiding officer will conduct the 
legislative hearing.
    (c) Notwithstanding anything in 10 CFR 2.390 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 licenses, provided that the design certification shall 
be published in Chapter I of this title.



Sec. 52.53  Referral to the Advisory Committee on Reactor Safeguards (ACRS).

    The Commission shall refer a copy of the application to the ACRS. 
The ACRS shall report on those portions of the application which concern 
safety.



Sec. 52.54  Issuance of standard design certification.

    (a) After conducting a rulemaking proceeding under Sec. 52.51 on an 
application for a standard design certification and receiving the report 
to be submitted by the Advisory Committee on Reactor Safeguards under 
Sec. 52.53, the Commission may issue a standard design certification in 
the form of a rule for the design which is the subject of the 
application, if the Commission determines that:
    (1) The application meets the applicable standards and requirements 
of the Atomic Energy Act and the Commission's regulations;
    (2) Notifications, if any, to other agencies or bodies have been 
duly made;
    (3) There is reasonable assurance that the standard design conforms 
with the provisions of the Act, and the Commission's regulations;
    (4) The applicant is technically qualified;
    (5) The proposed inspections, tests, analyses, and acceptance 
criteria are necessary and sufficient, within the scope of the standard 
design, to provide reasonable assurance that, if the inspections, tests, 
and analyses are performed and the acceptance criteria

[[Page 88]]

met, the facility has been constructed and will be operated in 
accordance with the design certification, the provisions of the Act, and 
the Commission's regulations;
    (6) Issuance of the standard design certification will not be 
inimical to the common defense and security or to the health and safety 
of the public;
    (7) The findings required by subpart A of part 51 of this chapter 
have been made; and
    (8) The applicant has implemented the quality assurance program 
described or referenced in the safety analysis report.
    (b) The design certification rule must specify the site parameters, 
design characteristics, and any additional requirements and restrictions 
of the design certification rule.
    (c) After the Commission has adopted a final design certification 
rule, the applicant shall 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 
access under the provisions of 10 CFR parts 25 and/or 95, as applicable.



Sec. 52.55  Duration of certification.

    (a) Except as provided in paragraph (b) of this section, a standard 
design certification issued under this subpart is valid for 15 years 
from the date of issuance.
    (b) A standard design certification continues to be valid beyond the 
date of expiration in any proceeding on an application for a combined 
license or an operating license that references the standard design 
certification and is docketed either before the date of expiration of 
the certification, or, if a timely application for renewal of the 
certification has been filed, before the Commission has determined 
whether to renew the certification. A design certification also 
continues to be valid beyond the date of expiration in any hearing held 
under Sec. 52.103 before operation begins under a combined license that 
references the design certification.
    (c) An applicant for a construction permit or a combined license 
may, at its own risk, reference in its application a design for which a 
design certification application has been docketed but not granted.



Sec. 52.57  Application for renewal.

    (a) Not less than 12 nor more than 36 months before the expiration 
of the initial 15-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, before renewal of certification, that 
information normally contained in certain procurement specifications and 
construction and installation specifications be completed and available 
for audit if this information is necessary for the Commission to make 
its safety determination. Notice and comment procedures must be used for 
a rulemaking proceeding on the application for renewal. The Commission, 
in its discretion, may require the use of additional procedures in 
individual renewal proceedings.
    (b) A design certification, either original or renewed, for which a 
timely application for renewal has been filed remains in effect until 
the Commission has determined whether to renew the certification. If the 
certification is not renewed, it continues to be valid in certain 
proceedings, in accordance with the provisions of Sec. 52.55.
    (c) The Commission shall refer a copy of the application for renewal 
to the Advisory Committee on Reactor Safeguards (ACRS). The ACRS shall 
report on those portions of the application which concern safety and 
shall apply the criteria set forth in Sec. 52.59.



Sec. 52.59  Criteria for renewal.

    (a) The Commission shall issue a rule granting the renewal if the 
design, either as originally certified or as modified during the 
rulemaking on the renewal, complies with the Atomic Energy Act and the 
Commission's regulations applicable and in effect at the time the 
certification was issued.
    (b) The Commission may impose other requirements if it determines 
that:

[[Page 89]]

    (1) They are necessary for adequate protection to public health and 
safety or common defense and security;
    (2) They are necessary for compliance with the Commission's 
regulations and orders applicable and in effect at the time the design 
certification was issued; or
    (3) 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 the direct and indirect costs of 
implementing those requirements are justified in view of this increased 
protection.
    (c) 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 of 
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 must be filed 
in accordance with this subpart.
    (d) 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 that correct the deficiencies 
cited in the denial of the renewal.



Sec. 52.61  Duration of renewal.

    Each renewal of certification for a standard design will be for not 
less than 10, nor more than 15 years.



Sec. 52.63  Finality of standard design certifications.

    (a)(1) Notwithstanding any provision in 10 CFR 50.109, while a 
standard design certification rule is in effect under Sec. Sec. 52.55 
or 52.61, the Commission may not modify, rescind, or impose new 
requirements on the certification information, whether on its own 
motion, or in response to a petition from any person, unless the 
Commission determines in a rulemaking that the change:
    (i) Is necessary either to bring the certification information or 
the referencing plants into compliance with the Commission's regulations 
applicable and in effect at the time the certification was issued;
    (ii) Is necessary to provide adequate protection of the public 
health and safety or the common defense and security;
    (iii) Reduces unnecessary regulatory burden and maintains protection 
to public health and safety and the common defense and security;
    (iv) Provides the detailed design information to be verified under 
those inspections, tests, analyses, and acceptance criteria (ITAAC) 
which are directed at certification information (i.e., design acceptance 
criteria);
    (v) Is necessary to correct material errors in the certification 
information;
    (vi) Substantially increases overall safety, reliability, or 
security of facility design, construction, or operation, and the direct 
and indirect costs of implementation of the rule change are justified in 
view of this increased safety, reliability, or security; or
    (vii) Contributes to increased standardization of the certification 
information.
    (2)(i) In a rulemaking under Sec. 52.63(a)(1), except for Sec. 
52.63(a)(1)(ii), the Commission will give consideration to whether the 
benefits justify the costs for plants that are already licensed or for 
which an application for a permit or license is under consideration.
    (ii) The rulemaking procedures for changes under Sec. 52.63(a)(1) 
must provide for notice and opportunity for public comment.
    (3) 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)(4) or (b)(1) of this section.
    (4) 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 rule if that part was approved in the design 
certification while a design certification rule is in effect under Sec. 
52.55 or Sec. 52.61, unless:

[[Page 90]]

    (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 52.7 are present. In 
addition to the factors listed in Sec. 52.7, the Commission shall 
consider whether the special circumstances which Sec. 52.7 requires to 
be present outweigh any decrease in safety that may result from the 
reduction in standardization caused by the plant-specific order.
    (5) Except as provided in 10 CFR 2.335, in making the findings 
required for issuance of a combined license, construction permit, 
operating license, or manufacturing license, or for any hearing under 
Sec. 52.103, the Commission shall treat as resolved those matters 
resolved in connection with the issuance or renewal of a design 
certification rule.
    (b)(1) An applicant or licensee who references a design 
certification rule may request an exemption from one or more elements of 
the certification information. The Commission may grant such a request 
only if it determines that the exemption will comply with the 
requirements of Sec. 52.7. In addition to the factors listed in Sec. 
52.7, the Commission shall consider whether the special circumstances 
that Sec. 52.7 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 is 
subject to litigation in the same manner as other issues in the 
operating license or combined license hearing.
    (2) Subject to Sec. 50.59 of this chapter, a licensee who 
references a design certification rule may make departures from the 
design of the nuclear power facility, without prior Commission approval, 
unless the proposed departure involves a change to the design as 
described in the rule certifying the design. The licensee shall maintain 
records of all departures from the facility and these records must be 
maintained and available for audit until the date of termination of the 
license.
    (c) The Commission will require, before granting a construction 
permit, combined license, operating license, or manufacturing license 
which references a design certification rule, that information normally 
contained in certain procurement specifications and construction and 
installation specifications be completed and available for audit if the 
information is necessary for the Commission to make its safety 
determinations, including the determination that the application is 
consistent with the certification information. This information may be 
acquired by appropriate arrangements with the design certification 
applicant.



                       Subpart C_Combined Licenses



Sec. 52.71  Scope of subpart.

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



Sec. 52.73  Relationship to other subparts.

    (a) An application for a combined license under this subpart may, 
but need not, reference a standard design certification, standard design 
approval, or manufacturing license issued under subparts B, E, or F of 
this part, respectively, or an early site permit issued under subpart A 
of this part. In the absence of a demonstration that an entity other 
than the one originally sponsoring and obtaining a design certification 
is qualified to supply a design, the Commission will entertain an 
application for a combined license that references a standard design 
certification issued under subpart B of this part only if the entity 
that sponsored and obtained the certification supplies the design for 
the applicant's use.
    (b) The Commission will require, before granting a combined license 
that 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 the information is necessary for the Commission to make its 
safety determinations, including the determination that the application 
is consistent with the certification information.

[[Page 91]]



Sec. 52.75  Filing of applications.

    (a) 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 New Reactors or the Director of Nuclear Reactor Regulation, 
as appropriate.
    (b) The application must comply with the applicable filing 
requirements of Sec. Sec. 52.3 and 50.30 of this chapter.
    (c) The fees associated with the filing and review of the 
application are set forth in 10 CFR part 170.



Sec. 52.77  Contents of applications; general information.

    The application must contain all of the information required by 10 
CFR 50.33.



Sec. 52.79  Contents of applications; technical information in final safety analysis report.

    (a) The application must contain a final safety analysis report that 
describes the facility, presents the design bases and the limits on its 
operation, and presents a safety analysis of the structures, systems, 
and components of the facility as a whole. The final safety analysis 
report shall include the following information, at a level of 
information sufficient to enable the Commission to reach a final 
conclusion on all safety matters that must be resolved by the Commission 
before issuance of a combined license:
    (1)(i) The boundaries of the site;
    (ii) The proposed general location of each facility on the site;
    (iii) The seismic, meteorological, hydrologic, and geologic 
characteristics of the proposed site with appropriate consideration of 
the most severe of the natural phenomena that have been historically 
reported for the site and surrounding area and with sufficient margin 
for the limited accuracy, quantity, and time in which the historical 
data have been accumulated;
    (iv) The location and description of any nearby industrial, 
military, or transportation facilities and routes;
    (v) The existing and projected future population profile of the area 
surrounding the site;
    (vi) 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 paragraphs 
(a)(1)(vi)(A) and (a)(1)(vi)(B) of this section. In performing this 
assessment, an applicant shall assume a fission product release \5\ from 
the core into the containment assuming that the facility is operated at 
the ultimate power level contemplated. The applicant shall perform an 
evaluation and analysis of the postulated fission product release, using 
the expected demonstrable containment leak rate and any fission product 
cleanup systems intended to mitigate the consequences of the accidents, 
together with applicable site characteristics, including site 
meteorology, to evaluate the offsite radiological consequences. Site 
characteristics must comply with part 100 of this chapter. The 
evaluation must determine that:
---------------------------------------------------------------------------

    \5\ The fission product release assumed for this evaluation should 
be based upon a major accident, hypothesized for purposes of site 
analysis or postulated from considerations of possible accidental 
events. These accidents have generally been assumed to result in 
substantial meltdown of the core with subsequent release into the 
containment of appreciable quantities of fission products.
---------------------------------------------------------------------------

    (A) An individual located at any point on the boundary of the 
exclusion area for any 2-hour period following the onset of the 
postulated fission product release, would not receive a radiation dose 
in excess of 25 rem \6\ total effective dose equivalent (TEDE).
---------------------------------------------------------------------------

    \6\ A whole body dose of 25 rem has been stated to correspond 
numerically to the once in a lifetime accidental or emergency dose for 
radiation workers which, according to NCRP recommendations at the time 
could be disregarded in the determination of their radiation exposure 
status (see NBS Handbook 69 dated June 5, 1959). However, its use is not 
intended to imply that this number constitutes an acceptable limit for 
an emergency dose to the public under accident conditions. Rather, this 
dose value has been set forth in this section as a reference value, 
which can be used in the evaluation of plant design features with 
respect to postulated reactor accidents, to assure that these designs 
provide assurance of low risk of public exposure to radiation, in the 
event of an accident.

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

[[Page 92]]

    (B) An individual located at any point on the outer boundary of the 
low population zone, who is exposed to the radioactive cloud resulting 
from the postulated fission product release (during the entire period of 
its passage) would not receive a radiation dose in excess of 25 rem 
TEDE; and
    (2) A description and analysis of the structures, systems, and 
components of the facility with emphasis upon performance requirements, 
the bases, with technical justification therefor, upon which these 
requirements have been established, and the evaluations required to show 
that safety functions will be accomplished. It is expected that reactors 
will reflect through their design, construction, and operation an 
extremely low probability for accidents that could result in the release 
of significant quantities of radioactive fission products. The 
descriptions shall be sufficient to permit understanding of the system 
designs and their relationship to safety evaluations. Items such as the 
reactor core, reactor coolant system, instrumentation and control 
systems, electrical systems, containment system, other engineered safety 
features, auxiliary and emergency systems, power conversion systems, 
radioactive waste handling systems, and fuel handling systems shall be 
discussed insofar as they are pertinent. The following power reactor 
design characteristics and proposed operation will be taken into 
consideration by the Commission:
    (i) Intended use of the reactor including the proposed maximum power 
level and the nature and inventory of contained radioactive materials;
    (ii) The extent to which generally accepted engineering standards 
are applied to the design of the reactor;
    (iii) The extent to which the reactor incorporates unique, unusual 
or enhanced safety features having a significant bearing on the 
probability or consequences of accidental release of radioactive 
materials;
    (iv) The safety features that are to be engineered into the facility 
and those barriers that must be breached as a result of an accident 
before a release of radioactive material to the environment can occur. 
Special attention must be directed to plant design features intended to 
mitigate the radiological consequences of accidents. In performing this 
assessment, an applicant shall assume a fission product release \7\ from 
the core into the containment assuming that the facility is operated at 
the ultimate power level contemplated;
---------------------------------------------------------------------------

    \7\ The fission product release assumed for this evaluation should 
be based upon a major accident, hypothesized for purposes of site 
analysis or postulated from considerations of possible accidental 
events. These accidents have generally been assumed to result in 
substantial meltdown of the core with subsequent release into the 
containment of appreciable quantities of fission products.
---------------------------------------------------------------------------

    (3) The kinds and quantities of radioactive materials expected to be 
produced in the operation and the means for controlling and limiting 
radioactive effluents and radiation exposures within the limits set 
forth in part 20 of this chapter;
    (4) The design of the facility including:
    (i) The principal design criteria for the facility. Appendix A to 
part 50 of this chapter, ``General Design Criteria for Nuclear Power 
Plants,'' establishes minimum requirements for the principal design 
criteria for water-cooled nuclear power plants similar in design and 
location to plants for which construction permits have previously been 
issued by the Commission and provides guidance to applicants in 
establishing principal design criteria for other types of nuclear power 
units;
    (ii) The design bases and the relation of the design bases to the 
principal design criteria;
    (iii) Information relative to materials of construction, 
arrangement, and dimensions, sufficient to provide reasonable assurance 
that the design will conform to the design bases with adequate margin 
for safety.
    (5) An analysis and evaluation of the design and performance of 
structures, systems, and components with the objective of assessing the 
risk to public health and safety resulting from operation of the 
facility and including determination of the margins of safety

[[Page 93]]

during normal operations and transient conditions anticipated during the 
life of the facility, and the adequacy of structures, systems, and 
components provided for the prevention of accidents and the mitigation 
of the consequences of accidents. Analysis and evaluation of ECCS 
cooling performance and the need for high-point vents following 
postulated loss-of-coolant accidents shall be performed in accordance 
with the requirements of Sec. Sec. 50.46 and 50.46a of this chapter;
    (6) A description and analysis of the fire protection design 
features for the reactor necessary to comply with 10 CFR part 50, 
appendix A, GDC 3, and Sec. 50.48 of this chapter;
    (7) A description of protection provided against pressurized thermal 
shock events, including projected values of the reference temperature 
for reactor vessel beltline materials as defined in Sec. Sec. 50.60 and 
50.61(b)(1) and (b)(2) of this chapter;
    (8) An analysis and description of the equipment and systems for 
combustible gas control as required by Sec. 50.44 of this chapter;
    (9) The coping analyses, and any design features necessary to 
address station blackout, as described in Sec. 50.63 of this chapter;
    (10) A description of the program, and its implementation, required 
by Sec. 50.49(a) of this chapter for the environmental qualification of 
electric equipment important to safety and the list of electric 
equipment important to safety that is required by 10 CFR 50.49(d);
    (11) A description of the program(s), and their implementation, 
necessary to ensure that the systems and components meet the 
requirements of the ASME Boiler and Pressure Vessel Code and the ASME 
Code for Operation and Maintenance of Nuclear Power Plants in accordance 
with 50.55a of this chapter;
    (12) A description of the primary containment leakage rate testing 
program, and its implementation, necessary to ensure that the 
containment meets the requirements of appendix J to 10 CFR part 50;
    (13) A description of the reactor vessel material surveillance 
program required by appendix H to 10 CFR part 50 and its implementation;
    (14) A description of the operator training program, and its 
implementation, necessary to meet the requirements of 10 CFR part 55;
    (15) A description of the program, and its implementation, for 
monitoring the effectiveness of maintenance necessary to meet the 
requirements of Sec. 50.65 of this chapter;
    (16)(i) The information with respect to the design of equipment to 
maintain control over radioactive materials in gaseous and liquid 
effluents produced during normal reactor operations, as described in 
Sec. 50.34a(d) of this chapter;
    (ii) A description of the process and effluent monitoring and 
sampling program required by appendix I to 10 CFR part 50 and its 
implementation.
    (17) The information with respect to compliance with technically 
relevant positions of the Three Mile Island requirements in Sec. 
50.34(f) of this chapter, with the exception of Sec. Sec. 
50.34(f)(1)(xii), (f)(2)(ix), and (f)(3)(v);
    (18) If the applicant seeks to use risk-informed treatment of SSCs 
in accordance with Sec. 50.69 of this chapter, the information required 
by Sec. 50.69(b)(2) of this chapter;
    (19) Information necessary to demonstrate that the plant complies 
with the earthquake engineering criteria in 10 CFR part 50, appendix S;
    (20) 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 up to 6 
months before the docket date of the application and which are 
technically relevant to the design;
    (21) Emergency plans complying with the requirements of Sec. 50.47 
of this chapter, and 10 CFR part 50, appendix E;
    (22)(i) All emergency plan certifications that have been obtained 
from the State and local governmental agencies with emergency planning 
responsibilities must state that:
    (A) The proposed emergency plans are practicable;
    (B) These agencies are committed to participating in any further 
development of the plans, including any required field demonstrations; 
and

[[Page 94]]

    (C) These agencies are committed to executing their responsibilities 
under the plans in the event of an emergency;
    (ii) If certifications cannot be obtained after sustained, good 
faith efforts by the applicant, then the application must contain 
information, including a utility plan, sufficient to show that the 
proposed plans provide reasonable assurance that adequate protective 
measures can and will be taken in the event of a radiological emergency 
at the site.
    (23) [Reserved]
    (24) If the application is for a nuclear power reactor design which 
differs significantly from light-water reactor designs that were 
licensed before 1997 or use simplified, inherent, passive, or other 
innovative means to accomplish their safety functions, the application 
must describe how the design meets the requirements in Sec. 50.43(e) of 
this chapter;
    (25) A description of the quality assurance program, applied to the 
design, and to be applied to the fabrication, construction, and testing, 
of the structures, systems, and components of the facility. Appendix B 
to 10 CFR part 50 sets forth the requirements for quality assurance 
programs for nuclear power plants. The description of the quality 
assurance program for a nuclear power plant must include a discussion of 
how the applicable requirements of appendix B to 10 CFR part 50 have 
been and will be satisfied, including a discussion of how the quality 
assurance program will be implemented;
    (26) The applicant's organizational structure, allocations or 
responsibilities and authorities, and personnel qualifications 
requirements for operation;
    (27) Managerial and administrative controls to be used to assure 
safe operation. Appendix B to 10 CFR part 50 sets forth the requirements 
for these controls for nuclear power plants. The information on the 
controls to be used for a nuclear power plant shall include a discussion 
of how the applicable requirements of appendix B to 10 CFR part 50 will 
be satisfied;
    (28) Plans for preoperational testing and initial operations;
    (29)(i) Plans for conduct of normal operations, including 
maintenance, surveillance, and periodic testing of structures, systems, 
and components;
    (ii) Plans for coping with emergencies, other than the plans 
required by Sec. 52.79(a)(21);
    (30) Proposed technical specifications prepared in accordance with 
the requirements of Sec. Sec. 50.36 and 50.36a of this chapter;
    (31) For nuclear power plants to be operated on multi-unit sites, an 
evaluation of the potential hazards to the structures, systems, and 
components important to safety of operating units resulting from 
construction activities, as well as a description of the managerial and 
administrative controls to be used to provide assurance that the 
limiting conditions for operation are not exceeded as a result of 
construction activities at the multi-unit sites;
    (32) The technical qualifications of the applicant to engage in the 
proposed activities in accordance with the regulations in this chapter;
    (33) A description of the training program required by Sec. 50.120 
of this chapter and its implementation;
    (34) A description and plans for implementation of an operator 
requalification program. The operator requalification program must as a 
minimum, meet the requirements for those programs contained in Sec. 
55.59 of this chapter;
    (35)(i) A physical security plan, describing how the applicant will 
meet the requirements of 10 CFR part 73 (and 10 CFR part 11, if 
applicable, including the identification and description of jobs as 
required by Sec. 11.11(a) of this chapter, at the proposed facility). 
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;
    (ii) A description of the implementation of the physical security 
plan;
    (36)(i) A safeguards contingency plan in accordance with the 
criteria set forth in appendix C to 10 CFR part 73. The safeguards 
contingency plan shall include plans for dealing with threats, thefts, 
and radiological sabotage, as defined in part 73 of this chapter, 
relating to the special nuclear material and nuclear facilities licensed 
under this

[[Page 95]]

chapter and in the applicant's possession and control. Each application 
for this type of license shall include the information contained in the 
applicant's safeguards contingency plan.\8\ (Implementing procedures 
required for this plan need not be submitted for approval.)
---------------------------------------------------------------------------

    \8\ A physical security plan that contains all the information 
required in both Sec. 73.55 of this chapter and appendix C to 10 CFR 
part 73 satisfies the requirement for a contingency plan.
---------------------------------------------------------------------------

    (ii) A training and qualification plan in accordance with the 
criteria set forth in appendix B to 10 CFR part 73.
    (iii) A description of the implementation of the safeguards 
contingency plan and the training and qualification plan;
    (iv) Each applicant who prepares a physical security plan, a 
safeguards contingency plan, or a guard qualification and training plan, 
shall protect the plans and other related Safeguards Information against 
unauthorized disclosure in accordance with the requirements of Sec. 
73.21 of this chapter, as appropriate.
    (37) The information necessary to demonstrate how operating 
experience insights have been incorporated into the plant design;
    (38) For light-water reactor designs, a description and analysis of 
design features for the prevention and mitigation of severe accidents, 
e.g., challenges to containment integrity caused by core-concrete 
interaction, steam explosion, high-pressure core melt ejection, hydrogen 
combustion, and containment bypass;
    (39) A description of the radiation protection program required by 
Sec. 20.1101 of this chapter and its implementation.
    (40) A description of the fire protection program required by Sec. 
50.48 of this chapter and its implementation.
    (41) For applications for light-water-cooled nuclear power plant 
combined licenses, an evaluation of the facility against the Standard 
Review Plan (SRP) revision in effect 6 months before the docket date of 
the application. The evaluation required by this section shall include 
an identification and description of all differences in design features, 
analytical techniques, and procedural measures proposed for a facility 
and those corresponding features, techniques, and measures given in the 
SRP acceptance criteria. Where a difference exists, the evaluation shall 
discuss how the proposed alternative provides an acceptable method of 
complying with the Commission's regulations, or portions thereof, that 
underlie the corresponding SRP acceptance criteria. The SRP is not a 
substitute for the regulations, and compliance is not a requirement;
    (42) Information demonstrating how the applicant will comply with 
requirements for reduction of risk from anticipated transients without 
scram (ATWS) events in Sec. 50.62 of this chapter;
    (43) Information demonstrating how the applicant will comply with 
requirements for criticality accidents in Sec. 50.68 of this chapter;
    (44) A description of the fitness-for-duty program required by 10 
CFR part 26 and its implementation.
    (45) The information required by Sec. 20.1406 of this chapter.
    (46) A description of the plant-specific probabilistic risk 
assessment (PRA) and its results.
    (b) If the combined license application references an early site 
permit, then the following requirements apply:
    (1) The final safety analysis report need not contain information or 
analyses submitted to the Commission in connection with the early site 
permit, provided, however, that the final safety analysis report must 
either include or incorporate by reference the early site permit site 
safety analysis report and must contain, in addition to the information 
and analyses otherwise required, information sufficient to demonstrate 
that the design of the facility falls within the site characteristics 
and design parameters specified in the early site permit.
    (2) If the final safety analysis report does not demonstrate that 
design of the facility falls within the site characteristics and design 
parameters, the application shall include a request for a variance that 
complies with the requirements of Sec. Sec. 52.39 and 52.93.
    (3) The final safety analysis report must demonstrate that all terms 
and conditions that have been included in the early site permit, other 
than those imposed under Sec. 50.36b, will be satisfied by the date of 
issuance of the combined

[[Page 96]]

license. Any terms or conditions of the early site permit that could not 
be met by the time of issuance of the combined license, must be set 
forth as terms or conditions of the combined license.
    (4) If the early site permit approves complete and integrated 
emergency plans, or major features of emergency plans, then the final 
safety analysis report must include any new or additional information 
that updates and corrects the information that was provided under Sec. 
52.17(b), and discuss whether the new or additional information 
materially changes the bases for compliance with the applicable 
requirements. The application must identify changes to the emergency 
plans or major features of emergency plans that have been incorporated 
into the proposed facility emergency plans and that constitute or would 
constitute a decrease in effectiveness under Sec. 50.54(q) of this 
chapter.
    (5) If complete and integrated emergency plans are approved as part 
of the early site permit, new certifications meeting the requirements of 
paragraph (a)(22) of this section are not required.
    (c) If the combined license application references a standard design 
approval, then the following requirements apply:
    (1) The final safety analysis report need not contain information or 
analyses submitted to the Commission in connection with the design 
approval, provided, however, that the final safety analysis report must 
either include or incorporate by reference the standard design approval 
final safety analysis report and must contain, in addition to the 
information and analyses otherwise required, information sufficient to 
demonstrate that the characteristics of the site fall within the site 
parameters specified in the design approval. In addition, the plant-
specific PRA information must use the PRA information for the design 
approval and must be updated to account for site-specific design 
information and any design changes or departures.
    (2) The final safety analysis report must demonstrate that all terms 
and conditions that have been included in the final design approval will 
be satisfied by the date of issuance of the combined license.
    (d) If the combined license application references a standard design 
certification, then the following requirements apply:
    (1) The final safety analysis report need not contain information or 
analyses submitted to the Commission in connection with the design 
certification, provided, however, that the final safety analysis report 
must either include or incorporate by reference the standard design 
certification final safety analysis report and must contain, in addition 
to the information and analyses otherwise required, information 
sufficient to demonstrate that the site characteristics fall within the 
site parameters specified in the design certification. In addition, the 
plant-specific PRA information must use the PRA information for the 
design certification and must be updated to account for site-specific 
design information and any design changes or departures.
    (2) The final safety analysis report must demonstrate that the 
interface requirements established for the design under Sec. 52.47 have 
been met.
    (3) The final safety analysis report must demonstrate that all 
requirements and restrictions set forth in the referenced design 
certification rule, other than those imposed under Sec. 50.36b, must be 
satisfied by the date of issuance of the combined license. Any 
requirements and restrictions set forth in the referenced design 
certification rule that could not be satisfied by the time of issuance 
of the combined license, must be set forth as terms or conditions of the 
combined license.
    (e) If the combined license application references the use of one or 
more manufactured nuclear power reactors licensed under subpart F of 
this part, then the following requirements apply:
    (1) The final safety analysis report need not contain information or 
analyses submitted to the Commission in connection with the 
manufacturing license, provided, however, that the final safety analysis 
report must either include or incorporate by reference the manufacturing 
license final safety analysis report and must contain, in addition to 
the information and analyses otherwise required, information

[[Page 97]]

sufficient to demonstrate that the site characteristics fall within the 
site parameters specified in the manufacturing license. In addition, the 
plant-specific PRA information must use the PRA information for the 
manufactured reactor and must be updated to account for site-specific 
design information and any design changes or departures.
    (2) The final safety analysis report must demonstrate that the 
interface requirements established for the design have been met.
    (3) The final safety analysis report must demonstrate that all terms 
and conditions that have been included in the manufacturing license, 
other than those imposed under Sec. 50.36b, will be satisfied by the 
date of issuance of the combined license. Any terms or conditions of the 
manufacturing license that could not be met by the time of issuance of 
the combined license, must be set forth as terms or conditions of the 
combined license.



Sec. 52.80  Contents of applications; additional technical information.

    The application must contain:
    (a) The proposed inspections, tests, and analyses, including those 
applicable to emergency planning, that the licensee shall perform, and 
the acceptance criteria that 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 be operated in conformity with the combined 
license, the provisions of the Act, and the Commission's rules and 
regulations.
    (1) If the application references an early site permit with ITAAC, 
the early site permit ITAAC must apply to those aspects of the combined 
license which are approved in the early site permit.
    (2) If the application references a standard design certification, 
the ITAAC contained in the certified design must apply to those portions 
of the facility design which are approved in the design certification.
    (3) If the application references an early site permit with ITAAC or 
a standard design certification or both, the application may include a 
notification that a required inspection, test, or analysis in the ITAAC 
has been successfully completed and that the corresponding acceptance 
criterion has been met. The Federal Register notification required by 
Sec. 52.85 must indicate that the application includes this 
notification.
    (b) An environmental report, either in accordance with 10 CFR 
51.50(c) if a limited work authorization under 10 CFR 50.10 is not 
requested in conjunction with the combined license application, or in 
accordance with Sec. Sec. 51.49 and 51.50(c) of this chapter if a 
limited work authorization is requested in conjunction with the combined 
license application.
    (c) If the applicant wishes to request that a limited work 
authorization under 10 CFR 50.10 be issued before issuance of the 
combined license, the application must include the information otherwise 
required by 10 CFR 50.10, in accordance with either 10 CFR 2.101(a)(1) 
through (a)(4), or 10 CFR 2.101(a)(9).

[72 FR 49517, Aug. 28, 2007, as amended at 72 FR 57447, Oct. 9, 2007]



Sec. 52.81  Standards for review of applications.

    Applications filed under this subpart will be reviewed according to 
the standards set out in 10 CFR parts 20, 50, 51, 54, 55, 73, 100, and 
140.



Sec. 52.83  Finality of referenced NRC approvals; partial initial decision on site suitability.

    (a) If the application for a combined license under this subpart 
references an early site permit, design certification rule, standard 
design approval, or manufacturing license, the scope and nature of 
matters resolved for the application and any combined license issued are 
governed by the relevant provisions addressing finality, including 
Sec. Sec. 52.39, 52.63, 52.98, 52.145, and 52.171.
    (b) While a partial decision on site suitability is in effect under 
10 CFR 2.617(b)(2), the scope and nature of matters resolved in the 
proceeding are governed by the finality provisions in 10 CFR 2.629.

[[Page 98]]



Sec. 52.85  Administrative review of applications; hearings.

    A proceeding on a combined license is subject to all applicable 
procedural requirements contained in 10 CFR part 2, including the 
requirements for docketing (Sec. 2.101 of this chapter) and issuance of 
a notice of hearing (Sec. 2.104 of this chapter). If an applicant 
requests a Commission finding on certain ITAAC with the issuance of the 
combined license, then those ITAAC will be identified in the notice of 
hearing. All hearings on combined licenses are governed by the 
procedures contained in 10 CFR part 2.



Sec. 52.87  Referral to the Advisory Committee on Reactor Safeguards (ACRS).

    The Commission shall refer a copy of the application to the ACRS. 
The ACRS shall report on those portions of the application that concern 
safety and shall apply the standards referenced in Sec. 52.81, in 
accordance with the finality provisions in Sec. 52.83.



Sec. 52.89  [Reserved]



Sec. 52.91  Authorization to conduct limited work authorization activities.

    (a) If the application does not reference an early site permit which 
authorizes the holder to perform the activities under 10 CFR 50.10(d), 
the applicant may not perform those activities without obtaining the 
separate authorization required by 10 CFR 50.10(d). Authorization may 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), and the Director of New Reactors or the Director of Nuclear 
Reactor Regulation makes the determination required by 10 CFR 50.10(e).
    (b) If, after an applicant has performed the activities permitted by 
paragraph (a) of this section, the application for the combined license 
is withdrawn or denied, then the applicant shall implement the approved 
site redress plan.

[72 FR 57447, Oct. 9, 2007]



Sec. 52.93  Exemptions and variances.

    (a) Applicants for a combined license under this subpart, or any 
amendment to a combined license, may include in the application a 
request for an exemption from one or more of the Commission's 
regulations.
    (1) If the request is for an exemption from any part of a referenced 
design certification rule, the Commission may grant the request if it 
determines that the exemption complies with any exemption provisions of 
the referenced design certification rule, or with Sec. 52.63 if there 
are no applicable exemption provisions in the referenced design 
certification rule.
    (2) For all other requests for exemptions, the Commission may grant 
a request if it determines that the exemption complies with Sec. 52.7.
    (b) An applicant for a combined license who has filed an application 
referencing an early site permit issued under subpart A of this part may 
include in the application a request for a variance from one or more 
site characteristics, design parameters, or terms and conditions of the 
permit, or from the site safety analysis report. 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. Once a construction permit or combined license 
referencing an early site permit is issued, variances from the early 
site permit will not be granted for that construction permit or combined 
license.
    (c) An applicant for a combined license who has filed an application 
referencing a nuclear power reactor manufactured under a manufacturing 
license issued under subpart F of this part may include in the 
application a request for a departure from one or more design 
characteristics, site parameters, terms and conditions, or approved 
design of the manufactured reactor. The Commission may grant a request 
only if it determines that the departure will comply with the 
requirements of 10 CFR 52.7, and that the special circumstances outweigh 
any decrease in safety that may result from the reduction in 
standardization caused by the departure.

[[Page 99]]

    (d) Issuance of a variance under paragraph (b) or a departure under 
paragraph (c) of this section is subject to litigation during the 
combined license proceeding in the same manner as other issues material 
to that proceeding.



Sec. 52.97  Issuance of combined licenses.

    (a)(1) After conducting a hearing in accordance with Sec. 52.85 and 
receiving the report submitted by the ACRS, the Commission may issue a 
combined license if the Commission finds that:
    (i) The applicable standards and requirements of the Act and the 
Commission's regulations have been met;
    (ii) Any required notifications to other agencies or bodies have 
been duly made;
    (iii) There is reasonable assurance that the facility will be 
constructed and will operate in conformity with the license, the 
provisions of the Act, and the Commission's regulations.
    (iv) The applicant is technically and financially qualified to 
engage in the activities authorized; and
    (v) Issuance of the license will not be inimical to the common 
defense and security or to the health and safety of the public; and
    (vi) The findings required by subpart A of part 51 of this chapter 
have been made.
    (2) The Commission may also find, at the time it issues the combined 
license, that certain acceptance criteria in one or more of the 
inspections, tests, analyses, and acceptance criteria (ITAAC) in a 
referenced early site permit or standard design certification have been 
met. This finding will finally resolve that those acceptance criteria 
have been met, those acceptance criteria will be deemed to be excluded 
from the combined license, and findings under Sec. 52.103(g) with 
respect to those acceptance criteria are unnecessary.
    (b) 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 Act, and 
the Commission's rules and regulations.
    (c) A combined license shall contain the terms and conditions, 
including technical specifications, as the Commission deems necessary 
and appropriate.



Sec. 52.98  Finality of combined licenses; information requests.

    (a) After issuance of a combined license, the Commission may not 
modify, add, or delete any term or condition of the combined license, 
the design of the facility, the inspections, tests, analyses, and 
acceptance criteria contained in the license which are not derived from 
a referenced standard design certification or manufacturing license, 
except in accordance with the provisions of Sec. 52.103 or Sec. 50.109 
of this chapter, as applicable.
    (b) If the combined license does not reference a design 
certification or a reactor manufactured under a subpart F of this part 
manufacturing license, then a licensee may make changes in the facility 
as described in the final safety analysis report (as updated), make 
changes in the procedures as described in the final safety analysis 
report (as updated), and conduct tests or experiments not described in 
the final safety analysis report (as updated) under the applicable 
change processes in 10 CFR part 50 (e.g., Sec. Sec. 50.54, 50.59, or 
50.90 of this chapter).
    (c) If the combined license references a certified design, then--
    (1) Changes to or departures from information within the scope of 
the referenced design certification rule are subject to the applicable 
change processes in that rule; and
    (2) Changes that are not within the scope of the referenced design 
certification rule are subject to the applicable change processes in 10 
CFR part 50, unless they also involve changes to or noncompliance with 
information within the scope of the referenced design certification 
rule. In these cases, the applicable provisions of this section and the 
design certification rule apply.
    (d) If the combined license references a reactor manufactured under 
a subpart F of this part manufacturing license, then--

[[Page 100]]

    (1) Changes to or departures from information within the scope of 
the manufactured reactor's design are subject to the change processes in 
Sec. 52.171; and
    (2) Changes that are not within the scope of the manufactured 
reactor's design are subject to the applicable change processes in 10 
CFR part 50.
    (e) The Commission may issue and make immediately effective any 
amendment to a combined 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.
    (f) Any modification to, addition to, or deletion from the terms and 
conditions of a combined 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 
the amendment.
    (g) Except for information sought to verify licensee compliance with 
the current licensing basis for that facility, information requests to 
the holder of a combined license must be evaluated before issuance to 
ensure that the burden to be imposed on the licensee is justified in 
view of the potential safety significance of the issue to be addressed 
in the requested information. Each evaluation performed by the NRC staff 
must be in accordance with 10 CFR 50.54(f) and must be approved by the 
Executive Director for Operations or his or her designee before issuance 
of the request.



Sec. 52.99  Inspection during construction.

    (a) The licensee shall submit to the NRC, no later that 1 year after 
issuance of the combined license or at the start of construction as 
defined in 10 CFR 50.10(a), whichever is later, its schedule for 
completing the inspections, tests, or analyses in the ITAAC. The 
licensee shall submit updates to the ITAAC schedules every 6 months 
thereafter and, within 1 year of its scheduled date for initial loading 
of fuel, the licensee shall submit updates to the ITAAC schedule every 
30 days until the final notification is provided to the NRC under 
paragraph (c)(1) of this section.
    (b) With respect to activities subject to an ITAAC, an applicant for 
a combined license may proceed at its own risk with design and 
procurement activities, and a licensee may proceed at its own risk with 
design, procurement, construction, and pre-operational activities, even 
though the NRC may not have found that any one of the prescribed 
acceptance criteria have been met.
    (c)(1) The licensee shall notify the NRC that the prescribed 
inspections, tests, and analyses have been performed and that the 
prescribed acceptance criteria have been met. The notification must 
contain sufficient information to demonstrate that the prescribed 
inspections, tests, and analyses have been performed and that the 
prescribed acceptance criteria have been met.
    (2) If the licensee has not provided, by the date 225 days before 
the scheduled date for initial loading of fuel, the notification 
required by paragraph (c)(1) of this section for all ITAAC, then the 
licensee shall notify the NRC that the prescribed inspections, tests, or 
analyses for all uncompleted ITAAC will be performed and that the 
prescribed acceptance criteria will be met prior to operation. The 
notification must be provided no later than the date 225 days before the 
scheduled date for initial loading of fuel, and must provide sufficient 
information to demonstrate that the prescribed inspections, tests, or 
analyses will be performed and the prescribed acceptance criteria for 
the uncompleted ITAAC will be met, including, but not limited to, a 
description of the specific procedures and analytical methods to be used 
for performing the prescribed inspections, tests, and analyses and 
determining that the prescribed acceptance criteria have been met.
    (d)(1) In the event that an activity is subject to an ITAAC derived 
from a referenced standard design certification

[[Page 101]]

and the licensee has not demonstrated that the ITAAC has been met, the 
licensee may take corrective actions to successfully complete that ITAAC 
or request an exemption from the standard design certification ITAAC, as 
applicable. A request for an exemption must also be accompanied by a 
request for a license amendment under Sec. 52.98(f).
    (2) In the event that an activity is subject to an ITAAC not derived 
from a referenced standard design certification and the licensee has not 
demonstrated that the ITAAC has been met, the licensee may take 
corrective actions to successfully complete that ITAAC or request a 
license amendment under Sec. 52.98(f).
    (e) The NRC shall ensure that the prescribed inspections, tests, and 
analyses in the ITAAC are performed.
    (1) At appropriate intervals until the last date for submission of 
requests for hearing under Sec. 52.103(a), the NRC shall publish 
notices in the Federal Register of the NRC staff's determination of the 
successful completion of inspections, tests, and analyses.
    (2) The NRC shall make publicly available the licensee notifications 
under paragraph (c)(1), and, no later than the date of publication of 
the notice of intended operation required by Sec. 52.103(a), make 
available all licensee notifications under paragraphs (c)(1) and (c)(2) 
of this section.

[72 FR 49517, Aug. 28, 2007, as amended at 72 FR 57447, Oct. 9, 2007]



Sec. 52.103  Operation under a combined license.

    (a) The licensee shall notify the NRC of its scheduled date for 
initial loading of fuel no later than 270 days before the scheduled date 
and shall notify the NRC of updates to its schedule every 30 days 
thereafter. Not less than 180 days before the date scheduled for initial 
loading of fuel into a plant by a licensee that has been issued a 
combined license under this part, the Commission shall publish notice of 
intended operation in the Federal Register. The notice must provide that 
any person whose interest may be affected by operation of the plant may, 
within 60 days, request that the Commission hold a hearing on whether 
the facility as constructed complies, or on completion will comply, with 
the acceptance criteria in the combined license, except that a hearing 
shall not be granted for those ITAAC which the Commission found were met 
under Sec. 52.97(a)(2).
    (b) A request for hearing under paragraph (a) of this section must 
show, prima facie, that--
    (1) One or more of the acceptance criteria of the ITAAC in the 
combined license have not been, or will not be, met; and
    (2) The specific operational consequences of nonconformance that 
would be contrary to providing reasonable assurance of adequate 
protection of the public health and safety.
    (c) The Commission, acting as the presiding officer, shall determine 
whether to grant or deny the request for hearing in accordance with the 
applicable requirements of 10 CFR 2.309. If the Commission grants the 
request, the Commission, acting as the presiding officer, shall 
determine whether during a period of interim operation there will be 
reasonable assurance of adequate protection to the public health and 
safety. The Commission's determination must consider the petitioner's 
prima facie showing and any answers thereto. If the Commission 
determines there is such reasonable assurance, it shall allow operation 
during an interim period under the combined license.
    (d) The Commission, in its discretion, shall determine appropriate 
hearing procedures, whether informal or formal adjudicatory, for any 
hearing under paragraph (a) of this section, and shall state its reasons 
therefore.
    (e) The Commission shall, to the maximum possible extent, render a 
decision on issues raised by the hearing request within 180 days of the 
publication of the notice provided by paragraph (a) of this section or 
by the anticipated date for initial loading of fuel into the reactor, 
whichever is later.
    (f) A petition to modify the terms and conditions of the combined 
license will be processed as a request for action in accordance 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,

[[Page 102]]

low power testing, etc.) commences, the Commission shall determine 
whether any immediate action is required. If the petition is granted, 
then an appropriate order will be issued. Fuel loading and operation 
under the combined license will not be affected by the granting of the 
petition unless the order is made immediately effective.
    (g) The licensee shall not operate the facility until the Commission 
makes a finding that the acceptance criteria in the combined license are 
met, except for those acceptance criteria that the Commission found were 
met under Sec. 52.97(a)(2). If the combined license is for a modular 
design, each reactor module may require a separate finding as 
construction proceeds.
    (h) After the Commission has made the finding in paragraph (g) of 
this section, the ITAAC do not, by virtue of their inclusion in the 
combined license, constitute regulatory requirements either for 
licensees or for renewal of the license; except for the specific ITAAC 
for which the Commission has granted a hearing under paragraph (a) of 
this section, all ITAAC expire upon final Commission action in the 
proceeding. However, subsequent changes to the facility or procedures 
described in the final safety analysis report (as updated) must comply 
with the requirements in Sec. Sec. 52.98(e) or (f), as applicable.



Sec. 52.104  Duration of combined license.

    A combined license is issued for a specified period not to exceed 40 
years from the date on which the Commission makes a finding that 
acceptance criteria are met under Sec. 52.103(g) or allowing operation 
during an interim period under the combined license under Sec. 
52.103(c).



Sec. 52.105  Transfer of combined license.

    A combined license may be transferred in accordance with Sec. 50.80 
of this chapter.



Sec. 52.107  Application for renewal.

    The filing of an application for a renewed license must be in 
accordance with 10 CFR part 54.



Sec. 52.109  Continuation of combined license.

    Each combined license for a facility that has permanently ceased 
operations, continues in effect beyond the expiration date to authorize 
ownership and possession of the production or utilization facility, 
until the Commission notifies the licensee in writing that the license 
is terminated. During this period of continued effectiveness the 
licensee shall--
    (1) Take actions necessary to decommission and decontaminate the 
facility and continue to maintain the facility, including, where 
applicable, the storage, control and maintenance of the spent fuel, in a 
safe condition; and
    (2) Conduct activities in accordance with all other restrictions 
applicable to the facility in accordance with the NRC's regulations and 
the provisions of the combined license for the facility.



Sec. 52.110  Termination of license.

    (a)(1) When a licensee has determined to permanently cease 
operations the licensee shall, within 30 days, submit a written 
certification to the NRC, consistent with the requirements of Sec. 
52.3(b)(8);
    (2) Once fuel has been permanently removed from the reactor vessel, 
the licensee shall submit a written certification to the NRC that meets 
the requirements of Sec. 52.3(b)(9); and
    (3) For licensees whose licenses have been permanently modified to 
allow possession but not operation of the facility, before September 27, 
2007, the certification required in paragraph (a)(1) of this section 
shall be deemed to have been submitted.
    (b) Upon docketing of the certifications for permanent cessation of 
operations and permanent removal of fuel from the reactor vessel, or 
when a final legally effective order to permanently cease operations has 
come into effect, the 10 CFR part 52 license no longer authorizes 
operation of the reactor or emplacement or retention of fuel into the 
reactor vessel.
    (c) Decommissioning will be completed within 60 years of permanent 
cessation of operations. Completion of decommissioning beyond 60 years 
will be approved by the Commission only when necessary to protect public

[[Page 103]]

health and safety. Factors that will be considered by the Commission in 
evaluating an alternative that provides for completion of 
decommissioning beyond 60 years of permanent cessation of operations 
include unavailability of waste disposal capacity and other site-
specific factors affecting the licensee's capability to carry out 
decommissioning, including presence of other nuclear facilities at the 
site.
    (d)(1) Before or within 2 years following permanent cessation of 
operations, the licensee shall submit a post-shutdown decommissioning 
activities report (PSDAR) to the NRC, and a copy to the affected 
State(s). The report must include a description of the planned 
decommissioning activities along with a schedule for their 
accomplishment, an estimate of expected costs, and a discussion that 
provides the reasons for concluding that the environmental impacts 
associated with site-specific decommissioning activities will be bounded 
by appropriate previously issued environmental impact statements.
    (2) The NRC shall notice receipt of the PSDAR and make the PSDAR 
available for public comment. The NRC shall also schedule a public 
meeting in the vicinity of the licensee's facility upon receipt of the 
PSDAR. The NRC shall publish a document in the Federal Register and in a 
forum, such as local newspapers, that is readily accessible to 
individuals in the vicinity of the site, announcing the date, time and 
location of the meeting, along with a brief description of the purpose 
of the meeting.
    (e) Licensees shall not perform any major decommissioning 
activities, as defined in Sec. 50.2 of this chapter, until 90 days 
after the NRC has received the licensee's PSDAR submittal and until 
certifications of permanent cessation of operations and permanent 
removal of fuel from the reactor vessel, as required under Sec. 
52.110(a)(1), have been submitted.
    (f) Licensees shall not perform any decommissioning activities, as 
defined in Sec. 52.1, that--
    (1) Foreclose release of the site for possible unrestricted use;
    (2) Result in significant environmental impacts not previously 
reviewed; or
    (3) Result in there no longer being reasonable assurance that 
adequate funds will be available for decommissioning.
    (g) In taking actions permitted under Sec. 50.59 of this chapter 
following submittal of the PSDAR, the licensee shall notify the NRC in 
writing and send a copy to the affected State(s), before performing any 
decommissioning activity inconsistent with, or making any significant 
schedule change from, those actions and schedules described in the 
PSDAR, including changes that significantly increase the decommissioning 
cost.
    (h)(1) Decommissioning trust funds may be used by licensees if--
    (i) The withdrawals are for expenses for legitimate decommissioning 
activities consistent with the definition of decommissioning in Sec. 
52.1;
    (ii) The expenditure would not reduce the value of the 
decommissioning trust below an amount necessary to place and maintain 
the reactor in a safe storage condition if unforeseen conditions or 
expenses arise and;
    (iii) The withdrawals would not inhibit the ability of the licensee 
to complete funding of any shortfalls in the decommissioning trust 
needed to ensure the availability of funds to ultimately release the 
site and terminate the license.
    (2) Initially, 3 percent of the generic amount specified in Sec. 
50.75 of this chapter may be used for decommissioning planning. For 
licensees that have submitted the certifications required under Sec. 
52.110(a) and commencing 90 days after the NRC has received the PSDAR, 
an additional 20 percent may be used. A site-specific decommissioning 
cost estimate must be submitted to the NRC before the licensee may use 
any funding in excess of these amounts.
    (3) Within 2 years following permanent cessation of operations, if 
not already submitted, the licensee shall submit a site-specific 
decommissioning cost estimate.
    (4) For decommissioning activities that delay completion of 
decommissioning by including a period of storage

[[Page 104]]

or surveillance, the licensee shall provide a means of adjusting cost 
estimates and associated funding levels over the storage or surveillance 
period.
    (i) All power reactor licensees must submit an application for 
termination of license. The application for termination of license must 
be accompanied or preceded by a license termination plan to be submitted 
for NRC approval.
    (1) The license termination plan must be a supplement to the FSAR or 
equivalent and must be submitted at least 2 years before termination of 
the license date.
    (2) The license termination plan must include--
    (i) A site characterization;
    (ii) Identification of remaining dismantlement activities;
    (iii) Plans for site remediation;
    (iv) Detailed plans for the final radiation survey;
    (v) A description of the end use of the site, if restricted;
    (vi) An updated site-specific estimate of remaining decommissioning 
costs;
    (vii) A supplement to the environmental report, under Sec. 51.53 of 
this chapter, describing any new information or significant 
environmental change associated with the licensee's proposed termination 
activities; and
    (viii) Identification of parts, if any, of the facility or site that 
were released for use before approval of the license termination plan.
    (3) The NRC shall notice receipt of the license termination plan and 
make the license termination plan available for public comment. The NRC 
shall also schedule a public meeting in the vicinity of the licensee's 
facility upon receipt of the license termination plan. The NRC shall 
publish a document in the Federal Register and in a forum, such as local 
newspapers, which is readily accessible to individuals in the vicinity 
of the site, announcing the date, time and location of the meeting, 
along with a brief description of the purpose of the meeting.
    (j) If the license termination plan demonstrates that the remainder 
of decommissioning activities will be performed in accordance with the 
regulations in this chapter, will not be inimical to the common defense 
and security or to the health and safety of the public, and will not 
have a significant effect on the quality of the environment and after 
notice to interested persons, the Commission shall approve the plan, by 
license amendment, subject to terms and conditions as it deems 
appropriate and necessary and authorize implementation of the license 
termination plan.
    (k) The Commission shall terminate the license if it determines 
that--
    (1) The remaining dismantlement has been performed in accordance 
with the approved license termination plan; and
    (2) The final radiation survey and associated documentation, 
including an assessment of dose contributions associated with parts 
released for use before approval of the license termination plan, 
demonstrate that the facility and site have met the criteria for 
decommissioning in subpart E to 10 CFR part 20.
    (l) For a facility that has permanently ceased operation before the 
expiration of its license, the collection period for any shortfall of 
funds will be determined, upon application by the licensee, on a case-
by-case basis taking into account the specific financial situation of 
each licensee.

Subpart D [Reserved]



                   Subpart E_Standard Design Approvals



Sec. 52.131  Scope of subpart.

    This subpart sets out procedures for the filing, NRC staff review, 
and referral to the Advisory Committee on Reactor Safeguards of standard 
designs for a nuclear power reactor of the type described in Sec. 50.22 
of this chapter or major portions thereof.



Sec. 52.133  Relationship to other subparts.

    (a) This subpart applies to a person that requests a standard design 
approval from the NRC staff separately from an application for a 
construction permit filed under 10 CFR part 50 or a combined license 
filed under subpart C of this part. An applicant for a construction 
permit or combined license may reference a standard design approval.

[[Page 105]]

    (b) Subpart B of this part governs the certification by rulemaking 
of the design of a nuclear power plant. Subpart B may be used 
independently of the provisions in this subpart.
    (c) Subpart F of 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. Subpart F of 
this part may be used independently of the provisions in this subpart.



Sec. 52.135  Filing of applications.

    (a) Any person may submit a proposed standard design for a nuclear 
power reactor of the type described in 10 CFR 50.22 to the NRC staff for 
its review. The submittal may consist of either the final design for the 
entire facility or the final design of major portions thereof.
    (b) The submittal for review of the proposed standard design must be 
made in the same manner and in the same number of copies as provided in 
10 CFR 50.30 and 52.3 for license applications.
    (c) The fees associated with the filing and review of the 
application are set forth in 10 CFR part 170.



Sec. 52.136  Contents of applications; general information.

    The application must contain all of the information required by 10 
CFR 50.33(a) through (d) and (j).



Sec. 52.137  Contents of applications; technical information.

    If the applicant seeks review of a major portion of a standard 
design, the application need only contain the information required by 
this section to the extent the requirements are applicable to the major 
portion of the standard design for which NRC staff approval is sought.
    (a) The application must contain a final safety analysis report that 
describes the facility, presents the design bases and the limits on its 
operation, and presents a safety analysis of the structures, systems, 
and components and of the facility, or major portion thereof, and must 
include the following information:
    (1) The site parameters postulated for the design, and an analysis 
and evaluation of the design in terms of those site parameters;
    (2) A description and analysis of the SSCs of the facility, with 
emphasis upon performance requirements, the bases, with technical 
justification, upon which the requirements have been established, and 
the evaluations required to show that safety functions will be 
accomplished. It is expected that the standard plant will reflect 
through its design, construction, and operation an extremely low 
probability for accidents that could result in the release of 
significant quantities of radioactive fission products. The description 
shall be sufficient to permit understanding of the system designs and 
their relationship to the safety evaluations. Items such as the reactor 
core, reactor coolant system, instrumentation and control systems, 
electrical systems, containment system, other engineered safety 
features, auxiliary and emergency systems, power conversion systems, 
radioactive waste handling systems, and fuel handling systems shall be 
discussed insofar as they are pertinent. The following power reactor 
design characteristics will be taken into consideration by the 
Commission:
    (i) Intended use of the reactor including the proposed maximum power 
level and the nature and inventory of contained radioactive materials;
    (ii) The extent to which generally accepted engineering standards 
are applied to the design of the reactor;
    (iii) The extent to which the reactor incorporates unique, unusual 
or enhanced safety features having a significant bearing on the 
probability or consequences of accidental release of radioactive 
materials; and
    (iv) The safety features that are to be engineered into the facility 
and those barriers that must be breached as a result of an accident 
before a release of radioactive material to the environment can occur. 
Special attention must be directed to plant design features intended to 
mitigate the radiological consequences of accidents. In

[[Page 106]]

performing this assessment, an applicant shall assume a fission product 
release \9\ from the core into the containment assuming that the 
facility is operated at the ultimate power level contemplated. The 
applicant shall perform an evaluation and analysis of the postulated 
fission product release, using the expected demonstrable containment 
leak rate and any fission product cleanup systems intended to mitigate 
the consequences of the accidents, together with applicable postulated 
site parameters, including site meteorology, to evaluate the offsite 
radiological consequences. The evaluation must determine that:
---------------------------------------------------------------------------

    \9\ The fission product release assumed for this evaluation should 
be based upon a major accident, hypothesized for purposes of site 
analysis or postulated from considerations of possible accidental 
events. These accidents have generally been assumed to result in 
substantial meltdown of the core with subsequent release into the 
containment of appreciable quantities of fission products.
---------------------------------------------------------------------------

    (A) An individual located at any point on the boundary of the 
exclusion area for any 2-hour period following the onset of the 
postulated fission product release, would not receive a radiation dose 
in excess of 25 rem \10\ total effective dose equivalent (TEDE); and
---------------------------------------------------------------------------

    \10\ A whole body dose of 25 rem has been stated to correspond 
numerically to the once in a lifetime accidental or emergency dose for 
radiation workers which, according to NCRP recommendations at the time 
could be disregarded in the determination of their radiation exposure 
status (see NBS Handbook 69 dated June 5, 1959). However, its use is not 
intended to imply that this number constitutes an acceptable limit for 
an emergency dose to the public under accident conditions. Rather, this 
dose value has been set forth in this section as a reference value, 
which can be used in the evaluation of plant design features with 
respect to postulated reactor accidents, to assure that these designs 
provide assurance of low risk of public exposure to radiation, in the 
event of an accident.
---------------------------------------------------------------------------

    (B) An individual located at any point on the outer boundary of the 
low population zone, who is exposed to the radioactive cloud resulting 
from the postulated fission product release (during the entire period of 
its passage) would not receive a radiation dose in excess of 25 rem 
TEDE;
    (3) The design of the facility including:
    (i) The principal design criteria for the facility. Appendix A to 10 
CFR part 50, general design criteria (GDC), establishes minimum 
requirements for the principal design criteria for water-cooled nuclear 
power plants similar in design and location to plants for which 
construction permits have previously been issued by the Commission and 
provides guidance to applicants in establishing principal design 
criteria for other types of nuclear power units;
    (ii) The design bases and the relation of the design bases to the 
principal design criteria; and
    (iii) Information relative to materials of construction, general 
arrangement, and approximate dimensions, sufficient to provide 
reasonable assurance that the design will conform to the design bases 
with adequate margin for safety;
    (4) An analysis and evaluation of the design and performance of SSC 
with the objective of assessing the risk to public health and safety 
resulting from operation of the facility and including determination of 
the margins of safety during normal operations and transient conditions 
anticipated during the life of the facility, and the adequacy of SSCs 
provided for the prevention of accidents and the mitigation of the 
consequences of accidents. Analysis and evaluation of ECCS cooling 
performance and the need for high-point vents following postulated loss-
of-coolant accidents shall be performed in accordance with the 
requirements of 10 CFR 50.46 and 50.46a;
    (5) The kinds and quantities of radioactive materials expected to be 
produced in the operation and the means for controlling and limiting 
radioactive effluents and radiation exposures within the limits set 
forth in part 20 of this chapter;
    (6) The information required by Sec. 20.1406 of this chapter;
    (7) The technical qualifications of the applicant to engage in the 
proposed activities in accordance with the regulations in this chapter;
    (8) The information necessary to demonstrate compliance with any 
technically relevant portions of the Three Mile Island requirements set 
forth in 10

[[Page 107]]

CFR 50.34(f), except paragraphs (f)(1)(xii), (f)(2)(ix), and (f)(3)(v) 
of 10 CFR 50.34(f);
    (9) For applications for light-water-cooled nuclear power plants, an 
evaluation of the standard plant design against the Standard Review Plan 
(SRP) revision in effect 6 months before the docket date of the 
application. The evaluation required by this section shall include an 
identification and description of all differences in design features, 
analytical techniques, and procedural measures proposed for the design 
and those corresponding features, techniques, and measures given in the 
SRP acceptance criteria. Where a difference exists, the evaluation shall 
discuss how the proposed alternative provides an acceptable method of 
complying with the Commission's regulations, or portions thereof, that 
underlie the corresponding SRP acceptance criteria. The SRP is not a 
substitute for the regulations, and compliance is not a requirement;
    (10) The information with respect to the design of equipment to 
maintain control over radioactive materials in gaseous and liquid 
effluents produced during normal reactor operations described in 10 CFR 
50.34a(e);
    (11) The information pertaining to design features that affect plans 
for coping with emergencies in the operation of the reactor facility or 
a major portion thereof;
    (12) An analysis and description of the equipment and systems for 
combustible gas control as required by Sec. 50.44 of this chapter;
    (13) The list of electric equipment important to safety that is 
required by 10 CFR 50.49(d);
    (14) A description of protection provided against pressurized 
thermal shock events, including projected values of the reference 
temperature for reactor vessel beltline materials as defined in 10 CFR 
50.60 and 50.61;
    (15) Information demonstrating how the applicant will comply with 
requirements for reduction of risk from anticipated transients without 
scram (ATWS) events in Sec. 50.62;
    (16) The coping analysis, and any design features necessary to 
address station blackout, as described in Sec. 50.63 of this chapter;
    (17) Information demonstrating how the applicant will comply with 
requirements for criticality accidents in Sec. 50.68(b)(2)-(b)(4);
    (18) A description and analysis of the fire protection design 
features for the standard plant necessary to comply with part 50, 
appendix A, GDC 3, and Sec. 50.48 of this chapter;
    (19) A description of the quality assurance program applied to the 
design of the SSCs of the facility. Appendix B to 10 CFR part 50, 
``Quality Assurance Criteria for Nuclear Power Plants and Fuel 
Reprocessing Plants,'' sets forth the requirements for quality assurance 
programs for nuclear power plants. The description of the quality 
assurance program for a nuclear power plant shall include a discussion 
of how the applicable requirements of appendix B to 10 CFR part 50 were 
satisfied;
    (20) The information necessary to demonstrate that the standard 
plant complies with the earthquake engineering criteria in 10 CFR part 
50, appendix S;
    (21) 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 up to 6 
months before the docket date of the application and which are 
technically relevant to the design;
    (22) The information necessary to demonstrate how operating 
experience insights have been incorporated into the plant design;
    (23) For light-water reactor designs, a description and analysis of 
design features for the prevention and mitigation of severe accidents, 
e.g., challenges to containment integrity caused by core-concrete 
interaction, steam explosion, high-pressure core melt ejection, hydrogen 
combustion, and containment bypass;
    (24) A description, analysis, and evaluation of the interfaces 
between the standard design and the balance of the nuclear power plant; 
and
    (25) A description of the design-specific probabilistic risk 
assessment and its results.

[[Page 108]]

    (b) An application for approval of a standard design, which differs 
significantly from the light-water reactor designs of plants that have 
been licensed and in commercial operation before April 18, 1989, or uses 
simplified, inherent, passive, or other innovative means to accomplish 
its safety functions, must meet the requirements of 10 CFR 50.43(e).



Sec. 52.139  Standards for review of applications.

    Applications filed under this subpart will be reviewed for 
compliance with the standards set out in 10 CFR parts 20, 50 and its 
appendices, and 10 CFR parts 73 and 100.



Sec. 52.141  Referral to the Advisory Committee on Reactor Safeguards (ACRS).

    The Commission shall refer a copy of the application to the ACRS. 
The ACRS shall report on those portions of the application which concern 
safety.



Sec. 52.143  Staff approval of design.

    Upon completion of its review of a submittal under this subpart and 
receipt of a report by the Advisory Committee on Reactor Safeguards 
under Sec. 52.141 of this subpart, the NRC staff shall publish a 
determination in the Federal Register as to whether or not the design is 
acceptable, subject to appropriate terms and conditions, and make an 
analysis of the design in the form of a report available at the NRC Web 
site, http://www.nrc.gov.



Sec. 52.145  Finality of standard design approvals; information requests.

    (a) An approved design must be used by and relied upon by the NRC 
staff and the ACRS in their review of any individual facility license 
application that incorporates by reference a standard design approved in 
accordance with this paragraph unless there exists significant new 
information that substantially affects the earlier determination or 
other good cause.
    (b) The determination and report by the NRC staff do not constitute 
a commitment to issue a permit or license, or in any way affect the 
authority of the Commission, Atomic Safety and Licensing Board Panel, or 
presiding officers in any proceeding under part 2 of this chapter.
    (c) Except for information requests seeking to verify compliance 
with the current licensing basis of the standard design approval, 
information requests to the holder of a standard design approval must be 
evaluated before 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 evaluation 
performed by the NRC staff must be in accordance with 10 CFR 50.54(f) 
and must be approved by the Executive Director for Operations or his or 
her designee before issuance of the request.



Sec. 52.147  Duration of design approval.

    A standard design approval issued under this subpart is valid for 15 
years from the date of issuance and may not be renewed. A design 
approval continues to be valid beyond the date of expiration in any 
proceeding on an application for a construction permit or an operating 
license under part 50 or a combined license or manufacturing license 
under part 52 that references the final design approval and is docketed 
before the date of expiration of the design approval.



                    Subpart F_Manufacturing Licenses



Sec. 52.151  Scope of subpart.

    This subpart sets out the requirements and procedures applicable to 
Commission issuance of a license authorizing manufacture of nuclear 
power reactors to be installed at sites not identified in the 
manufacturing license application.



Sec. 52.153  Relationship to other subparts.

    (a) A nuclear power reactor manufactured under a manufacturing 
license issued under this subpart may only be transported to and 
installed at a site for which either a construction permit under part 50 
of this chapter or a combined license under subpart C of this part has 
been issued.

[[Page 109]]

    (b) Subpart B of this part governs the certification by rulemaking 
of the design of standard nuclear power facilities. Subpart E of this 
part governs the NRC staff review and approval of standard designs for a 
nuclear power facility. A manufacturing license applicant may reference 
a standard design certification or a standard design approval in its 
application. These subparts may also be used independently of the 
provisions in this subpart.



Sec. 52.155  Filing of applications.

    (a) Any person, except one excluded by 10 CFR 50.38, may file an 
application for a manufacturing license under this subpart with the 
Director of New Reactors or the Director of Nuclear Reactor Regulation, 
as appropriate.
    (b) The application must comply with the applicable filing 
requirements of Sec. Sec. 52.3 and 50.30 of this chapter.
    (c) The fees associated with the filing and review of the 
application are set forth in 10 CFR part 170.



Sec. 52.156  Contents of applications; general information.

    The application must contain all of the information required by 10 
CFR 50.33(a) through (d), and (j).



Sec. 52.157  Contents of applications; technical information in final safety analysis report.

    The application must contain a final safety analysis report 
containing the information set forth below, with a level of design 
information sufficient to enable the Commission to judge the applicant's 
proposed means of assuring that the manufacturing conforms to the design 
and to reach a final conclusion on all safety questions associated with 
the design, permit the preparation of construction and installation 
specifications by an applicant who seeks to use the manufactured 
reactor, and permit the preparation of acceptance and inspection 
requirements by the NRC:
    (a) The principal design criteria for the reactor to be 
manufactured. Appendix A of 10 CFR part 50, ``General Design Criteria 
for Nuclear Power Plants,'' establishes minimum requirements for the 
principal design criteria for water-cooled nuclear power plants similar 
in design and location to plants for which construction permits have 
previously been issued by the Commission and provides guidance to 
applicants in establishing principal design criteria for other types of 
nuclear power units;
    (b) The design bases and the relation of the design bases to the 
principal design criteria;
    (c) A description and analysis of the structures, systems, and 
components of the reactor to be manufactured, with emphasis upon the 
materials of manufacture, performance requirements, the bases, with 
technical justification therefor, upon which the performance 
requirements have been established, and the evaluations required to show 
that safety functions will be accomplished. The description shall be 
sufficient to permit understanding of the system designs and their 
relationship to safety evaluations. Items such as the reactor core, 
reactor coolant system, instrumentation and control systems, electrical 
systems, containment system, other engineered safety features, auxiliary 
and emergency systems, power conversion systems, radioactive waste 
handling systems, and fuel handling systems shall be discussed insofar 
as they are pertinent. The following power reactor design 
characteristics will be taken into consideration by the Commission:
    (1) Intended use of the manufactured reactor including the proposed 
maximum power level and the nature and inventory of contained 
radioactive materials;
    (2) The extent to which generally accepted engineering standards are 
applied to the design of the reactor; and
    (3) The extent to which the reactor incorporates unique, unusual or 
enhanced safety features having a significant bearing on the probability 
or consequences of accidental release of radioactive materials;
    (d) The safety features that are engineered into the reactor and 
those barriers that must be breached as a result of an accident before a 
release of radioactive material to the environment can occur. Special 
attention must be directed to reactor design features intended to 
mitigate the radiological consequences of accidents. In performing this 
assessment, an applicant

[[Page 110]]

shall assume a fission product release \11\ from the core into the 
containment assuming that the facility is operated at the ultimate power 
level contemplated. The applicant shall perform an evaluation and 
analysis of the postulated fission product release, using the expected 
demonstrable containment leak rate and any fission product cleanup 
systems intended to mitigate the consequences of the accidents, together 
with applicable postulated site parameters, including site meteorology, 
to evaluate the offsite radiological consequences. The evaluation must 
determine that:
---------------------------------------------------------------------------

    \11\ The fission product release assumed for this evaluation should 
be based upon a major accident, hypothesized for purposes of site 
analysis or postulated from considerations of possible accidental 
events. These accidents have generally been assumed to result in 
substantial meltdown of the core with subsequent release into the 
containment of appreciable quantities of fission products.
---------------------------------------------------------------------------

    (1) An individual located at any point on the boundary of the 
exclusion area for any 2 hour period following the onset of the 
postulated fission product release, would not receive a radiation dose 
in excess of 25 rem \12\ total effective dose equivalent (TEDE);
---------------------------------------------------------------------------

    \12\ A whole body dose of 25 rem has been stated to correspond 
numerically to the once in a lifetime accidental or emergency dose for 
radiation workers which, according to NCRP recommendations at the time 
could be disregarded in the determination of their radiation exposure 
status (see NBS Handbook 69 dated June 5, 1959). However, its use is not 
intended to imply that this number constitutes an acceptable limit for 
an emergency dose to the public under accident conditions. Rather, this 
dose value has been set forth in this section as a reference value, 
which can be used in the evaluation of plant design features with 
respect to postulated reactor accidents, to assure that these designs 
provide assurance of low risk of public exposure to radiation, in the 
event of an accident.
---------------------------------------------------------------------------

    (2) An individual located at any point on the outer boundary of the 
low population zone, who is exposed to the radioactive cloud resulting 
from the postulated fission product release (during the entire period of 
its passage) would not receive a radiation dose in excess of 25 rem 
TEDE; and
    (e) The kinds and quantities of radioactive materials expected to be 
produced in the operation and the means for controlling and limiting 
radioactive effluents and radiation exposures within the limits set 
forth in part 20 of this chapter.
    (f) Information necessary to establish that the design of the 
reactor to be manufactured complies with the technical requirements in 
10 CFR Chapter I, including:
    (1) An analysis and evaluation of the design and performance of 
structures, systems, and components with the objective of assessing the 
risk to public health and safety resulting from operation of the 
facility and including determination of the margins of safety during 
normal operations and transient conditions anticipated during the life 
of the facility, and the adequacy of structures, systems, and components 
provided for the prevention of accidents and the mitigation of the 
consequences of accidents. Analysis and evaluation of ECCS cooling 
performance and the need for high-point vents following postulated loss-
of-coolant accidents shall be performed in accordance with the 
requirements of Sec. Sec. 50.46 and 50.46a of this chapter;
    (2) A description and analysis of the fire protection design 
features for the reactor necessary to comply with 10 CFR part 50, 
appendix A, GDC 3 and Sec. 50.48 of this chapter;
    (3) A description of protection provided against pressurized thermal 
shock events, including projected values of the reference temperature 
for reactor vessel beltline materials as defined in Sec. Sec. 50.60 and 
50.61 of this chapter;
    (4) An analysis and description of the equipment and systems for 
combustible gas control as required by Sec. 50.44 of this chapter;
    (5) The coping analysis, and any design features necessary to 
address station blackout, as described in Sec. 50.63 of this chapter;
    (6) The list of electric equipment important to safety that is 
required by 10 CFR 50.49(d);
    (7) Information demonstrating how the applicant will comply with 
requirements for reduction of risk from anticipated transients without 
scram (ATWS) events in Sec. 50.62;

[[Page 111]]

    (8) Information demonstrating how the applicant will comply with 
requirements for criticality accidents in Sec. 50.68(b)(2)-(b)(4);
    (9) The information required by Sec. 20.1406 of this chapter;
    (10)[Reserved]
    (11) The information with respect to the design of equipment to 
maintain control over radioactive materials in gaseous and liquid 
effluents produced during normal reactor operations, as described in 
Sec. 50.34a(e) of this chapter;
    (12) The information necessary to demonstrate compliance with any 
technically relevant portions of the Three Mile Island requirements set 
forth in Sec. 50.34(f) of this chapter, except paragraphs (f)(1)(xii), 
(f)(2)(ix), and (f)(3)(v);
    (13) If the applicant seeks to use risk-informed treatment of SSCs 
in accordance with Sec. 50.69 of this chapter, the information required 
by Sec. 50.69(b)(2) of this chapter;
    (14) The information necessary to demonstrate that the manufactured 
reactor complies with the earthquake engineering criteria in appendix S 
to 10 CFR part 50;
    (15) Information sufficient to demonstrate compliance with the 
applicable requirements regarding testing, analysis, and prototypes as 
set forth in Sec. 50.43(e) of this chapter;
    (16) The technical qualifications of the applicant to engage in the 
proposed activities in accordance with the regulations in this chapter;
    (17) A description of the quality assurance program applied to the 
design, and to be applied to the manufacture of, the structures, 
systems, and components of the reactor. Appendix B to 10 CFR part 50, 
``Quality Assurance Criteria for Nuclear Power Plants and Fuel 
Reprocessing Plants,'' sets forth the requirements for quality assurance 
programs for nuclear power plants. The description of the quality 
assurance program must include a discussion of how the applicable 
requirements of appendix B to 10 CFR part 50 have been and will be 
satisfied; and
    (18) Proposed technical specifications applicable to the reactor 
being manufactured, prepared in accordance with the requirements of 
Sec. Sec. 50.36 and 50.36a of this chapter;
    (19) The site parameters postulated for the design, and an analysis 
and evaluation of the reactor design in terms of those site parameters;
    (20) The interface requirements between the manufactured reactor and 
the remaining portions of the nuclear power plant. These requirements 
must be sufficiently detailed to allow for completion of the final 
safety analysis;
    (21) Justification that compliance with the interface requirements 
of paragraph (f)(20) of this section is verifiable through inspections, 
testing, or analysis. The method to be used for verification of 
interface requirements must be included as part of the proposed ITAAC 
required by Sec. 52.158(a);
    (22) A representative conceptual design for a nuclear power facility 
using the manufactured reactor, to aid the NRC in its review of the 
final safety analysis required by this section and to permit assessment 
of the adequacy of the interface requirements in paragraph (f)(20) of 
this section;
    (23) For light-water reactor designs, a description and analysis of 
design features for the prevention and mitigation of severe accidents, 
e.g., challenges to containment integrity caused by core-concrete 
interaction, steam explosion, high-pressure core melt ejection, hydrogen 
combustion, and containment bypass;
    (24) [Reserved]
    (25) If the reactor is to be used in modular plant design, a 
description of the possible operating configurations of the reactor 
modules with common systems, interface requirements, and system 
interactions. The final safety analysis must also account for 
differences among the configurations, including any restrictions that 
will be necessary during the construction and startup of a given module 
to ensure the safe operation of any module already operating;
    (26) A description of the management plan for design and 
manufacturing activities, including:
    (i) The organizational and management structure singularly 
responsible for direction of design and manufacture of the reactor;
    (ii) Technical resources directed by the applicant, and the 
qualifications requirements;

[[Page 112]]

    (iii) Details of the interaction of design and manufacture within 
the applicant's organization and the manner by which the applicant will 
ensure close integration of the architect engineer and the nuclear steam 
supply vendor, as applicable;
    (iv) Proposed procedures governing the preparation of the 
manufactured reactor for shipping to the site where it is to be 
operated, the conduct of shipping, and verifying the condition of the 
manufactured reactor upon receipt at the site; and
    (v) The degree of top level management oversight and technical 
control to be exercised by the applicant during design and manufacture, 
including the preparation and implementation of procedures necessary to 
guide the effort;
    (27) Necessary parameters to be used in developing plans for 
preoperational testing and initial operation;
    (28) 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 up to 6 
months before the docket date of the application and which are 
technically relevant to the design;
    (29) The information necessary to demonstrate how operating 
experience insights have been incorporated into the manufactured reactor 
design;
    (30) For applications for light-water-cooled nuclear power plants, 
an evaluation of the design to be manufactured against the Standard 
Review Plan (SRP) revision in effect 6 months before the docket date of 
the application. The evaluation required by this section shall include 
an identification and description of all differences in design features, 
analytical techniques, and procedural measures proposed for the design 
and those corresponding features, techniques, and measures given in the 
SRP acceptance criteria. Where a difference exists, the evaluation shall 
discuss how the proposed alternative provides an acceptable method of 
complying with the Commission's regulations, or portions thereof, that 
underlie the corresponding SRP acceptance criteria. The SRP is not a 
substitute for the regulations, and compliance is not a requirement; and
    (31) A description of the design-specific probabilistic risk 
assessment and its results.



Sec. 52.158  Contents of application; additional technical information.

    The application must contain:
    (a)(1) Inspections, tests, analyses, and acceptance criteria 
(ITAAC). The proposed inspections, tests, and analyses that the licensee 
who will be operating the reactor shall perform, and the acceptance 
criteria that are necessary and sufficient to provide reasonable 
assurance that, if the inspections, tests, and analyses are performed 
and the acceptance criteria met:
    (i) The reactor has been manufactured in conformity with the 
manufacturing license; the provisions of the Act, and the Commission's 
rules and regulations; and
    (ii) The manufactured reactor will be operated in conformity with 
the approved design and any license authorizing operation of the 
manufactured reactor.
    (2) If the application references a standard design certification, 
the ITAAC contained in the certified design must apply to those portions 
of the facility design which are covered by the design certification.
    (3) If the application references a standard design certification, 
the application may include a notification that a required inspection, 
test, or analysis in the design certification ITAAC has been 
successfully completed and that the corresponding acceptance criterion 
has been met. The Federal Register notification required by Sec. 52.163 
must indicate that the application includes this notification.
    (b)(1) An environmental report as required by 10 CFR 51.54.
    (2) If the manufacturing license application references a standard 
design certification, the environmental report need not contain a 
discussion of severe accident mitigation design alternatives for the 
reactor.

[[Page 113]]



Sec. 52.159  Standards for review of application.

    Applications filed under this subpart will be reviewed according to 
the applicable standards set out in 10 CFR parts 20, 50 and its 
appendices, 51, 73, and 100 and its appendices.



Sec. 52.161  [Reserved]



Sec. 52.163  Administrative review of applications; hearings.

    A proceeding on a manufacturing license is subject to all applicable 
procedural requirements contained in 10 CFR part 2, including the 
requirements for docketing in Sec. 2.101(a)(1) through (4) of this 
chapter, and the requirements for issuance of a notice of proposed 
action in Sec. 2.105 of this chapter, provided, however, 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 constructing and/or operating 
the manufactured reactor or an evaluation of alternative energy sources. 
All hearings on manufacturing licenses are governed by the hearing 
procedures contained in 10 CFR part 2, subparts C, G, L, and N.



Sec. 52.165  Referral to the Advisory Committee on Reactor Safeguards (ACRS).

    The Commission shall refer a copy of the application to the ACRS. 
The ACRS shall report on those portions of the application which concern 
safety.



Sec. 52.167  Issuance of manufacturing license.

    (a) After completing any hearing under Sec. 52.163, and receiving 
the report submitted by the ACRS, the Commission may issue a 
manufacturing license if the Commission finds that:
    (1) Applicable standards and requirements of the Act and the 
Commission's regulations have been met;
    (2) There is reasonable assurance that the reactor(s) will be 
manufactured, and can be transported, incorporated into a nuclear power 
plant, and operated in conformity with the manufacturing license, the 
provision of the Act, and the Commission's regulations;
    (3) The proposed reactor(s) can be incorporated into a nuclear power 
plant and operated at sites having characteristics that fall within the 
site parameters postulated for the design of the manufactured reactor(s) 
without undue risk to the health and safety of the public;
    (4) The applicant is technically qualified to design and manufacture 
the proposed nuclear power reactor(s);
    (5) The proposed inspections, tests, analyses and acceptance 
criteria are necessary and sufficient, within the scope of the 
manufacturing license, to provide reasonable assurance that the 
manufactured reactor has been manufactured and will be operated in 
conformity with the license, the provisions of the Act, and the 
Commission's regulations;
    (6) 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; and
    (7) The findings required by subpart A of part 51 of this chapter 
have been made.
    (b) Each manufacturing license issued under this subpart shall 
specify:
    (1) Terms and conditions as the Commission deems necessary and 
appropriate;
    (2) Technical specifications for operation of the manufactured 
reactor, as the Commission deems necessary and appropriate;
    (3) Site parameters and design characteristics for the manufactured 
reactor; and
    (4) The interface requirements to be met by the site-specific 
elements of the facility, such as the service water intake structure and 
the ultimate heat sink, not within the scope of the manufactured 
reactor.
    (c)(1) A holder of a manufacturing license may not transport or 
allow to be removed from the place of manufacture the manufactured 
reactor except to the site of a licensee with either a construction 
permit under part 50 of this chapter or a combined license under subpart 
C of this part. The construction permit or combined license must 
authorize the construction of a nuclear power facility using the 
manufactured reactor(s).

[[Page 114]]

    (2) A holder of a manufacturing license shall include, in any 
contract governing the transport of a manufactured reactor from the 
place of manufacture to any other location, a provision requiring that 
the person or entity transporting the manufactured reactor to comply 
with all NRC-approved shipping requirements in the manufacturing 
license.



Sec. 52.169  [Reserved]



Sec. 52.171  Finality of manufacturing licenses; information requests.

    (a)(1) Notwithstanding any provision in 10 CFR 50.109, during the 
term of a manufacturing license the Commission may not modify, rescind, 
or impose new requirements on the design of the nuclear power reactor 
being manufactured, or the requirements for the manufacture of the 
nuclear power reactor, unless the Commission determines that a 
modification is necessary to bring the design of the reactor or its 
manufacture into compliance with the Commission's requirements 
applicable and in effect at the time the manufacturing license was 
issued, or to provide reasonable assurance of adequate protection to 
public health and safety or common defense and security.
    (2) Any modification to the design of a manufactured nuclear power 
reactor which is imposed by the Commission under paragraph (a)(1) of 
this section will be applied to all reactors manufactured under the 
license, including those that have already been transported and sited, 
except those reactors to which the modification has been rendered 
technically irrelevant by action taken under paragraph (b) of this 
section.
    (3) In making the findings required for issuance of a construction 
permit, operating license, combined license, in any hearing under Sec. 
52.103, or in any enforcement hearing other than one initiated by the 
Commission under paragraph (a)(1) of this section, for which a nuclear 
power reactor manufactured under this subpart is referenced or used, the 
Commission shall treat as resolved those matters resolved in the 
proceeding on the application for issuance or renewal of the 
manufacturing license, including the adequacy of design of the 
manufactured reactor, the costs and benefits of severe accident 
mitigation design alternatives, and the bases for not incorporating 
severe accident mitigation design alternatives into the design of the 
reactor to be manufactured.
    (b)(1) The holder of a manufacturing license may not make changes to 
the design of the nuclear power reactor authorized to be manufactured 
without prior Commission approval. The request for a change to the 
design must be in the form of an application for a license amendment, 
and must meet the requirements of 10 CFR 50.90 and 50.92.
    (2) An applicant or licensee who references or uses a nuclear power 
reactor manufactured under a manufacturing license under this subpart 
may request a departure from the design characteristics, site 
parameters, terms and conditions, or approved design of the manufactured 
reactor. The Commission may grant a request only if it determines that 
the departure will comply with the requirements of 10 CFR 52.7, and that 
the special circumstances outweigh any decrease in safety that may 
result from the reduction in standardization caused by the departure. 
The granting of a departure on request of an applicant is subject to 
litigation in the same manner as other issues in the construction permit 
or combined license hearing.
    (c) Except for information requests seeking to verify compliance 
with the current licensing basis of either the manufacturing license or 
the manufactured reactor, information requests to the holder of a 
manufacturing license or an applicant or licensee using a manufactured 
reactor must be evaluated before 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 evaluation performed by the NRC staff must be in accordance with 10 
CFR 50.54(f) and must be approved by the Executive Director for 
Operations or his or her designee before issuance of the request.

[[Page 115]]



Sec. 52.173  Duration of manufacturing license.

    A manufacturing license issued under this subpart may be valid for 
not less than 5, nor more than 15 years from the date of issuance. A 
holder of a manufacturing license may not initiate the manufacture of a 
reactor less than 3 years before the expiration of the license even 
though a timely application for renewal has been docketed with the NRC. 
Upon expiration of the manufacturing license, the manufacture of any 
uncompleted reactors must cease unless a timely application for renewal 
has been docketed with the NRC.



Sec. 52.175  Transfer of manufacturing license.

    A manufacturing license may be transferred in accordance with Sec. 
50.80 of this chapter.



Sec. 52.177  Application for renewal.

    (a) Not less than 12 months, nor more than 5 years before the 
expiration of the manufacturing license, or any later renewal period, 
the holder of the manufacturing license may apply for a renewal of the 
license. An application for renewal must contain all information 
necessary to bring up to date the information and data contained in the 
previous application.
    (b) The filing of an application for a renewed license must be in 
accordance with subpart A of 10 CFR part 2 and 10 CFR 52.3 and 50.30.
    (c) A manufacturing license, either original or renewed, for which a 
timely application for renewal has been filed, remains in effect until 
the Commission has made a final determination on the renewal 
application, provided, however, that in accordance with Sec. 52.173, 
the holder of a manufacturing license may not begin manufacture of a 
reactor less than 3 years before the expiration of the license.
    (d) Any person whose interest 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 2.309. If a hearing is granted, 
notice of the hearing will be published in accordance with 10 CFR 2.104.
    (e) The Commission shall refer a copy of the application for renewal 
to the Advisory Committee on Reactor Safeguards (ACRS). The ACRS shall 
report on those portions of the application which concern safety and 
shall apply the criteria set forth in Sec. 52.159.



Sec. 52.179  Criteria for renewal.

    The Commission may grant the renewal if the Commission determines:
    (a) The manufacturing license complies with the Atomic Energy Act 
and the Commission's regulations and orders applicable and in effect at 
the time the manufacturing license was originally issued; and
    (b) Any new requirements the Commission may wish to impose are:
    (1) Necessary for adequate protection to public health and safety or 
common defense and security;
    (2) Necessary for compliance with the Commission's regulations and 
orders applicable and in effect at the time the manufacturing license 
was originally issued; or
    (3) 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 the direct and indirect costs of 
implementation of those requirements are justified in view of this 
increased protection.



Sec. 52.181  Duration of renewal.

    A renewed manufacturing license may be issued for a term of not less 
than 5, nor more than 15 years, plus any remaining years on the 
manufacturing license then in effect before renewal. The renewed license 
shall be subject to the requirements of Sec. Sec. 52.171 and 52.175.

Subpart G [Reserved]



                          Subpart H_Enforcement



Sec. 52.301  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued under those Acts.

[[Page 116]]

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



Sec. 52.303  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
Sections 161b, 161i, or 161o of the Act. For purposes of Section 223, 
all the regulations in part 52 are issued under one or more of Sections 
161b, 161i, or 160o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 52 that are not issued under Sections 
161b, 161i, or 161o for the purposes of Section 223 are as follows: 
Sec. Sec. 52.0, 52.1, 52.2, 52.3, 52.7, 52.8, 52.9, 52.10, 52.11, 
52.12, 52.13, 52.15, 52.16, 52.17, 52.18, 52.21, 52.23, 52.24, 52.27, 
52.28, 52.29, 52.31, 52.33, 52.39, 52.41, 52.43, 52.45, 52.46, 52.47, 
52.48, 52.51, 52.53, 52.54, 52.55, 52.57, 52.59, 52.61, 52.63, 52.71, 
52.73, 52.75, 52.77, 52.79, 52.80, 52.81, 52.83, 52.85, 52.87, 52.93, 
52.97, 52.98, 52.103, 52.104, 52.105, 52.107, 52.109, 52.131, 52.133, 
52.135, 52.136, 52.137, 52.139, 52.141, 52.143, 52.145, 52.147, 52.151, 
52.153, 52.155, 52.156, 52.157, 52.158, 52.159, 52.161, 52.163, 52.165, 
52.167, 52.171, 52.173, 52.175, 52.177, 52.179, 52.181, 52.301, and 
52.303.



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

                             I. Introduction

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

                             II. Definitions

    A. Generic design control document (generic DCD) means the document 
containing the Tier 1 and Tier 2 information and generic technical 
specifications that is incorporated by reference into this appendix.
    B. Generic technical specifications means the information, required 
by 10 CFR 50.36 and 50.36a, for the portion of the plant that is within 
the scope of this appendix.
    C. Plant-specific DCD means the document, maintained by an applicant 
or licensee who references this appendix, consisting of the information 
in the generic DCD, as modified and supplemented by the plant-specific 
departures and exemptions made under Section VIII of this appendix.
    D. Tier 1 means the portion of the design-related information 
contained in the generic DCD that is approved and certified by this 
appendix (hereinafter Tier 1 information). The design descriptions, 
interface requirements, and site parameters are derived from Tier 2 
information. Tier 1 information includes:
    1. Definitions and general provisions;
    2. Design descriptions;
    3. Inspections, tests, analyses, and acceptance criteria (ITAAC);
    4. Significant site parameters; and
    5. Significant interface requirements.
    E. Tier 2 means the portion of the design-related information 
contained in the generic DCD that is approved but not certified by this 
appendix (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 of this appendix to reference Tier 2 when referencing Tier 
1. Tier 2 information includes:
    1. Information required by Sec. Sec. 52.47(a) and 52.47(c), with 
the exception of generic technical specifications and conceptual design 
information;
    2. 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
    3. Combined license (COL) action items (COL license information), 
which identify certain matters that must 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

[[Page 117]]

the only acceptable set of information in the FSAR. An applicant may 
depart from or omit these items, provided that the departure or omission 
is identified and justified in the FSAR. After issuance of a 
construction permit or COL, these items are not requirements for the 
licensee unless such items are restated in the FSAR.
    F. Tier 2* means the portion of the Tier 2 information, designated 
as such in the generic DCD, which is subject to the change process in 
Section VIII.B.6 of this appendix. This designation expires for some 
Tier 2* information under Section VIII.B.6.
    G. Departure from a method of evaluation described in the plant-
specific DCD used in establishing the design bases or in the safety 
analyses means:
    (1) Changing any of the elements of the method described in the 
plant-specific DCD unless the results of the analysis are conservative 
or essentially the same; or
    (2) Changing from a method described in the plant-specific DCD to 
another method unless that method has been approved by NRC for the 
intended application.
    H. All other terms in this appendix have the meaning set out in 10 
CFR 50.2 or 52.1, or Section 11 of the Atomic Energy Act of 1954, as 
amended, as applicable.

                         III. Scope and Contents

    A. Tier 1, Tier 2, and the generic technical specifications in the 
U.S. ABWR Design Control Document, GE Nuclear Energy, Revision 4 dated 
March 1997, are approved for incorporation by reference by the Director 
of the Office of the Federal Register in accordance with 5 U.S.C. 552(a) 
and 1 CFR part 51. Copies of the generic DCD may be obtained from the 
National Technical Information Service, 5285 Port Royal Road, 
Springfield, Virginia 22161. A copy is available for examination and 
copying at the NRC Public Document Room located at One White Flint 
North, 11555 Rockville Pike (first floor), Rockville, Maryland 20852. 
Copies are also available for examination at the NRC Library located at 
Two White Flint North, 11545 Rockville Pike, Rockville, Maryland 20582 
and the Office of the Federal Register, 800 North Capitol Street, NW., 
Suite 700, Washington, DC.
    B. An applicant or licensee referencing this appendix, in accordance 
with Section IV of this appendix, shall incorporate by reference and 
comply with the requirements of this appendix, including Tier 1, Tier 2, 
and the generic technical specifications except as otherwise provided in 
this appendix. Conceptual design information, as set forth in the 
generic DCD, and the ``Technical Support Document for the ABWR'' are not 
part of this appendix. Tier 2 references to the probabilistic risk 
assessment (PRA) in the ABWR standard safety analysis report do not 
incorporate the PRA into Tier 2.
    C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then 
Tier 1 controls.
    D. If there is a conflict between the generic DCD and either the 
application for design certification of the U.S. ABWR design or NUREG-
1503, ``Final Safety Evaluation Report related to the Certification of 
the Advanced Boiling Water Reactor Design'' (FSER), and Supplement No. 
1, then the generic DCD controls.
    E. Design activities for structures, systems, and components that 
are wholly outside the scope of this appendix may be performed using 
site characteristics, provided the design activities do not affect the 
DCD or conflict with the interface requirements.

              IV. Additional Requirements and Restrictions

    A. An applicant for a combined license that wishes to reference this 
appendix shall, in addition to complying with the requirements of 10 CFR 
52.77, 52.79, and 52.80, comply with the following requirements:
    1. Incorporate by reference, as part of its application, this 
appendix;
    2. Include, as part of its application:
    a. A plant-specific DCD containing the same type of information and 
using the same organization and numbering as the generic DCD for the 
U.S. ABWR design, as modified and supplemented by the applicant's 
exemptions and departures;
    b. The reports on departures from and updates to the plant-specific 
DCD required by paragraph X.B of this appendix;
    c. Plant-specific technical specifications, consisting of the 
generic and site-specific technical specifications, that are required by 
10 CFR 50.36 and 50.36a;
    d. Information demonstrating compliance with the site parameters and 
interface requirements;
    e. Information that addresses the COL action items; and
    f. Information required by 10 CFR 52.47 that is not within the scope 
of this appendix.
    3. Include, in the plant-specific DCD, the proprietary information 
and safeguards information referenced in the U.S. ABWR DCD.
    B. The Commission reserves the right to determine in what manner 
this appendix may be referenced by an applicant for a construction 
permit or operating license under 10 CFR part 50.

                        V. Applicable Regulations

    A. Except as indicated in paragraph B of this section, the 
regulations that apply to the U.S. ABWR design are in 10 CFR parts 20, 
50, 73, and 100, codified as of May 2, 1997, that are applicable and 
technically relevant, as described in the FSER (NUREG-1503) and 
Supplement No. 1.
    B. The U.S. ABWR design is exempt from portions of the following 
regulations:

[[Page 118]]

    1. Paragraph (f)(2)(iv) of 10 CFR 50.34--Separate Plant Safety 
Parameter Display Console;
    2. Paragraph (f)(2)(viii) of 10 CFR 50.34--Post-Accident Sampling 
for Boron, Chloride, and Dissolved Gases; and
    3. Paragraph (f)(3)(iv) of 10 CFR 50.34--Dedicated Containment 
Penetration.

                          VI. Issue Resolution

    A. The Commission has determined that the structures, systems, 
components, and design features of the U.S. ABWR design comply with the 
provisions of the Atomic Energy Act of 1954, as amended, and the 
applicable regulations identified in Section V of this appendix; and 
therefore, provide adequate protection to the health and safety of the 
public. A conclusion that a matter is resolved includes the finding that 
additional or alternative structures, systems, components, design 
features, design criteria, testing, analyses, acceptance criteria, or 
justifications are not necessary for the U.S. ABWR design.
    B. The Commission considers the following matters resolved within 
the meaning of 10 CFR 52.63(a)(5) in subsequent proceedings for issuance 
of a combined license, amendment of a combined license, or renewal of a 
combined license, proceedings held under 10 CFR 52.103, and enforcement 
proceedings involving plants referencing this appendix:
    1. All nuclear safety issues, except for the generic technical 
specifications and other operational requirements, associated with the 
information in the FSER and Supplement No. 1, Tier 1, Tier 2 (including 
referenced information which the context indicates is intended as 
requirements), and the rulemaking record for certification of the U.S. 
ABWR design;
    2. All nuclear safety and safeguards issues associated with the 
information in proprietary and safeguards documents, referenced and in 
context, are intended as requirements in the generic DCD for the U.S. 
ABWR design;
    3. All generic changes to the DCD under and in compliance with the 
change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;
    4. All exemptions from the DCD under and in compliance with the 
change processes in Sections VIII.A.4 and VIII.B.4 of this appendix, but 
only for that plant;
    5. All departures from the DCD that are approved by license 
amendment, but only for that plant;
    6. Except as provided in paragraph VIII.B.5.f of this appendix, all 
departures from Tier 2 pursuant to and in compliance with the change 
processes in paragraph VIII.B.5 of this appendix that do not require 
prior NRC approval, but only for that plant;
    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, dated December 1994, for 
plants referencing this appendix whose site parameters are within those 
specified in the technical support document.
    C. The Commission does not consider operational requirements for an 
applicant or licensee who references this appendix to be matters 
resolved within the meaning of 10 CFR 52.63(a)(5). The Commission 
reserves the right to require operational requirements for an applicant 
or licensee who references this appendix by rule, regulation, order, or 
license condition.
    D. Except in accordance with the change processes in Section VIII of 
this appendix, the Commission may not require an applicant or licensee 
who references this appendix to:
    1. Modify structures, systems, components, or design features as 
described in the generic DCD;
    2. Provide additional or alternative structures, systems, 
components, or design features not discussed in the generic DCD; or
    3. Provide additional or alternative design criteria, testing, 
analyses, acceptance criteria, or justification for structures, systems, 
components, or design features discussed in the generic DCD.
    E.1. Persons who wish to review proprietary and safeguards 
information or other secondary references in the DCD for the U.S. ABWR 
design, in order to request or participate in the hearing required by 10 
CFR 52.85 or the hearing provided under 10 CFR 52.103, or to request or 
participate in any other hearing relating to this appendix in which 
interested persons have adjudicatory hearing rights, shall first request 
access to such information from GE Nuclear Energy. The request must 
state with particularity:
    a. The nature of the proprietary or other information sought;
    b. The reason why the information currently available to the public 
at the NRC Web site, http://www.nrc.gov, and/or at the NRC Public 
Document Room, is insufficient;
    c. The relevance of the requested information to the hearing 
issue(s) which the person proposes to raise; and
    d. A showing that the requesting person has the capability to 
understand and utilize the requested information.
    2. If a person claims that the information is necessary to prepare a 
request for hearing, the request must be filed no later than 15 days 
after publication in the Federal Register of the notice required either 
by 10 CFR 52.85 or 10 CFR 52.103. If GE Nuclear Energy declines to 
provide the information sought, GE Nuclear Energy shall send a written 
response within 10 days of receiving the request to the requesting 
person setting forth

[[Page 119]]

with particularity the reasons for its refusal. The person may then 
request the Commission (or presiding officer, if a proceeding has been 
established) to order disclosure. The person shall include copies of the 
original request (and any subsequent clarifying information provided by 
the requesting party to the applicant) and the applicant's response. The 
Commission and presiding officer shall base their decisions solely on 
the person's original request (including any clarifying information 
provided by the requesting person to GE Nuclear Energy), and GE Nuclear 
Energy's response. The Commission and presiding officer may order GE 
Nuclear Energy to provide access to some or all of the requested 
information, subject to an appropriate non-disclosure agreement.

                     VII. Duration of This Appendix

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

               VIII. Processes for Changes and Departures

    A. Tier 1 information.
    1. Generic changes to Tier 1 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 1 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs A.3 or A.4 of this section.
    3. Departures from Tier 1 information that are required by the 
Commission through plant-specific orders are governed by the 
requirements in 10 CFR 52.63(a)(4).
    4. Exemptions from Tier 1 information are governed by the 
requirements in 10 CFR 52.63(b)(1) and 52.98(f). The Commission will 
deny a request for an exemption from Tier 1, if it finds that the design 
change will result in a significant decrease in the level of safety 
otherwise provided by the design.
    B. Tier 2 information.
    1. Generic changes to Tier 2 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 2 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
    3. The Commission may not require new requirements on Tier 2 
information by plant-specific order while this appendix is in effect 
under Sec. Sec. 52.55 or 52.61, unless:
    a. A modification is necessary to secure compliance with the 
Commission's regulations applicable and in effect at the time this 
appendix was approved, as set forth in Section V of this appendix, or to 
assure adequate protection of the public health and safety or the common 
defense and security; and
    b. Special circumstances as defined in 10 CFR 52.7 are present.
    4. An applicant or licensee who references this appendix may request 
an exemption from Tier 2 information. The Commission may grant such a 
request only if it determines that the exemption will comply with the 
requirements of 10 CFR 52.7. The Commission will deny a request for an 
exemption from Tier 2, if it finds that the design change will result in 
a significant decrease in the level of safety otherwise provided by the 
design. The grant of an exemption to an applicant must be subject to 
litigation in the same manner as other issues material to the license 
hearing. The grant of an exemption to a licensee must be subject to an 
opportunity for a hearing in the same manner as license amendments.
    5.a. An applicant or licensee who references this appendix may 
depart from Tier 2 information, without prior NRC approval, unless the 
proposed departure involves a change to or departure from Tier 1 
information, Tier 2* information, or the technical specifications, or 
requires a license amendment under paragraphs B.5.b or B.5.c of this 
section. When evaluating the proposed departure, an applicant or 
licensee shall consider all matters described in the plant-specific DCD.
    b. A proposed departure from Tier 2, other than one affecting 
resolution of a severe accident issue identified in the plant-specific 
DCD, requires a license amendment if it would:
    (1) Result in more than a minimal increase in the frequency of 
occurrence of an accident previously evaluated in the plant-specific 
DCD;
    (2) Result in more than a minimal increase in the likelihood of 
occurrence of a malfunction of a structure, system, or component (SSC) 
important to safety previously evaluated in the plant-specific DCD;
    (3) Result in more than a minimal increase in the consequences of an 
accident previously evaluated in the plant-specific DCD;
    (4) Result in more than a minimal increase in the consequences of a 
malfunction of a SSC important to safety previously evaluated in the 
plant-specific DCD;
    (5) Create a possibility for an accident of a different type than 
any evaluated previously in the plant-specific DCD;
    (6) Create a possibility for a malfunction of an SSC important to 
safety with a different

[[Page 120]]

result than any evaluated previously in the plant-specific DCD;
    (7) Result in a design basis limit for a fission product barrier as 
described in the plant-specific DCD being exceeded or altered; or
    (8) Result in a departure from a method of evaluation described in 
the plant-specific DCD used in establishing the design bases or in the 
safety analyses.
    c. A proposed departure from Tier 2 affecting resolution of an ex-
vessel severe accident design feature identified in the plant-specific 
DCD, requires a license amendment if:
    (1) There is a substantial increase in the probability of an ex-
vessel severe accident such that a particular ex-vessel severe accident 
previously reviewed and determined to be not credible could become 
credible; or
    (2) There is a substantial increase in the consequences to the 
public of a particular ex-vessel severe accident previously reviewed.
    d. If a departure requires a license amendment pursuant to 
paragraphs B.5.b or B.5.c of this section, it is governed by 10 CFR 
50.90.
    e. A departure from Tier 2 information that is made under paragraph 
B.5 of this section does not require an exemption from this appendix.
    f. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an applicant or licensee who references 
this appendix has not complied with paragraph VIII.B.5 of this appendix 
when departing from Tier 2 information, may petition the NRC to admit 
into the proceeding such a contention. In addition to compliance with 
the general requirements of 10 CFR 2.309, the petition must demonstrate 
that the departure does not comply with paragraph 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 
material fact regarding compliance with paragraph VIII.B.5 of this 
appendix.
    6.a. An applicant who references this appendix may not depart from 
Tier 2* information, which is designated with italicized text or 
brackets and an asterisk in the generic DCD, without NRC approval. The 
departure will not be considered a resolved issue, within the meaning of 
Section VI of this appendix and 10 CFR 52.63(a)(5).
    b. A licensee who references this appendix may not depart from the 
following Tier 2* matters without prior NRC approval. A request for a 
departure will be treated as a request for a license amendment under 10 
CFR 50.90.
    (1) Fuel burnup limit (4.2).
    (2) Fuel design evaluation (4.2.3).
    (3) Fuel licensing acceptance criteria (appendix 4B).
    c. A licensee who references this appendix may not, before the plant 
first achieves full power following the finding required by 10 CFR 
52.103(g), depart from the following Tier 2* matters except in 
accordance with paragraph B.6.b of this section. After the plant first 
achieves full power, the following Tier 2* matters revert to Tier 2 
status and are thereafter subject to the departure provisions in 
paragraph B.5 of this section.
    (1) ASME Boiler & Pressure Vessel Code, Section III.
    (2) ACI 349 and ANSI/AISC-690.
    (3) Motor-operated valves.
    (4) Equipment seismic qualification methods.
    (5) Piping design acceptance criteria.
    (6) Fuel system and assembly design (4.2), except burnup limit.
    (7) Nuclear design (4.3).
    (8) Equilibrium cycle and control rod patterns (App. 4A).
    (9) Control rod licensing acceptance criteria (App. 4C).
    (10) Instrument setpoint methodology.
    (11) EMS performance specifications and architecture.
    (12) SSLC hardware and software qualification.
    (13) Self-test system design testing features and commitments.
    (14) Human factors engineering design and implementation process.
    d. Departures from Tier 2* information that are made under paragraph 
B.6 of this section do not require an exemption from this appendix.
    C. Operational requirements.
    1. Generic changes to generic technical specifications and other 
operational requirements that were completely reviewed and approved in 
the design certification rulemaking and do not require a change to a 
design feature in the generic DCD are governed by the requirements in 10 
CFR 50.109. Generic changes that do require a change to a design feature 
in the generic DCD are governed by the requirements in paragraphs A or B 
of this section.
    2. Generic changes to generic TS and other operational requirements 
are applicable to all applicants who reference this appendix, except 
those for which the change has been rendered technically irrelevant by 
action

[[Page 121]]

taken under paragraphs C.3 or C.4 of this section.
    3. The Commission may require plant-specific departures on generic 
technical specifications and other operational requirements that were 
completely reviewed and approved, provided a change to a design feature 
in the generic DCD is not required and special circumstances as defined 
in 10 CFR 2.335 are present. The Commission may modify or supplement 
generic technical specifications and other operational requirements that 
were not completely reviewed and approved or require additional 
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD 
is not required.
    4. An applicant who references this appendix may request an 
exemption from the generic technical specifications or other operational 
requirements. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 52.7. The grant of an exemption must be subject to litigation in the 
same manner as other issues material to the license hearing.
    5. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an operational requirement approved in the 
DCD or a technical specification derived from the generic technical 
specifications must be changed may petition to admit into the proceeding 
such a contention. Such petition must comply with the general 
requirements of 10 CFR 2.309 and must demonstrate why special 
circumstances as defined in 10 CFR 2.335 are present, or for compliance 
with the Commission's regulations in effect at the time this appendix 
was approved, as set forth in Section V of this appendix. Any other 
party may file a response thereto. If, on the basis of the petition and 
any response, the presiding officer determines that a sufficient showing 
has been made, the presiding officer shall certify the matter directly 
to the Commission for determination of the admissibility of the 
contention. All other issues with respect to the plant-specific 
technical specifications or other operational requirements are subject 
to a hearing as part of the license proceeding.
    6. After issuance of a license, the generic technical specifications 
have no further effect on the plant-specific technical specifications 
and changes to the plant-specific technical specifications will be 
treated as license amendments under 10 CFR 50.90.

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

    A.1. An applicant or licensee who references this appendix shall 
perform and demonstrate conformance with the ITAAC before fuel load. 
With respect to activities subject to an ITAAC, an applicant for a 
license may proceed at its own risk with design and procurement 
activities, and a licensee may proceed at its own risk with design, 
procurement, construction, and preoperational activities, even though 
the NRC may not have found that any particular ITAAC has been met.
    2. The licensee who references this appendix shall notify the NRC 
that the required inspections, tests, and analyses in the ITAAC have 
been successfully completed and that the corresponding acceptance 
criteria have been met.
    3. In the event that an activity is subject to an ITAAC, and the 
applicant or licensee who references this appendix has not demonstrated 
that the ITAAC has been met, the applicant or licensee may either take 
corrective actions to successfully complete that ITAAC, request an 
exemption from the ITAAC in accordance with Section VIII of this 
appendix and 10 CFR 52.97(b), or petition for rulemaking to amend this 
appendix by changing the requirements of the ITAAC, under 10 CFR 2.802 
and 52.97(b). Such rulemaking changes to the ITAAC must meet the 
requirements of paragraph VIII.A.1 of this appendix.
    B.1. The NRC shall ensure that the required inspections, tests, and 
analyses in the ITAAC are performed. The NRC shall verify that the 
inspections, tests, and analyses referenced by the licensee have been 
successfully completed and, based solely thereon, find the prescribed 
acceptance criteria have been met. At appropriate intervals during 
construction, the NRC shall publish notices of the successful completion 
of ITAAC in the Federal Register.
    2. In accordance with 10 CFR 52.103(g), the Commission shall find 
that the acceptance criteria in the ITAAC for the license are met before 
fuel load.
    3. After the Commission has made the finding required by 10 CFR 
52.103(g), the ITAAC do not, by virtue of their inclusion within the 
DCD, constitute regulatory requirements either for licensees or for 
renewal of the license; except for specific ITAAC, which are the subject 
of a Sec. 52.103(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 52.98 and Section VIII of this appendix.

                        X. Records and Reporting

    A. Records.
    1. The applicant for this appendix shall maintain a copy of the 
generic DCD that includes all generic changes to Tier 1, Tier 2, and the 
generic TS and other operational requirements. The applicant shall 
maintain

[[Page 122]]

the proprietary and safeguards information referenced in the generic DCD 
for the period that this appendix may be referenced, as specified in 
Section VII of this appendix.
    2. An applicant or licensee who references this appendix shall 
maintain the plant-specific DCD to accurately reflect both generic 
changes to the generic DCD and plant-specific departures made under 
Section VIII of this appendix throughout the period of application and 
for the term of the license (including any period of renewal).
    3. An applicant or licensee who references this appendix shall 
prepare and maintain written evaluations which provide the bases for the 
determinations required by Section VIII of this appendix. These 
evaluations must be retained throughout the period of application and 
for the term of the license (including any period of renewal).
    B. Reporting.
    1. An applicant or licensee who references this appendix shall 
submit a report to the NRC containing a brief description of any plant-
specific departures from the DCD, including a summary of the evaluation 
of each. This report must be filed in accordance with the filing 
requirements applicable to reports in 10 CFR 52.3.
    2. An applicant or licensee who references this appendix shall 
submit updates to its DCD, which reflect the generic changes and the 
plant-specific departures from the generic DCD made under Section VIII 
of this appendix. These updates must be filed under the filing 
requirements applicable to final safety analysis report updates in 10 
CFR 52.3 and 50.71(e).
    3. The reports and updates required by paragraphs X.B.1 and X.B.2 
must be submitted as follows:
    a. On the date that an application for a license referencing this 
appendix is submitted, the application must include the report and any 
updates to the generic DCD.
    b. During the interval from the date of application for a license to 
the date the Commission makes the finding required by 10 CFR 52.103(g), 
the report must be submitted semiannually. Updates to the plant-specific 
DCD must be submitted annually and may be submitted along with 
amendments to the application.
    c. After the Commission makes the finding required by 10 CFR 
52.103(g), reports and updates to the plant-specific DCD must be 
submitted, along with updates to the site-specific portion of the final 
safety analysis report for the facility, at the intervals required by 10 
CFR 50.59(d)(2) and 10 CFR 50.71(e)(4), respectively, or at shorter 
intervals as specified in the license.



Sec. Appendix B to Part 52--Design Certification Rule for the System 80+ 
                                 Design

                             I. Introduction

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

    \1\ ``System 80+'' is a trademark of Westinghouse Electric Company 
LLC.
---------------------------------------------------------------------------

                             II. Definitions

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

[[Page 123]]

    1. Information required by Sec. Sec. 52.47(a) and 52.47(c), with 
the exception of generic technical specifications and conceptual design 
information;
    2. 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
    3. Combined license (COL) action items (COL license information), 
which identify certain matters that must be addressed in the site-
specific portion of the final safety analysis report (FSAR) by an 
applicant who references this appendix. These items constitute 
information requirements but are not the only acceptable set of 
information in the FSAR. An applicant may depart from or omit these 
items, provided that the departure or omission is identified and 
justified in the FSAR. After issuance of a construction permit or COL, 
these items are not requirements for the licensee unless such items are 
restated in the FSAR.
    F. Tier 2* means the portion of the Tier 2 information, designated 
as such in the generic DCD, which is subject to the change process in 
Section VIII.B.6 of this appendix. This designation expires for some 
Tier 2* information under Section VIII.B.6 of this appendix.
    G. Departure from a method of evaluation described in the plant-
specific DCD used in establishing the design bases or in the safety 
analyses means:
    (1) Changing any of the elements of the method described in the 
plant-specific DCD unless the results of the analysis are conservative 
or essentially the same; or
    (2) Changing from a method described in the plant-specific DCD to 
another method unless that method has been approved by NRC for the 
intended application.
    H. All other terms in this appendix have the meaning set out in 10 
CFR 50.2 or 52.1, or Section 11 of the Atomic Energy Act of 1954, as 
amended, as applicable.

                         III. Scope and Contents

    A. Tier 1, Tier 2, and the generic technical specifications in the 
System 80+ Design Control Document, ABB-CE, with revisions dated January 
1997, are approved for incorporation by reference by the Director of the 
Office of the Federal Register in accordance with 5 U.S.C. 552(a) and 1 
CFR part 51. Copies of the generic DCD may be obtained from the National 
Technical Information Service, 5285 Port Royal Road, Springfield, 
Virginia 22161. A copy is available for examination and copying at the 
NRC Public Document Room located at One White Flint North, 11555 
Rockville Pike (first floor), Rockville, Maryland 20852. Copies are also 
available for examination at the NRC Library located at Two White Flint 
North, 11545 Rockville Pike, Rockville, Maryland 20582 and the Office of 
the Federal Register, 800 North Capitol Street, NW., Suite 700, 
Washington, DC.
    B. An applicant or licensee referencing this appendix, in accordance 
with Section IV of this appendix, shall incorporate by reference and 
comply with the requirements of this appendix, including Tier 1, Tier 2, 
and the generic technical specifications except as otherwise provided in 
this appendix. Conceptual design information, as set forth in the 
generic DCD, and the Technical Support Document for the System 80+ 
design are not part of this appendix.
    C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then 
Tier 1 controls.
    D. If there is a conflict between the generic DCD and either the 
application for design certification of the System 80+ design or NUREG-
1462, ``Final Safety Evaluation Report Related to the Certification of 
the System 80+ Design,'' (FSER) and Supplement No. 1, then the generic 
DCD controls.
    E. Design activities for structures, systems, and components that 
are wholly outside the scope of this appendix may be performed using 
site characteristics, provided the design activities do not affect the 
DCD or conflict with the interface requirements.

              IV. Additional Requirements and Restrictions

    A. An applicant for a combined license that wishes to reference this 
appendix shall, in addition to complying with the requirements of 10 CFR 
52.77, 52.79, and 52.80, comply with the following requirements:
    1. Incorporate by reference, as part of its application, this 
appendix;
    2. Include, as part of its application:
    a. A plant-specific DCD containing the same type of information and 
using the same organization and numbering as the generic DCD for the 
System 80+ design, as modified and supplemented by the applicant's 
exemptions and departures;
    b. The reports on departures from and updates to the plant-specific 
DCD required by paragraph X.B of this appendix;
    c. Plant-specific technical specifications, consisting of the 
generic and site-specific technical specifications, that are required by 
10 CFR 50.36 and 50.36a;
    d. Information demonstrating compliance with the site parameters and 
interface requirements;
    e. Information that addresses the COL action items; and
    f. Information required by 10 CFR 52.47 that is not within the scope 
of this appendix.
    3. Include, in the plant-specific DCD, the proprietary information 
referenced in the System 80+ DCD.
    B. The Commission reserves the right to determine in what manner 
this appendix may be referenced by an applicant for a construction 
permit or operating license under 10 CFR part 50.

[[Page 124]]

                        V. Applicable Regulations

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

                          VI. Issue Resolution

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

[[Page 125]]

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

                     VII. Duration of This Appendix

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

               VIII. Processes for Changes and Departures

    A. Tier 1 information.
    1. Generic changes to Tier 1 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 1 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs A.3 or A.4 of this section.
    3. Departures from Tier 1 information that are required by the 
Commission through plant-specific orders are governed by the 
requirements in 10 CFR 52.63(a)(4).
    4. Exemptions from Tier 1 information are governed by the 
requirements in 10 CFR 52.63(b)(1) and 52.98(f). The Commission will 
deny a request for an exemption from Tier 1, if it finds that the design 
change will result in a significant decrease in the level of safety 
otherwise provided by the design.

                          B. Tier 2 Information

    1. Generic changes to Tier 2 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 2 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
    3. The Commission may not require new requirements on Tier 2 
information by plant-specific order while this appendix is in effect 
under Sec. Sec. 52.55 or 52.61, unless:
    a. A modification is necessary to secure compliance with the 
Commission's regulations applicable and in effect at the time this 
appendix was approved, as set forth in Section V of this appendix, or to 
assure adequate protection of the public health and safety or the common 
defense and security; and
    b. Special circumstances as defined in 10 CFR 52.7 are present.
    4. An applicant or licensee who references this appendix may request 
an exemption from Tier 2 information. The Commission may grant such a 
request only if it determines that the exemption will comply with the 
requirements of 10 CFR 52.7. The Commission will deny a request for an 
exemption from Tier 2, if it finds that the design change will result in 
a significant decrease in the level of safety otherwise provided by the 
design. The grant of an exemption to an applicant must be subject to 
litigation in the same manner as other issues material to the license 
hearing. The grant of an exemption to a licensee must be subject to an 
opportunity for a hearing in the same manner as license amendments.
    5.a. An applicant or licensee who references this appendix may 
depart from Tier 2 information, without prior NRC approval, unless the 
proposed departure involves a change to or departure from Tier 1 
information, Tier 2* information, or the technical specifications, or 
requires a license amendment under paragraphs B.5.b or B.5.c of this 
section. When evaluating the proposed departure, an applicant or 
licensee shall consider all matters described in the plant-specific DCD.
    b. A proposed departure from Tier 2, other than one affecting 
resolution of a severe accident issue identified in the plant-specific 
DCD, requires a license amendment if it would--
    (1) Result in more than a minimal increase in the frequency of 
occurrence of an accident

[[Page 126]]

previously evaluated in the plant-specific DCD;
    (2) Result in more than a minimal increase in the likelihood of 
occurrence of a malfunction of a structure, system, or component (SSC) 
important to safety previously evaluated in the plant-specific DCD;
    (3) Result in more than a minimal increase in the consequences of an 
accident previously evaluated in the plant-specific DCD;
    (4) Result in more than a minimal increase in the consequences of a 
malfunction of an SSC important to safety previously evaluated in the 
plant-specific DCD;
    (5) Create a possibility for an accident of a different type than 
any evaluated previously in the plant-specific DCD;
    (6) Create a possibility for a malfunction of an SSC important to 
safety with a different result than any evaluated previously in the 
plant-specific DCD;
    (7) Result in a design basis limit for a fission product barrier as 
described in the plant-specific DCD being exceeded or altered; or
    (8) Result in a departure from a method of evaluation described in 
the plant-specific DCD used in establishing the design bases or in the 
safety analyses.
    c. A proposed departure from Tier 2 affecting resolution of an ex-
vessel severe accident design feature identified in the plant-specific 
DCD, requires a license amendment if:
    (1) There is a substantial increase in the probability of an ex-
vessel severe accident such that a particular ex-vessel severe accident 
previously reviewed and determined to be not credible could become 
credible; or
    (2) There is a substantial increase in the consequences to the 
public of a particular ex-vessel severe accident previously reviewed.
    d. If a departure requires a license amendment under paragraph B.5.b 
or B.5.c of this section, it is governed by 10 CFR 50.90.
    e. A departure from Tier 2 information that is made under paragraph 
B.5 of this section does not require an exemption from this appendix.
    f. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an applicant or licensee who references 
this appendix has not complied with paragraph VIII.B.5 of this appendix 
when departing from Tier 2 information, may petition the NRC to admit 
into the proceeding such a contention. In addition to compliance with 
the general requirements of 10 CFR 2.309, the petition must demonstrate 
that the departure does not comply with paragraph 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 
material fact regarding compliance with paragraph VIII.B.5 of this 
appendix.
    6.a. An applicant who references this appendix may not depart from 
Tier 2* information, which is designated with italicized text or 
brackets and an asterisk in the generic DCD, without NRC approval. The 
departure will not be considered a resolved issue, within the meaning of 
Section VI of this appendix and 10 CFR 52.63(a)(5).
    b. A licensee who references this appendix may not depart from the 
following Tier 2* matters without prior NRC approval. A request for a 
departure will be treated as a request for a license amendment under 10 
CFR 50.90.
    (1) Maximum fuel rod average burnup.
    (2) Control room human factors engineering.
    c. A licensee who references this appendix may not, before the plant 
first achieves full power following the finding required by 10 CFR 
52.103(g), depart from the following Tier 2* matters except in 
accordance with paragraph B.6.b of this section. After the plant first 
achieves full power, the following Tier 2* matters revert to Tier 2 
status and are thereafter subject to the departure provisions in 
paragraph B.5 of this section.
    (1) ASME Boiler & Pressure Vessel Code, Section III.
    (2) ACI 349 and ANSI/AISC-690.
    (3) Motor-operated valves.
    (4) Equipment seismic qualification methods.
    (5) Piping design acceptance criteria.
    (6) Fuel and control rod design, except burnup limit.
    (7) Instrumentation and controls setpoint methodology.
    (8) Instrumentation and controls hardware and software changes.
    (9) Instrumentation and controls environmental qualification.
    (10) Seismic design criteria for non-seismic Category I structures.
    d. Departures from Tier 2* information that are made under paragraph 
B.6 of this section do not require an exemption from this appendix.
    C. Operational requirements.
    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

[[Page 127]]

by the requirements in 10 CFR 50.109. Generic changes that do require a 
change to a design feature in the generic DCD are governed by the 
requirements in paragraphs A or B of this section.
    2. Generic changes to generic TS and other operational requirements 
are applicable to all applicants who reference this appendix, except 
those for which the change has been rendered technically irrelevant by 
action taken under paragraphs C.3 or C.4 of this section.
    3. The Commission may require plant-specific departures on generic 
technical specifications and other operational requirements that were 
completely reviewed and approved, provided a change to a design feature 
in the generic DCD is not required and special circumstances as defined 
in 10 CFR 2.335 are present. The Commission may modify or supplement 
generic technical specifications and other operational requirements that 
were not completely reviewed and approved or require additional 
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD 
is not required.
    4. An applicant who references this appendix may request an 
exemption from the generic technical specifications or other operational 
requirements. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 52.7. The grant of an exemption must be subject to litigation in the 
same manner as other issues material to the license hearing.
    5. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an operational requirement approved in the 
DCD or a technical specification derived from the generic technical 
specifications must be changed may petition to admit into the proceeding 
such a contention. Such a petition must comply with the general 
requirements of 10 CFR 2.309 and must demonstrate why special 
circumstances as defined in 10 CFR 2.335 are present, or for compliance 
with the Commission's regulations in effect at the time this appendix 
was approved, as set forth in Section V of this appendix. Any other 
party may file a response thereto. If, on the basis of the petition and 
any response, the presiding officer determines that a sufficient showing 
has been made, the presiding officer shall certify the matter directly 
to the Commission for determination of the admissibility of the 
contention. All other issues with respect to the plant-specific 
technical specifications or other operational requirements are subject 
to a hearing as part of the license proceeding.
    6. After issuance of a license, the generic technical specifications 
have no further effect on the plant-specific technical specifications 
and changes to the plant-specific technical specifications will be 
treated as license amendments under 10 CFR 50.90.

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

    A.1 An applicant or licensee who references this appendix shall 
perform and demonstrate conformance with the ITAAC before fuel load. 
With respect to activities subject to an ITAAC, an applicant for a 
license may proceed at its own risk with design and procurement 
activities, and a licensee may proceed at its own risk with design, 
procurement, construction, and preoperational activities, even though 
the NRC may not have found that any particular ITAAC has been met.
    2. The licensee who references this appendix shall notify the NRC 
that the required inspections, tests, and analyses in the ITAAC have 
been successfully completed and that the corresponding acceptance 
criteria have been met.
    3. In the event that an activity is subject to an ITAAC, and the 
applicant or licensee who references this appendix has not demonstrated 
that the ITAAC has been met, 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 Section VIII.A.1 of this appendix.
    B.1 The NRC shall ensure that the required inspections, tests, and 
analyses in the ITAAC are performed. The NRC shall verify that the 
inspections, tests, and analyses referenced by the licensee have been 
successfully completed and, based solely thereon, find the prescribed 
acceptance criteria have been met. At appropriate intervals during 
construction, the NRC shall publish notices of the successful completion 
of ITAAC in the Federal Register.
    2. In accordance with 10 CFR 52.103(g), the Commission shall find 
that the acceptance criteria in the ITAAC for the license are met before 
fuel load.
    3. After the Commission has made the finding required by 10 CFR 
52.103(g), the ITAAC do not, by virtue of their inclusion within the 
DCD, constitute regulatory requirements either for licensees or for 
renewal of the license; except for specific ITAAC, which are the subject 
of a Sec. 52.103(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

[[Page 128]]

10 CFR 52.98 and Section VIII of this appendix.

                        X. Records and Reporting

    A. Records.
    1. The applicant for this appendix shall maintain a copy of the 
generic DCD that includes all generic changes to Tier 1, Tier 2, and the 
generic TS and other operational requirements. The applicant shall 
maintain the proprietary and safeguards information referenced in the 
generic DCD for the period that this appendix may be referenced, as 
specified in Section VII of this appendix.
    2. An applicant or licensee who references this appendix shall 
maintain the plant-specific DCD to accurately reflect both generic 
changes to the generic DCD and plant-specific departures made under 
Section VIII of this appendix throughout the period of application and 
for the term of the license (including any period of renewal).
    3. An applicant or licensee who references this appendix shall 
prepare and maintain written evaluations which provide the bases for the 
determinations required by Section VIII of this appendix. These 
evaluations must be retained throughout the period of application and 
for the term of the license (including any period of renewal).
    B. Reporting.
    1. An applicant or licensee who references this appendix shall 
submit a report to the NRC containing a brief description of any plant-
specific departures from the DCD, including a summary of the evaluation 
of each. This report must be filed in accordance with the filing 
requirements applicable to reports in 10 CFR 52.3.
    2. An applicant or licensee who references this appendix shall 
submit updates to its DCD, which reflect the generic changes to and 
plant-specific departures from the generic DCD made under Section VIII 
of this appendix. These updates must be filed under the filing 
requirements applicable to final safety analysis report updates in 10 
CFR 52.3 and 50.71(e).
    3. The reports and updates required by paragraphs X.B.1 and X.B.2 
must be submitted as follows:
    a. On the date that an application for a license referencing this 
appendix is submitted, the application must include the report and any 
updates to the generic DCD.
    b. During the interval from the date of application for a license to 
the date the Commission makes the finding required by 10 CFR 52.103(g), 
the report must be submitted semi-annually. Updates to the plant-
specific DCD must be submitted annually and may be submitted along with 
amendments to the application.
    c. After the Commission makes the finding required by 10 CFR 
52.103(g), the reports and updates to the plant-specific DCD must be 
submitted, along with updates to the site-specific portion of the final 
safety analysis report for the facility, at the intervals required by 10 
CFR 50.59(d)(2) and 50.71(e)(4), respectively, or at shorter intervals 
as specified in the license.



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

                             I. Introduction

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

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

                             II. Definitions

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

[[Page 129]]

the requirement in Section III.B of this appendix to reference Tier 2 
when referencing Tier 1. Tier 2 information includes:
    1. Information required by Sec. Sec. 52.47(a) and 52.47(c), with 
the exception of generic technical specifications and conceptual design 
information;
    2. 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
    3. Combined license (COL) action items (COL license information), 
which identify certain matters that must 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.
    4. The investment protection short-term availability controls in 
Section 16.3 of the DCD.
    F. Tier 2* means the portion of the Tier 2 information, designated 
as such in the generic DCD, which is subject to the change process in 
Section VIII.B.6 of this appendix. This designation expires for some 
Tier 2* information under Section VIII.B.6.
    G. Departure from a method of evaluation described in the plant-
specific DCD used in establishing the design bases or in the safety 
analyses means:
    (1) Changing any of the elements of the method described in the 
plant-specific DCD unless the results of the analysis are conservative 
or essentially the same; or
    (2) Changing from a method described in the plant-specific DCD to 
another method unless that method has been approved by NRC for the 
intended application.
    H. All other terms in this appendix have the meaning set out in 10 
CFR 50.2 or 52.1, or Section 11 of the Atomic Energy Act of 1954, as 
amended, as applicable.

                         III. Scope and Contents

    A. Tier 1, Tier 2 (including the investment protection short-term 
availability controls in Section 16.3), and the generic technical 
specifications in the AP600 DCD (12/99 revision) are approved for 
incorporation by reference by the Director of the Office of the Federal 
Register on January 24, 2000, in accordance with 5 U.S.C. 552(a) and 1 
CFR part 51. Copies of the generic DCD may be obtained from Ronald P. 
Vijuk, Manager, Passive Plant Engineering, Westinghouse Electric 
Company, P.O. Box 355, Pittsburgh, Pennsylvania 15230-0355. A copy of 
the generic DCD is available for examination and copying at the NRC 
Public Document Room located at One White Flint North, 11555 Rockville 
Pike (first floor), Rockville, Maryland 20852. Copies are also available 
for examination at the NRC Library located at Two White Flint North, 
11545 Rockville Pike, Rockville, Maryland 20582; and the Office of the 
Federal Register, 800 North Capitol Street, NW., Suite 700, Washington, 
DC.
    B. An applicant or licensee referencing this appendix, in accordance 
with Section IV of this appendix, shall incorporate by reference and 
comply with the requirements of this appendix, including Tier 1, Tier 2 
(including the investment protection short-term availability controls in 
Section 16.3), and the generic technical specifications except as 
otherwise provided in this appendix. Conceptual design information in 
the generic DCD and the evaluation of severe accident mitigation design 
alternatives in Appendix 1B of the generic DCD are not part of this 
appendix.
    C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then 
Tier 1 controls.
    D. If there is a conflict between the generic DCD and either the 
application for design certification of the AP600 design or NUREG-1512, 
``Final Safety Evaluation Report Related to Certification of the AP600 
Standard Design,'' (FSER), then the generic DCD controls.
    E. Design activities for structures, systems, and components that 
are wholly outside the scope of this appendix may be performed using 
site characteristics, provided the design activities do not affect the 
DCD or conflict with the interface requirements.

              IV. Additional Requirements and Restrictions

    A. An applicant for a combined license that wishes to reference this 
appendix shall, in addition to complying with the requirements of 10 CFR 
52.77, 52.79, and 52.80, comply with the following requirements:
    1. Incorporate by reference, as part of its application, this 
appendix;
    2. Include, as part of its application:
    a. A plant-specific DCD containing the same type of information and 
utilizing the same organization and numbering as the generic DCD for the 
AP600 design, as modified and supplemented by the applicant's exemptions 
and departures;
    b. The reports on departures from and updates to the plant-specific 
DCD required by paragraph X.B of this appendix;
    c. Plant-specific technical specifications, consisting of the 
generic and site-specific technical specifications, that are required by 
10 CFR 50.36 and 50.36a;
    d. Information demonstrating compliance with the site parameters and 
interface requirements;
    e. Information that addresses the COL action items; and

[[Page 130]]

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

                        V. Applicable Regulations

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

                          VI. Issue Resolution

    A. The Commission has determined that the structures, systems, 
components, and design features of the AP600 design comply with the 
provisions of the Atomic Energy Act of 1954, as amended, and the 
applicable regulations identified in Section V of this appendix; and 
therefore, provide adequate protection to the health and safety of the 
public. A conclusion that a matter is resolved includes the finding that 
additional or alternative structures, systems, components, design 
features, design criteria, testing, analyses, acceptance criteria, or 
justifications are not necessary for the AP600 design.
    B. The Commission considers the following matters resolved within 
the meaning of 10 CFR 52.63(a)(5) in subsequent proceedings for issuance 
of a combined license, amendment of a combined license, or renewal of a 
combined license, proceedings held under 10 CFR 52.103, and enforcement 
proceedings involving plants referencing this appendix:
    1. All nuclear safety issues, except for the generic technical 
specifications and other operational requirements, associated with the 
information in the FSER and Supplement No. 1, Tier 1, Tier 2 (including 
referenced information which the context indicates is intended as 
requirements and the investment protection short-term availability 
controls in Section 16.3), and the rulemaking record for certification 
of the AP600 design;
    2. All nuclear safety and safeguards issues associated with the 
information in proprietary and safeguards documents, referenced and in 
context, are intended as requirements in the generic DCD for the AP600 
design;
    3. All generic changes to the DCD under and in compliance with the 
change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;
    4. All exemptions from the DCD under and in compliance with the 
change processes in Sections VIII.A.4 and VIII.B.4 of this appendix, but 
only for that plant;
    5. All departures from the DCD that are approved by license 
amendment, but only for that plant;
    6. Except as provided in paragraph VIII.B.5.f of this appendix, all 
departures from Tier 2 under and in compliance with the change processes 
in paragraph VIII.B.5 of this appendix that do not require prior NRC 
approval, but only for that plant;
    7. All environmental issues concerning severe accident mitigation 
design alternatives 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 severe accident mitigation design 
alternatives evaluation.
    C. The Commission does not consider operational requirements for an 
applicant or licensee who references this appendix to be matters 
resolved within the meaning of 10 CFR 52.63(a)(5). The Commission 
reserves the right to require operational requirements for an applicant 
or licensee who references this appendix by rule, regulation, order, or 
license condition.
    D. Except in accordance with the change processes in Section VIII of 
this appendix, the Commission may not require an applicant or licensee 
who references this appendix to:
    1. Modify structures, systems, components, or design features as 
described in the generic DCD;
    2. Provide additional or alternative structures, systems, 
components, or design features not discussed in the generic DCD; or
    3. Provide additional or alternative design criteria, testing, 
analyses, acceptance criteria, or justification for structures, systems, 
components, or design features discussed in the generic DCD.
    E.1. Persons who wish to review proprietary and safeguards 
information or other secondary references in the AP600 DCD, in order to 
request or participate in the hearing required by 10 CFR 52.85 or the 
hearing provided under 10 CFR 52.103, or to request or

[[Page 131]]

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

                     VII. Duration of This Appendix

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

               VIII. Processes for Changes and Departures

    A. Tier 1 information.
    1. Generic changes to Tier 1 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 1 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs A.3 or A.4 of this section.
    3. Departures from Tier 1 information that are required by the 
Commission through plant-specific orders are governed by the 
requirements in 10 CFR 52.63(a)(4).
    4. Exemptions from Tier 1 information are governed by the 
requirements in 10 CFR 52.63(b)(1) and 52.98(f). The Commission will 
deny a request for an exemption from Tier 1, if it finds that the design 
change will result in a significant decrease in the level of safety 
otherwise provided by the design.
    B. Tier 2 information.
    1. Generic changes to Tier 2 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 2 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
    3. The Commission may not require new requirements on Tier 2 
information by plant-specific order while this appendix is in effect 
under Sec. Sec. 52.55 or 52.61, unless:
    a. A modification is necessary to secure compliance with the 
Commission's regulations applicable and in effect at the time this 
appendix was approved, as set forth in Section V of this appendix, or to 
assure adequate protection of the public health and safety or the common 
defense and security; and
    b. Special circumstances as defined in 10 CFR 52.7 are present.
    4. An applicant or licensee who references this appendix may request 
an exemption from Tier 2 information. The Commission may grant such a 
request only if it determines that the exemption will comply with the 
requirements of 10 CFR 52.7. The Commission will deny a request for an 
exemption from Tier 2, if it finds that the design change will result in 
a significant decrease in the level of safety otherwise provided by the 
design. The grant of an exemption to an applicant must be subject to 
litigation in the same manner as other issues material to the license 
hearing. The grant of an exemption to a licensee must be subject to an 
opportunity for a hearing in the same manner as license amendments.
    5.a. An applicant or licensee who references this appendix may 
depart from Tier 2 information, without prior NRC approval, unless the 
proposed departure involves a change to or departure from Tier 1 
information, Tier 2* information, or the technical specifications, or 
requires a license amendment under paragraphs B.5.b or B.5.c of this 
section. When evaluating the proposed departure, an applicant or 
licensee shall consider

[[Page 132]]

all matters described in the plant-specific DCD.
    b. A proposed departure from Tier 2, other than one affecting 
resolution of a severe accident issue identified in the plant-specific 
DCD, requires a license amendment if it would:
    (1) Result in more than a minimal increase in the frequency of 
occurrence of an accident previously evaluated in the plant-specific 
DCD;
    (2) Result in more than a minimal increase in the likelihood of 
occurrence of a malfunction of a structure, system, or component (SSC) 
important to safety previously evaluated in the plant-specific DCD;
    (3) Result in more than a minimal increase in the consequences of an 
accident previously evaluated in the plant-specific DCD;
    (4) Result in more than a minimal increase in the consequences of a 
malfunction of an SSC important to safety previously evaluated in the 
plant-specific DCD;
    (5) Create a possibility for an accident of a different type than 
any evaluated previously in the plant-specific DCD;
    (6) Create a possibility for a malfunction of an SSC important to 
safety with a different result than any evaluated previously in the 
plant-specific DCD;
    (7) Result in a design basis limit for a fission product barrier as 
described in the plant-specific DCD being exceeded or altered; or
    (8) Result in a departure from a method of evaluation described in 
the plant-specific DCD used in establishing the design bases or in the 
safety analyses.
    c. A proposed departure from Tier 2 affecting resolution of an ex-
vessel severe accident design feature identified in the plant-specific 
DCD, requires a license amendment if:
    (1) There is a substantial increase in the probability of an ex-
vessel severe accident such that a particular ex-vessel severe accident 
previously reviewed and determined to be not credible could become 
credible; or
    (2) There is a substantial increase in the consequences to the 
public of a particular ex-vessel severe accident previously reviewed.
    d. If a departure requires a license amendment under paragraphs 
B.5.b or B.5.c of this section, it is governed by 10 CFR 50.90.
    e. A departure from Tier 2 information that is made under paragraph 
B.5 of this section does not require an exemption from this appendix.
    f. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an applicant or licensee who references 
this appendix has not complied with paragraph VIII.B.5 of this appendix 
when departing from Tier 2 information, may petition the NRC to admit 
into the proceeding such a contention. In addition to compliance with 
the general requirements of 10 CFR 2.309, the petition must demonstrate 
that the departure does not comply with paragraph 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 
material fact regarding compliance with paragraph VIII.B.5 of this 
appendix.
    6a. 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)(5).
    b. A licensee who references this appendix may not depart from the 
following Tier 2* matters without prior NRC approval. A request for a 
departure will be treated as a request for a license amendment under 10 
CFR 50.90.
    (1) Maximum fuel rod average burn-up.
    (2) Fuel principal design requirements.
    (3) Fuel criteria evaluation process.
    (4) Fire areas.
    (5) Human factors engineering.
    c. A licensee who references this appendix may not, before the plant 
first achieves full power following the finding required by 10 CFR 
52.103(g), depart from the following Tier 2* matters except in 
accordance with paragraph B.6.b of this section. After the plant first 
achieves full power, the following Tier 2* matters revert to Tier 2 
status and are thereafter subject to the departure provisions in 
paragraph B.5 of this section.
    (1) Nuclear Island structural dimensions.
    (2) ASME Boiler and Pressure Vessel Code, Section III, and Code 
Case--284.
    (3) Design Summary of Critical Sections.
    (4) ACI 318, ACI 349, and ANSI/AISC--690.
    (5) Definition of critical locations and thicknesses.
    (6) Seismic qualification methods and standards.
    (7) Nuclear design of fuel and reactivity control system, except 
burn-up limit.
    (8) Motor-operated and power-operated valves.
    (9) Instrumentation and control system design processes, methods, 
and standards.
    (10) PRHR natural circulation test (first plant only).

[[Page 133]]

    (11) ADS and CMT verification tests (first three plants only).
    d. Departures from Tier 2* information that are made under paragraph 
B.6 of this section do not require an exemption from this appendix.
    C. Operational requirements.
    1. Generic changes to generic technical specifications and other 
operational requirements that were completely reviewed and approved in 
the design certification rulemaking and do not require a change to a 
design feature in the generic DCD are governed by the requirements in 10 
CFR 50.109. Generic changes that do require a change to a design feature 
in the generic DCD are governed by the requirements in paragraphs A or B 
of this section.
    2. Generic changes to generic TS and other operational requirements 
are applicable to all applicants who reference this appendix, except 
those for which the change has been rendered technically irrelevant by 
action taken under paragraphs C.3 or C.4 of this section.
    3. The Commission may require plant-specific departures on generic 
technical specifications and other operational requirements that were 
completely reviewed and approved, provided a change to a design feature 
in the generic DCD is not required and special circumstances as defined 
in 10 CFR 2.335 are present. The Commission may modify or supplement 
generic technical specifications and other operational requirements that 
were not completely reviewed and approved or require additional 
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD 
is not required.
    4. An applicant who references this appendix may request an 
exemption from the generic technical specifications or other operational 
requirements. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 52.7. The grant of an exemption must be subject to litigation in the 
same manner as other issues material to the license hearing.
    5. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an operational requirement approved in the 
DCD or a technical specification derived from the generic technical 
specifications must be changed may petition to admit into the proceeding 
such a contention. Such petition must comply with the general 
requirements of 10 CFR 2.309 and must demonstrate why special 
circumstances as defined in 10 CFR 2.335 are present, or for compliance 
with the Commission's regulations in effect at the time this appendix 
was approved, as set forth in Section V of this appendix. Any other 
party may file a response thereto. If, on the basis of the petition and 
any response, the presiding officer determines that a sufficient showing 
has been made, the presiding officer shall certify the matter directly 
to the Commission for determination of the admissibility of the 
contention. All other issues with respect to the plant-specific 
technical specifications or other operational requirements are subject 
to a hearing as part of the license proceeding.
    6. After issuance of a license, the generic technical specifications 
have no further effect on the plant-specific technical specifications 
and changes to the plant-specific technical specifications will be 
treated as license amendments under 10 CFR 50.90.

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

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

[[Page 134]]

    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 Sec. 52.103(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 52.98 and Section VIII of this appendix.

                        X. Records and Reporting

    A. Records.
    1. The applicant for this appendix shall maintain a copy of the 
generic DCD that includes all generic changes to Tier 1, Tier 2, and the 
generic TS and other operational requirements. The applicant shall 
maintain the proprietary and safeguards information referenced in the 
generic DCD for the period that this appendix may be referenced, as 
specified in Section VII of this appendix.
    2. An applicant or licensee who references this appendix shall 
maintain the plant-specific DCD to accurately reflect both generic 
changes to the generic DCD and plant-specific departures made under 
Section VIII of this appendix throughout the period of application and 
for the term of the license (including any period of renewal).
    3. An applicant or licensee who references this appendix shall 
prepare and maintain written evaluations which provide the bases for the 
determinations required by Section VIII of this appendix. These 
evaluations must be retained throughout the period of application and 
for the term of the license (including any period of renewal).
    B. Reporting.
    1. An applicant or licensee who references this appendix shall 
submit a report to the NRC containing a brief description of any plant-
specific departures from the DCD, including a summary of the evaluation 
of each. This report must be filed in accordance with the filing 
requirements applicable to reports in 10 CFR 52.3.
    2. An applicant or licensee who references this appendix shall 
submit updates to its DCD, which reflect the generic changes to and 
plant-specific departures from the generic DCD made under Section VIII 
of this appendix. These updates must be filed under the filing 
requirements applicable to final safety analysis report updates in 10 
CFR 52.3 and 50.71(e).
    3. The reports and updates required by paragraphs X.B.1 and X.B.2 
must be submitted as follows:
    a. On the date that an application for a license referencing this 
appendix is submitted, the application must include the report and any 
updates to the generic DCD.
    b. During the interval from the date of application for a license to 
the date the Commission makes the finding required by 10 CFR 52.103(g), 
the report must be submitted semi-annually. Updates to the plant-
specific DCD must be submitted annually and may be submitted along with 
amendments to the application.
    c. After the Commission makes the finding required by 10 CFR 
52.103(g), the reports and updates to the plant-specific DCD must be 
submitted, along with updates to the site-specific portion of the final 
safety analysis report for the facility, at the intervals required by 10 
CFR 50.59(d)(2) and 50.71(e), respectively, or at shorter intervals as 
specified in the license.



  Sec. Appendix D to Part 52--Design Certification Rule for the AP1000 
                                 Design

                             I. Introduction

    Appendix D constitutes the standard design certification for the 
AP1000 \1\ design, in accordance with 10 CFR part 52, subpart B. The 
applicant for certification of the AP1000 design is Westinghouse 
Electric Company LLC.
---------------------------------------------------------------------------

    \1\ AP1000 is a trademark of Westinghouse Electric Company LLC.
---------------------------------------------------------------------------

                             II. Definitions

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

[[Page 135]]

    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 (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 of this appendix to reference Tier 2 when referencing Tier 
1. Tier 2 information includes:
    1. Information required by Sec. Sec. 52.47(a) and 52.47(c), with 
the exception of generic technical specifications and conceptual design 
information;
    2. 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
    3. Combined license (COL) action items (COL license information), 
which identify certain matters that must 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.
    4. The investment protection short-term availability controls in 
Section 16.3 of the DCD.
    F. Tier 2* means the portion of the Tier 2 information, designated 
as such in the generic DCD, which is subject to the change process in 
Section VIII.B.6 of this appendix. This designation expires for some 
Tier 2* information under paragraph VIII.B.6.
    G. Departure from a method of evaluation described in the plant-
specific DCD used in establishing the design bases or in the safety 
analyses means:
    1. Changing any of the elements of the method described in the 
plant-specific DCD unless the results of the analysis are conservative 
or essentially the same; or
    2. Changing from a method described in the plant-specific DCD to 
another method unless that method has been approved by the NRC for the 
intended application.
    H. All other terms in this appendix have the meaning set out in 10 
CFR 50.2, or 52.1, or Section 11 of the Atomic Energy Act of 1954, as 
amended, as applicable.

                         III. Scope and Contents

    A. Tier 1, Tier 2 (including the investment protection short-term 
availability controls in Section 16.3), and the generic TS in the AP1000 
DCD (Revision 15, dated December 8, 2005) are approved for incorporation 
by reference by the Director of the Office of the Federal Register on 
February 27, 2006, under 5 U.S.C. 552(a) and 1 CFR part 51. Copies of 
the generic DCD may be obtained from Ronald P. Vijuk, Manager, Passive 
Plant Engineering, Westinghouse Electric Company, P.O. Box 355, 
Pittsburgh, Pennsylvania 15230-0355. A copy of the generic DCD is also 
available for examination and copying at the NRC Public Document Room, 
One White Flint North, 11555 Rockville Pike, Rockville, Maryland 20852. 
Copies are available for examination at the NRC Library, Two White Flint 
North, 11545 Rockville Pike, Rockville, Maryland, telephone (301) 415-
5610, e-mail LIBRARY@NRC.GOV or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call (202) 741-6030 or go to http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    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 of the DCD), and the generic TS except as otherwise 
provided in this appendix. Conceptual design information in the generic 
DCD and the evaluation of severe accident mitigation design alternatives 
in appendix 1B of the generic DCD are not part of this appendix.
    C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then 
Tier 1 controls.
    D. If there is a conflict between the generic DCD and either the 
application for design certification of the AP1000 design or NUREG-1793, 
``Final Safety Evaluation Report Related to Certification of the AP1000 
Standard Design,'' (FSER) and Supplement No. 1, then the generic DCD 
controls.
    E. Design activities for structures, systems, and components that 
are wholly outside the scope of this appendix may be performed using 
site characteristics, provided the design activities do not affect the 
DCD or conflict with the interface requirements.

              IV. Additional Requirements and Restrictions

    A. An applicant for a combined license that wishes to reference this 
appendix shall, in addition to complying with the requirements of 10 CFR 
52.77, 52.79, and 52.80, comply with the following requirements:
    1. Incorporate by reference, as part of its application, this 
appendix.

[[Page 136]]

    2. Include, as part of its application:
    a. A plant-specific DCD containing the same type of information and 
using the same organization and numbering as the generic DCD for the 
AP1000 design, as modified and supplemented by the applicant's 
exemptions and departures;
    b. The reports on departures from and updates to the plant-specific 
DCD required by paragraph X.B of this appendix;
    c. Plant-specific TS, consisting of the generic and site-specific TS 
that are required by 10 CFR 50.36 and 50.36a;
    d. Information demonstrating compliance with the site parameters and 
interface requirements;
    e. Information that addresses the COL action items; and
    f. Information required by 10 CFR 52.47(a) that is not within the 
scope of this appendix.
    3. Include, in the plant-specific DCD, the proprietary information 
and safeguards information referenced in the AP1000 DCD.
    B. The Commission reserves the right to determine in what manner 
this appendix may be referenced by an applicant for a construction 
permit or operating license under 10 CFR part 50.

                        V. Applicable Regulations

    A. Except as indicated in paragraph B of this section, the 
regulations that apply to the AP1000 design are in 10 CFR parts 20, 50, 
73, and 100, codified as of January 23, 2006, that are applicable and 
technically relevant, as described in the FSER (NUREG-1793) and 
Supplement No. 1.
    B. The AP1000 design is exempt from portions of the following 
regulations:
    1. Paragraph (f)(2)(iv) of 10 CFR 50.34--Plant Safety Parameter 
Display Console;
    2. Paragraph (c)(1) of 10 CFR 50.62--Auxiliary (or emergency) 
feedwater system; and
    3. Appendix A to 10 CFR part 50, GDC 17--Second offsite power supply 
circuit.

                          VI. Issue Resolution

    A. The Commission has determined that the structures, systems, 
components, and design features of the AP1000 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 AP1000 design.
    B. The Commission considers the following matters resolved within 
the meaning of 10 CFR 52.63(a)(5) in subsequent proceedings for issuance 
of a COL, amendment of a COL, or renewal of a COL, proceedings held 
under 10 CFR 52.103, and enforcement proceedings involving plants 
referencing this appendix:
    1. All nuclear safety issues, except for the generic TS 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 
investment protection short-term availability controls in Section 16.3 
of the DCD), and the rulemaking record for certification of the AP1000 
design;
    2. All nuclear safety and safeguards issues associated with the 
information in proprietary and safeguards documents, referenced and in 
context, are intended as requirements in the generic DCD for the AP1000 
design;
    3. All generic changes to the DCD under and in compliance with the 
change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;
    4. All exemptions from the DCD under and in compliance with the 
change processes in Sections VIII.A.4 and VIII.B.4 of this appendix, but 
only for that plant;
    5. All departures from the DCD that are approved by license 
amendment, but only for that plant;
    6. Except as provided in paragraph VIII.B.5.f of this appendix, all 
departures from Tier 2 under and in compliance with the change processes 
in paragraph VIII.B.5 of this appendix that do not require prior NRC 
approval, but only for that plant;
    7. All environmental issues concerning severe accident mitigation 
design alternatives associated with the information in the NRC's EA for 
the AP1000 design and Appendix 1B of the generic DCD, for plants 
referencing this appendix whose site parameters are within those 
specified in the severe accident mitigation design alternatives 
evaluation.
    C. The Commission does not consider operational requirements for an 
applicant or licensee who references this appendix to be matters 
resolved within the meaning of 10 CFR 52.63(a)(5). The Commission 
reserves the right to require operational requirements for an applicant 
or licensee who references this appendix by rule, regulation, order, or 
license condition.
    D. Except under the change processes in Section VIII of this 
appendix, the Commission may not require an applicant or licensee who 
references this appendix to:
    1. Modify structures, systems, components, or design features as 
described in the generic DCD;
    2. Provide additional or alternative structures, systems, 
components, or design features not discussed in the generic DCD; or
    3. Provide additional or alternative design criteria, testing, 
analyses, acceptance criteria, or justification for structures, systems, 
components, or design features discussed in the generic DCD.

[[Page 137]]

    E.1. Persons who wish to review proprietary and safeguards 
information or other secondary references in the AP1000 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 participate in 
any other hearing relating to this appendix in which interested persons 
have adjudicatory hearing rights, shall first request access to such 
information from Westinghouse. The request must state with 
particularity:
    a. The nature of the proprietary or other information sought;
    b. The reason why the information currently available to the public 
in the NRC's public document room is insufficient;
    c. The relevance of the requested information to the hearing 
issue(s) which the person proposes to raise; and
    d. A showing that the requesting person has the capability to 
understand and utilize the requested information.
    2. If a person claims that the information is necessary to prepare a 
request for hearing, the request must be filed no later than 15 days 
after publication in the Federal Register of the notice required either 
by 10 CFR 52.85 or 10 CFR 52.103. If Westinghouse declines to provide 
the information sought, Westinghouse shall send a written response 
within 10 days of receiving the request to the requesting person setting 
forth with particularity the reasons for its refusal. The person may 
then request the Commission (or presiding officer, if a proceeding has 
been established) to order disclosure. The person shall include copies 
of the original request (and any subsequent clarifying information 
provided by the requesting party to the applicant) and the applicant's 
response. The Commission and presiding officer shall base their 
decisions solely on the person's original request (including any 
clarifying information provided by the requesting person to 
Westinghouse), and Westinghouse's response. The Commission and presiding 
officer may order Westinghouse to provide access to some or all of the 
requested information, subject to an appropriate non-disclosure 
agreement.

                     VII. Duration of This Appendix

    This appendix may be referenced for a period of 15 years from 
February 27, 2006, except as provided for in 10 CFR 52.55(b) and 
52.57(b). This appendix remains valid for an applicant or licensee who 
references this appendix until the application is withdrawn or the 
license expires, including any period of extended operation under a 
renewed license.

               VIII. Processes for Changes and Departures

    A. Tier 1 information.
    1. Generic changes to Tier 1 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 1 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs A.3 or A.4 of this section.
    3. Departures from Tier 1 information that are required by the 
Commission through plant-specific orders are governed by the 
requirements in 10 CFR 52.63(a)(4).
    4. Exemptions from Tier 1 information are governed by the 
requirements in 10 CFR 52.63(b)(1) and 52.98(f). The Commission will 
deny a request for an exemption from Tier 1, if it finds that the design 
change will result in a significant decrease in the level of safety 
otherwise provided by the design.
    B. Tier 2 information.
    1. Generic changes to Tier 2 information are governed by the 
requirements in 10 CFR 52.63(a)(1).
    2. Generic changes to Tier 2 information are applicable to all 
applicants or licensees who reference this appendix, except those for 
which the change has been rendered technically irrelevant by action 
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
    3. The Commission may not require new requirements on Tier 2 
information by plant-specific order while this appendix is in effect 
under 10 CFR 52.55 or 52.61, unless:
    a. A modification is necessary to secure compliance with the 
Commission's regulations applicable and in effect at the time this 
appendix was approved, as set forth in Section V of this appendix, or to 
ensure adequate protection of the public health and safety or the common 
defense and security; and
    b. Special circumstances as defined in 10 CFR 50.12(a) are present.
    4. An applicant or licensee who references this appendix may request 
an exemption from Tier 2 information. The Commission may grant such a 
request only if it determines that the exemption will comply with the 
requirements of 10 CFR 50.12(a). The Commission will deny a request for 
an exemption from Tier 2, if it finds that the design change will result 
in a significant decrease in the level of safety otherwise provided by 
the design. The grant of an exemption to an applicant must be subject to 
litigation in the same manner as other issues material to the license 
hearing. The grant of an exemption to a licensee must be subject to an 
opportunity for a hearing in the same manner as license amendments.
    5.a. An applicant or licensee who references this appendix may 
depart from Tier 2 information, without prior NRC approval, unless the 
proposed departure involves a

[[Page 138]]

change to or departure from Tier 1 information, Tier 2* information, or 
the TS, or requires a license amendment under paragraphs B.5.b or B.5.c 
of this section. When evaluating the proposed departure, an applicant or 
licensee shall consider all matters described in the plant-specific DCD.
    b. A proposed departure from Tier 2, other than one affecting 
resolution of a severe accident issue identified in the plant-specific 
DCD, requires a license amendment if it would:
    (1) Result in more than a minimal increase in the frequency of 
occurrence of an accident previously evaluated in the plant-specific 
DCD;
    (2) Result in more than a minimal increase in the likelihood of 
occurrence of a malfunction of a structure, system, or component (SSC) 
important to safety and previously evaluated in the plant-specific DCD;
    (3) Result in more than a minimal increase in the consequences of an 
accident previously evaluated in the plant-specific DCD;
    (4) Result in more than a minimal increase in the consequences of a 
malfunction of an SSC important to safety previously evaluated in the 
plant-specific DCD;
    (5) Create a possibility for an accident of a different type than 
any evaluated previously in the plant-specific DCD;
    (6) Create a possibility for a malfunction of an SSC important to 
safety with a different result than any evaluated previously in the 
plant-specific DCD;
    (7) Result in a design basis limit for a fission product barrier as 
described in the plant-specific DCD being exceeded or altered; or
    (8) Result in a departure from a method of evaluation described in 
the plant-specific DCD used in establishing the design bases or in the 
safety analyses.
    c. A proposed departure from Tier 2 affecting resolution of an ex-
vessel severe accident design feature identified in the plant-specific 
DCD, requires a license amendment if:
    (1) There is a substantial increase in the probability of an ex-
vessel severe accident such that a particular ex-vessel severe accident 
previously reviewed and determined to be not credible could become 
credible; or
    (2) There is a substantial increase in the consequences to the 
public of a particular ex-vessel severe accident previously reviewed.
    d. If a departure requires a license amendment under paragraph B.5.b 
or B.5.c of this section, it is governed by 10 CFR 50.90.
    e. A departure from Tier 2 information that is made under paragraph 
B.5 of this section does not require an exemption from this appendix.
    f. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license or for operation under 10 CFR 
52.103(a), who believes that an applicant or licensee who references 
this appendix has not complied with paragraph 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 2.309, the petition must demonstrate that the 
departure does not comply with paragraph 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 
material fact regarding compliance with paragraph VIII.B.5 of this 
appendix.
    6.a. An applicant who references this appendix may not depart from 
Tier 2* information, which is designated with italicized text or 
brackets and an asterisk in the generic DCD, without NRC approval. The 
departure will not be considered a resolved issue, within the meaning of 
Section VI of this appendix and 10 CFR 52.63(a)(5).
    b. A licensee who references this appendix may not depart from the 
following Tier 2* matters without prior NRC approval. A request for a 
departure will be treated as a request for a license amendment under 10 
CFR 50.90.
    (1) Maximum fuel rod average burn-up.
    (2) Fuel principal design requirements.
    (3) Fuel criteria evaluation process.
    (4) Fire areas.
    (5) Human factors engineering.
    (6) Small-break loss-of-coolant accident (LOCA) analysis 
methodology.
    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 under 
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 
subject to the departure provisions in paragraph B.5 of this section.
    (1) Nuclear Island structural dimensions.
    (2) American Society of Mechanical Engineers Boiler & Pressure 
Vessel Code (ASME Code), Section III, and Code Case-284.
    (3) Design Summary of Critical Sections.
    (4) American Concrete Institute (ACI) 318, ACI 349, American 
National Standards Institute/American Institute of Steel Construction 
(ANSI/AISC)-690, and American Iron and Steel Institute (AISI), 
``Specification for the

[[Page 139]]

Design of Cold Formed Steel Structural Members, Part 1 and 2,'' 1996 
Edition and 2000 Supplement.
    (5) Definition of critical locations and thicknesses.
    (6) Seismic qualification methods and standards.
    (7) Nuclear design of fuel and reactivity control system, except 
burn-up limit.
    (8) Motor-operated and power-operated valves.
    (9) Instrumentation and control system design processes, methods, 
and standards.
    (10) Passive residual heat removal (PRHR) natural circulation test 
(first plant only).
    (11) Automatic depressurization system (ADS) and core make-up tank 
(CMT) verification tests (first three plants only).
    (12) Polar crane parked orientation.
    (13) Piping design acceptance criteria.
    (14) Containment vessel design parameters.
    d. Departures from Tier 2* information that are made under paragraph 
B.6 of this section do not require an exemption from this appendix.
    C. Operational requirements.
    1. Generic changes to generic TS 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 require a change to a design feature in the generic DCD are 
governed by the requirements in paragraphs A or B of this section.
    2. Generic changes to generic TS and other operational requirements 
are applicable to all applicants who reference this appendix, except 
those for which the change has been rendered technically irrelevant by 
action taken under paragraphs C.3 or C.4 of this section.
    3. The Commission may require plant-specific departures on generic 
TS 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 2.335 are 
present. The Commission may modify or supplement generic TS and other 
operational requirements that were not completely reviewed and approved 
or require additional TS and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD 
is not required.
    4. An applicant who references this appendix may request an 
exemption from the generic technical specifications or other operational 
requirements. The Commission may grant such a request only if it 
determines that the exemption will comply with the requirements of 10 
CFR 52.7. The grant of an exemption must be subject to litigation in the 
same manner as other issues material to the license hearing.
    5. A party to an adjudicatory proceeding for either the issuance, 
amendment, or renewal of a license, or for operation under 10 CFR 
52.103(a), who believes that an operational requirement approved in the 
DCD or a TS derived from the generic TS must be changed may petition to 
admit such a contention into the proceeding. The petition must comply 
with the general requirements of 10 CFR 2.309 and must demonstrate why 
special circumstances as defined in 10 CFR 2.335 are present, or 
demonstrate 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 to the petition. 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 TS or other operational requirements 
are subject to a hearing as part of the license proceeding.
    6. After issuance of a license, the generic TS have no further 
effect on the plant-specific TS. Changes to the plant-specific TS will 
be treated as license amendments under 10 CFR 50.90.

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

    A.1. An applicant or licensee who references this appendix shall 
perform and demonstrate conformance with the ITAAC before fuel load. 
With respect to activities subject to an ITAAC, an applicant for a 
license may proceed at its own risk with design and procurement 
activities. A licensee may also 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 met.
    2. The licensee who references this appendix shall notify the NRC 
that the required inspections, tests, and analyses in the ITAAC have 
been successfully completed and that the corresponding acceptance 
criteria have been met.
    3. If an activity is subject to an ITAAC and the applicant or 
licensee who references this appendix has not demonstrated that the 
ITAAC has been met, the applicant or licensee may either take corrective 
actions to successfully complete that ITAAC, request an exemption from 
the ITAAC under 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

[[Page 140]]

meet the requirements of paragraph VIII.A.1 of this appendix.
    B.1. The NRC shall ensure that the required inspections, tests, and 
analyses in the ITAAC are performed. The NRC shall verify that the 
inspections, tests, and analyses referenced by the licensee have been 
successfully completed and, based solely thereon, find that the 
prescribed acceptance criteria have been met. At appropriate intervals 
during construction, the NRC shall publish notices of the successful 
completion of ITAAC in the Federal Register.
    2. In accordance with 10 CFR 52.103(g), the Commission shall find 
that the acceptance criteria in the ITAAC for the license are met before 
fuel load.
    3. After the Commission has made the finding required by 10 CFR 
52.103(g), the ITAAC do not, by virtue of their inclusion within the 
DCD, constitute regulatory requirements either for licensees or for 
renewal of the license; except for specific ITAAC, which are the subject 
of a Sec. 52.103(a) hearing, their expiration will occur upon final 
Commission action in such a 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 52.98 and Section VIII of this 
appendix.

                        X. Records and Reporting

    A. Records
    1. The applicant for this appendix shall maintain a copy of the 
generic DCD that includes all generic changes to Tier 1, Tier 2, and the 
generic TS and other operational requirements. The applicant shall 
maintain the proprietary and safeguards information referenced in the 
generic DCD for the period that this appendix may be referenced, as 
specified in Section VII of this appendix.
    2. An applicant or licensee who references this appendix shall 
maintain the plant-specific DCD to accurately reflect both generic 
changes to the generic DCD and plant-specific departures made under 
Section VIII of this appendix throughout the period of application and 
for the term of the license (including any period of renewal).
    3. An applicant or licensee who references this appendix shall 
prepare and maintain written evaluations which provide the bases for the 
determinations required by Section VIII of this appendix. These 
evaluations must be retained throughout the period of application and 
for the term of the license (including any period of renewal).
    B. Reporting
    1. An applicant or licensee who references this appendix shall 
submit a report to the NRC containing a brief description of any plant-
specific departures from the DCD, including a summary of the evaluation 
of each. This report must be filed in accordance with the filing 
requirements applicable to reports in 10 CFR 52.3.
    2. An applicant or licensee who references this appendix shall 
submit updates to its DCD, which reflect the generic changes to and 
plant-specific departures from the generic DCD made under Section VIII 
of this appendix. These updates must be filed under the filing 
requirements applicable to final safety analysis report updates in 10 
CFR 52.3 and 50.71(e).
    3. The reports and updates required by paragraphs X.B.1 and X.B.2 
must be submitted as follows:
    a. On the date that an application for a license referencing this 
appendix is submitted, the application must include the report and any 
updates to the generic DCD.
    b. During the interval from the date of application for a license to 
the date the Commission makes its findings required by 10 CFR 52.103(g), 
the report must be submitted semi-annually. Updates to the plant-
specific DCD must be submitted annually and may be submitted along with 
amendments to the application.
    c. After the Commission makes the finding required by 10 CFR 
52.103(g), the reports and updates to the plant-specific DCD must be 
submitted, along with updates to the site-specific portion of the final 
safety analysis report for the facility, at the intervals required by 10 
CFR 50.59(d)(2) and 50.71(e)(4), respectively, or at shorter intervals 
as specified in the license.



                Sec. Appendixes E-M to Part 52 [Reserved]



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

    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, and for the 
consolidation of adjudicatory proceedings and of the presentations of 
parties in adjudicatory proceedings such as licensing proceedings 
(Sec. Sec. 2.316 and 2.317 of this chapter).
    This appendix sets out the particular requirements and provisions 
applicable to situations in which applications for combined licenses 
under subpart C of this part are filed by one or more applicants for 
licenses to

[[Page 141]]

construct and operate nuclear power reactors of identical design 
(``common design'') to be located at multiple sites.\1\
---------------------------------------------------------------------------

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

    1. Except as otherwise specified in this appendix or as the context 
otherwise indicates, the provisions of subpart C of this part and 
subpart D of part 2 of this chapter apply to combined license 
applications subject to this appendix.
    2. Each combined license application submitted pursuant to this 
appendix must be submitted as specified in Sec. 52.75 and 10 CFR 2.101. 
Each application must state that the applicant wishes to have the 
application considered under 10 CFR part 52, appendix N, and must list 
each of the applications to be treated together under this appendix.
    3. Each application must include the information required by 
Sec. Sec. 52.77, 52.79, and 52.80(a), provided however, that the 
application must identify the common design, and, if applicable, 
reference a standard design certification under subpart B of this part, 
or the use of a reactor manufactured under subpart F of this part. The 
final safety analysis report for each application must either 
incorporate by reference or include the final safety analysis of the 
common design, including, if applicable, the final safety analysis 
report for the referenced design certification or the manufactured 
reactor.\2\
---------------------------------------------------------------------------

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

    4. Each combined license application submitted pursuant to this 
appendix must contain an environmental report as required by Sec. 
52.80(b), and which complies with the applicable provisions of 10 CFR 
part 51, provided, however, that the application may incorporate by 
reference a single environmental report on the environmental impacts of 
the common design.
    5. Upon a determination that each application is acceptable for 
docketing under 10 CFR 2.101, each application will be docketed and a 
notice of docketing for each application will be published in the 
Federal Register, in accordance with 10 CFR 2.104, provided, however, 
that the notice must state that the application will be processed under 
the provisions of 10 CFR part 52, appendix N, and subpart D of part 2 of 
this chapter. As the discretion of the Commission, a single notice of 
docketing for multiple applications may be published in the Federal 
Register.
    6. The NRC staff shall prepare draft and final environmental impact 
statements for each of the applications under part 51 of this chapter. 
Scoping under 10 CFR 51.28 and 51.29 for each of the combined license 
applications may be conducted simultaneously and joint scoping may be 
conducted with respect to the environmental issues relevant to the 
common design.
    If the applications reference a standard design certification, then 
the environmental impact statement for each of the applications must 
incorporate by reference the design certification environmental 
assessment. If the applications do not reference a standard design 
certification, then the NRC staff shall prepare draft and final 
supplemental environmental impact statements which address severe 
accident mitigation design alternatives for the common design, which 
must be incorporated by reference into the environmental impact 
statement prepared for each application. Scoping under 10 CFR 51.28 and 
51.29 for the supplemental environmental impact statement may be 
conducted simultaneously, and may be part of the scoping for each of the 
combined license applications.
    7. The ACRS shall report on each of the applications as required by 
Sec. 52.87. Each report must be limited to those safety matters for 
each application which are not relevant to the common design. In 
addition, the ACRS shall separately report on the safety of the common 
design, provided, however, that the report need not address the safety 
of a referenced standard design certification or reactor manufactured 
under subpart F of this part.
    8. The Commission shall designate a presiding officer to conduct the 
proceeding with respect to the health and safety, common defense and 
security, and environmental matters relating to the common design. The 
hearing will be governed by the applicable provisions of subparts A, C, 
G, L, N, and O of part 2 of this chapter relating to applications for 
combined licenses. The presiding officer shall issue a partial initial 
decision on the common design.

                           PART 53 [RESERVED]



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




                           General Provisions

Sec.
54.1 Purpose.
54.3 Definitions.
54.4 Scope.
54.5 Interpretations.
54.7 Written communications.

[[Page 142]]

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

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

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

                           General Provisions



Sec. 54.1  Purpose.

    This part governs the issuance of renewed operating licenses and 
renewed combined licenses for nuclear power plants licensed pursuant to 
Sections 103 or 104b of the Atomic Energy Act of 1954, as amended, and 
Title II of the Energy Reorganization Act of 1974 (88 Stat. 1242).

[72 FR 49560, Aug. 28, 2007]



Sec. 54.3  Definitions.

    (a) As used in this part,
    Current licensing basis (CLB) is the set of NRC requirements 
applicable to a specific plant and a licensee's written commitments for 
ensuring compliance with and operation within applicable NRC 
requirements and the plant-specific design basis (including all 
modifications and additions to such commitments over the life of the 
license) that are docketed and in effect. The CLB includes the NRC 
regulations contained in 10 CFR parts 2, 19, 20, 21, 26, 30, 40, 50, 51, 
52, 54, 55, 70, 72, 73, 100 and appendices thereto; orders; license 
conditions; exemptions; and technical specifications. It also includes 
the plant-specific design-basis information defined in 10 CFR 50.2 as 
documented in the most recent final safety analysis report (FSAR) as 
required by 10 CFR 50.71 and the licensee's commitments remaining in 
effect that were made in docketed licensing correspondence such as 
licensee responses to NRC bulletins, generic letters, and enforcement 
actions, as well as licensee commitments documented in NRC safety 
evaluations or licensee event reports.
    Integrated plant assessment (IPA) is a licensee assessment that 
demonstrates that a nuclear power plant facility's structures and 
components requiring aging management review in accordance with Sec. 
54.21(a) for license renewal have been identified and that the effects 
of aging on the functionality of such structures and components will be 
managed to maintain the CLB such that there is an acceptable level of 
safety during the period of extended operation.
    Nuclear power plant means a nuclear power facility of a type 
described in 10 CFR 50.21(b) or 50.22.
    Renewed combined license means a combined license originally issued 
under part 52 of this chapter for which an application for renewal is 
filed in accordance with 10 CFR 52.107 and issued under this part.
    Time-limited aging analyses, for the purposes of this part, are 
those licensee calculations and analyses that:
    (1) Involve systems, structures, and components within the scope of 
license renewal, as delineated in Sec. 54.4(a);
    (2) Consider the effects of aging;
    (3) Involve time-limited assumptions defined by the current 
operating term, for example, 40 years;
    (4) Were determined to be relevant by the licensee in making a 
safety determination;

[[Page 143]]

    (5) Involve conclusions or provide the basis for conclusions related 
to the capability of the system, structure, and component to perform its 
intended functions, as delineated in Sec. 54.4(b); and
    (6) Are contained or incorporated by reference in the CLB.
    (b) All other terms in this part have the same meanings as set out 
in 10 CFR 50.2 or Section 11 of the Atomic Energy Act, as applicable.

[60 FR 22491, May 8, 1995, as amended at 72 FR 49560, Aug. 28, 2007]



Sec. 54.4  Scope.

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

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



Sec. 54.5  Interpretations.

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



Sec. 54.7  Written communications.

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



Sec. 54.9  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501, et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0155.
    (b) The approved information requirements contained in this part 
appear in Sec. Sec. 54.13, 54.15, 54.17, 54.19, 54.21, 54.22, 54.23, 
54.33, and 54.37.

[60 FR 22491, May 8, 1995, as amended at 62 FR 52188, Oct. 6, 1997; 67 
FR 67100, Nov. 4, 2002]



Sec. 54.11  Public inspection of applications.

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

[[Page 144]]



Sec. 54.13  Completeness and accuracy of information.

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



Sec. 54.15  Specific exemptions.

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



Sec. 54.17  Filing of application.

    (a) The filing of an application for a renewed license must be in 
accordance with subpart A of 10 CFR part 2 and 10 CFR 50.4 and 50.30.
    (b) Any person who is a citizen, national, or agent of a foreign 
country, or any corporation, or other entity which the Commission knows 
or has reason to know is owned, controlled, or dominated by an alien, a 
foreign corporation, or a foreign government, is ineligible to apply for 
and obtain a renewed license.
    (c) An application for a renewed license may not be submitted to the 
Commission earlier than 20 years before the expiration of the operating 
license or combined license currently in effect.
    (d) An applicant may combine an application for a renewed license 
with applications for other kinds of licenses.
    (e) An application may incorporate by reference information 
contained in previous applications for licenses or license amendments, 
statements, correspondence, or reports filed with the Commission, 
provided that the references are clear and specific.
    (f) If the application contains Restricted Data or other defense 
information, it must be prepared in such a manner that all Restricted 
Data and other defense information are separated from unclassified 
information in accordance with 10 CFR 50.33(j).
    (g) As part of its application, and in any event before the receipt 
of Restricted Data or classified National Security Information or the 
issuance of a renewed license, the applicant shall agree in writing that 
it will not permit any individual to have access to or any facility to 
possess Restricted Data or classified National Security Information 
until the individual and/or facility has been approved for such access 
under the provisions of 10 CFR parts 25 and/or 95. The agreement of the 
applicant in this regard shall be deemed part of the renewed license, 
whether so stated therein or not.

[60 FR 22491, May 8, 1995, as amended at 62 FR 17690, Apr. 11, 1997; 72 
FR 49560, Aug. 28, 2007]



Sec. 54.19  Contents of application--general information.

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



Sec. 54.21  Contents of application--technical information.

    Each application must contain the following information:
    (a) An integrated plant assessment (IPA). The IPA must--

[[Page 145]]

    (1) For those systems, structures, and components within the scope 
of this part, as delineated in Sec. 54.4, identify and list those 
structures and components subject to an aging management review. 
Structures and components subject to an aging management review shall 
encompass those structures and components--
    (i) That perform an intended function, as described in Sec. 54.4, 
without moving parts or without a change in configuration or properties. 
These structures and components include, but are not limited to, the 
reactor vessel, the reactor coolant system pressure boundary, steam 
generators, the pressurizer, piping, pump casings, valve bodies, the 
core shroud, component supports, pressure retaining boundaries, heat 
exchangers, ventilation ducts, the containment, the containment liner, 
electrical and mechanical penetrations, equipment hatches, seismic 
Category I structures, electrical cables and connections, cable trays, 
and electrical cabinets, excluding, but not limited to, pumps (except 
casing), valves (except body), motors, diesel generators, air 
compressors, snubbers, the control rod drive, ventilation dampers, 
pressure transmitters, pressure indicators, water level indicators, 
switchgears, cooling fans, transistors, batteries, breakers, relays, 
switches, power inverters, circuit boards, battery chargers, and power 
supplies; and
    (ii) That are not subject to replacement based on a qualified life 
or specified time period.
    (2) Describe and justify the methods used in paragraph (a)(1) of 
this section.
    (3) For each structure and component identified in paragraph (a)(1) 
of this section, demonstrate that the effects of aging will be 
adequately managed so that the intended function(s) will be maintained 
consistent with the CLB for the period of extended operation.
    (b) CLB changes during NRC review of the application. Each year 
following submittal of the license renewal application and at least 3 
months before scheduled completion of the NRC review, an amendment to 
the renewal application must be submitted that identifies any change to 
the CLB of the facility that materially affects the contents of the 
license renewal application, including the FSAR supplement.
    (c) An evaluation of time-limited aging analyses.
    (1) A list of time-limited aging analyses, as defined in Sec. 54.3, 
must be provided. The applicant shall demonstrate that--
    (i) The analyses remain valid for the period of extended operation;
    (ii) The analyses have been projected to the end of the period of 
extended operation; or
    (iii) The effects of aging on the intended function(s) will be 
adequately managed for the period of extended operation.
    (2) A list must be provided of plant-specific exemptions granted 
pursuant to 10 CFR 50.12 and in effect that are based on time-limited 
aging analyses as defined in Sec. 54.3. The applicant shall provide an 
evaluation that justifies the continuation of these exemptions for the 
period of extended operation.
    (d) An FSAR supplement. The FSAR supplement for the facility must 
contain a summary description of the programs and activities for 
managing the effects of aging and the evaluation of time-limited aging 
analyses for the period of extended operation determined by paragraphs 
(a) and (c) of this section, respectively.



Sec. 54.22  Contents of application--technical specifications.

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



Sec. 54.23  Contents of application--environmental information.

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



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

    Each renewal application will be referred to the Advisory Committee 
on

[[Page 146]]

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



Sec. 54.27  Hearings.

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

[72 FR 49560, Aug. 28, 2007]



Sec. 54.29  Standards for issuance of a renewed license.

    A renewed license may be issued by the Commission up to the full 
term authorized by Sec. 54.31 if the Commission finds that:
    (a) Actions have been identified and have been or will be taken with 
respect to the matters identified in paragraphs (a)(1) and (a)(2) of 
this section, such that there is reasonable assurance that the 
activities authorized by the renewed license will continue to be 
conducted in accordance with the CLB, and that any changes made to the 
plant's CLB in order to comply with this paragraph are in accord with 
the Act and the Commission's regulations. These matters are:
    (1) managing the effects of aging during the period of extended 
operation on the functionality of structures and components that have 
been identified to require review under Sec. 54.21(a)(1); and
    (2) time-limited aging analyses that have been identified to require 
review under Sec. 54.21(c).
    (b) Any applicable requirements of subpart A of 10 CFR part 51 have 
been satisfied.
    (c) Any matters raised under Sec. 2.335 have been addressed.

[60 FR 22491, May 8, 1995, as amended at 69 FR 2279, Jan. 14, 2004]



Sec. 54.30  Matters not subject to a renewal review.

    (a) If the reviews required by Sec. 54.21 (a) or (c) show that 
there is not reasonable assurance during the current license term that 
licensed activities will be conducted in accordance with the CLB, then 
the licensee shall take measures under its current license, as 
appropriate, to ensure that the intended function of those systems, 
structures or components will be maintained in accordance with the CLB 
throughout the term of its current license.
    (b) The licensee's compliance with the obligation under Paragraph 
(a) of this section to take measures under its current license is not 
within the scope of the license renewal review.



Sec. 54.31  Issuance of a renewed license.

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

[60 FR 22491, May 8, 1995, as amended at 72 FR 49560, Aug. 28, 2007]



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

    (a) Whether stated therein or not, each renewed license will contain 
and

[[Page 147]]

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



Sec. 54.35  Requirements during term of renewed license.

    During the term of a renewed license, licensees shall be subject to 
and shall continue to comply with all Commission regulations contained 
in 10 CFR parts 2, 19, 20, 21, 26, 30, 40, 50, 51, 52, 54, 55, 70, 72, 
73, and 100, and the appendices to these parts that are applicable to 
holders of operating licenses or combined licenses, respectively.

[72 FR 49560, Aug. 28, 2007]



Sec. 54.37  Additional records and recordkeeping requirements.

    (a) The licensee shall retain in an auditable and retrievable form 
for the term of the renewed operating license or renewed combined 
license all information and documentation required by, or otherwise 
necessary to document compliance with, the provisions of this part.
    (b) After the renewed license is issued, the FSAR update required by 
10 CFR 50.71(e) must include any systems, structures, and components 
newly identified that would have been subject to an aging management 
review or evaluation of time-limited aging analyses in accordance with 
Sec. 54.21. This FSAR update must describe how the effects of aging 
will be managed such that the intended function(s) in Sec. 54.4(b) will 
be effectively maintained during the period of extended operation.

[60 FR 22491, May 8, 1995, as amended at 72 FR 49560, Aug. 28, 2007]



Sec. 54.41  Violations.

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

[[Page 148]]

    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
Section 186 of the Atomic Energy Act of 1954, as amended.



Sec. 54.43  Criminal penalties.

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



PART 55_OPERATORS' LICENSES--Table of Contents




                      Subpart A_General Provisions

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

                          Subpart B_Exemptions

55.11 Specific exemptions.
55.13 General exemptions.

                     Subpart C_Medical Requirements

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

                         Subpart D_Applications

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

           Subpart E_Written Examinations and Operating Tests

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

                           Subpart F_Licenses

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

            Subpart G_Modification and Revocation of Licenses

55.61 Modification and revocation of licenses.

                          Subpart H_Enforcement

55.71 Violations.
55.73 Criminal penalties.

    Authority: Secs. 107, 161, 182, 68 Stat. 939, 948, 953, as amended, 
sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2137, 2201, 2232, 2282); 
secs. 201, as amended, 202, 88 Stat. 1242, as amended, 1244 (42 U.S.C. 
5841, 5842); sec. 1704, 112 Stat. 2750 (44 U.S.C. 3504 note).
    Sections 55.41, 55.43, 55.45, and 55.59 also issued under sec. 306, 
Pub. L. 97-425, 96 Stat. 2262 (42 U.S.C. 10226). Section 55.61 also 
issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237).

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



                      Subpart A_General Provisions



Sec. 55.1  Purpose.

    The regulations in this part:
    (a) Establish procedures and criteria for the issuance of licenses 
to operators and senior operators of utilization facilities licensed 
under the Atomic Energy Act of 1954, as amended, or Section 202 of the 
Energy Reorganization Act of 1974, as amended, and part 50, part 52, or 
part 54 of this chapter,
    (b) Provide for the terms and conditions upon which the Commission 
will issue or modify these licenses, and

[[Page 149]]

    (c) Provide for the terms and conditions to maintain and renew these 
licenses.

[52 FR 9460, Mar. 25, 1987, as amended at 72 FR 49560, Aug. 28, 2007]



Sec. 55.2  Scope.

    The regulations in this part apply to--
    (a) Any individual who manipulates the controls of any utilization 
facility licensed under parts 50, 52, or 54 of this chapter,
    (b) Any individual designated by a facility licensee to be 
responsible for directing any licensed activity of a licensed operator.
    (c) Any facility license.

[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994; 72 
FR 49560, Aug. 28, 2007]



Sec. 55.3  License requirements.

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



Sec. 55.4  Definitions.

    As used in this part:
    Act means the Atomic Energy Act of 1954, including any amendments to 
the Act.
    Actively performing the functions of an operator or senior operator 
means that an individual has a position on the shift crew that requires 
the individual to be licensed as defined in the facility's technical 
specifications, and that the individual carries out and is responsible 
for the duties covered by that position.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Controls when used with respect to a nuclear reactor means apparatus 
and mechanisms the manipulation of which directly affects the reactivity 
or power level of the reactor.
    Facility means any utilization facility as defined in part 50 of 
this chapter. In cases for which a license is issued for operation of 
two or more facilities, facility means all facilities identified in the 
license.
    Facility licensee means an applicant for or holder of a license for 
a facility.
    Licensee means an individual licensed operator or senior operator.
    Operator means any individual licensed under this part to manipulate 
a control of a facility.
    Performance testing means testing conducted to verify a simulation 
facility's performance as compared to actual or predicted reference 
plant performance.
    Physician means an individual licensed by a State or territory of 
the United States, the District of Columbia or the Commonwealth of 
Puerto Rico to dispense drugs in the practice of medicine.
    Plant-referenced simulator means a simulator modeling the systems of 
the reference plant with which the operator interfaces in the control 
room, including operating consoles, and which permits use of the 
reference plant's procedures.
    Reference plant means the specific nuclear power plant from which a 
simulation facility's control room configuration, system control 
arrangement, and design data are derived.
    Senior operator means any individual licensed under this part to 
manipulate the controls of a facility and to direct the licensed 
activities of licensed operators.
    Simulation facility means one or more of the following components, 
alone or in combination: used for either the partial conduct of 
operating tests for operators, senior operators, and license applicants, 
or to establish on-the-job training and experience prerequisites for 
operator license eligibility:
    (1) A plant-referenced simulator;
    (2) A Commission-approved simulator under Sec. 55.46(b); or
    (3) Another simulation device, including part-task and limited scope 
simulation devices, approved under Sec. 55.46(b).
    Systems approach to training means a training program that includes 
the following five elements:
    (1) Systematic analysis of the jobs to be performed.
    (2) Learning objectives derived from the analysis which describe 
desired performance after training.
    (3) Training design and implementation based on the learning 
objectives.

[[Page 150]]

    (4) Evaluation of trainee mastery of the objectives during training.
    (5) Evaluation and revision of the training based on the performance 
of trained personnel in the job setting.
    United States, when used in a geographical sense, includes Puerto 
Rico and all territories and possessions of the United States.

[52 FR 9460, Mar. 25, 1987, as amended at 66 FR 52667, Oct. 17, 2001]



Sec. 55.5  Communications.

    (a) Except as provided under a regional licensing program identified 
in paragraph (b) of this section, an applicant or licensee or facility 
licensee shall submit any communication or report concerning the 
regulations in this part and shall submit any application filed under 
these regulations to the Commission as follows:
    (1) By mail addressed to--Director of Nuclear Reactor Regulation, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555, or
    (2) By delivery in person to the NRC's offices at 11555 Rockville 
Pike, Rockville, Maryland, or
    (3) Where practicable, by electronic submission, for example, via 
Electronic Information Exchange, or CD-ROM. Electronic submissions must 
be made in a manner that enables the NRC to receive, read, authenticate, 
distribute, and archive the submission, and process and retrieve it a 
single page at a time. Detailed guidance on making electronic 
submissions can be obtained by visiting the NRC's Web site at http://
www.nrc.gov/site-help/e-submittals.html, by calling (301) 415-0439, by 
e-mail to EIE@nrc.gov or by writing the Office of Information Services, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The 
guidance discusses, among other topics, the formats the NRC can accept, 
the use of electronic signatures, and the treatment of nonpublic 
information.
    (b)(1) Except for test and research reactor facilities, the Director 
of New Reactors or the Director of Nuclear Reactor Regulation, as 
appropriate, has delegated to the Regional Administrators of Regions I, 
II, III, and IV authority and responsibility under 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 
or part 52 and located in these regions.
    (2) Any application for a license or license renewal filed under the 
regulations in this part involving a nuclear power reactor licensed 
under 10 CFR part 50 or part 52 and any related inquiry, communication, 
information, or report must be submitted to the Regional Administrator 
by an appropriate method listed in paragraph (a) of this section. The 
Regional Administrator or the Administrator's designee will transmit to 
the Director of New Reactors or the Director of Nuclear Reactor 
Regulation, as appropriate, any matter that is not within the scope of 
the Regional Administrator's delegated authority.
    (i) If the nuclear power reactor is located in Region I, submissions 
must be made to the Regional Administrator of Region I. Submissions by 
mail or hand delivery must be addressed to the Administrator at U.S. 
Nuclear Regulatory Commission, 475 Allendale Road, King of Prussia, 
Pennsylvania 19406-1415; where e-mail is appropriate it should be 
addressed to RidsRgn1MailCenter@nrc.gov.
    (ii) If the nuclear power reactor is located in Region II, 
submissions must be made to the Regional Administrator of Region II. 
Submissions by mail or hand delivery must be addressed to the 
Administrator at U.S. Nuclear Regulatory Commission, Sam Nunn Atlanta 
Federal Center, Suite 23T85, 61 Forsyth Street, SW, Atlanta, GA 30303-
8931; where e-mail is appropriate it should be addressed to 
RidsRgn2MailCenter@nrc.gov.
    (iii) If the nuclear power reactor is located in Region III, 
submissions must be made to the Regional Administrator of Region III. 
Submissions by mail or hand delivery must be addressed to the 
Administrator at U.S. Nuclear Regulatory Commission, 2443 Warrenville 
Road, Suite 210, Lisle, IL 60532-4352; where e-mail is appropriate it 
should be addressed to RidsRgn3MailCenter@nrc.gov.
    (iv) If the nuclear power reactor is located in Region IV, 
submissions must be made to the Regional Administrator of Region IV. 
Submissions by mail or hand delivery must be addressed to the

[[Page 151]]

Administrator at U.S. Nuclear Regulatory Commission, 611 Ryan Plaza 
Drive, Suite 1000, Arlington, Texas 76011-4005; where e-mail is 
appropriate it should be addressed to RidsRgn4MailCenter@nrc.gov.
    (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 to the Office of 
Nuclear Reactor Regulation, Division of Regulatory Improvement Programs 
at the NRC's headquarters, by an appropriate method listed in paragraph 
(a) of this section.
    (ii) For all test and research reactor facilities located in the 
NRC's Regions, submissions must be made to the Office of Nuclear Reactor 
Regulation, Director of the Division of Regulatory Improvement Programs 
at the NRC's headquarters, by an appropriate method listed in paragraph 
(a) of this section.

[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; 67 FR 77653, Dec. 19, 2002; 68 FR 
58812, Oct. 10, 2003; 71 FR 15011, Mar. 27, 2006; 72 FR 49560, Aug. 28, 
2007]



Sec. 55.6  Interpretations.

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



Sec. 55.7  Additional requirements.

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



Sec. 55.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0018.
    (b) The approved information collection requirements contained in 
this part appear in Sec. Sec. 55.11, 55.25, 55.27, 55.31, 55.35, 55.40, 
55.41, 55.43, 55.45, 55.47, 55.53, 55.57, and 55.59.
    (c) This part contains information collection requirements in 
addition to those approved under the control number specified in 
paragraph (a) of this section. These information collection requirements 
and the control numbers under which they are approved are as follows:
    (1) In Sec. Sec. 55.23, 55.25, 55.27, 55.31, NRC Form 396 is 
approved under control number 3150-0024.
    (2) In Sec. Sec. 55.31, 55.35, 55.47, and 55.57, NRC Form 398 is 
approved under control number 3150-0090.

[62 FR 52188, Oct. 6, 1997, as amended at 64 FR 19878, Apr. 23, 1999; 66 
FR 52667, Oct. 17, 2001; 67 FR 67100, Nov. 4, 2002]



Sec. 55.9  Completeness and accuracy of information.

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

[52 FR 49372, Dec. 31, 1987]



                          Subpart B_Exemptions



Sec. 55.11  Specific exemptions.

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

[[Page 152]]



Sec. 55.13  General exemptions.

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



                     Subpart C_Medical Requirements



Sec. 55.21  Medical examination.

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



Sec. 55.23  Certification.

    To certify the medical fitness of the applicant, an authorized 
representative of the facility licensee shall complete and sign NRC Form 
396, ``Certification of Medical Examination by Facility Licensee,'' 
which can be obtained by writing the Office of Information Services, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, by 
calling (301) 415-5877, or by visiting the NRC's Web site at http://
www.nrc.gov and selecting forms from the index found on the home page.
    (a) Form NRC-396 must certify that a physician has conducted the 
medical examination of the applicant as required in Sec. 55.21.
    (b) When the certification requests a conditional license based on 
medical evidence, the medical evidence must be submitted on NRC Form 396 
to the Commission and the Commission then makes a determination in 
accordance with Sec. 55.33.

[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988; 68 
FR 58813, Oct. 10, 2003]



Sec. 55.25  Incapacitation because of disability or illness.

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

[60 FR 13617, Mar. 14, 1995]



Sec. 55.27  Documentation.

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



                         Subpart D_Applications



Sec. 55.31  How to apply.

    (a) The applicant shall:
    (1) Complete NRC Form 398, ``Personal Qualification Statement--
Licensee,'' which can be obtained by writing the Office of Information 
Services, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, 
by calling (301) 415-5877, or by visiting the NRC's Web site at http://
www.nrc.gov and selecting forms from the index found on the home page;
    (2) File an original of NRC Form 398, together with the information 
required in paragraphs (a)(3), (4), (5) and (6) of this section, with 
the appropriate Regional Administrator;

[[Page 153]]

    (3) Submit a written request from an authorized representative of 
the facility licensee by which the applicant will be employed that the 
written examination and operating test be administered to the applicant;
    (4) Provide evidence that the applicant has successfully completed 
the facility licensee's requirements to be licensed as an operator or 
senior operator and of the facility licensee's need for an operator or a 
senior operator to perform assigned duties. An authorized representative 
of the facility licensee shall certify this evidence on Form NRC-398. 
This certification must include details of the applicant's 
qualifications, and details on courses of instruction administered by 
the facility licensee, and describe the nature of the training received 
at the facility, and the startup and shutdown experience received. In 
lieu of these details, the Commission may accept certification that the 
applicant has successfully completed a Commission-approved training 
program that is based on a systems approach to training and that uses a 
simulation facility acceptable to the Commission under Sec. 55.45(b) of 
this part;
    (5) Provide evidence that the applicant, as a trainee, has 
successfully manipulated the controls of either the facility for which a 
license is sought or a plant-referenced simulator that meets the 
requirements of Sec. 55.46(c). At a minimum, five significant control 
manipulations must be performed that affect reactivity or power level. 
Control manipulations performed on the plant-referenced simulator may be 
chosen from a representative sampling of the control manipulations and 
plant evolutions described in Sec. 55.59(c)(3)(i)(A-F), (R), (T), (W), 
and (X) of this part, as applicable to the design of the plant for which 
the license application is submitted. For licensed operators applying 
for a senior operator license, certification that the operator has 
successfully operated the controls of the facility as a licensed 
operator shall be accepted; and
    (6) Provide certification by the facility licensee of medical 
condition and general health on Form NRC-396, to comply with Sec. Sec. 
55.21, 55.23 and 55.33(a)(1).
    (b) The Commission may at any time after the application has been 
filed, and before the license has expired, require futher information 
under oath or affirmation in order to enable it to determine whether to 
grant or deny the application or whether to revoke, modify, or suspend 
the license.
    (c) An applicant whose application has been denied because of a 
medical condition or general health may submit a further medical report 
at any time as a supplement to the application.
    (d) Each application and statement must contain complete and 
accurate disclosure as to all matters required to be disclosed. The 
applicant shall sign statements required by paragraphs (a) (1) and (2) 
of this section.

[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988; 66 
FR 52667, Oct. 17, 2001; 68 FR 58813, Oct. 10, 2003]



Sec. 55.33  Disposition of an initial application.

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

[[Page 154]]

and include conditions in the license to accommodate the medical defect. 
The Commission will consider the recommendations and supporting evidence 
of the facility licensee and of the examining physician (provided on 
Form NRC-396) in arriving at its decision.



Sec. 55.35  Re-applications.

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



           Subpart E_Written Examinations and Operating Tests



Sec. 55.40  Implementation.

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

    \1\ Copies of NUREGs may be purchased from the Superintendent of 
Documents, U.S. Government Printing Office, P.O. Box 38082, Washington, 
DC 20402-9328. Copies are also available from the National Technical 
Information Service, 5285 Port Royal Road, Springfield, VA 22161. A copy 
is available for inspection and/or copying in the NRC Public Document 
Room, One White Flint North, 11555 Rockville Pike (0-1F23), Rockville, 
MD.
---------------------------------------------------------------------------

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

[[Page 155]]

and the operating tests required by Sec. 55.45 for non-power reactor 
facility licensees.

[64 FR 19878, Apr. 23, 1999, as amended at 69 FR 76600, Dec. 22, 2004]



Sec. 55.41  Written examination: Operators.

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



Sec. 55.43  Written examination: Senior operators.

    (a) Content. The written examination for a senior operator will 
contain a representative selection of questions on the knowledge, 
skills, and abilities needed to perform licensed senior operator duties. 
The knowledge, skills, and abilities will be identified, in part, from 
learning objectives derived from a systematic analysis of licensed 
senior operator duties performed by each facility licensee and contained 
in its training program and from information in the Final Safety 
Analysis Report, system description manuals and operating procedures, 
facility license and license amendments, Licensee Event Reports, and 
other materials requested from the facility licensee by the Commission.
    (b) The written examination for a senior operator for a facility 
will include a representative sample from among the following seven 
items and the 14 items specified in Sec. 55.41 of this part, to the 
extent applicable to the facility:
    (1) Conditions and limitations in the facility license.
    (2) Facility operating limitations in the technical specifications 
and their bases.
    (3) Facility licensee procedures required to obtain authority for 
design and operating changes in the facility.

[[Page 156]]

    (4) Radiation hazards that may arise during normal and abnormal 
situations, including maintenance activities and various contamination 
conditions.
    (5) Assessment of facility conditions and selection of appropriate 
procedures during normal, abnormal, and emergency situations.
    (6) Procedures and limitations involved in initial core loading, 
alterations in core configuration, control rod programming, and 
determination of various internal and external effects on core 
reactivity.
    (7) Fuel handling facilities and procedures.



Sec. 55.45  Operating tests.

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

[[Page 157]]

    (2) A plant-referenced simulator (Sec. 55.46(c)); or
    (3) The plant, if approved for use in the administration of the 
operating test by the Commission under Sec. 55.46(b).

[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988; 62 
FR 59276, Nov. 3, 1997; 66 FR 52667, Oct. 17, 2001]



Sec. 55.46  Simulation facilities.

    (a) General. This section addresses the use of a simulation facility 
for the administration of the operating test and plant-referenced 
simulators to meet experience requirements for applicants for operator 
and senior operator licenses.
    (b) Commission-approved simulation facilities and Commission 
approval of use of the plant in the administration of the operating 
test. (1) Facility licensees that propose to use a simulation facility, 
other than a plant-referenced simulator, or the plant in the 
administration of the operating test under Sec. Sec. 55.45(b)(1) or 
55.45(b)(3), shall request approval from the Commission. This request 
must include:
    (i) A description of the components of the simulation facility 
intended to be used, or the way the plant would be used for each part of 
the operating test, unless previously approved; and
    (ii) A description of the performance tests for the simulation 
facility as part of the request, and the results of these tests; and
    (iii) A description of the procedures for maintaining examination 
and test integrity consistent with the requirements of Sec. 55.49.
    (2) The Commission will approve a simulation facility or use of the 
plant for administration of operating tests if it finds that the 
simulation facility and its proposed use, or the proposed use of the 
plant, are suitable for the conduct of operating tests for the facility 
licensee's reference plant under Sec. 55.45(a).
    (c) Plant-referenced simulators. (1) A plant-referenced simulator 
used for the administration of the operating test or to meet experience 
requirements in Sec. 55.31(a)(5) must demonstrate expected plant 
response to operator input and to normal, transient, and accident 
conditions to which the simulator has been designed to respond. The 
plant-referenced simulator must be designed and implemented so that it:
    (i) Is sufficient in scope and fidelity to allow conduct of the 
evolutions listed in Sec. Sec. 55.45(a)(1) through (13), and 
55.59(c)(3)(i)(A) through (AA), as applicable to the design of the 
reference plant.
    (ii) Allows for the completion of control manipulations for operator 
license applicants.
    (2) Facility licensees that propose to use a plant-referenced 
simulator to meet the control manipulation requirements in Sec. 
55.31(a)(5) must ensure that:
    (i) The plant-referenced simulator utilizes models relating to 
nuclear and thermal-hydraulic characteristics that replicate the most 
recent core load in the nuclear power reference plant for which a 
license is being sought; and
    (ii) Simulator fidelity has been demonstrated so that significant 
control manipulations are completed without procedural exceptions, 
simulator performance exceptions, or deviation from the approved 
training scenario sequence.
    (3) A simulation facility consisting solely of a plant-referenced 
simulator must meet the requirements of paragraph (c)(1) of this section 
and the criteria in paragraphs (d)(1) and (4) of this section for the 
Commission to accept the plant-referenced simulator for conducting 
operating tests as described in Sec. 55.45(a) of this part, 
requalification training as described in Sec. 55.59(c)(3) of this part, 
or for performing control manipulations that affect reactivity to 
establish eligibility for an operator's license as described in Sec. 
55.31(a)(5).
    (d) Continued assurance of simulator fidelity. Facility licensees 
that maintain a simulation facility shall:
    (1) Conduct performance testing throughout the life of the 
simulation facility in a manner sufficient to ensure that paragraphs 
(c)(2)(ii), as applicable, and (d)(3) of this section are met. The 
results of performance tests must be retained for four years after the 
completion of each performance test or until superseded by updated test 
results;
    (2) Correct modeling and hardware discrepancies and discrepancies 
identified from scenario validation and from performance testing;

[[Page 158]]

    (3) Make results of any uncorrected performance test failures that 
may exist at the time of the operating test or requalification program 
inspection available for NRC review, prior to or concurrent with 
preparations for each operating test or requalification program 
inspection; and
    (4) Maintain the provisions for license application, examination, 
and test integrity consistent with Sec. 55.49.

[66 FR 52667, Oct. 17, 2001]



Sec. 55.47  Waiver of examination and test requirements.

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



Sec. 55.49  Integrity of examinations and tests.

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

[64 FR 19878, Apr. 23, 1999]



                           Subpart F_Licenses



Sec. 55.51  Issuance of licenses.

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



Sec. 55.53  Conditions of licenses.

    Each license contains and is subject to the following conditions 
whether stated in the license or not:
    (a) Neither the license nor any right under the license may be 
assigned or otherwise transferred.
    (b) The license is limited to the facility for which it is issued.
    (c) The license is limited to those controls of the facility 
specified in the license.
    (d) The license is subject to, and the licensee shall observe, all 
applicable rules, regulations, and orders of the Commission.
    (e) If a licensee has not been actively performing the functions of 
an operator or senior operator, the licensee may not resume activities 
authorized by a license issued under this part except as permitted by 
paragraph (f) of this section. To maintain active status, the licensee 
shall actively perform the functions of an operator or senior operator 
on a minimum of seven 8-hour or five 12-hour shifts per calendar 
quarter. For test and research reactors, the licensee shall actively 
perform the functions of an operator or senior operator

[[Page 159]]

for a minimum of four hours per calendar quarter.
    (f) If paragraph (e) of this section is not met, before resumption 
of functions authorized by a license issued under this part, an 
authorized representative of the facility licensee shall certify the 
following:
    (1) That the qualifications and status of the licensee are current 
and valid; and
    (2) That the licensee has completed a minimum of 40 hours of shift 
functions under the direction of an operator or senior operator as 
appropriate and in the position to which the individual will be 
assigned. The 40 hours must have included a complete tour of the plant 
and all required shift turnover procedures. For senior operators limited 
to fuel handling under paragraph (c) of this section, one shift must 
have been completed. For test and research reactors, a minimum of six 
hours must have been completed.
    (g) The licensee shall notify the Commission within 30 days about a 
conviction for a felony.
    (h) The licensee shall complete a requalification program as 
described by Sec. 55.59.
    (i) The licensee shall have a biennial medical examination.
    (j) The licensee shall not consume or ingest alcoholic beverages 
within the protected area of power reactors, or the controlled access 
area of non-power reactors. The licensee shall not use, possess, or sell 
any illegal drugs. The licensee shall not perform activities authorized 
by a license issued under this part while under the influence of alcohol 
or any prescription, over-the-counter, or illegal substance that could 
adversely affect his or her ability to safely and competently perform 
his or her licensed duties. For the purpose of this paragraph, with 
respect to alcoholic beverages and drugs, the term ``under the 
influence'' means the licensee exceeded, as evidenced by a confirmed 
positive test, the lower of the cutoff levels for drugs or alcohol 
contained in 10 CFR part 26, appendix A, of this chapter, or as 
established by the facility licensee. The term ``under the influence'' 
also means the licensee could be mentally or physically impaired as a 
result of substance use including prescription and over-the-counter 
drugs, as determined under the provisions, policies, and procedures 
established by the facility licensee for its fitness-for-duty program, 
in such a manner as to adversely affect his or her ability to safely and 
competently perform licensed duties.
    (k) Each licensee at power reactors shall participate in the drug 
and alcohol testing programs established pursuant to 10 CFR part 26. 
Each licensee at non-power reactors shall participate in any drug and 
alcohol testing program that may be established for that non-power 
facility.
    (l) The licensee shall comply with any other conditions that the 
Commission may impose to protect health or to minimize danger to life or 
property.

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



Sec. 55.55  Expiration.

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



Sec. 55.57  Renewal of licenses.

    (a) The applicant for renewal of a license shall--
    (1) Complete and sign Form NRC-398 and include the number of the 
license for which renewal is sought.
    (2) File an original of NRC Form 398 with the appropriate Regional 
Administrator specified in Sec. 55.5(b).
    (3) Provide written evidence of the applicant's experience under the 
existing license and the approximate number of hours that the licensee 
has operated the facility.

[[Page 160]]

    (4) Provide a statement by an authorized representative of the 
facility licensee that during the effective term of the current license 
the applicant has satisfactorily completed the requalification program 
for the facility for which operator or senior operator license renewal 
is sought.
    (5) Provide evidence that the applicant has discharged the license 
responsibilities competently and safely. The Commission may accept as 
evidence of the applicant's having met this requirement a certificate of 
an authorized representative of the facility licensee or holder of an 
authorization by which the licensee has been employed.
    (6) Provide certification by the facility licensee of medical 
condition and general health on Form NRC-396, to comply with Sec. Sec. 
55.21, 55.23 and 55.27.
    (b) The license will be renewed if the Commission finds that--
    (1) The medical condition and the general health of the licensee 
continue to be such as not to cause operational errors that endanger 
public health and safety. The Commission will base this finding upon the 
certification by the facility licensee as described in Sec. 55.23.
    (2) The licensee--
    (i) Is capable of continuing to competently and safely assume 
licensed duties;
    (ii) Has successfully completed a requalification program that has 
been approved by the Commission as required by Sec. 55.59; and
    (iii) Has passed the requalification examinations and annual 
operating tests as required by Sec. 55.59.
    (3) There is a continued need for a licensee to operate or for a 
senior operator to direct operators at the facility designated in the 
application.
    (4) The past performance of the licensee has been satisfactory to 
the Commission. In making its finding, the Commission will include in 
its evaluation information such as notices of violations or letters of 
reprimand in the licensee's docket.

[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994; 68 
FR 58813, Oct. 10, 2003]



Sec. 55.59  Requalification.

    (a) Requalification requirements. Each licensee shall--
    (1) Successfully complete a requalification program developed by the 
facility licensee that has been approved by the Commission. This program 
shall be conducted for a continuous period not to exceed 24 months in 
duration.
    (2) Pass a comprehensive requalification written examination and an 
annual operating test.
    (i) The written examination will sample the items specified in 
Sec. Sec. 55.41 and 55.43 of this part, to the extent applicable to the 
facility, the licensee, and any limitation of the license under Sec. 
55.53(c) of this part.
    (ii) The operating test will require the operator or senior operator 
to demonstrate an understanding of and the ability to perform the 
actions necessary to accomplish a comprehensive sample of items 
specified in Sec. 55.45(a) (2) through (13) inclusive to the extent 
applicable to the facility.
    (iii) In lieu of the Commission accepting a certification by the 
facility licensee that the licensee has passed written examinations and 
operating tests administered by the facility licensee within its 
Commission-approved program developed by using a systems approach to 
training under paragraph (c) of this section, the Commission may 
administer a comprehensive requalification written examination and an 
annual operating test.
    (b) Additional training. If the requirements of paragraphs (a) (1) 
and (2) of this section are not met, the Commission may require the 
licensee to complete additional training and to submit evidence to the 
Commission of successful completion of this training before returning to 
licensed duties.
    (c) Requalification program requirements. A facility licensee shall 
have a requalification program reviewed and approved by the Commission 
and shall, upon request consistent with the Commission's inspection 
program needs, submit to the Commission a copy of its comprehensive 
requalification written examinations or annual operating tests. The 
requalification program must meet the requirements of paragraphs (c) (1) 
through (7) of this section. In lieu of paragraphs (c) (2), (3), and (4) 
of this section, the Commission may approve a program developed by using 
a systems approach to training.

[[Page 161]]

    (1) Schedule. The requalification program must be conducted for a 
continuous period not to exceed two years, and upon conclusion must be 
promptly followed, pursuant to a continuous schedule, by successive 
requalification programs.
    (2) Lectures. The requalification program must include preplanned 
lectures on a regular and continuing basis throughout the license period 
in those areas where operator and senior operator written examinations 
and facility operating experience indicate that emphasis in scope and 
depth of coverage is needed in the following subjects:
    (i) Theory and principles of operation.
    (ii) General and specific plant operating characteristics.
    (iii) Plant instrumentation and control systems.
    (iv) Plant protection systems.
    (v) Engineered safety systems.
    (vi) Normal, abnormal, and emergency operating procedures.
    (vii) Radiation control and safety.
    (viii) Technical specifications.
    (ix) Applicable portions of title 10, chapter I, Code of Federal 
Regulations.
    (3) On-the-job training. The requalification program must include 
on-the-job training so that--
    (i) Each licensed operator of a utilization facility manipulates the 
plant controls and each licensed senior operator either manipulates the 
controls or directs the activities of individuals during plant control 
manipulations during the term of the licensed operator's or senior 
operator's license. For reactor operators and senior operators, these 
manipulations must consist of the following control manipulations and 
plant evolutions if they are applicable to the plant design. Items 
described in paragraphs (c)(3)(i) (A) through (L) of this section must 
be performed annually; all other items must be performed on a two-year 
cycle. However, the requalification programs must contain a commitment 
that each individual shall perform or participate in a combination of 
reactivity control manipulations based on the availability of plant 
equipment and systems. Those control manipulations which are not 
performed at the plant may be performed on a simulator. The use of the 
Technical Specifications should be maximized during the simulator 
control manipulations. Senior operator licensees are credited with these 
activities if they direct control manipulations as they are performed.
    (A) Plant or reactor startups to include a range that reactivity 
feedback from nuclear heat addition is noticeable and heatup rate is 
established.
    (B) Plant shutdown.
    (C) Manual control of steam generators or feedwater or both during 
startup and shutdown.
    (D) Boration or dilution during power operation.
    (E) Significant (=10 percent) power changes in manual rod 
control or recirculation flow.
    (F) Reactor power change of 10 percent or greater where load change 
is performed with load limit control or where flux, temperature, or 
speed control is on manual (for HTGR).
    (G) Loss of coolant, including--
    (1) Significant PWR steam generator leaks
    (2) Inside and outside primary containment
    (3) Large and small, including lead-rate determination
    (4) Saturated reactor coolant response (PWR).
    (H) Loss of instrument air (if simulated plant specific).
    (I) Loss of electrical power (or degraded power sources).
    (J) Loss of core coolant flow/natural circulation.
    (K) Loss of feedwater (normal and emergency).
    (L) Loss of service water, if required for safety.
    (M) Loss of shutdown cooling.
    (N) Loss of component cooling system or cooling to an individual 
component.
    (O) Loss of normal feedwater or normal feedwater system failure.
    (P) Loss of condenser vacuum.
    (Q) Loss of protective system channel.
    (R) Mispositioned control rod or rods (or rod drops).
    (S) Inability to drive control rods.
    (T) Conditions requiring use of emergency boration or standby liquid 
control system.

[[Page 162]]

    (U) Fuel cladding failure or high activity in reactor coolant or 
offgas.
    (V) Turbine or generator trip.
    (W) Malfunction of an automatic control system that affects 
reactivity.
    (X) Malfunction of reactor coolant pressure/volume control system.
    (Y) Reactor trip.
    (Z) Main steam line break (inside or outside containment).
    (AA) A nuclear instrumentation failure.
    (ii) Each licensed operator and senior operator has demonstrated 
satisfactory understanding of the operation of the apparatus and 
mechanisms associated with the control manipulations in paragraph 
(c)(3)(i) of this section, and knows the operating procedures in each 
area for which the operator or senior operator is licensed.
    (iii) Each licensed operator and senior operator is cognizant of 
facility design changes, procedure changes, and facility license 
changes.
    (iv) Each licensed operator and senior operator reviews the contents 
of all abnormal and emergency procedures on a regularly scheduled basis.
    (v) A simulator may be used in meeting the requirements of 
paragraphs (c) (3)(i) and (3)(ii) of this section, if it reproduces the 
general operating characteristics of the facility involved and the 
arrangement of the instrumentation and controls of the simulator is 
similar to that of the facility involved. If the simulator or simulation 
device is used to administer operating tests for a facility, as provided 
in Sec. 55.45(b)(1), the device approved to meet the requirements of 
Sec. 55.45(b)(1) must be used for credit to be given for meeting the 
requirements of paragraphs (c)(3)(i) (G through AA) of this section.
    (4) Evaluation. The requalification program must include--
    (i) Comprehensive requalification written examinations and annual 
operating tests which determine areas in which retraining is needed to 
upgrade licensed operator and senior operator knowledge.
    (ii) Written examinations which determine licensed operators' and 
senior operators' knowledge of subjects covered in the requalification 
program and provide a basis for evaluating their knowledge of abnormal 
and emergency procedures.
    (iii) Systematic observation and evaluation of the performance and 
competency of licensed operators and senior operators by supervisors 
and/or training staff members, including evaluation of actions taken or 
to be taken during actual or simulated abnormal and emergency 
procedures.
    (iv) Simulation of emergency or abnormal conditions that may be 
accomplished by using the control panel of the facility involved or by 
using a simulator. When 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 must 
accurately reproduce the operating characteristics of the facility 
involved and the arrangement of the instrumentation and controls of the 
simulator must closely parallel that of the facility involved. After the 
provisions of Sec. 55.46 have been implemented at a facility, the 
Commission approved or plant-referenced simulator must be used to comply 
with this paragraph.
    (v) Provisions for each licensed operator and senior operator to 
participate in an accelerated requalification program where performance 
evaluations conducted pursuant to paragraphs (c)(4) (i) through (iv) of 
this section clearly indicated the need.
    (5) Records. The requalification program documentation must include 
the following:
    (i) The facility licensee shall maintain records documenting the 
participation of each licensed operator and senior operator in the 
requalification program. The records must contain copies of written 
examinations administered, the answers given by the licensee, and the 
results of evaluations and documentation of operating tests and of any 
additional training administered in areas in which an operator or senior 
operator has exhibited deficiencies. The facility licensee shall retain 
these records until the operator's or senior operator's license is 
renewed.

[[Page 163]]

    (ii) Each record required by this part must be legible throughout 
the retention period specified by each Commission regulation. The record 
may be the original or a reproduced copy or a microform provided that 
the copy or microform is authenticated by authorized personnel and that 
the microform is capable of producing a clear copy throughout the 
required retention period.
    (iii) If there is a conflict between the Commission's regulations in 
this part, and any license condition, or other written Commission 
approval or authorization pertaining to the retention period for the 
same type of record, the retention period specified for these records by 
the regulations in this part apply unless the Commission, pursuant to 
Sec. 55.11, grants a specific exemption from this record retention 
requirement.
    (6) Alternative training programs. The requirements of this section 
may be met by requalification programs conducted by persons other than 
the facility licensee if the requalification programs are similar to the 
program described in paragraphs (c) (1) through (5) of this section and 
the alternative program has been approved by the Commission.
    (7) Applicability to research and test reactor facilities. To 
accommodate specialized modes of operation and differences in control, 
equipment, and operator skills and knowledge, the requalification 
program for each licensed operator and senior operator of a research 
reactor or test reactor facility must conform generally but need not be 
identical to the requalification program outlined in paragraphs (c) (1) 
through (6) of this section. Significant deviations from the 
requirements of paragraphs (c) (1) through (6) of this section will be 
permitted only if supported by written justification and approved by the 
Commission.

[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994; 66 
FR 52668, Oct. 17, 2001]



            Subpart G_Modification and Revocation of Licenses



Sec. 55.61  Modification and revocation of licenses.

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

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



                          Subpart H_Enforcement



Sec. 55.71  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;

[[Page 164]]

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

[57 FR 55076, Nov. 24, 1992]



Sec. 55.73  Criminal penalties.

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

[57 FR 55076, Nov. 24, 1992]



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




                      Subpart A_General Provisions

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

                           Subpart B_Licenses

                          Preapplication Review

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

                          License Applications

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

                       Construction Authorization

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

                     License Issuance and Amendment

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

                            Permanent Closure

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

 Subpart C_Participation by State Governments and Affected Indian Tribes

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

           Subpart D_Records, Reports, Tests, and Inspections

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

[[Page 165]]

60.78 Material control and accounting records and reports.

                      Subpart E_Technical Criteria

60.101 Purpose and nature of findings.
60.102 Concepts.

                         Performance Objectives

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

                       Land Ownership and Control

60.121 Requirements for ownership and control interests in land.

                             Siting Criteria

60.122 Siting criteria.

       Design Criteria for the Geologic Repository Operations Area

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

                  Design Criteria for the Waste Package

60.135 Criteria for the waste package and its components.

                       Preclosure Controlled Area

60.136 Preclosure controlled area.

                  Performance Confirmation Requirements

60.137 General requirements for performance confirmation.

               Subpart F_Performance Confirmation Program

60.140 General requirements.
60.141 Confirmation of geotechnical and design parameters.
60.142 Design testing.
60.143 Monitoring and testing waste packages.

                       Subpart G_Quality Assurance

60.150 Scope.
60.151 Applicability.
60.152 Implementation.

            Subpart H_Training and Certification of Personnel

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

Subpart I--Emergency Planning Criteria [Reserved]

                          Subpart J_Violations

60.181 Violations.
60.183 Criminal penalties.

    Authority: Secs. 51, 53, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 
929, 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2071, 
2073, 2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88 
Stat. 1244, 1246 (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-
601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851); sec. 102, Pub. L. 91-190, 
83 Stat. 853 (42 U.S.C. 4332); secs. 114, 121, Pub. L. 97-425, 96 Stat. 
2213g, 2228, as amended (42 U.S.C. 10134, 10141), and Pub. L. 102-486, 
sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851); sec. 1704, 112 Stat. 2750 
(44 U.S.C. 3504 note).
    Section 60.9 is also issued under Pub. L. 95-601, sec. 10, 92 Stat. 
2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 
5851).

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



                      Subpart A_General Provisions



Sec. 60.1  Purpose and scope.

    This part prescribes rules governing the licensing (including 
issuance of a construction authorization) 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, as 
amended. This part does not apply to any activity licensed under another 
part of this chapter. This part does not apply to 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 at Yucca Mountain, Nevada, in accordance 
with the Nuclear Waste Policy Act of 1992, as amended, and the Energy 
Policy Act of 1992, subject to part 63 of this chapter. This part also 
gives notice to all persons who knowingly provide to any licensee,

[[Page 166]]

applicant, contractor, or subcontractor, components, equipment, 
materials, or other goods or services, that relate to a licensee's or 
applicant's activities subject to this part, that they may be 
individually subject to NRC enforcement action for violation of Sec. 
60.11.

[69 FR 2279, Jan. 14, 2004]



Sec. 60.2  Definitions.

    As used in this part:
    Accessible environment means:
    (1) The atmosphere;
    (2) The land surface;
    (3) Surface water;
    (4) Oceans; and
    (5) The portion of the lithosphere that is outside the postclosure 
controlled area.
    Affected Indian Tribe means any Indian Tribe (1) within whose 
reservation boundaries a repository for high-level radioactive waste or 
spent fuel is proposed to be located; or (2) whose Federally defined 
possessory or usage rights to other lands outside of the reservation's 
boundaries arising out of Congressionally ratified treaties or other 
Federal law may be substantially and adversely affected by the locating 
of such a facility; Provided, That the Secretary of the Interior finds, 
upon the petition of the appropriate governmental officials of the 
Tribe, that such effects are both substantial and adverse to the Tribe.
    Anticipated processes and events means those natural processes and 
events that are reasonably likely to occur during the period the 
intended performance objective must be achieved. To the extent 
reasonable in the light of the geologic record, it shall be assumed that 
those processes operating in the geologic setting during the Quaternary 
Period continue to operate but with the perturbations caused by the 
presence of emplaced radioactive waste superimposed thereon.
    Barrier means any material or structure that prevents or 
substantially delays movement of water or radionuclides.
    Candidate area means a geologic and hydrologic system within which a 
geologic repository may be located.
    Commencement of construction means clearing of land, surface or 
subsurface excavation, or other substantial action that would adversely 
affect the environment of a site, but does not include changes desirable 
for the temporary use of the land for public recreational uses, site 
characterization activities, other preconstruction monitoring and 
investigation necessary to establish background information related to 
the suitability of a site or to the protection of environmental values, 
or procurement or manufacture of components of the geologic repository 
operations area.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Containment means the confinement of radioactive waste within a 
designated boundary.
    Controlled area means a surface location, to be marked by suitable 
monuments, extending horizontally no more than 10 kilometers in any 
direction from the outer boundary of the underground facility, and the 
underlying subsurface, which area has been committed to use as a 
geologic repository and from which incompatible activities would be 
restricted following permanent closure.
    Design bases means that information that identifies the specific 
functions to be performed by a structure, system, or component of a 
facility and the specific values or ranges of values chosen for 
controlling parameters as reference bounds for design. These values may 
be restraints derived from generally accepted ``state-of-the-art'' 
practices for achieving functional goals or requirements derived from 
analysis (based on calculation or experiments) of the effects of a 
postulated event under which a structure, system, or component must meet 
its functional goals. The values for controlling parameters for external 
events include:
    (1) Estimates of severe natural events to be used for deriving 
design bases that will be based on consideration of historical data on 
the associated parameters, physical data, or analysis of upper limits of 
the physical processes involved; and
    (2) Estimates of severe external man-induced events, to be used for 
deriving design bases, that will be based on

[[Page 167]]

analysis of human activity in the region, taking into account the site 
characteristics and the risks associated with the event.
    Design basis events means:
    (1)(i) Those natural and human-induced events that are reasonably 
likely to occur regularly, moderately frequently, or one or more times 
before permanent closure of the geologic repository operations area; and
    (ii) Other natural and man-induced events that are considered 
unlikely, but sufficiently credible to warrant consideration, taking 
into account the potential for significant radiological impacts on 
public health and safety.
    (2) The events described in paragraph (1)(i) of this definition are 
referred to as ``Category 1'' design basis events. The events described 
in paragraph (1)(ii) of this definition are referred to as ``Category 
2'' design basis events.
    Director means the Director of the Nuclear Regulatory Commission's 
Office of Nuclear Material Safety and Safeguards.
    Disposal means the isolation of radioactive wastes from the 
accessible environment.
    Disturbed zone means that portion of the postclosure controlled 
area, the physical or chemical properties of which have changed as a 
result of underground facility construction or as a result of heat 
generated by the emplaced radioactive wastes, such that the resultant 
change of properties may have a significant effect on the performance of 
the geologic repository.
    DOE means the U.S. Department of Energy or its duly authorized 
representatives.
    Engineered barrier system means the waste packages and the 
underground facility.
    Geologic repository means a system which is intended to be used for, 
or may be used for, the disposal of radioactive wastes in excavated 
geologic media. A geologic repository includes: (1) The geologic 
repository operations area, and (2) the portion of the geologic setting 
that provides isolation of the radioactive waste.
    Geologic repository operations area means a high-level radioactive 
waste facility that is part of a geologic repository, including both 
surface and subsurface areas, where waste handling activities are 
conducted.
    Geologic setting means the geologic, hydrologic, and geochemical 
systems of the region in which a geologic repository operations area is 
or may be located.
    Groundwater means all water which occurs below the land surface.
    High-level radioactive waste or HLW means: (1) Irradiated reactor 
fuel, (2) liquid wastes resulting from the operation of the first cycle 
solvent extraction system, or equivalent, and the concentrated wastes 
from subsequent extraction cycles, or equivalent, in a facility for 
reprocessing irradiated reactor fuel, and (3) solids into which such 
liquid wastes have been converted.
    HLW facility means a facility subject to the licensing and related 
regulatory authority of the Commission pursuant to Sections 202(3) and 
202(4) of the Energy Reorganization Act of 1974 (88 Stat. 1244).\1\
---------------------------------------------------------------------------

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

    Host rock means the geologic medium in which the waste is emplaced.
    Important to safety, with reference to structures, systems, and 
components, means those engineered features of the repository whose 
function is:
    (1) To provide reasonable assurance that high-level waste can be 
received, handled, packaged, stored, emplaced, and retrieved without 
exceeding the requirements of Sec. 60.111(a) for Category 1 design 
basis events; or
    (2) To prevent or mitigate Category 2 design basis events that could 
result in doses equal to or greater than the values specified in Sec. 
60.136 to any individual located on or beyond any point on the boundary 
of the preclosure controlled area.
    Isolation means inhibiting the transport of radioactive material so 
that amounts and concentrations of this

[[Page 168]]

material entering the accessible environment will be kept within 
prescribed limits.
    NRC Public Document Room means the facility at One White Flint 
North, 11555 Rockville Pike, Room 0-1F23, Rockville, Maryland, 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 
Agency wide 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 components of ADAMS on the NRC Website, http://www.nrc.gov, 
where copies can be made or ordered as set forth in Sec. 9.35 of this 
chapter. The facility is staffed with reference librarians to assist the 
public in identifying and locating documents and in using the NRC Web 
site and ADAMS. The NRC Public Document Room is open from 7:30 am to 
4:15 pm, Monday through Friday, except on Federal holidays, Reference 
service and access to documents may also be requested by telephone (1-
800-397-4209) between 8:30 am and 4:15 pm, or by e-mail (PDR@nrc.gov), 
fax (301-415-3548), or letter (NRC Public Document Room, One White Flint 
North, 11555 Rockville Pike, Room 0-1F23, Rockville, Maryland 20852).
    NRC Web site, http://www.nrc.gov is the Internet uniform resource 
locator name for the Internet address of the Web site where NRC will 
ordinarily make available its public records for inspection.
    Permanent closure means final backfilling of the underground 
facility and the sealing of shafts and boreholes.
    Performance confirmation means the program of tests, experiments, 
and analyses which is conducted to evaluate the accuracy and adequacy of 
the information used to determine with reasonable assurance that the 
performance objectives for the period after permanent closure will be 
met.
    Postclosure controlled area means a surface location, to be marked 
by suitable monuments, extending horizontally no more than 10 kilometers 
in any direction from the outer boundary of the underground facility, 
and the underlying subsurface, which area has been committed to use as a 
geologic repository and from which incompatible activities would be 
restricted following permanent closure.
    Preclosure controlled area means that surface area surrounding the 
geologic repository operations area for which the licensee exercises 
authority over its use, in accordance with the provisions of this part, 
until permanent closure has been completed.
    Radioactive waste or waste means HLW and other radioactive materials 
other than HLW that are received for emplacement in a geologic 
repository.
    Restricted area means an area, access to which is limited by the 
licensee for the purpose of protecting individuals against undue risks 
from exposure to radiation and radioactive materials. Restricted area 
does not include areas used as residential quarters, but separate rooms 
in a residential building may be set aside as a restricted area.
    Retrieval means the act of intentionally removing radioactive waste 
from the underground location at which the waste had been previously 
emplaced for disposal.
    Saturated zone means that part of the earth's crust beneath the 
regional water table in which all voids, large and small, are ideally 
filled with water under pressure greater than atmospheric.
    Site means the location of the preclosure controlled area, or of the 
postclosure controlled area, or both.
    Site characterization means the program of exploration and research, 
both in the laboratory and in the field, undertaken to establish the 
geologic conditions and the ranges of those parameters of a particular 
site relevant to the procedures under this part. Site characterization 
includes borings, surface excavations, excavation of exploratory shafts, 
limited subsurface lateral excavations and borings, and in situ testing 
at depth needed to determine the suitability of the site for a geologic 
repository, but does not include preliminary borings and geophysical 
testing needed to decide whether site characterization should be 
undertaken.
    Unanticipated processes and events means those processes and events 
affecting the geologic setting that are

[[Page 169]]

judged not to be reasonably likely to occur during the period the 
intended performance objective must be achieved, but which are 
nevertheless sufficiently credible to warrant consideration. 
Unanticipated processes and events may be either natural processes or 
events or processes and events initiated by human activities other than 
those activities licensed under this part. Processes and events 
initiated by human activities may only be found to be sufficiently 
credible to warrant consideration if it is assumed that: (1) The 
monuments provided for by this part are sufficiently permanent to serve 
their intended purpose; (2) the value to future generations of potential 
resources within the site can be assessed adequately under the 
applicable provisions of this part; (3) an understanding of the nature 
of radioactivity, and an appreciation of its hazards, have been retained 
in some functioning institutions; (4) institutions are able to assess 
risk and to take remedial action at a level of social organization and 
technological competence equivalent to, or superior to, that which was 
applied in initiating the processes or events concerned; and (5) 
relevant records are preserved, and remain accessible, for several 
hundred years after permanent closure.
    Underground facility means the underground structure, including 
openings and backfill materials, but excluding shafts, boreholes, and 
their seals.
    Unrestricted area means an area, access to which is neither limited 
nor controlled by the licensee.
    Unsaturated zone means the zone between the land surface and the 
regional water table. Generally, fluid pressure in this zone is less 
than atmospheric pressure, and some of the voids may contain air or 
other gases at atmospheric pressure. Beneath flooded areas or in perched 
water bodies the fluid pressure locally may be greater than atmospheric.
    Waste form means the radioactive waste materials and any 
encapsulating or stabilizing matrix.
    Waste package means the waste form and any containers, shielding, 
packing and other absorbent materials immediately surrounding an 
individual waste container.
    Water table means that surface in a groundwater body at which the 
water pressure is atmospheric.

[48 FR 28217, June 21, 1983, as amended at 50 FR 29647, July 22, 1985; 
51 FR 27162, July 30, 1986; 53 FR 43421, Oct. 27, 1988; 61 FR 64267, 
Dec. 4, 1996; 64 FR 48953, Sept. 9, 1999; 69 FR 76601, Dec. 22, 2004]



Sec. 60.3  License required.

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



Sec. 60.4  Communications and records.

    (a) Except where otherwise specified, all communications and reports 
concerning the regulations in this part and applications filed under 
them should be sent by mail addressed: ATTN: Document Control Desk: 
Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555-0001; by hand delivery to 
the NRC's offices at 11555 Rockville Pike, Rockville, Maryland; or, 
where practicable, by electronic submission, for example, via Electronic 
Information Exchange, or CD-ROM. Electronic submissions must be made in 
a manner that enables the NRC to receive, read, authenticate, 
distribute, and archive the submission, and process and retrieve it a 
single page at a time. Detailed guidance on making electronic 
submissions can be obtained by visiting the NRC's Web site at http://
www.nrc.gov/site-help/e-submittals.html, by calling (301) 415-0439, by 
e-mail to EIE@nrc.gov, or by writing the Office of Information Services, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The 
guidance discusses, among other topics, the formats the NRC can accept, 
the use of electronic signatures, and the treatment of nonpublic 
information.

[[Page 170]]

    (b) Each record required by this part must be legible throughout the 
retention period specified by each Commission regulation. The record may 
be the original or a reproduced copy or a microform provided that the 
copy or microform is authenticated by authorized personnel and that the 
microform is capable of producing a clear copy throughout the required 
retention period. The record may also be stored in electronic media with 
the capability for producing legible, accurate, and complete records 
during the required retention period. Records such as letters, drawings, 
specifications, must include all pertinent information such as stamps, 
initials, and signatures. The licensee shall maintain adequate 
safeguards against tampering with and loss of records.

[53 FR 19251, May 27, 1988, as amended at 53 FR 43421, Oct. 27, 1988; 68 
FR 58813, Oct. 10, 2003]



Sec. 60.5  Interpretations.

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



Sec. 60.6  Exemptions.

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



Sec. 60.7  License not required for certain preliminary activities.

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



Sec. 60.8  Information collection requirements: Approval.

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

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



Sec. 60.9  Employee protection.

    (a) Discrimination by a Commission licensee, an applicant for a 
Commission license, or a contractor or subcontractor of a Commission 
licensee or applicant against an employee for engaging in certain 
protected activities is prohibited. Discrimination includes discharge 
and other actions that relate to compensation, terms, conditions, or 
privileges of employment. The protected activities are established in 
section 211 of the Energy Reorganization Act of 1974, as amended, and in 
general are related to the administration or enforcement of a 
requirement imposed under the Atomic Energy Act or the Energy 
Reorganization Act.
    (1) The protected activities include but are not limited to:
    (i) Providing the Commission or his or her employer information 
about alleged violations of either of the statutes named in paragraph 
(a) introductory text of this section or possible violations of 
requirements imposed under either of those statutes;
    (ii) Refusing to engage in any practice made unlawful under either 
of the statutes named in paragraph (a) introductory text or under these 
requirements if the employee has identified the alleged illegality to 
the employer;

[[Page 171]]

    (iii) Requesting the Commission to institute action against his or 
her employer for the administration or enforcement of these 
requirements;
    (iv) Testifying in any Commission proceeding, or before Congress, or 
at any Federal or State proceeding regarding any provision (or proposed 
provision) of either of the statutes named in paragraph (a) introductory 
text.
    (v) Assisting or participating in, or is about to assist or 
participate in, these activities.
    (2) These activities are protected even if no formal proceeding is 
actually initiated as a result of the employee assistance or 
participation.
    (3) This section has no application to any employee alleging 
discrimination prohibited by this section who, acting without direction 
from his or her employer (or the employer's agent), deliberately causes 
a violation of any requirement of the Energy Reorganization Act of 1974, 
as amended, or the Atomic Energy Act of 1954, as amended.
    (b) Any employee who believes that he or she has been discharged or 
otherwise discriminated against by any person for engaging in protected 
activities specified in paragraph (a)(1) of this section may seek a 
remedy for the discharge or discrimination through an administrative 
proceeding in the Department of Labor. The administrative proceeding 
must be initiated within 180 days after an alleged violation occurs. The 
employee may do this by filing a complaint alleging the violation with 
the Department of Labor, Employment Standards Administration, Wage and 
Hour Division. The Department of Labor may order reinstatement, back 
pay, and compensatory damages.
    (c) A violation of paragraph (a), (e), or (f) of this section by a 
Commission licensee, an applicant for a Commission license, or a 
contractor or subcontractor of a Commission licensee or applicant may be 
grounds for--
    (1) Denial, revocation, or suspension of the license.
    (2) Imposition of a civil penalty on the licensee, applicant, or a 
contractor or subcontractor of the licensee or applicant.
    (3) Other enforcement action.
    (d) Actions taken by an employer, or others, which adversely affect 
an employee may be predicated upon nondiscriminatory grounds. The 
prohibition applies when the adverse action occurs because the employee 
has engaged in protected activities. An employee's engagement in 
protected activities does not automatically render him or her immune 
from discharge or discipline for legitimate reasons or from adverse 
action dictated by nonprohibited considerations.
    (e)(1) Each licensee and each applicant for a license shall 
prominently post the revision of NRC Form 3, ``Notice to Employees,'' 
referenced in 10 CFR 19.11(c). This form must be posted at locations 
sufficient to permit employees protected by this section to observe a 
copy on the way to or from their place of work. Premises must be posted 
not later than 30 days after an application is docketed and remain 
posted while the application is pending before the Commission, during 
the term of the license, and for 30 days following license termination.
    (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, by 
calling (301) 415-5877, via e-mail to forms@nrc.gov, or by visiting the 
NRC's Web site at http://www.nrc.gov and selecting forms from the index 
found on the home page.
    (f) No agreement affecting the compensation, terms, conditions, or 
privileges of employment, including an agreement to settle a complaint 
filed by an employee with the Department of Labor pursuant to section 
211 of the Energy Reorganization Act of 1974, as amended, may contain 
any provision which would prohibit, restrict, or otherwise discourage an 
employee from participating in protected activity as defined in 
paragraph (a)(1) of this section including, but not limited to, 
providing information to the NRC or to his or her employer on potential 
violations or other matters within NRC's regulatory responsibilities.

[58 FR 52411, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 
FR 6765, Feb. 22, 1996; 68 FR 58813, Oct. 10, 2003; 72 FR 63974, Nov. 
14, 2007]

[[Page 172]]



Sec. 60.10  Completeness and accuracy of information.

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

[52 FR 49372, Dec. 31, 1987]



Sec. 60.11  Deliberate misconduct.

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

[63 FR 1898, Jan. 13, 1998]



                           Subpart B_Licenses

                          Preapplication Review



Sec. 60.15  Site characterization.

    (a) Prior to submittal of an application for a license to be issued 
under this part DOE shall conduct a program of site characterization 
with respect to the site to be described in such application.
    (b) Unless the Commission determines with respect to the site 
described in the application that it is not necessary, site 
characterization shall include a program of in situ exploration and 
testing at the depths that wastes would be emplaced.
    (c) The program of site characterization shall be conducted in 
accordance with the following:
    (1) Investigations to obtain the required information shall be 
conducted in such a manner as to limit adverse effects on the long-term 
performance of the geologic repository to the extent practical.
    (2) The number of exploratory boreholes and shafts shall be limited 
to the extent practical consistent with obtaining the information needed 
for site characterization.

[[Page 173]]

    (3) To the extent practical, exploratory boreholes and shafts in the 
geologic repository operations area shall be located where shafts are 
planned for underground facility construction and operation or where 
large unexcavated pillars are planned.
    (4) Subsurface exploratory drilling, excavation, and in situ testing 
before and during construction shall be planned and coordinated with 
geologic repository operations area design and construction.

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



Sec. 60.16  Site characterization plan required.

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

[51 FR 27162, July 30, 1986]



Sec. 60.17  Contents of site characterization plan.

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

[51 FR 27163, July 30, 1986]



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

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

    (a) The Director shall cause to be published in the Federal Register 
a

[[Page 174]]

notice that a site characterization plan has been received from DOE and 
that a staff review of such plan has begun. The notice shall identify 
the area to be characterized and the NRC staff members to be consulted 
for further information.
    (b) The Director shall make a copy of the site characterization plan 
available at the Public Document Room. The Director shall also transmit 
copies of the published notice of receipt to the Governor and 
legislature of the State in which the area to be characterized is 
located and to the governing body of any affected Indian Tribe. The 
Director shall provide an opportunity, with respect to any area to be 
characterized, for the State in which such area is located and for 
affected Indian Tribes to present their views on the site 
characterization plan and their suggestions with respect to comments 
thereon which may be made by NRC. In addition, the Director shall make 
NRC staff available to consult with States and affected Indian Tribes as 
provided in Subpart C of this part.
    (c) The Director shall review the site characterization plan and 
prepare a site characterization analysis with respect to such plan. In 
the preparation of such site characterization analysis, the Director may 
invite and consider the views of interested persons on DOE's site 
characterization plan and may review and consider comments made in 
connection with public hearings held by DOE.
    (d) The Director shall provide to DOE the site characterization 
analysis together with such additional comments as may be warranted. 
These comments shall include either a statement that the Director has no 
objection to the DOE's site characterization program, if such a 
statement is appropriate, or specific objections with respect to DOE's 
program for characterization of the area concerned. In addition, the 
Director may make specific recommendations pertinent to DOE's site 
characterization program.
    (e) If DOE's planned site characterization activities include onsite 
testing with radioactive material, including radioactive tracers, the 
Director's comments shall include a determination regarding whether or 
not the Commission concurs that the proposed use of such radioactive 
material is necessary to provide data for the preparation of the 
environmental reports required by law and for an application to be 
submitted under Sec. 60.22 of this part.
    (f) The Director shall publish in the Federal Register a notice of 
availability of the site characterization analysis and a request for 
public comment within a reasonable period, as specified (not less than 
90 days). The notice along with copies of the site characterization 
analysis shall be available at the NRC Web site, http://www.nrc.gov, and 
copies of any comments received will also be made available there.
    (g) During the conduct of site characterization activities, DOE 
shall report not less than once every six months to the Commission on 
the nature and extent of such activities and the information that has 
been developed, and on the progress of waste form and waste package 
research and development. The semiannual reports shall include the 
results of site characterization studies, the identification of new 
issues, plans for additional studies to resolve new issues, elimination 
of planned studies no longer necessary, identification of decision 
points reached and modifications to schedules where appropriate. DOE 
shall also report its progress in developing the design of a geologic 
repository operations area appropriate for the area being characterized, 
noting when key design parameters or features which depend upon the 
results of site characterization will be established. Other topics 
related to site characterization shall also be covered if requested by 
the Director.
    (h) During the conduct of site characterization activities, NRC 
staff shall be permitted to visit and inspect the locations at which 
such activities are carried out and to observe excavations, borings, and 
in situ tests as they are done.

[[Page 175]]

    (i) The Director may comment at any time in writing to DOE, 
expressing current views on any aspect of site characterization. In 
particular, such comments shall be made whenever the Director, upon 
review of comments invited on the site characterization analysis or upon 
review of DOE's semiannual reports, determines that there are 
substantial new grounds for making recommendations or stating objections 
to DOE's site characterization program. The Director shall invite public 
comment on any comments which the Director makes to DOE upon review of 
the DOE semiannual reports or on any other comments which the Director 
makes to DOE on site characterization.
    (j) The Director shall transmit copies of the site characterization 
analysis and all comments to DOE made by the Director under this section 
to the Governor and legislature of the State in which the area to be 
characterized is located and to the governing body of any affected 
Indian Tribe. When transmitting the site characterization analysis under 
this paragraph, the Director shall invite the addressees to review and 
comment thereon.
    (k) All correspondence between DOE and the NRC under this section, 
including the reports described in paragraph (g), shall be placed in the 
Public Document Room.
    (l) The activities described in paragraphs (a) through (k) of this 
section constitute informal conference between a prospective applicant 
and the staff, as described in Sec. 2.101(a)(1) of this chapter, and 
are not part of a proceeding under the Atomic Energy Act of 1954, as 
amended. Accordingly, neither the issuance of a site characterization 
analysis nor any other comments of the Director made under this section 
constitutes a commitment to issue any authorization or license or in any 
way affect the authority of the Commission, the Atomic Safety and 
Licensing Appeal Board, Atomic Safety and Licensing Boards, other 
presiding officers, or the Director, in any such proceeding.

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

                          License Applications



Sec. 60.21  Content of application.

    (a) An application shall consist of general information and a Safety 
Analysis Report. An environmental impact statement shall be prepared in 
accordance with the Nuclear Waste Policy Act of 1982, as amended, and 
shall accompany the application. Any Restricted Data or National 
Security Information shall be separated from unclassified information.
    (b) The general information shall include:
    (1) A general description of the proposed geologic repository 
identifying the location of the geologic repository operations area, the 
general character of the proposed activities, and the basis for the 
exercise of licensing authority by the Commission.
    (2) Proposed schedules for construction, receipt of waste, and 
emplacement of wastes at the proposed geologic repository operations 
area.
    (3) A detailed plan to provide physical protection of high-level 
radioactive waste in accordance with Sec. 73.51 of this chapter. This 
plan must include the design for physical protection, the licensee's 
safeguards contingency plan, and security organization personnel 
training and qualification plan. The plan must list tests, inspections, 
audits, and other means to be used to demonstrate compliance with such 
requirements.
    (4) A description of the program to meet the requirements of Sec. 
60.78.
    (5) A description of site characterization work actually conducted 
by DOE at all sites considered in the application and, as appropriate, 
explanations of why such work differed from the description of the site 
characterization program described in the Site Characterization Report 
for each site.
    (c) The Safety Analysis Report shall include:
    (1) A description and assessment of the site at which the proposed 
geologic repository operations area is to be located with appropriate 
attention to those features of the site that might affect geologic 
repository operations area design and performance. The description of 
the site shall identify the

[[Page 176]]

location of the geologic repository operations area with respect to the 
boundary of the accessible environment.
    (i) The description of the site shall also include the following 
information regarding subsurface conditions. This description shall, in 
all cases, include this information with respect to the postclosure 
controlled area. In addition, where subsurface conditions outside the 
postclosure controlled area may affect isolation within the postclosure 
controlled area, the description shall include information with respect 
to subsurface conditions outside the postclosure controlled area to the 
extent the information is relevant and material. The detailed 
information referred to in this paragraph shall include:
    (A) The orientation, distribution, aperture in-filling and origin of 
fractures, discontinuities, and heterogeneities;
    (B) The presence and characteristics of other potential pathways 
such as solution features, breccia pipes, or other potentially permeable 
features;
    (C) The geomechanical properties and conditions, including pore 
pressure and ambient stress conditions;
    (D) The hydrogeologic properties and conditions;
    (E) The geochemical properties; and
    (F) The anticipated response of the geomechanical, hydrogeologic, 
and geochemical systems to the maximum design thermal loading, given the 
pattern of fractures and other discontinuities and the heat transfer 
properties of the rock mass and groundwater.
    (ii) The assessment shall contain:
    (A) An analysis of the geology, geophysics, hydrogeology, 
geochemistry, climatology, and meteorology of the site,
    (B) Analyses to determine the degree to which each of the favorable 
and potentially adverse conditions, if present, has been characterized, 
and the extent to which it contributes to or detracts from isolation. 
For the purpose of determining the presence of the potentially adverse 
conditions, investigations shall extend from the surface to a depth 
sufficient to determine critical pathways for radionuclide migration 
from the underground facility to the accessible environment. Potentially 
adverse conditions shall be investigated outside of the postclosure 
controlled area if they affect isolation within the postclosure 
controlled area.
    (C) An evaluation of the performance of the proposed geologic 
repository for the period after permanent closure, assuming anticipated 
processes and events, giving the rates and quantities of releases of 
radionuclides to the accessible environment as a function of time; and a 
similar evaluation which assumes the occurrence of unanticipated 
processes and events.
    (D) The effectiveness of engineered and natural barriers, including 
barriers that may not be themselves a part of the geologic repository 
operations area, against the release of radioactive material to the 
environment. The analysis shall also include a comparative evaluation of 
alternatives to the major design features that are important to waste 
isolation, with particular attention to the alternatives that would 
provide longer radionuclide containment and isolation.
    (E) An analysis of the performance of the major design structures, 
systems, and components, both surface and subsurface, to identify those 
that are important to safety. For the purposes of this analysis, it 
shall be assumed that operations at the geologic repository operations 
area will be carried out at the maximum capacity and rate of receipt of 
radioactive waste stated in the application.
    (F) An explanation of measures used to support the models used to 
perform the assessments required in paragraphs (A) through (D). Analyses 
and models that will be used to predict future conditions and changes in 
the geologic setting shall be supported by using an appropriate 
combination of such methods as field tests, in situ tests, laboratory 
tests which are representative of field conditions, monitoring data, and 
natural analog studies.
    (2) A description and discussion of the design, both surface and 
subsurface, of the geologic repository operations area including:
    (i) The principal design criteria and their relationship to any 
general performance objectives promulgated by the Commission,

[[Page 177]]

    (ii) The design bases and the relation of the design bases to the 
principal design criteria,
    (iii) Information relative to materials of construction (including 
geologic media, general arrangement, and approximate dimensions), and
    (iv) Codes and standards that DOE proposes to apply to the design 
and construction of the geologic repository operations area.
    (3) A description and analysis of the design and performance 
requirements for structures, systems, and components of the geologic 
repository that are important to safety. The analysis must include a 
demonstration that--
    (i) The requirements of Sec. 60.111(a) will be met, assuming 
occurrence of Category 1 design basis events; and
    (ii) The requirements of Sec. 60.136 will be met, assuming 
occurrence of Category 2 design basis events.
    (4) A description of the quality assurance program to be applied to 
the structures, systems, and components important to safety and to the 
engineered and natural barriers important to waste isolation.
    (5) A description of the kind, amount, and specifications of the 
radioactive material proposed to be received and possessed at the 
geologic repository operations area.
    (6) An identification and justification for the selection of those 
variables, conditions, or other items which are determined to be 
probable subjects of license specifications. Special attention shall be 
given to those items that may significantly influence the final design.
    (7) A description of the program for control and monitoring of 
radioactive effluents and occupational radiation exposures to maintain 
such effluents and exposures in accordance with the requirements of part 
20 of this chapter.
    (8) A description of the controls that the applicant will apply to 
restrict access and to regulate land use at the site and adjacent areas, 
including a conceptual design of monuments which would be used to 
identify the postclosure controlled area after permanent closure.
    (9) Plans for coping with radiological emergencies at any time prior 
to permanent closure and decontamination or dismantlement of surface 
facilities.
    (10) A description of the program to be used to maintain the records 
described in Sec. Sec. 60.71 and 60.72.
    (11) A description of design considerations that are intended to 
facilitate permanent closure and decontamination or dismantlement of 
surface facilities.
    (12) A description of plans for retrieval and alternate storage of 
the radioactive wastes should the geologic repository prove to be 
unsuitable for disposal of radioactive wastes.
    (13) An identification and evaluation of the natural resources of 
the geologic setting, including estimates as to undiscovered deposits, 
the exploitation of which could affect the ability of the geologic 
repository to isolate radioactive wastes. Undiscovered deposits of 
resources characteristic of the area shall be estimated by reasonable 
inference based on geological and geophysical evidence. This evaluation 
of resources, including undiscoverd deposits, shall be conducted for the 
site and for areas of similar size that are representative of and are 
within the geologic setting. For natural resources with current markets 
the resources shall be assessed, with estimates provided of both gross 
and net value. The estimate of net value shall take into account current 
development, extraction and marketing costs. For natural resources 
without current markets, but which would be marketable given credible 
projected changes in economic or technological factors, the resources 
shall be described by physical factors such as tonnage or other amount, 
grade, and quality.
    (14) An identification of those structures, systems, and components 
of the geologic repository, both surface and subsurface, which require 
research and development to confirm the adequacy of design. For 
structures, systems, and components important to safety and for the 
engineered and natural barriers important to waste isolation, DOE shall 
provide a detailed description of the programs designed to resolve 
safety questions, including a schedule indicating when these questions 
would be resolved.

[[Page 178]]

    (15) The following information concerning activities at the geologic 
repository operations area:
    (i) The organizational structure of DOE as it pertains to 
construction and operation of the geologic repository operations area 
including a description of any delegations of authority and assignments 
of responsibilities, whether in the form of regulations, administrative 
directives, contract provisions, or otherwise.
    (ii) Identification of key positions which are assigned 
responsibility for safety at and operation of the geologic repository 
operations area.
    (iii) Personnel qualifications and training requirements.
    (iv) Plans for startup activities and startup testing.
    (v) Plans for conduct of normal activities, including maintenance, 
surveillance, and periodic testing of structures, systems, and 
components of the geologic repository operation area.
    (vi) Plans for permanent closure and plans for the decontamination 
or dismantlement of surface facilities.
    (vii) Plans for any uses of the geologic repository operations area 
for purposes other than disposal of radioactive wastes, with an analysis 
of the effects, if any, that such uses may have upon the operation of 
the structures, systems, and components important to safety and the 
engineered and natural barriers important to waste isolation.

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



Sec. 60.22  Filing and distribution of application.

    (a) An application for a construction authorization for a high-level 
radioactive waste repository at a geologic repository operations area, 
and 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 must be filed with the Director.
    (b) DOE shall maintain the capability to generate additional copies 
for distribution in accordance with written instructions from the 
Director or the Director's designee.
    (c) DOE shall, upon notification of the appointment of an Atomic 
Safety and Licensing Board, update the application, eliminating all 
superseded information, and supplement the environmental impact 
statement if necessary, and serve the updated application and 
environmental impact statement (as it may have been supplemented) as 
directed by the Board. At that time DOE shall also serve one such copy 
of the application and environmental impact statement on the Atomic 
Safety and Licensing Appeal Panel. Any subsequent amendments to the 
application or supplements to the environmental impact statement shall 
be served in the same manner.
    (d) At the time of filing of an application and any amendments 
thereto, one copy shall be made available in an appropriate location 
near the proposed geologic repository operations area (which shall be a 
public document room, if one has been established) for inspection by the 
public and updated as amendments to the application are made. The 
environmental impact statement and any supplements thereto shall be made 
available in the same manner. An updated copy of the application, and 
the environmental impact statement and supplements, shall be produced at 
any public hearing held by the Commission on the application, for use by 
any party to the proceeding.
    (e) The DOE shall certify that the updated copies of the 
application, and the environmental impact statement as it may have been 
supplemented, as referred to in paragraphs (c) and (d) of this section, 
contain the current contents of such documents submitted in accordance 
with the requirements of this part.

[54 FR 27871, July 3, 1989, as amended at 68 FR 58814, Oct. 10, 2003; 69 
FR 2279, Jan. 14, 2004]



Sec. 60.23  Elimination of repetition.

    In its application, environmental report, or Site Characterization 
Report,

[[Page 179]]

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



Sec. 60.24  Updating of application and environmental impact statement.

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

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

                       Construction Authorization



Sec. 60.31  Construction authorization.

    Upon review and consideration of an application and environmental 
impact statement submitted under this part, the Commission may authorize 
construction if it determines:
    (a) Safety. That there is reasonable assurance that the types and 
amounts of radioactive materials described in the application can be 
received, possessed, and disposed of in a geologic repository operations 
area of the design proposed without unreasonable risk to the health and 
safety of the public. In arriving at this determination, the Commission 
shall consider whether:
    (1) DOE has described the proposed geologic repository including but 
not limited to: (i) The geologic, geophysical, geochemical and 
hydrologic characteristics of the site; (ii) the kinds and quantities of 
radioactive waste to be received, possessed, stored, and disposed of in 
the geologic repository operations area; (iii) the principal 
architectural and engineering criteria for the design of the geologic 
repository operations area; (iv) construction procedures which may 
affect the capability of the geologic repository to serve its intended 
function; and (v) features or components incorporated in the design for 
the protection of the health and safety of the public.
    (2) The site and design comply with the performance objectives and 
criteria contained in Subpart E of this part.
    (3) The DOE's quality assurance program complies with the 
requirements of Subpart G of this part.
    (4) The DOE's personnel training program complies with the criteria 
contained in Subpart H of this part.
    (5) The DOE's emergency plan complies with the criteria contained in 
Subpart I of this part.
    (6) The DOE's proposed operating procedures to protect health and to 
minimize danger to life or property are adequate.
    (b) Common defense and security. That there is reasonable assurance 
that the activities proposed in the application will not be inimical to 
the common defense and security.
    (c) Environmental. That, after weighing the environmental, economic, 
technical and other benefits against environmental costs and considering 
available alternatives, the action called for is issuance of the 
construction authorization, with any appropriate conditions to protect 
environmental values.

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

[[Page 180]]



Sec. 60.32  Conditions of construction authorization.

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

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



Sec. 60.33  Amendment of construction authorization.

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

                     License Issuance and Amendment



Sec. 60.41  Standards for issuance of a license.

    A license to receive and possess source, special nuclear, or 
byproduct material at a geologic repository operations area may be 
issued by the Commission upon finding that:
    (a) Construction of the geologic repository operations area has been 
substantially completed in conformity with the application as amended, 
the provisions of the Atomic Energy Act, and the rules and regulations 
of the Commission. Construction may be deemed to be substantially 
complete for the purposes of this paragraph if the construction of (1) 
surface and interconnecting structures, systems, and components, and (2) 
any underground storage space required for initial operation are 
substantially complete.
    (b) The activities to be conducted at the geologic repository 
operations area will be in conformity with the application as amended, 
the provisions of the Atomic Energy Act and the Energy Reorganization 
Act, and the rules and regulations of the Commission.
    (c) The issuance of the license will not be inimical to the common 
defense and security and will not constitute an

[[Page 181]]

unreasonable risk to the health and safety of the public.
    (d) All applicable requirements of part 51 have been satisfied.

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



Sec. 60.42  Conditions of license.

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



Sec. 60.43  License specification.

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

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



Sec. 60.44  Changes, tests, and experiments.

    (a)(1) Following authorization to receive and possess source, 
special nuclear, or byproduct material at a geologic repository 
operations area, the DOE may (i) make changes in the geologic repository 
operations area as described in the application, (ii) make changes in 
the procedures as described in the application, and (iii) conduct tests 
or experiments not described in the application, without prior 
Commission approval, provided the change, test, or experiment involves 
neither a change in the license conditions incorporated in the license 
nor an unreviewed safety question.
    (2) A proposed change, test, or experiment shall be deemed to 
involve an unreviewed safety question if (i) the likelihood of 
occurrence or the consequences of an accident or malfunction of 
equipment important to safety previously evaluated in the application is 
increased, (ii) the possibility of an

[[Page 182]]

accident or malfunction of a different type than any previously 
evaluated in the application is created, or (iii) the margin of safety 
as defined in the basis for any license condition is reduced.
    (b) The DOE shall maintain records of changes in the geologic 
repository operations area and of changes in procedures made pursuant to 
this section, to the extent that such changes constitute changes in the 
geologic repository operations area or procedures as described in the 
application. Records of tests and experiments carried out pursuant to 
paragraph (a) of this section shall also be maintained. These records 
shall include a written safety evaluation which provides the basis for 
the determination that the change, test, or experiment does not involve 
an unreviewed safety question. The DOE shall prepare annually, or at 
such shorter intervals as may be specified in the license, a report 
containing a brief description of such changes, tests, and experiments, 
including a summary of the safety evaluation of each. The DOE shall 
furnish the report to the appropriate NRC Regional Office shown in 
appendix D to part 20 of this chapter, by an appropriate method listed 
in Sec. 60.4(a), with a copy to the Director of the NRC's Office of 
Nuclear Material Safety and Safeguards. Any report submitted pursuant to 
this paragraph shall be made a part of the public record of the 
licensing proceedings.

[46 FR 13980, Feb. 25, 1981, as amended at 52 FR 31612, Aug. 21, 1987; 
68 FR 58814, Oct. 10, 2003]



Sec. 60.45  Amendment of license.

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



Sec. 60.46  Particular activities requiring license amendment.

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

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

                            Permanent Closure



Sec. 60.51  License amendment for permanent closure.

    (a) DOE shall submit an application to amend the license prior to 
permanent closure. The submission shall consist of an update of the 
license application submitted under Sec. Sec. 60.21 and 60.22, 
including:
    (1) A description of the program for post-permanent closure 
monitoring of the geologic repository.
    (2) A detailed description of the measures to be employed--such as 
land use controls, construction of monuments, and preservation of 
records--to regulate or prevent activities that could impair the long-
term isolation of emplaced waste within the geologic repository and to 
assure that relevant information will be preserved for the use of future 
generations. As a minimum, such measures shall include:
    (i) Identification of the postclosure controlled area and geologic 
repository operations area by monuments that

[[Page 183]]

have been designed, fabricated, and emplaced to be as permanent as is 
practicable; and
    (ii) Placement of records in the archives and land record systems of 
local State, and Federal government agencies, and archives elsewhere in 
the world, that would be likely to be consulted by potential human 
intruders--such records to identify the location of the geologic 
repository operations area, including the underground facility, 
boreholes and shafts, and the boundaries of the postclosure controlled 
area, and the nature and hazard of the waste.
    (3) Geologic, geophysical, geochemical, hydrologic, and other site 
data that are obtained during the operational period pertinent to the 
long-term isolation of emplaced radioactive wastes.
    (4) The results of tests, experiments, and any other analyses 
relating to backfill of excavated areas, shaft sealing, waste 
interaction with the host rock, and any other tests, experiments, or 
analyses pertinent to the long-term isolation of emplaced wastes within 
the geologic repository.
    (5) Any substantial revision of plans for permanent closure.
    (6) Other information bearing upon permanent closure that was not 
available at the time a license was issued.
    (b) If necessary, so as to take into account the environmental 
impact of any substantial changes in the permanent closure activities 
proposed to be carried out or any significant new information regarding 
the environmental impacts of such closure, DOE shall also supplement its 
environmental impact statement and submit such statement, as 
supplemented, with the application for license amendment.

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



Sec. 60.52  Termination of license.

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

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



 Subpart C_Participation by State Governments and Affected Indian Tribes

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



Sec. 60.61  Provision of information.

    (a) The Director shall provide to the Governor and legislature of 
any State in which a geologic repository operations area is or may be 
located, and to the governing body of any affected Indian Tribe, timely 
and complete information regarding determinations or plans made by the 
Commission with respect to the site characterization, siting, 
development, design, licensing, construction, operation, regulation, 
permanent closure, or decontamination and dismantlement of surface 
facilities, of such geologic repository operations area.
    (b) For purposes of this section, a geologic repository operations 
area shall be considered to be one which ``may be located'' in a State 
if the location thereof in such State has been described in a site 
characterization plan submitted to the Commission under this part.
    (c) Notwithstanding paragraph (a) of this section, the Director is 
not required to distribute any document to

[[Page 184]]

any entity if, with respect to such document, that entity or its counsel 
is included on a service list prepared pursuant to part 2 of this 
chapter.
    (d) Copies of all communications by the Director under this section 
are available at the NRC Web site, http://www.nrc.gov, and/or at the NRC 
Public Document Room, and copies are furnished to DOE.

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



Sec. 60.62  Site review.

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



Sec. 60.63  Participation in license reviews.

    (a) State, local governmental bodies, and affected, Federally-
recognized Indian Tribes may participate in license reviews as provided 
in subpart J 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, Federally-recognized Indian Tribe shall have an unquestionable 
legal right to participate as a party in such proceedings.
    (b) In addition, whenever an area has been approved by the President 
for site characterization, a State or an affected Indian Tribe may 
submit to the Director a proposal to facilitate its participation in the 
review of a site characterization plan and/or license application. The 
proposal may be submitted at any time and must contain a description and 
schedule of how the State or affected Indian Tribe wishes to participate 
in the review, or what services or activities the State or affected 
Indian Tribe wishes NRC to carry out, and how the services or activities 
proposed to be carried out by NRC would contribute to such 
participation. The proposal may include educational or information 
services (seminars, public meetings) or other actions on the part of 
NRC, such as employment or exchange of State personnel under the 
Intergovernmental Personnel Act.
    (c) The Director shall arrange for a meeting between the 
representatives of the State or affected Indian Tribe and the NRC staff 
to discuss any proposal submitted under paragraph (b) of this section, 
with a view to identifying any modifications that may contribute to the 
effective participation by such State or Tribe.
    (d) Subject to the availability of funds, the Director shall approve 
all or any part of a proposal, as it may be modified through the meeting 
described above, if it is determined that:
    (1) The proposed activities are suitable in light of the type and 
magnitude of impacts which the State or affected Indian Tribe may bear;
    (2) The proposed activities:
    (i) Will enhance communications between NRC and the State or 
affected Indian Tribe;
    (ii) Will make a productive and timely contribution to the review; 
and
    (iii) Are authorized by law.
    (e) The Director will advise the State or affected Indian Tribe 
whether its proposal has been accepted or denied, and if all or any part 
of proposal is denied, the Director shall state the reason for the 
denial.
    (f) Proposals submitted under this section, and responses thereto, 
shall be made available at the NRC Web site, http://www.nrc.gov, and/or 
at the NRC Public Document Room.

[51 FR 27164, July 30, 1986, as amended at 64 FR 48954, Sept. 9, 1999; 
69 FR 2279, Jan. 14, 2004]



Sec. 60.64  Notice to States.

    If the Governor and legislature of a State have jointly designated 
on their behalf a single person or entity to receive notice and 
information from the

[[Page 185]]

Commission under this part, the Commission will provide such notice and 
information to the jointly designated person or entity instead of the 
Governor and legislature separately.



Sec. 60.65  Representation.

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



           Subpart D_Records, Reports, Tests, and Inspections



Sec. 60.71  Records and reports.

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

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



Sec. 60.72  Construction records.

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

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



Sec. 60.73  Reports of deficiencies.

    DOE shall promptly notify the Commission of each deficiency found in 
the characteristics of the site, and design and construction of the 
geologic repository operations area which, were it to remain 
uncorrected, could: (a) Be a substantial safety hazard, (b) represent a 
significant deviation from the design criteria and design bases stated 
in the application, or (c) represent a deviation from the conditions 
stated in the terms of a construction authorization or the license, 
including license specifications. The notification shall be in the form 
of a written report, copies of which shall be sent to the Director and 
to the appropriate Nuclear Regulatory Commission Regional Office listed 
in appendix D of part 20 of this chapter.

[48 FR 28222, June 21, 1983]



Sec. 60.74  Tests.

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

[[Page 186]]

    (b) The tests required under this section shall include a 
performance confirmation program carried out in accordance with subpart 
F of this part.

[48 FR 28222, June 21, 1983]



Sec. 60.75  Inspections.

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

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



Sec. 60.78  Material control and accounting records and reports.

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

[63 FR 26961, May 15, 1998]



                      Subpart E_Technical Criteria

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



Sec. 60.101  Purpose and nature of findings.

    (a)(1) Subpart B of this part prescribes the standards for issuance 
of a license to receive and possess source, special nuclear, or 
byproduct material at a geologic repository operations area. In 
particular, Sec. 60.41(c) requires a finding that the issuance of a 
license will not constitute an unreasonable risk to the health and 
safety of the public. The purpose of this subpart is to set out 
performance objectives and site and design criteria which, if satisfied, 
will support such a finding of no unreasonable risk.
    (2) While these performance objectives and criteria are generally 
stated in unqualified terms, it is not expected that complete assurance 
that they will be met can be presented. A reasonable assurance, on the 
basis of the record before the Commission, that the objectives and 
criteria will be met is the general standard that is required. For Sec. 
60.112, and other portions of this subpart that impose objectives and 
criteria for repository performance over long times into the future, 
there will inevitably be greater uncertainties. Proof of the future 
performance of engineered barrier systems and the geologic setting over 
time periods of many hundreds or many thousands of years is not to be 
had in the ordinary sense of the word. For such long-term objectives and 
criteria, what is required is

[[Page 187]]

reasonable assurance, making allowance for the time period, hazards, and 
uncertainties involved, that the outcome will be in conformance with 
those objectives and criteria. Demonstration of compliance with such 
objectives and criteria will involve the use of data from accelerated 
tests and predictive models that are supported by such measures as field 
and laboratory tests, monitoring data and natural analog studies.
    (b) Subpart B of this part also lists findings that must be made in 
support of an authorization to construct a geologic repository 
operations area. In particular, Sec. 60.31(a) requires a finding that 
there is reasonable assurance that the types and amounts of radioactive 
materials described in the application can be received, possessed, and 
disposed of in a geologic repository operations area of the design 
proposed without unreasonable risk to the health and safety of the 
public. As stated in that paragraph, in arriving at this determination, 
the Commission will consider whether the site and design comply with the 
criteria contained in this subpart. Once again, while the criteria may 
be written in unqualified terms, the demonstration of compliance may 
take uncertainties and gaps in knowledge into account, provided that the 
Commission can make the specified finding of reasonable assurance as 
specified in paragraph (a) of this section.



Sec. 60.102  Concepts.

    This section provides a functional overview of subpart E. In the 
event of any inconsistency with definitions found in Sec. 60.2, those 
definitions shall prevail.
    (a) The HLW facility. NRC exercises licensing and related regulatory 
authority over those facilities described in section 202 (3) and (4) of 
the Energy Reorganization Act of 1974. Any of these facilities is 
designated a HLW facility.
    (b) The geologic repository operations area. (1) This part deals 
with the exercise of authority with respect to a particular class of HLW 
facility--namely a geologic repository operations area.
    (2) A geologic repository operations area consists of those surface 
and subsurface areas that are part of a geologic repository where 
radioactive waste handling activities are conducted. The underground 
structure, including openings and backfill materials, but excluding 
shafts, boreholes, and their seals, is designated the underground 
facility.
    (3) The exercise of Commission authority requires that the geologic 
repository operations area be used for storage (which includes disposal) 
of high-level radioactive wastes (HLW).
    (4) HLW includes irradiated reactor fuel as well as reprocessing 
wastes. However, if DOE proposes to use the geologic repository 
operations area for storage of radioactive waste other than HLW, the 
storage of this radioactive waste is subject to the requirements of this 
part.
    (c) Areas related to isolation. Although the activities subject to 
regulation under this part are those to be carried out at the geologic 
repository operations area, the licensing process also considers 
characteristics of adjacent areas that are defined in other ways. There 
is to be an area surrounding the underground facility referred to above, 
which is designated the postclosure controlled area, within which DOE is 
to exercise specified controls to prevent adverse human actions 
following permanent closure. The location of the controlled area is the 
site. The accessible environment is the atmosphere, land surface, 
surface water, oceans, and the portion of the lithosphere that is 
outside the controlled area. There is an area, designated the geologic 
setting, which includes the geologic, hydrologic, and geochemical 
systems of the region in which a geologic repository operations area is 
or may be located. The geologic repository operations area plus the 
portion of the geologic setting that provides isolation of the 
radioactive waste make up the geologic repository.
    (d) Stages in the licensing process. There are several stages in the 
licensing process. The site characterization stage, though begun before 
submission of a license application, may result in consequences 
requiring evaluation in the license review. The construction stage would 
follow, after issuance of a construction authorization. A period of

[[Page 188]]

operations follows the issuance of a license by the Commission. The 
period of operations includes the time during which emplacement of 
wastes occurs; any subsequent period before permanent closure during 
which the emplaced wastes are retrievable; and permanent closure, which 
includes sealing of shafts. Permanent closure represents the end of 
active human intervention with respect to the engineered barrier system.
    (e) Isolation of waste. (1) During the first several hundred years 
following permanent closure of a geologic repository, when radiation and 
thermal levels are high and the uncertainties in assessing repository 
performance are large, special emphasis is placed upon the ability to 
contain the wastes by waste packages within an engineered barrier 
system. This is known as the containment period. The engineered barrier 
system includes the waste packages and the underground facility. A waste 
package is composed of the waste form and any containers, shielding, 
packing, and absorbent materials immediately surrounding an individual 
waste container. The underground facility means the underground 
structure, including openings and backfill materials, but excluding, 
shafts, boreholes, and their seals.
    (2) Following the containment period special emphasis is placed upon 
the ability to achieve isolation of the wastes by virtue of the 
characteristics of the geologic repository. The engineered barrier 
system works to control the release of radioactive material to the 
geologic setting and the geologic setting works to control the release 
of radioactive material to the accessible environment. Isolation means 
inhibiting the transport of radioactive material so that amounts and 
concentrations of the materials entering the accessible environment will 
be kept within prescribed limits.

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

                         Performance Objectives



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

    (a) Protection against radiation exposures and releases of 
radioactive material. The geologic repository operations area shall be 
designed so that until permanent closure has been completed, radiation 
exposures and radiation levels, and releases of radioactive materials to 
unrestricted areas, will be maintained within the limits specified in 
part 20 of this chapter and such generally applicable environmental 
standards for radioactivity as may have been established by the 
Environmental Protection Agency.
    (b) Retrievability of waste. (1) The geologic repository operations 
area shall be designed to preserve the option of waste retrieval 
throughout the period during which wastes are being emplaced and, 
thereafter, until the completion of a preformance confirmation program 
and Commission review of the information obtained from such a program. 
To satisfy this objective, the geologic repository operations area shall 
be designed so that any or all of the emplaced waste could be retrieved 
on a reasonable schedule starting at any time up to 50 years after waste 
emplacement operations are initiated, unless a different time period is 
approved or specified by the Commission. This different time period may 
be established on a case-by-case basis consistent with the emplacement 
schedule and the planned performance confirmation program.
    (2) This requirement shall not preclude decisions by the Commission 
to allow backfilling part or all of, or permanent closure of, the 
geologic repository operations area prior to the end of the period of 
design for retrievability.
    (3) For purposes of this paragraph, a reasonable schedule for 
retrieval is one that would permit retrieval in about the same time as 
that devoted to construction of the geologic repository operations area 
and the emplacement of wastes.

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

[[Page 189]]



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

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



Sec. 60.113  Performance of particular barriers after permanent closure.

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

[[Page 190]]

                       Land Ownership and Control



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

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

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

                             Siting Criteria



Sec. 60.122  Siting criteria.

    (a)(1) A geologic setting shall exhibit an appropriate combination 
of the conditions specified in paragraph (b) of this section so that, 
together with the engineered barriers system, the favorable conditions 
present are sufficient to provide reasonable assurance that the 
performance objectives relating to isolation of the waste will be met.
    (2) If any of the potentially adverse conditions specified in 
paragraph (c) of this section is present, it may compromise the ability 
of the geologic repository to meet the performance objectives relating 
to isolation of the waste. In order to show that a potentially adverse 
condition does not so compromise the performance of the geologic 
repository the following must be demonstrated:
    (i) The potentially adverse human activity or natural condition has 
been adequately investigated, including the extent to which the 
condition may be present and still be undetected taking into account the 
degree of resolution achieved by the investigations; and
    (ii) The effect of the potentially adverse human activity or natural 
condition on the site has been adequately evaluated using analyses which 
are sensitive to the potentially adverse human activity or natural 
condition and assumptions which are not likely to underestimate its 
effect; and
    (iii)(A) The potentially adverse human activity or natural condition 
is shown by analysis pursuant to paragraph (a)(2)(ii) of this section 
not to affect significantly the ability of the geologic repository to 
meet the performance objectives relating to isolation of the waste, or
    (B) The effect of the potentially adverse human activity or natural 
condition is compensated by the presence of a combination of the 
favorable characteristics so that the performance objectives relating to 
isolation of the waste are met, or
    (C) The potentially adverse human activity or natural condition can 
be remedied.
    (b) Favorable conditions. (1) The nature and rates of tectonic, 
hydrogeologic, geochemical, and geomorphic processes (or any of such 
processes) operating within the geologic setting during the Quaternary 
Period, when projected, would not affect or would favorably affect the 
ability of the geologic repository to isolate the waste.
    (2) For disposal in the saturated zone, hydrogeologic conditions 
that provide:
    (i) A host rock with low horizontal and vertical permeability;
    (ii) Downward or dominantly horizontal hydraulic gradient in the 
host rock and immediately surrounding hydrogeologic units; and

[[Page 191]]

    (iii) Low vertical permeability and low hydraulic gradient between 
the host rock and the surrounding hydrogeologic units.
    (3) Geochemical conditions that:
    (i) Promote precipitation or sorption of radionuclides;
    (ii) Inhibit the formation of particulates, colloids, and inorganic 
and organic complexes that increase the mobility of radionuclides; or
    (iii) Inhibit the transport of radionuclides by particulates, 
colloids, and complexes.
    (4) Mineral assemblages that, when subjected to anticipated thermal 
loading, will remain unaltered or alter to mineral assemblages having 
equal or increased capacity to inhibit radionuclide migration.
    (5) Conditions that permit the emplacement of waste at a minimum 
depth of 300 meters from the ground surface. (The ground surface shall 
be deemed to be the elevation of the lowest point on the surface above 
the disturbed zone.)
    (6) A low population density within the geologic setting and a 
postclosure controlled area that is remote from population centers.
    (7) Pre-waste-emplacement groundwater travel time along the fastest 
path of likely radionuclide travel from the disturbed zone to the 
accessible environment that substantially exceeds 1,000 years.
    (8) For disposal in the unsaturated zone, hydrogeologic conditions 
that provide--
    (i) Low moisture flux in the host rock and in the overlying and 
underlying hydrogeologic units;
    (ii) A water table sufficiently below the underground facility such 
that fully saturated voids contiguous with the water table do not 
encounter the underground facility;
    (iii) A laterally extensive low-permeability hydrogeologic unit 
above the host rock that would inhibit the downward movement of water or 
divert downward moving water to a location beyond the limits of the 
underground facility;
    (iv) A host rock that provides for free drainage; or
    (v) A climatic regime in which the average annual historic 
precipitation is a small percentage of the average annual potential 
evapotranspiration.
    (c) Potentially adverse conditions. The following conditions are 
potentially adverse conditions if they are characteristic of the 
postclosure controlled area or may affect isolation within the 
controlled area.
    (1) Potential for flooding of the underground facility, whether 
resulting from the occupancy and modification of floodplains or from the 
failure of existing or planned man-made surface water impoundments.
    (2) Potential for foreseeable human activity to adversely affect the 
groundwater flow system, such as groundwater withdrawal, extensive 
irrigation, subsurface injection of fluids, underground pumped storage, 
military activity or construction of large scale surface water 
impoundments.
    (3) Potential for natural phenomena such as landslides, subsidence, 
or volcanic activity of such a magnitude that large-scale surface water 
impoundments could be created that could change the regional groundwater 
flow system and thereby adversely affect the performance of the geologic 
repository.
    (4) Structural deformation, such as uplift, subsidence, folding, or 
faulting that may adversely affect the regional groundwater flow system.
    (5) Potential for changes in hydrologic conditions that would affect 
the migration of radionuclides to the accessible environment, such as 
changes in hydraulic gradient, average interstitial velocity, storage 
coefficient, hydraulic conductivity, natural recharge, potentiometric 
levels, and discharge points.
    (6) Potential for changes in hydrologic conditions resulting from 
reasonably foreseeable climatic changes.
    (7) Groundwater conditions in the host rock, including chemical 
composition, high ionic strength or ranges of Eh-pH, that could increase 
the solubility or chemical reactivity of the engineered barrier system.
    (8) Geochemical processes that would reduce sorption of 
radionuclides, result in degradation of the rock strength, or adversely 
affect the performance of the engineered barrier system.

[[Page 192]]

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

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

       Design Criteria for the Geologic Repository Operations Area



Sec. 60.130  General considerations.

    (a) Pursuant to the provisions of Sec. 60.21(c)(2)(i), an 
application for construction authorization for a high-level radioactive 
waste repository at a geologic repository operations area, and an 
application for a license 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 criteria for the geologic 
repository operations area.
    (b) These design criteria are not intended to be exhaustive. 
However, omissions in Sec. Sec. 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.

[69 FR 2280, Jan. 14, 2004]



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

    (a) Radiological protection. The geologic repository operations area 
shall be designed to maintain radiation doses, levels, and 
concentrations of radioactive material in air in restricted areas within 
the limits specified in part 20 of this chapter. Design shall include:

[[Page 193]]

    (1) Means to limit concentrations of radioactive material in air;
    (2) Means to limit the time required to perform work in the vicinity 
of radioactive materials, including, as appropriate, designing equipment 
for ease of repair and replacement and providing adequate space for ease 
of operation;
    (3) Suitable shielding;
    (4) Means to monitor and control the dispersal of radioactive 
contamination;
    (5) Means to control access to high radiation areas or airborne 
radioactivity areas; and
    (6) A radiation alarm system to warn of significant increases in 
radiation levels, concentrations of radioactive material in air, and of 
increased radioactivity released in effluents. The alarm system shall be 
designed with provisions for calibration and for testing its 
operability.
    (b) Protection against design basis events. The structures, systems, 
and components important to safety shall be designed so that they will 
perform their necessary safety functions, assuming occurrence of design 
basis events.
    (c) Protection against dynamic effects of equipment failure and 
similar events. The structures, systems, and components important to 
safety shall be designed to withstand dynamic effects such as missile 
impacts, that could result from equipment failure, and similar events 
and conditions that could lead to loss of their safety functions.
    (d) Protection against fires and explosions. (1) The structures, 
systems, and components important to safety shall be designed to perform 
their safety functions during and after credible fires or explosions in 
the geologic repository operations area.
    (2) To the extent practicable, the geologic repository operations 
area shall be designed to incorporate the use of noncombustible and heat 
resistant materials.
    (3) The geologic repository operations area shall be designed to 
include explosion and fire detection alarm systems and appropriate 
suppression systems with sufficient capacity and capability to reduce 
the adverse effects of fires and explosions on structures, systems, and 
components important to safety.
    (4) The geologic repository operations area shall be designed to 
include means to protect systems, structures, and components important 
to safety against the adverse effects of either the operation or failure 
of the fire suppression systems.
    (e) Emergency capability. (1) The structures, systems, and 
components important to safety shall be designed to maintain control of 
radioactive waste and radioactive effluents, and permit prompt 
termination of operations and evacuation of personnel during an 
emergency.
    (2) The geologic repository operations area shall be designed to 
include onsite facilities and services that ensure a safe and timely 
response to emergency conditions and that facilitate the use of 
available offsite services (such as fire, police, medical, and ambulance 
service) that may aid in recovery from emergencies.
    (f) Utility services. (1) Each utility service system that is 
important to safety shall be designed so that essential safety functions 
can be performed, assuming occurrence of the design basis events.
    (2) The utility services important to safety shall include redundant 
systems to the extent necessary to maintain, with adequate capacity, the 
ability to perform their safety functions.
    (3) Provisions shall be made so that, if there is a loss of the 
primary electric power source or circuit, reliable and timely emergency 
power can be provided to instruments, utility service systems, and 
operating systems, including alarm systems, important to safety.
    (g) Inspection, testing, and maintenance. The structures, systems, 
and components important to safety shall be designed to permit periodic 
inspection, testing, and maintenance, as necessary, to ensure their 
continued functioning and readiness.
    (h) Criticality control. All systems for processing, transporting, 
handling, storage, retrieval, emplacement, and isolation of radioactive 
waste shall be designed to ensure that nuclear criticality is not 
possible unless at least

[[Page 194]]

two unlikely, independent, and concurrent or sequential changes have 
occurred in the conditions essential to nuclear criticality safety. Each 
system must be designed for criticality safety assuming occurrence of 
design basis events. The calculated effective multiplication factor 
(keff) must be sufficiently below unity to show at least a 5 
percent margin, after allowance for the bias in the method of 
calculation and the uncertainty in the experiments used to validate the 
method of calculation.
    (i) Instrumentation and control systems. The design shall include 
provisions for instrumentation and control systems to monitor and 
control the behavior of systems important to safety, assuming occurrence 
of design basis events.
    (j) Compliance with mining regulations. To the extent that DOE is 
not subject to the Federal Mine Safety and Health Act of 1977, as to the 
construction and operation of the geologic repository operations area, 
the design of the geologic repository operations area shall nevertheless 
include provisions for worker protection necessary to provide reasonable 
assurance that all structures, systems, and components important to 
safety can perform their intended functions. Any deviation from relevant 
design requirements in 30 CFR, chapter I, subchapters D, E, and N will 
give rise to a rebuttable presumption that this requirement has not been 
met.
    (k) Shaft conveyances used in radioactive waste handling. (1) Hoists 
important to safety shall be designed to preclude cage free fall.
    (2) Hoists important to safety shall be designed with a reliable 
cage location system.
    (3) Loading and unloading systems for hoists important to safety 
shall be designed with a reliable system of interlocks that will fail 
safely upon malfunction.
    (4) Hoists important to safety shall be designed to include two 
independent indicators to indicate when waste packages are in place and 
ready for transfer.

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



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

    (a) Facilities for receipt and retrieval of waste. Surface 
facilities in the geologic repository operations area shall be designed 
to allow safe handling and storage of wastes at the geologic repository 
operations area, whether these wastes are on the surface before 
emplacement or as a result of retrieval from the underground facility.
    (b) Surface facility ventilation. Surface facility ventilation 
systems supporting waste transfer, inspection, decontamination, 
processing, or packaging shall be designed to provide protection against 
radiation exposures and offsite releases as provided in Sec. 60.111(a).
    (c) Radiation control and monitoring--(1) Effluent control. The 
surface facilities shall be designed to control the release of 
radioactive materials in effluents during Category 1 design basis events 
so as to meet the performance objectives of Sec. 60.111(a).
    (2) Effluent monitoring. The effluent monitoring systems shall be 
designed to measure the amount and concentration of radionuclides in any 
effluent with sufficient precision to determine whether releases conform 
to the design requirement for effluent control. The monitoring systems 
shall be designed to include alarms that can be periodically tested.
    (d) Waste treatment. Radioactive waste treatment facilities shall be 
designed to process any radioactive wastes generated at the geologic 
repository operations area into a form suitable to permit safe disposal 
at the geologic repository operations area or to permit safe 
transportation and conversion to a form suitable for disposal at an 
alternative site in accordance with any regulations that are applicable.
    (e) Consideration of decommissioning. The surface facility shall be 
designed to facilitate decontamination or dismantlement to the same 
extent as would be required, under other parts of this chapter, with 
respect to equivalent activities licensed thereunder.

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

[[Page 195]]



Sec. 60.133  Additional design criteria for the underground facility.

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

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



Sec. 60.134  Design of seals for shafts and boreholes.

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

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

                  Design Criteria for the Waste Package



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

    (a) High-level-waste package design in general. (1) Packages for HLW 
shall be designed so that the in situ chemical, physical, and nuclear 
properties of the waste package and its interactions with the 
emplacement environment do not compromise the function of the waste 
packages or the performance of the underground facility or the geologic 
setting.

[[Page 196]]

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

                       Preclosure Controlled Area



Sec. 60.136  Preclosure controlled area.

    (a) A preclosure controlled area must be established for the 
geologic repository operations area.
    (b) The geologic repository operations area shall be designed so 
that, for Category 2 design basis events, no individual located on or 
beyond any point on the boundary of the preclosure controlled area will 
receive the more limiting of a total effective dose equivalent of 0.05 
Sv (5 rem), or the sum of the deep-dose equivalent and the committed 
dose equivalent to any individual organ or tissue (other than the lens 
of the eye) of 0.5 Sv (50 rem). The eye dose equivalent shall not exceed 
0.15 Sv (15 rem), and the shallow dose equivalent to skin shall not 
exceed 0.5 Sv (50 rem). The minimum distance from the surface facilities 
in the geologic repository operations area to the boundary of the 
preclosure controlled area must be at least 100 meters.
    (c) The preclosure controlled area may be traversed by a highway, 
railroad, or waterway, so long as appropriate and effective arrangements 
are made to control traffic and to protect public health and safety.

[61 FR 64270, Dec. 4, 1996]

[[Page 197]]

                  Performance Confirmation Requirements



Sec. 60.137  General requirements for performance confirmation.

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



               Subpart F_Performance Confirmation Program

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



Sec. 60.140  General requirements.

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



Sec. 60.141  Confirmation of geotechnical and design parameters.

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



Sec. 60.142  Design testing.

    (a) During the early or developmental stages of construction, a 
program for in situ testing of such features as borehole and shaft 
seals, backfill, and the thermal interaction effects of the waste 
packages, backfill, rock, and groundwater shall be conducted.

[[Page 198]]

    (b) The testing shall be initiated as early as is practicable.
    (c) A backfill test section shall be constructed to test the 
effectiveness of backfill placement and compaction procedures against 
design requirements before permanent backfill placement is begun.
    (d) Test sections shall be established to test the effectiveness of 
borehole and shaft seals before full-scale operation proceeds to seal 
boreholes and shafts.



Sec. 60.143  Monitoring and testing waste packages.

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



                       Subpart G_Quality Assurance

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



Sec. 60.150  Scope.

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



Sec. 60.151  Applicability.

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



Sec. 60.152  Implementation.

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



            Subpart H_Training and Certification of Personnel

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



Sec. 60.160  General requirements.

    Operations of systems and components that have been identified as 
important to safety in the Safety Analysis Report and in the license 
shall be performed only by trained and certified personnel or by 
personnel under the direct visual supervision of an individual with 
training and certification in such operation. Supervisory personnel who 
direct operations that are important to safety must also be certified in 
such operations.



Sec. 60.161  Training and certification program.

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

[[Page 199]]



Sec. 60.162  Physical requirements.

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

Subpart I--Emergency Planning Criteria [Reserved]



                          Subpart J_Violations



Sec. 60.181  Violations.

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

[57 FR 55076, Nov. 24, 1992]



Sec. 60.183  Criminal penalties.

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

[57 FR 55076, Nov. 24, 1992]



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




                      Subpart A_General Provisions

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

                           Subpart B_Licenses

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

[[Page 200]]

61.29 Post-closure observation and maintenance.
61.30 Transfer of license.
61.31 Termination of license.

                    Subpart C_Performance Objectives

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

      Subpart D_Technical Requirements for Land Disposal Facilities

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

                     Subpart E_Financial Assurances

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

     Subpart F_Participation by State Governments and Indian Tribes

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

           Subpart G_Records, Reports, Tests, and Inspections

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

    Authority: Secs. 53, 57, 62, 63, 65, 81, 161, 182, 183, 68 Stat. 
930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2073, 2077, 
2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88 Stat. 
1244, 1246, (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-601, 92 
Stat. 2951 (42 U.S.C. 2021a and 5851) and Pub. L. 102-486, sec. 2902, 
106 Stat. 3123, (42 U.S.C. 5851); sec. 1704, 112 Stat. 2750 (44 U.S.C. 
3504 note).
    Section 61.9 is also issued under Pub. L. 95-601, sec. 10, 92 Stat. 
2951 as amended by Pub. L. 102-486, sec. 2902, 106 Stat. 3123 (42 U.S.C. 
5851).

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



                      Subpart A_General Provisions



Sec. 61.1  Purpose and scope.

    (a) The regulations in this part establish, for land disposal of 
radioactive waste, the procedures, criteria, and terms and conditions 
upon which the Commission issues licenses for the disposal of 
radioactive wastes containing byproduct, source and special nuclear 
material received from other persons. Disposal of waste by an individual 
licensee is set forth in part 20 of this chapter. Applicability of the 
requirements in this part to Commission licenses for waste disposal 
facilities in effect on the effective date of this rule will be 
determined on a case-by-case basis and implemented through terms and 
conditions of the license or by orders issued by the Commission.
    (b) Except as provided in part 150 of this chapter, which addresses 
assumption of certain regulatory authority by Agreement States, and 
Sec. 61.6 ``Exemptions,'' the regulations in this part apply to all 
persons in the United States. The regulations in this part do not apply 
to--
    (1) Disposal of high-level waste as provided for in part 60 or 63 of 
this chapter;
    (2) Disposal of uranium or thorium tailings or wastes (byproduct 
material as defined in Sec. 40.4 (a-1) as provided for in part 40 of 
this chapter in quantities greater than 10,000 kilograms and containing 
more than 5 millicuries of radium-226; or
    (3) Disposal of licensed material as provided for in part 20 of this 
chapter.
    (c) This part also gives notice to all persons who knowingly provide 
to any licensee, applicant, contractor, or subcontractor, components, 
equipment, materials, or other goods or services,

[[Page 201]]

that relate to a licensee's or applicant's activities subject to this 
part, that they may be individually subject to NRC enforcement action 
for violation of Sec. 61.9b.

[47 FR 57463, Dec. 27, 1982, as amended at 56 FR 40690, Aug. 15, 1991; 
63 FR 1898, Jan. 13, 1998; 66 FR 55791, Nov. 2, 2001]



Sec. 61.2  Definitions.

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

[[Page 202]]

    Indian Tribe means an Indian tribe as defined in the Indian Self-
Determination and Education Assistance Act (25 U.S.C. 450).
    Intruder barrier means a sufficient depth of cover over the waste 
that inhibits contact with waste and helps to ensure that radiation 
exposures to an inadvertent intruder will meet the performance 
objectives set forth in this part, or engineered structures that provide 
equivalent protection to the inadvertent intruder.
    Land disposal facility means the land, building, 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 or 63 is not considered a land disposal facility.
    License means a license issued under the regulations in part 61 of 
this chapter. Licensee means the holder of such a license.
    Monitoring means observing and making measurements to provide data 
to evaluate the performance and characteristics of the disposal site.
    Near-surface disposal facility means a land disposal facility in 
which radioactive waste is disposed of in or within the upper 30 meters 
of the earth's surface.
    Person means (1) any individual, corporation, partnership, firm, 
association, trust, estate, public or private institution, group, 
government agency other than the Commission or the Department of Energy 
(except that the Department of Energy is considered a person within the 
meaning of the regulations in this part to the extent that its 
facilities and activities are subject to the licensing and related 
regulatory authority of the Commission pursuant to law), any State or 
any political subdivision of or any political entity within a State, any 
foreign government or nation or any political subdivision of any such 
government or nation, or other entity; and (2) any legal successor, 
representative, agent, or agency of the foregoing.
    Pyrophoric liquid means any liquid that ignites spontaneously in dry 
or moist air at or below 130[deg]F (54.5[deg]C). A pyrophoric solid is 
any solid material, other than one classed as an explosive, which under 
normal conditions is liable to cause fires through friction, retained 
heat from manufacturing or processing, or which can be ignited readily 
and when ignited burns so vigorously and persistently as to create a 
serious transportation, handling, or disposal hazard. Included are 
spontaneously combustible and water-reactive materials.
    Site closure and stablization means those actions that are taken 
upon completion of operations that prepare the disposal site for 
custodial care and that assure that the disposal site will remain stable 
and will not need ongoing active maintenance.
    State means any State, Territory, or possession of the United 
States, Puerto Rico, and the District of Columbia.
    Stability means structural stabillity.
    Surveillance means observation of the disposal site for purposes of 
visual detection of need for maintenance, custodial care, evidence of 
intrusion, and compliance with other license and regulatory 
requirements.
    Tribal Governing Body means a Tribal organization as defined in the 
Indian Self-Determination and Education Assistance Act (25 U.S.C. 450).
    Waste means those low-level radioactive wastes containing source, 
special nuclear, or byproduct material that are acceptable for disposal 
in a land disposal facility. For the purposes of this definition, low-
level radioactive waste means radioactive waste not classified as high-
level radioactive waste, transuranic waste, spent nuclear fuel, or 
byproduct material as defined in paragraphs (2), (3), and (4) of the 
definition of Byproduct material set forth in Sec. 20.1003 of this 
chapter.

[47 FR 57463, Dec. 27, 1982, as amended at 54 FR 22583, May 25, 1989; 58 
FR 33891, June 22, 1993; 66 FR 55792, Nov. 2, 2001; 72 FR 55933, Oct. 1, 
2007]



Sec. 61.3  License required.

    (a) No person may receive, possess, and dispose of radioactive waste 
containing source, special nuclear, or byproduct material at a land 
disposal facility unless authorized by a license issued by the 
Commission pursuant to this part, or unless exemption has been granted 
by the Commission under Sec. 61.6 of this part.

[[Page 203]]

    (b) Each person shall file an application with the Commission and 
obtain a license as provided in this part before commencing construction 
of a land disposal facility. Failure to comply with this requirement may 
be grounds for denial of a license.



Sec. 61.4  Communications.

    Except where otherwise specified, all communications and reports 
concerning the regulations in this part and applications filed under 
them should be sent by mail addressed: ATTN: Document Control Desk; 
Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear 
Regulatory Commission, Washington, DC 20555-0001; by hand delivery to 
the NRC's Offices at 11555 Rockville Pike, Rockville, Maryland; or, 
where practicable, by electronic submission, for example, via Electronic 
Information Exchange, or CD-ROM. Electronic submissions must be made in 
a manner that enables the NRC to receive, read, authenticate, 
distribute, and archive the submission, and process and retrieve it a 
single page at a time. Detailed guidance on making electronic 
submissions can be obtained by visiting the NRC's Web site at http://
www.nrc.gov/site-help/e-submittals.html, by calling (301) 415-0439, by 
e-mail to EIE@nrc.gov, or by writing the Office of Information Services, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The 
guidance discusses, among other topics, the formats the NRC can accept, 
the use of electronic signatures, and the treatment of nonpublic 
information.

[68 FR 58814, Oct. 10, 2003]



Sec. 61.5  Interpretations.

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



Sec. 61.6  Exemptions.

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



Sec. 61.7  Concepts.

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

[[Page 204]]

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

[[Page 205]]

    (c) The licensing process. (1) During the preoperational phase, the 
potential applicant goes through a process of disposal site selection by 
selecting a region of interest, examining a number of possible disposal 
sites within the area of interest and narrowing the choice to the 
proposed site. Through a detailed investigation of the disposal site 
characteristics the potential applicant obtains data on which to base an 
analysis of the disposal site's suitability. Along with these data and 
analyses, the applicant submits other more general information to the 
Commission in the form of an application for a license for land 
disposal. The Commission's review of the application is in accordance 
with administrative procedures established by rule and may involve 
participation by affected State governments or Indian tribes. While the 
proposed disposal site must be owned by a State or the Federal 
government before the Commission will issue a license, it may be 
privately owned during the preoperational phase if suitable arrangements 
have been made with a State or the Federal government to take ownership 
in fee of the land before the license is issued.
    (2) During the operational phase, the licensee carries out disposal 
activities in accordance with the requirements of this regulation and 
any conditions on the license. Periodically, the authority to conduct 
the above ground operations and dispose of waste will be subject to a 
license renewal, at which time the operating history will be reviewed 
and a decision made to permit or deny continued operation. When disposal 
operations are to cease, the licensee applies for an amendment to his 
license to permit site closure. After final review of the licensee's 
site closure and stabilization plan, the Commission may approve the 
final activities necessary to prepare the disposal site so that ongoing 
active maintenance of the site is not required during the period of 
institutional control.
    (3) During the period when the final site closure and stabilization 
activities are being carried out, the licensee is in a disposal site 
closure phase. Following that, for a period of 5 years, the licensee 
must remain at the disposal site for a period of post-closure 
observation and maintenance to assure that the disposal site is stable 
and ready for institutional control. The Commission may approve shorter 
or require longer periods if conditions warrant. At the end of this 
period, the licensee applies for a license transfer to the disposal site 
owner.
    (4) After a finding of satisfactory disposal site closure, the 
Commission will transfer the license to the State or Federal government 
that owns the disposal site. If the Department of Energy is the Federal 
agency administering the land on bahalf of the Federal government the 
license will be terminated because the Commission lacks regulatory 
authority over the Department for this activity. Under the conditions of 
the transferred license, the owner will carry out a program of 
monitoring to assure continued satisfactory disposal site performance, 
physical surveillance to restrict access to the site and carry out minor 
custodial activities. During this period, productive uses of the land 
might be permitted if those uses do not affect the stability of the site 
and its ability to meet the performance objectives. At the end of the 
prescribed period of institutional control, the license will be 
terminated by the Commission.

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



Sec. 61.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0135.
    (b) The approved information collection requirements contained in 
this part appear in Sec. Sec. 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,

[[Page 206]]

61.53, 61.55, 61.57, 61.58, 61.61, 61.62, 61.63, 61.72, and 61.80.

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



Sec. 61.9  Employee protection.

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

[[Page 207]]

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.
    (2) Copies of NRC Form 3 can 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, by 
calling (301) 415-5877, via e-mail to forms@nrc.gov, or by visiting the 
NRC's Web site at http://www.nrc.gov and selecting forms from the index 
found on the home page.
    (f) No agreement affecting the compensation, terms, conditions, or 
privileges of employment, including an agreement to settle a complaint 
filed by an employee with the Department of Labor pursuant to section 
211 of the Energy Reorganization Act of 1974, as amended, may contain 
any provision which would prohibit, restrict, or otherwise discourage an 
employee from participating in protected activity as defined in 
paragraph (a)(1) of this section including, but not limited to, 
providing information to the NRC or to his or her employer on potential 
violations or other matters within NRC's regulatory responsibilities.

[58 FR 52412, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61 
FR 6765, Feb. 22, 1996; 68 FR 58814, Oct. 10, 2003; 72 FR 63974, Nov. 
14, 2007]



Sec. 61.9a  Completeness and accuracy of information.

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

[52 FR 49372, Dec. 31, 1987]



Sec. 61.9b  Deliberate misconduct.

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

[[Page 208]]

    (2) Constitutes a violation of a requirement, procedure, 
instruction, contract, purchase order, or policy of a licensee, 
applicant, contractor, or subcontractor.

[63 FR 1898, Jan. 13, 1998]



                           Subpart B_Licenses



Sec. 61.10  Content of application.

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

[49 FR 9405, Mar. 12, 1984]



Sec. 61.11  General information.

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



Sec. 61.12  Specific technical information.

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

[[Page 209]]

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

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



Sec. 61.13  Technical analyses.

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

[[Page 210]]

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



Sec. 61.14  Institutional information.

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



Sec. 61.15  Financial information.

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



Sec. 61.16  Other information.

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



Sec. 61.20  Filing and distribution of application.

    (a) An application for a license under this part, and any amendments 
thereto, must be filed with the Director, must be signed by the 
applicant or the applicant's authorized representative under oath or 
affirmation, and, if the document is in paper form, must be the signed 
original.

[[Page 211]]

    (b) The applicant shall maintain the capability to generate 
additional copies of the application for distribution in accordance with 
written instructions from the Director or the Director's designee.
    (c) Fees. Application, amendment, and inspection fees applicable to 
a license covering the receipt and disposal of radioactive wastes in a 
land disposal facility are required by part 170 of this chapter.

[47 FR 57463, Dec. 27, 1982, as amended at 49 FR 9405, Mar. 12, 1984; 68 
FR 58814, Oct. 10, 2003]



Sec. 61.21  Elimination of repetition.

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

[49 FR 9405, Mar. 12, 1984]



Sec. 61.22  Updating of application.

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

[49 FR 9405, Mar. 12, 1984]



Sec. 61.23  Standards for issuance of a license.

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

[[Page 212]]

section and that the institutional control meets the requirements of 
Sec. 61.59, Institutional requirements.
    (h) The information on financial assurances meets the requirements 
of subpart E of this part.
    (i) The applicant's physical security information provides 
reasonable assurance that the requirements of part 73 of this chapter 
will be met, insofar as they are applicable to special nuclear material 
to be possessed before disposal under the license.
    (j) The applicant's criticality safety procedures are adequate to 
protect the public health and safety and provide reasonable assurance 
that the requirements of Sec. 70.24, Criticality accident requirements, 
of part 70 of this chapter will be met, insofar as they are applicable 
to special nuclear material to be possessed before disposal under the 
license.
    (k) Any additional information submitted as requested by the 
Commission pursuant to Sec. 61.16, Other information, is adequate.
    (l) The requirements of subpart A of part 51 of this chapter have 
been met.

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



Sec. 61.24  Conditions of licenses.

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

[[Page 213]]

    (i) Any licensee who receives and possesses special nuclear material 
under this part in quantities that would be subject to the requirements 
of Sec. 70.24 of part 70 of this chapter shall comply with the 
requirements of that section. The licensee shall not consider the 
quantity of special nuclear material that has been disposed of.
    (j) The authority to dispose of wastes expires on the date stated in 
the license except as provided in Sec. 61.27(a) of this part.
    (k)(1) Each licensee shall notify the appropriate NRC Regional 
Administrator, in writing, immediately following the filing of a 
voluntary or involuntary petition for bankruptcy under any Chapter of 
Title 11 (Bankruptcy) of the United States Code by or against:
    (i) The licensee;
    (ii) An entity (as that term is defined in 11 U.S.C. 101(14)) 
controlling the licensee or listing the license or licensee as property 
of the estate; or
    (iii) An affiliate (as that term is defined in 11 U.S.C. 101(2)) of 
the licensee.
    (2) This notification must indicate:
    (i) The bankruptcy court in which the petition for bankruptcy was 
filed; and
    (ii) The date of the filing of the petition.

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



Sec. 61.25  Changes.

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



Sec. 61.26  Amendment of license.

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



Sec. 61.27  Application for renewal or closure.

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

[[Page 214]]

Commission has taken final action on the application for renewal.
    (d) In determining whether a license will be renewed, the Commission 
will apply the criteria set forth in Sec. 61.23.



Sec. 61.28  Contents of application for closure.

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

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



Sec. 61.29  Post-closure observation and maintenance.

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



Sec. 61.30  Transfer of license.

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

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



Sec. 61.31  Termination of license.

    (a) Following any period of institutional control needed to meet the 
requirements found necessary under Sec. 61.23, the licensee may apply 
for an amendment to terminate the license.

[[Page 215]]

    (b) This application must be filed, and will be reviewed, in 
accordance with the provision of Sec. 61.20 and of this section.
    (c) A license is terminated only when the Commission finds:
    (1) That the institutional control requirements found necessary 
under Sec. 61.23(g) have been met; and
    (2) That any additional requirements resulting from new information 
developed during the institutional control period have been met, and 
that permanent monuments or markers warning against intrusion have been 
installed.
    (3) That the records required by Sec. 61.80 (e) and (f) have been 
sent to the party responsible for institutional control of the disposal 
site and a copy has been sent to the Commission immediately prior to 
license termination.

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



                    Subpart C_Performance Objectives



Sec. 61.40  General requirement.

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



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

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



Sec. 61.42  Protection of individuals from inadvertent intrusion.

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



Sec. 61.43  Protection of individuals during operations.

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



Sec. 61.44  Stability of the disposal site after closure.

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



      Subpart D_Technical Requirements for Land Disposal Facilities



Sec. 61.50  Disposal site suitability requirements for land disposal.

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

[[Page 216]]

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



Sec. 61.51  Disposal site design for land disposal.

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

[[Page 217]]



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

    (a) Near-surface disposal facility operation and disposal site 
closure. (1) Wastes designated as Class A pursuant to Sec. 61.55, must 
be segregated from other wastes by placing in disposal units which are 
sufficiently separated from disposal units for the other waste classes 
so that any interaction between Class A wastes and other wastes will not 
result in the failure to meet the performance objectives in subpart C of 
this Part. This segregation is not necessary for Class A wastes if they 
meet the stability requirements in Sec. 61.56(b) of this part.
    (2) Wastes designated as Class C pursuant to Sec. 61.55, must be 
disposed of so that the top of the waste is a minimum of 5 meters below 
the top surface of the cover or must be disposed of with intruder 
barriers that are designed to protect against an inadvertent intrusion 
for a least 500 years.
    (3) All wastes shall be disposed of in accordance with the 
requirements of paragraphs (a) (4) through (11) of this section.
    (4) Wastes must be emplaced in a manner that maintains the package 
integrity during emplacement, minimizes the void spaces between 
packages, and permits the void spaces to be filled.
    (5) Void spaces between waste packages must be filled with earth or 
other material to reduce future subsidence within the fill.
    (6) Waste must be placed and covered in a manner that limits the 
radiation dose rate at the surface of the cover to levels that at a 
minimum will permit the licensee to comply with all provisions of 
Sec. Sec. 20.1301 and 20.1302 of this chapter at the time the license 
is transferred pursuant to Sec. 61.30 of this part.
    (7) The boundaries and locations of each disposal unit (e.g., 
trenches) must be accurately located and mapped by means of a land 
survey. Near-surface disposal units must be marked in such a way that 
the boundaries of each unit can be easily defined. Three permanent 
survey marker control points, referenced to United States Geological 
Survey (USGS) or National Geodetic Survey (NGS) survey control stations, 
must be established on the site to facilitate surveys. The USGS or NGS 
control stations must provide horizontal and vertical controls as 
checked against USGS or NGS record files.
    (8) A buffer zone of land must be maintained between any buried 
waste and the disposal site boundary and beneath the disposed waste. The 
buffer zone shall be of adequate dimensions to carry out environmental 
monitoring activities specified in Sec. 61.53(d) of this part and take 
mitigative measures if needed.
    (9) Closure and stabilization measures as set forth in the approved 
site closure plan must be carried out as each disposal unit (e.g., each 
trench) is filled and covered.
    (10) Active waste disposal operations must not have an adverse 
effect on completed closure and stabilization measures.
    (11) Only wastes containing or contaminated with radioactive 
materials shall be disposed of at the disposal site.
    (b) Facility operation and disposal site closure for land disposal 
facilities other than near-surface (reserved).

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



Sec. 61.53  Environmental monitoring.

    (a) At the time a license application is submitted, the applicant 
shall have conducted a preoperational monitoring program to provide 
basic environmental data on the disposal site characteristics. The 
applicant shall obtain information about the ecology, meteorology, 
climate, hydrology, geology, geochemistry, and seismology of the 
disposal site. For those characteristics that are subject to seasonal 
variation, data must cover at least a twelve month period.
    (b) The licensee must have plans for taking corrective measures if 
migration of radionuclides would indicate that the performance 
objectives of subpart C may not be met.
    (c) During the land disposal facility site construction and 
operation, the licensee shall maintain a monitoring program. 
Measurements and observations must be made and recorded to provide data 
to evaluate the potential

[[Page 218]]

health and environmental impacts during both the construction and the 
operation of the facility and to enable the evaluation of long-term 
effects and the need for mitigative measures. The monitoring system must 
be capable of providing early warning of releases of radionuclides from 
the disposal site before they leave the site boundary.
    (d) After the disposal site is closed, the licensee responsible for 
post-operational surveillance of the disposal site shall maintain a 
monitoring system based on the operating history and the closure and 
stabilization of the disposal site. The monitoring system must be 
capable of providing early warning of releases of radionuclides from the 
disposal site before they leave the site boundary.



Sec. 61.54  Alternative requirements for design and operations.

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



Sec. 61.55  Waste classification.

    (a) Classification of waste for near surface disposal. (1) 
Considerations. Determination of the classification of radioactive waste 
involves two considerations. First, consideration must be given to the 
concentration of long-lived radionuclides (and their shorter-lived 
precursors) whose potential hazard will persist long after such 
precautions as institutional controls, improved waste form, and deeper 
disposal have ceased to be effective. These precautions delay the time 
when long-lived radionuclides could cause exposures. In addition, the 
magnitude of the potential dose is limited by the concentration and 
availability of the radionuclide at the time of exposure. Second, 
consideration must be given to the concentration of shorter-lived 
radionuclides for which requirements on institutional controls, waste 
form, and disposal methods are effective.
    (2) Classes of waste. (i) Class A waste is waste that is usually 
segregated from other waste classes at the disposal site. The physical 
form and characteristics of Class A waste must meet the minimum 
requirements set forth in Sec. 61.56(a). If Class A waste also meets 
the stability requirements set forth in Sec. 61.56(b), it is not 
necessary to segregate the waste for disposal.
    (ii) Class B waste is waste that must meet more rigorous 
requirements on waste form to ensure stability after disposal. The 
physical form and characteristics of Class B waste must meet both the 
minimum and stability requirements set forth in Sec. 61.56.
    (iii) Class C waste is waste that not only must meet more rigorous 
requirements on waste form to ensure stability but also requires 
additional measures at the disposal facility to protect against 
inadvertent intrusion. The physical form and characteristics of Class C 
waste must meet both the minimum and stability requirements set forth in 
Sec. 61.56.
    (iv) Waste that is not generally acceptable for near-surface 
disposal is waste for which form and disposal methods must be different, 
and in general more stringent, than those specified for Class C waste. 
In the absence of specific requirements in this part, such waste must be 
disposed of in a geologic repository as defined in part 60 or 63 of this 
chapter unless proposals for disposal of such waste in a disposal site 
licensed pursuant to this part are approved by the Commission.
    (3) Classification determined by long-lived radionuclides. If 
radioactive waste contains only radionuclides listed in Table 1, 
classification shall be determined as follows:
    (i) If the concentration does not exceed 0.1 times the value in 
Table 1, the waste is Class A.
    (ii) If the concentration exceeds 0.1 times the value in Table 1 but 
does not exceed the value in Table 1, the waste is Class C.
    (iii) If the concentration exceeds the value in Table 1, the waste 
is not generally acceptable for near-surface disposal.
    (iv) For wastes containing mixtures of radionuclides listed in Table 
1, the

[[Page 219]]

total concentration shall be determined by the sum of fractions rule 
described in paragraph (a)(7) of this section.

                                 Table 1
------------------------------------------------------------------------
                                                           Concentration
                       Radionuclide                          curies per
                                                            cubic meter
------------------------------------------------------------------------
C-14.....................................................           8
C-14 in activated metal..................................          80
Ni-59 in activated metal.................................         220
Nb-94 in activated metal.................................           0.2
Tc-99....................................................           3
I-129....................................................           0.08
Alpha emitting transuranic nuclides with half-life            \1\ 100
 greater than 5 years....................................
Pu-241...................................................   \1\ 3,500
Cm-242...................................................  \1\ 20,000
------------------------------------------------------------------------
\1\ Units are nanocuries per gram.

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

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

    (5) Classification determined by both long- and short-lived 
radionuclides. If radioactive waste contains a mixture of radionuclides, 
some of which are listed in Table 1, and some of which are listed in 
Table 2, classification shall be determined as follows:
    (i) If the concentration of a nuclide listed in Table 1 does not 
exceed 0.1 times the value listed in Table 1, the class shall be that 
determined by the concentration of nuclides listed in Table 2.
    (ii) If the concentration of a nuclide listed in Table 1 exceeds 0.1 
times the value listed in Table 1 but does not exceed the value in Table 
1, the waste shall be Class C, provided the concentration of nuclides 
listed in Table 2 does not exceed the value shown in Column 3 of Table 
2.
    (6) Classification of wastes with radionuclides other than those 
listed in Tables 1 and 2. If radioactive waste does not contain any 
nuclides listed in either Table 1 or 2, it is Class A.
    (7) The sum of the fractions rule for mixtures of radionuclides. For 
determining classification for waste that contains a mixture of 
radionuclides, it is necessary to determine the sum of fractions by 
dividing each nuclide's concentration by the appropriate limit and 
adding the resulting values. The appropriate limits must all be taken 
from the same column of the same table. The sum of the fractions for the 
column must be less than 1.0 if the waste class is to be determined by 
that column. Example: A waste contains Sr-90 in a concentration of 50 
Ci/m\3\ and Cs-137 in a concentration of 22 Ci/m\3\. Since the 
concentrations both exceed the values in Column 1, Table 2, they

[[Page 220]]

must be compared to Column 2 values. For Sr-90 fraction 50/150=0.33; for 
Cs-137 fraction, 22/44=0.5; the sum of the fractions=0.83. Since the sum 
is less than 1.0, the waste is Class B.
    (8) Determination of concentrations in wastes. The concentration of 
a radionuclide may be determined by indirect methods such as use of 
scaling factors which relate the inferred concentration of one 
radionuclide to another that is measured, or radionuclide material 
accountability, if there is reasonable assurance that the indirect 
methods can be correlated with actual measurements. The concentration of 
a radionuclide may be averaged over the volume of the waste, or weight 
of the waste if the units are expressed as nanocuries per gram.

[47 FR 57463, Dec. 27, 1982, as amended at 54 FR 22583, May 25, 1989; 66 
FR 55792, Nov. 2, 2001]



Sec. 61.56  Waste characteristics.

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

[[Page 221]]



Sec. 61.57  Labeling.

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



Sec. 61.58  Alternative requirements for waste classification and characteristics.

    The Commission may, upon request or on its own initiative, authorize 
other provisions for the classification and characteristics of waste on 
a specific basis, if, after evaluation, of the specific characteristics 
of the waste, disposal site, and method of disposal, it finds reasonable 
assurance of compliance with the performance objectives in subpart C of 
this part.



Sec. 61.59  Institutional requirements.

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



                     Subpart E_Financial Assurances



Sec. 61.61  Applicant qualifications and assurances.

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



Sec. 61.62  Funding for disposal site closure and stabilization.

    (a) The applicant shall provide assurance that sufficient funds will 
be available to carry out disposal site closure and stabilization, 
including: (1) Decontamination or dismantlement of land disposal 
facility structures; and (2) closure and stabilization of the disposal 
site so that following transfer of the disposal site to the site owner, 
the need for ongoing active maintenance is eliminated to the extent 
practicable and only minor custodial care, surveillance, and monitoring 
are required. These assurances shall be based on Commission-approved 
cost estimates reflecting the Commission-approved plan for disposal site 
closure and stabilization. The applicant's cost estimates must take into 
account total capital costs that would be incurred if an independent 
contractor were hired to perform the closure and stabilization work.
    (b) In order to avoid unnecessary duplication and expense, the 
Commission will accept financial sureties that have been consolidated 
with earmarked financial or surety arrangements established to meet 
requirements of other Federal or State agencies and/or local governing 
bodies for such decontamination, closure and stabilization. The 
Commission will accept this arrangement only if they are considered 
adequate to satisfy these requirements and that the portion of the 
surety which covers the closure of the disposal site is clearly 
identified and committed for use in accomplishing these activities.
    (c) The licensee's surety mechanism will be annually reviewed by the 
Commission to assure that sufficient funds are available for completion 
of the closure plan, assuming that the work has to be performed by an 
independent contractor.
    (d) The amount of surety liability should change in accordance with 
the predicted cost of future closure and stabilization. Factors 
affecting closure and stabilization cost estimates include: inflation; 
increases in the amount of disturbed land; changes in

[[Page 222]]

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



Sec. 61.63  Financial assurances for institutional controls.

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



     Subpart F_Participation by State Governments and Indian Tribes



Sec. 61.70  Scope.

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



Sec. 61.71  State and Tribal government consultation.

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

[[Page 223]]

to consult and cooperate with the State or tribal governing body in 
developing proposals for participation in the license review.



Sec. 61.72  Filing of proposals for State and Tribal participation.

    (a) A State or tribal governing body whose interest is affected by a 
near-surface disposal facility at the proposed site may submit to the 
Director a proposal for participation in the review of a license 
application. Proposals must be submitted within the following time 
periods:
    (1) For the State in which the disposal facility will be located, or 
any State that is member of an interstate compact that includes the 
State in which the disposal facility is located, no later than 45 days 
following publication in the Federal Register of the notice of tendering 
of an application submitted under Sec. 61.20.
    (2) For any other State, or for a tribal governing body, no later 
than 120 days following publication in the Federal Register of the 
notice of tendering of an application submitted under Sec. 61.20.
    (b) Proposals for participation in the licensing process must be 
made in writing and must be signed by the Governor of the State or the 
official otherwise provided for by State or tribal law.
    (c) At a minimum, proposals must contain each of the following items 
of information:
    (1) A general description of how the State or tribe wishes to 
participate in the licensing process specifically identifying those 
issues it wishes to review.
    (2) A description of material and information which the State or 
tribe plans to submit to the Commission for consideration in the 
licensing process. A tentative schedule referencing steps in the review 
and calendar dates for planned submittals should be included.
    (3) A description of any work that the State or tribe proposes to 
perform for the Commission in support of the licensing process.
    (4) A description of State or tribal plans to facilitate local 
government and citizen participation.
    (5) A preliminary estimate of the types and extent of impacts which 
the State expects, should a disposal facility be located as proposed.
    (6) If desired, any requests for educational or information services 
(seminars, public meetings) or other actions from the Commission such as 
establishment of additional Public Document Rooms or exchange of State 
personnel under the Intergovernmental Personnel Act.



Sec. 61.73  Commission approval of proposals.

    (a) Upon receipt of a proposal submitted in accordance with Sec. 
61.72, the Director shall arrange for a meeting between the 
representatives of the State or tribal governing body and the Commission 
staff to discuss the proposal and to ensure full and effective 
participation by the State or tribe in the Commission's license review.
    (b) If requested by a State or tribal governing body, the Director 
may approve all or any part of a proposal if the Director determines 
that:
    (1) The proposed activities are within the scope of Commission 
statutory responsibility and the type and magnitude of impacts which the 
State or tribe may bear are sufficient to justify their participation; 
and
    (2) The proposed activities will contribute productively to the 
licensing review.
    (c) The decision of the Director will be transmitted in writing to 
the governor or the designated official of the tribal governing body.
    (d) Participation by a State or Indian tribe shall not affect their 
rights to participate in an adjudicatory hearing as provided by part 2 
of this chapter.



           Subpart G_Records, Reports, Tests, and Inspections



Sec. 61.80  Maintenance of records, reports, and transfers.

    (a) Each licensee shall maintain any records and make any reports in 
connection with the licensed activities as may be required by the 
conditions of the license or by the rules, regulations, and orders of 
the Commission.
    (b) Records which are required by the regulations in this part or by 
license conditions must be maintained for a

[[Page 224]]

period specified by the appropriate regulations in this chapter or by 
license condition. If a retention period is not otherwise specified, 
these records must be maintained and transferred to the officials 
specified in paragraph (e) of this section as a condition of license 
termination unless the Commission otherwise authorizes their 
disposition.
    (c) Records which must be maintained pursuant to this part may be 
the original or a reproduced copy or a microform if this reproduced copy 
or microform is capable of producing copy that is clear and legible at 
the end of the required retention period. The record may also be stored 
in electronic media with the capability for producing legible, accurate, 
and complete records during the required retention period. Records such 
as letters, drawings, specifications, must include all pertinent 
information such as stamps, initials, and signatures. The licensee shall 
maintain adequate safeguards against tampering with and loss of records.
    (d) If there is a conflict between the Commission's regulations in 
this part, license condition, or other written Commission approval or 
authorization pertaining to the retention period for the same type of 
record, the longest retention period specified takes precedence.
    (e) Notwithstanding paragraphs (a) through (d) of this section, the 
licensee shall record the location and the quantity of radioactive 
wastes contained in the disposal site and transfer these records upon 
license termination to the chief executive of the nearest municipality, 
the chief executive of the county in which the facility is located, the 
county zoning board or land development and planning agency, the State 
governor and other State, local, and Federal governmental agencies as 
designated by the Commission at the time of license termination.
    (f) Following receipt and acceptance of a shipment of radioactive 
waste, the licensee shall record the date that the shipment is received 
at the disposal facility, the date of disposal of the waste, a traceable 
shipment manifest number, a description of any engineered barrier or 
structural overpack provided for disposal of the waste, the location of 
disposal at the disposal site, the containment integrity of the waste 
disposal containers as received, any discrepancies between materials 
listed on the manifest and those received, the volume of any pallets, 
bracing, or other shipping or onsite generated materials that are 
contaminated, and are disposed of as contaminated or suspect materials, 
and any evidence of leaking or damaged disposal containers or radiation 
or contamination levels in excess of limits specified in Department of 
Transportation and Commission regulations. The licensee shall briefly 
describe any repackaging operations of any of the disposal containers 
included in the shipment, plus any other information required by the 
Commission as a license condition. The licensee shall retain these 
records until the Commission transfers or terminates the license that 
authorizes the activities described in this section.
    (g) Each licensee shall comply with the safeguards reporting 
requirements of Sec. Sec. 30.55, 40.64, 74.13, and 74.15 of this 
chapter if the quantities or activities of materials received or 
transferred exceed the limits of these sections. Inventory reports 
required by these sections are not required for materials after 
disposal.
    (h) Each licensee authorized to dispose of radioactive waste 
received from other persons shall file a copy of its financial report or 
a certified financial statement annually with the Commission in order to 
update the information base for determining financial qualifications.
    (i)(1) Each licensee authorized to dispose of waste materials 
received from other persons under this part shall submit annual reports 
to the Director of the Division of Waste Management in the NRC's Office 
of Nuclear Material Safety and Safeguards, by an appropriate method 
listed in Sec. 60.4, with a copy to the appropriate NRC Regional Office 
shown in appendix D to part 20 of this chapter. Reports must be 
submitted by the end of the first calendar quarter of each year for the 
preceding year.
    (2) The reports shall include (i) specification of the quantity of 
each of the

[[Page 225]]

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 maintenance performed are significantly different 
from those expected in the materials previously reviewed as part of the 
licensing action, the report must cover this specifically.
    (j) Each licensee shall report in accordance with the requirements 
of Sec. 70.52 of this chapter.
    (k) Any transfer of byproduct, source, and special nuclear materials 
by the licensee is subject to the requirements in Sec. Sec. 30.41, 
40.51, and 70.42 of this chapter. Byproduct, source and special nuclear 
material means materials as defined in these parts, respectively.
    (l) In addition to the other requirements of this section, the 
licensee shall store, or have stored, manifest and other information 
pertaining to receipt and disposal of radioactive waste in an electronic 
recordkeeping system.
    (1) The manifest information that must be electronically stored is--
    (i) That required in 10 CFR part 20, appendix G, with the exception 
of shipper and carrier telephone numbers and shipper and consignee 
certifications; and
    (ii) That information required in paragraph (f) of this section.
    (2) As specified in facility license conditions, the licensee shall 
report the stored information, or subsets of this information, on a 
computer-readable medium.

[47 FR 57463, Dec. 27, 1982, as amended at 52 FR 31612, Aug. 21, 1987; 
53 FR 19251, May 27, 1988; 58 FR 33891, June 22, 1993; 60 FR 15666, Mar. 
27, 1995; 67 FR 78141, Dec. 23, 2002; 68 FR 58814, Oct. 10, 2003]



Sec. 61.81  Tests at land disposal facilities.

    (a) Each licensee shall perform, or permit the Commission to 
perform, any tests as the Commission deems appropriate or necessary for 
the administration of the regulations in this part, including tests of:
    (1) Radioactive wastes and facilities used for the receipt, storage, 
treatment, handling and disposal of radioactive wastes.
    (2) Radiation detection and monitoring instruments; and
    (3) Other equipment and devices used in connection with the receipt, 
possession, handling, treatment, storage, or disposal of radioactive 
waste.



Sec. 61.82  Commission inspections of land disposal facilities.

    (a) Each licensee shall afford to the Commission at all reasonable 
times opportunity to inspect radioactive waste not yet disposed of, and 
the premises, equipment, operations, and facilities in which radioactive 
wastes are received, possessed, handled, treated, stored, or disposed 
of.
    (b) Each licensee shall make available to the Commission for 
inspection, upon reasonable notice, records kept by it pursuant to the 
regulations in this chapter. Authorized representatives of the 
Commission may copy and take away copies of, for the Commission's use, 
any record required to be kept pursuant to this part.



Sec. 61.83  Violations.

    (a) The Commission may obtain an injunction or other court order to 
prevent a violation of the provisions of--
    (1) The Atomic Energy Act of 1954, as amended;
    (2) Title II of the Energy Reorganization Act of 1974, as amended; 
or
    (3) A regulation or order issued pursuant to those Acts.
    (b) The Commission may obtain a court order for the payment of a 
civil penalty imposed under section 234 of the Atomic Energy Act:
    (1) For violations of--
    (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of 
the Atomic Energy Act of 1954, as amended;
    (ii) Section 206 of the Energy Reorganization Act;

[[Page 226]]

    (iii) Any rule, regulation, or order issued pursuant to the sections 
specified in paragraph (b)(1)(i) of this section;
    (iv) Any term, condition, or limitation of any license issued under 
the sections specified in paragraph (b)(1)(i) of this section.
    (2) For any violation for which a license may be revoked under 
section 186 of the Atomic Energy Act of 1954, as amended.

[57 FR 55077, Nov. 24, 1992]



Sec. 61.84  Criminal penalties.

    (a) Section 223 of the Atomic Energy Act of 1954, as amended, 
provides for criminal sanctions for willful violation of, attempted 
violation of, or conspiracy to violate, any regulation issued under 
sections 161b, 161i, or 161o of the Act. For purposes of section 223, 
all the regulations in part 61 are issued under one or more of sections 
161b, 161i, or 161o, except for the sections listed in paragraph (b) of 
this section.
    (b) The regulations in part 61 that are not issued under sections 
161b, 161i, or 161o for the purposes of Section 223 are as follows: 
Sec. Sec. 61.1, 61.2, 61.4, 61.5, 61.6, 61.7, 61.8, 61.10, 61.11, 
61.12, 61.13, 61.14, 61.15, 61.16, 61.20, 61.21, 61.22, 61.23, 61.26, 
61.30, 61.31, 61.50, 61.51, 61.54, 61.55, 61.58, 61.59, 61.61, 61.63, 
61.70, 61.71, 61.72, 61.73, 61.83, and 61.84.

[57 FR 55077, Nov. 24, 1992]



PART 62_CRITERIA AND PROCEDURES FOR EMERGENCY ACCESS TO NON-FEDERAL AND REGIONAL LOW-LEVEL WASTE DISPOSAL FACILITIES--Table of Contents




                      Subpart A_General Provisions

Sec.
62.1 Purpose and scope.
62.2 Definitions.
62.3 Communications.
62.4 Interpretations.
62.5 Specific exemptions.
62.8 Information collection requirements: OMB approval.

            Subpart B_Request for a Commission Determination

62.11 Filing and distribution of a determination request.
62.12 Contents of a request for emergency access: General information.
62.13 Contents of a request for emergency access: Alternatives.
62.14 Contents of a request for an extension of emergency access.
62.15 Additional information.
62.16 Withdrawal of a determination request.
62.17 Elimination of repetition.
62.18 Denial of request.

            Subpart C_Issuance of a Commission Determination

62.21 Determination for granting emergency access.
62.22 Notice of issuance of a determination.
62.23 Determination for granting temporary emergency access.
62.24 Extension of emergency access.
62.25 Criteria for a Commission determination.
62.26 Criteria for designating a disposal facility.

                Subpart D_Termination of Emergency Access

62.31 Termination of emergency access.

    Authority: Secs. 81, 161, as amended, 68 Stat. 935, 948, 950, 951, 
as amended (42 U.S.C. 211, 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; sec. 1704, 
112 Stat. 2750 (44 U.S.C. 3504 note); sec. 651(e), Pub. L. 109-58, 119 
Stat. 806-810 (42 U.S.C. 2014, 2021, 2021b, 2111).

    Source: 54 FR 5420, Feb. 3, 1989, unless other noted.



                      Subpart A_General Provisions



Sec. 62.1  Purpose and scope.

    (a) The regulations in this part establish for specific low-level 
radioactive waste:
    (1) Criteria and procedures for granting emergency access under 
section 6 of the Low-Level Radioactive Waste Policy Amendments Act of 
1985 (42 U.S.C. 2021) to any non-Federal or regional low-level 
radioactive waste (LLW) disposal facility or to any non-Federal disposal 
facility within a State that is not a member of a Compact, and
    (2) The terms and conditions upon which the Commission will grant 
this emergency access.

[[Page 227]]

    (b) The regulations in this part apply to all persons as defined by 
this regulation, who have been denied access to existing regional or 
non-Federal low-level radioactive waste disposal facilities and who 
submit a request to the Commission for a determination pursuant to this 
part.
    (c) The regulations in this part apply only to the LLW that the 
States have the responsibility to dispose of pursuant to section 3(1)(a) 
of the Act.



Sec. 62.2  Definitions.

    As used in this part:
    Act means the Low-Level Radioactive Waste Policy Amendments Act of 
1985 (Pub. L. 99-240).
    Agreement State means a State that--
    (1) Has entered into an agreement with the Nuclear Regulatory 
Commission under section 274 of the Atomic Energy Act of 1954 (42 U.S.C. 
2021); and
    (2) Has authority to regulate the disposal of low-level radioactive 
waste under such agreement.
    Commission means the Nuclear Regulatory Commission or its duly 
authorized representatives.
    Compact means a Compact entered into by two or more States pursuant 
to the Low-Level Radioactive Waste Policy Amendments Act of 1985.
    Compact Commission means the regional commission, committee, or 
board established in a Compact to administer such Compact.
    Disposal means the permanent isolation of low-level radioactive 
waste pursuant to the requirements established by the Nuclear Regulatory 
Commission under applicable laws, or by an Agreement State if such 
isolation occurs in this Agreement State.
    Emergency access means access to an operating non-Federal or 
regional low-level radioactive waste disposal facility or facilities for 
a period not to exceed 180 days, which is granted by NRC to a generator 
of low-level radioactive waste who has been denied the use of those 
facilities.
    Extension of emergency access means an extension of the access that 
had been previously granted by NRC to an operating non-Federal or 
regional low-level radioactive waste disposal facility or facilities for 
a period not to exceed 180 days.
    Low-level radioactive waste (LLW) means radioactive material that--
    (1) Is not high-level radioactive waste, spent nuclear fuel, or 
byproduct material (as defined in paragraphs (2), (3), and (4) of the 
definition of Byproduct Material set forth in Sec. 20.1003 of this 
chapter); and
    (2) The NRC, consistent with existing law and in accordance with 
paragraph (1) of this definition, classifies as low-level radioactive 
waste.
    Non-Federal disposal facility means a low-level radioactive waste 
disposal facility that is commercially operated or is operated by a 
State.
    Person means any individual, corporation, partnership, firm, 
association, trust, State, public or private institution, group or 
agency who is an NRC or NRC Agreement State licensed generator of low-
level radioactive waste within the scope of Sec. 62.1(c) of this part; 
any Governor (or for any State without a Governor, the chief executive 
officer of the State) on behalf of any NRC or NRC Agreement State 
licensed generator or generators of low-level radioactive waste within 
the scope of Sec. 62.1(c) of this part located in his or her State; or 
their duly authorized representative, legal successor, or agent.
    Regional disposal facility means a non-Federal low-level radioactive 
waste disposal facility in operation on January 1, 1985, or subsequently 
established and operated under a compact.
    State means any State of the United States, the District of 
Columbia, and the Commonwealth of Puerto Rico.
    Temporary emergency access means access that is granted at NRC's 
discretion under Sec. 62.23 of this part upon determining that access 
is necessary to eliminate an immediate and serious threat to the public 
health and safety or the common defense and security. Such access 
expires 45 days after the granting and cannot be extended.

[54 FR 5420, Feb. 3, 1989, as amended at 72 FR 55933, Oct. 1, 2007]



Sec. 62.3  Communications.

    Except where otherwise specified, all communications and reports 
concerning the regulations in this part and applications filed under 
them should be

[[Page 228]]

sent by mail addressed: ATTN: Document Control Desk, Director, Office of 
Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory 
Commission, Washington, DC 20555-0001; by hand delivery to the NRC's 
offices at 11555 Rockville Pike, Rockville, Maryland; or, where 
practicable, by electronic submission, for example, via Electronic 
Information Exchange, or CD-ROM. Electronic submissions must be made in 
a manner that enables the NRC to receive, read, authenticate, 
distribute, and archive the submission, and process and retrieve it a 
single page at a time. Detailed guidance on making electronic 
submissions can be obtained by visiting the NRC's Web site at http://
www.nrc.gov/site-help/e-submittals.html, by calling (301) 415-0439, by 
e-mail to EIE@nrc.gov, or by writing the Office of Information Services, 
U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The 
guidance discusses, among other topics, the formats the NRC can accept, 
the use of electronic signatures, and the treatment of nonpublic 
information.

[68 FR 58814, Oct. 10, 2003]



Sec. 62.4  Interpretations.

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



Sec. 62.5  Specific exemptions.

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



Sec. 62.8  Information collection requirements: OMB approval.

    (a) The Nuclear Regulatory Commission has submitted the information 
collection requirements contained in this part to the Office of 
Management and Budget (OMB) for approval as required by the Paperwork 
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or 
sponsor, and a person is not required to respond to, a collection of 
information unless it displays a currently valid OMB control number. OMB 
has approved the information collection requirements contained in this 
part under control number 3150-0143.
    (b) The approved information collection requirements contained in 
this part appear in Sec. Sec. 62.11, 62.12, 62.13, 62.14, and 62.15.

[54 FR 5420, Feb. 3, 1989, as amended at 62 FR 52188, Oct. 6, 1997]



            Subpart B_Request for a Commission Determination



Sec. 62.11  Filing and distribution of a determination request.

    (a) The person submitting a request for a Commission determination 
shall file a signed original of the request with the Commission at the 
address specified in Sec. 62.3 of this part, with a copy also provided 
to the appropriate Regional Administrator at the address specified in 
appendix D to part 20 of this chapter. The request must be signed by the 
person requesting the determination or the person's authorized 
representative under oath or affirmation.
    (b) Upon receipt of a request for a determination, the Secretary of 
the Commission shall publish a notice acknowledging receipt of the 
request in the Federal Register. The notice must require that public 
comment on the request be submitted within 10 days of the publication 
date of the notice. A copy of the request will be made available for 
inspection or copying at the NRC Web site, http://www.nrc.gov, and/or at 
the NRC Public Document Room. The Secretary of the Commission shall also 
transmit a copy of the request to the U.S. Department of Energy, to the 
Governors of the States of the Compact region where the waste is 
generated, to the Governors of the States with operating non-Federal 
low-level radioactive waste disposal facilities, to the Compact 
Commissions with operating regional low-level radioactive waste disposal 
facilities, and to the Governors of the States in the Compact 
Commissions with operating disposal facilities.

[[Page 229]]

    (c) Upon receipt of a request for a determination based on a serious 
and immediate threat to the common defense and security, the Commission 
will notify DOD and/or DOE and provide a copy of the request as needed 
for their consideration.
    (d) Fees applicable to a request for a Commission determination 
under this part will be determined in accordance with the procedures set 
forth for special projects under category 12 of Sec. 170.31 of this 
chapter.
    (e) In the event that the allocations or limitations established in 
section 5(b) or 6(h) of the Act are met at all operating non-Federal or 
regional LLW disposal facilities, the Commission may suspend the 
processing or acceptance of requests for emergency access determinations 
until additional LLW disposal capacity is authorized by Congress.

[54 FR 5420, Feb. 3, 1989, as amended at 64 FR 48954, Sept. 9, 1999; 68 
FR 58814, Oct. 10, 2003]



Sec. 62.12  Contents of a request for emergency access: General information.

    A request for a Commission determination under this part must 
include the following information for each generator to which the 
request applies:
    (a) Name and address of the person making the request;
    (b) Name and address of the person(s) or company(ies) generating the 
low-level radioactive waste for which the determination is sought;
    (c) A statement indicating whether the generator is basing the 
request on the grounds of a serious and immediate threat to the public 
health and safety or the common defense and security;
    (d) Certification that the radioactive waste for which emergency 
access is requested is low-level radioactive waste within Sec. 62.1(c) 
of this part;
    (e) The low-level waste generation facility(ies) producing the waste 
for which the request is being made;
    (f) A description of the activity that generated the waste;
    (g) Name of the disposal facility or facilities which had been 
receiving the waste stream of concern before the generator was denied 
access;
    (h) A description of the low-level radioactive waste for which 
emergency access is requested, including--
    (1) The characteristics and composition of the waste, including, but 
not limited to--
    (i) Type of waste (e.g. solidified oil, scintillation fluid, failed 
equipment);
    (ii) Principal chemical composition;
    (iii) Physical state (solid, liquid, gas);
    (iv) Type of solidification media; and
    (v) Concentrations and percentages of any hazardous or toxic 
chemicals, chelating agents, or infectious or biological agents 
associated with the waste;
    (2) The radiological characteristics of the waste such as--
    (i) The classification of the waste in accordance with 61.55;
    (ii) A list of the radionuclides present or potentially present in 
the waste, their concentration or contamination levels, and total 
quantity;
    (iii) Distribution of the radionuclides within the waste (surface or 
volume distribution);
    (iv) Amount of transuranics (nanocuries/gram);
    (3) The minimum volume of the waste requiring emergency access to 
eliminate the threat to the public health and safety or the common 
defense and security;
    (4) The time duration for which emergency access is requested (not 
to exceed 180 days);
    (5) Type of disposal container or packaging (55 gallon drum, box, 
liner, etc.); and
    (6) Description of the volume reduction and waste minimization 
techniques applied to the waste which assure that it is reduced to the 
maximum extent practicable, and the actual reduction in volume that 
occurred;
    (i) Basis for requesting the determination set out in this part, 
including--
    (1) The circumstances that led to the denial of access to existing 
low-level radioactive waste disposal facilities;
    (2) A description of the situation that is responsible for creating 
the serious and immediate threat to the public health and safety or the 
common defense and security, including the date when the need for 
emergency access was identified;

[[Page 230]]

    (3) A chronology and description of the actions taken by the person 
requesting emergency access to prevent the need for making such a 
request, including consideration of all alternatives set forth in Sec. 
62.13 of this part, and any supporting documentation as appropriate;
    (4) An explanation of the impacts of the waste on the public health 
and safety or the common defense and security if emergency access is not 
granted, and the basis for concluding that these impacts constitute a 
serious and immediate threat to the public health and safety or the 
common defense and security. The impacts to the public health and safety 
or the common defense and security should also be addressed if the 
generator's services, including research activities, were to be 
curtailed, either for a limited period of time or indefinitely;
    (5) Other consequences if emergency access is not granted;
    (j) Steps taken by the person requesting emergency access to correct 
the situation requiring emergency access and the person's plans to 
eliminate the need for additional or future emergency access requests;
    (k) Documentation certifying that access has been denied;
    (l) Documentation that the waste for which emergency access is 
requested could not otherwise qualify for disposal pursuant to the 
Unusual Volumes provision (Section 5(c)(5) of the Act) or is not 
simultaneously under consideration by the Department of Energy (DOE) for 
access through the Unusual Volumes allocation;
    (m) Date by which access is required;
    (n) Any other information which the Commission should consider in 
making its determination.



Sec. 62.13  Contents of a request for emergency access: Alternatives.

    (a) A request for emergency access under this part must include 
information on alternatives to emergency access. The request shall 
include a discussion of the consideration given to any alternatives, 
including, but not limited to, the following:
    (1) Storage of low-level radioactive waste at the site of 
generation;
    (2) Storage of low-level radioactive waste in a licensed storage 
facility;
    (3) Obtaining access to a disposal facility by voluntary agreement;
    (4) Purchasing disposal capacity available for assignment pursuant 
to the Act;
    (5) Requesting disposal at a Federal low-level radioactive waste 
disposal facility in the case of a Federal or defense related generator 
of LLW;
    (6) Reducing the volume of the waste;
    (7) Ceasing activities that generate low-level radioactive waste; 
and
    (8) Other alternatives identified under paragraph (b) of this 
section.
    (b) The request must identify all of the alternatives to emergency 
access considered, including any that would require State or Compact 
action, or any others that are not specified in paragraph (a) of this 
section. The request should also include a description of the process 
used to identify the alternatives, a description of the factors that 
were considered in identifying and evaluating them, a chronology of 
actions taken to identify and implement alternatives during the process, 
and a discussion of any actions that were considered, but not 
implemented.
    (c) The evaluation of each alternative must consider:
    (1) Its potential for mitigating the serious and immediate threat to 
public health and safety or the common defense and security posed by 
lack of access to disposal;
    (2) The adverse effects on public health and safety and the common 
defense and security, if any, of implementing each alternative, 
including the curtailment or cessation of any essential services 
affecting the public health and safety or the common defense and 
security;
    (3) The technical and economic feasibility of each alternative 
including the person's financial capability to implement the 
alternatives;
    (4) Any other pertinent societal costs and benefits;
    (5) Impacts to the environment;
    (6) Any legal impediments to implementation of each alternative, 
including whether the alternatives will comply with applicable NRC and 
NRC Agreement States regulatory requirements; and

[[Page 231]]

    (7) The time required to develop and implement each alternative.
    (d) The request must include the basis for:
    (1) Rejecting each alternative; and
    (2) Concluding that no alternative is available.



Sec. 62.14  Contents of a request for an extension of emergency access.

    A request for an extension of emergency access must include:
    (a) Updates of the information required in Sec. Sec. 62.12 and 
62.13; and
    (b) Documentation that the generator of the low-level radioactive 
waste granted emergency access and the State in which the low-level 
radioactive waste was generated have diligently, though unsuccessfully, 
acted during the period of the initial grant to eliminate the need for 
emergency access. Documentation must include:
    (1) An identification of additional alternatives that have been 
evaluated during the period of the initial grant, and
    (2) A discussion of any reevaluation of previously considered 
alternatives, including verification of continued attempts to gain 
access to a disposal facility by voluntary agreement.



Sec. 62.15  Additional information.

    (a) The Commission may require additional information from a person 
making a request for a Commission determination under this part 
concerning any portion of the request.
    (b) The Commission shall deny a request for a Commission 
determination under this part if the person making the request fails to 
respond to a request for additional information under paragraph (a) of 
this section within ten (10) days from the date of the request for 
additional information, or any other time that the Commission may 
specify. This denial will not prejudice the right of the person making 
the request to file another request for a Commission determination under 
this part.



Sec. 62.16  Withdrawal of a determination request.

    (a) A person may withdraw a request for a Commission determination 
under this part without prejudice at any time prior to the issuance of 
an initial determination under Sec. 62.21 of this part.
    (b) The Secretary of the Commission will cause to be published in 
the Federal Register a notice of the withdrawal of a request for a 
Commission determination under this part.



Sec. 62.17  Elimination of repetition.

    In any request under this part, the person making the request may 
incorporate by reference information contained in a previous 
application, Statement, or report filed with the Commission provided 
that these references are updated, clear, and specific.



Sec. 62.18  Denial of request.

    If a request for a determination is based on circumstances that are 
too remote and speculative to allow an informed determination, the 
Commission may deny the request.



            Subpart C_Issuance of a Commission Determination



Sec. 62.21  Determination for granting emergency access.

    (a) Not later than (45) days after the receipt of a request for a 
Commission determination under this part from any generator of low-level 
radioactive waste, or any Governor on behalf of any generator or 
generators located in his or her State, the Commission shall determine 
whether--
    (1) Emergency access to a regional disposal facility or a non-
Federal disposal facility within a State that is not a member of a 
Compact for specific low-level radioactive waste is necessary because of 
an immediate and serious threat--
    (i) To the public health and safety or
    (ii) The common defense and security; and
    (2) The threat cannot be mitigated by any alternative consistent 
with the public health and safety, including those identified in Sec. 
62.13.
    (b) In making a determination under this section, the Commission 
shall be guided by the criteria set forth in Sec. 62.25 of this part.
    (c) A determination under this section must be in writing and 
contain a full explanation of the facts upon which the determination is 
based and

[[Page 232]]

the reasons for granting or denying the request. An affirmative 
determination must designate an appropriate non-Federal or regional LLW 
disposal facility or facilities for the disposal of wastes, specifically 
describe the low-level radioactive waste as to source, physical and 
radiological characteristics, and the minimum volume and duration (not 
to exceed 180 days) necessary to eliminate the immediate threat to 
public health and safety or the common defense and security. It may also 
contain conditions upon which the determination is dependent.



Sec. 62.22  Notice of issuance of a determination.

    (a) Upon the issuance of a Commission determination the Secretary of 
the Commission will notify in writing the following persons of the final 
determination: The person making the request, the Governor of the State 
in which the low-level radioactive waste requiring emergency access was 
generated, the Governor of the State in which the designated disposal 
facility is located, and if pertinent, the appropriate Compact 
Commission for such approval as is specified as necessary in section 
6(g) of the Act. For the Governor of the State in which the designated 
disposal facility is located and for the appropriate Compact Commission, 
the notification must se