[Title 10 CFR ]
[Code of Federal Regulations (annual edition) - January 1, 2001 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
10
Parts 51 to 199
Revised as of January 1, 2001
Energy
Containing a codification of documents of general
applicability and future effect
As of January 1, 2001
With Ancillaries
Published by:
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 2001
For sale by the Superintendent of Documents, U.S. Government Printing
Office
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2250
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[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 10:
Chapter I--Nuclear Regulatory Commission (Continued) 3
Finding Aids:
Material Approved for Incorporation by Reference........ 683
Table of CFR Titles and Chapters........................ 685
Alphabetical List of Agencies Appearing in the CFR...... 703
List of CFR Sections Affected........................... 713
[[Page iv]]
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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.
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[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie
evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
together to determine the latest version of any given rule.
To determine whether a Code volume has been amended since its
revision date (in this case, January 1, 2001), consult the ``List of CFR
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
exercised by the user in determining the actual effective date. In
instances where the effective date is beyond the cut-off date for the
Code a note has been inserted to reflect the future effective date. In
those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be
inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
amendments to existing regulations in the CFR. These OMB numbers are
placed as close as possible to the applicable recordkeeping or reporting
requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For
the period beginning January 1, 1986, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
established by statute and allows Federal agencies to meet the
requirement to publish regulations in the Federal Register by referring
to materials already published elsewhere. For an incorporation to be
valid, the Director of the Federal Register must approve it. The legal
effect of incorporation by reference is that the material is treated as
if it were published in full in the Federal Register (5 U.S.C. 552(a)).
This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are
listed in the Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed in
the Finding Aids of this volume as an approved incorporation by
reference, please contact the agency that issued the regulation
containing that incorporation. If, after contacting the agency, you find
the material is not available, please notify the Director of the Federal
Register, National Archives and Records Administration, Washington DC
20408, or call (202) 523-4534.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I). A list of CFR titles, chapters,
and parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ``Title 3--The President'' is carried within
that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
[[Page vii]]
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this
volume, contact the issuing agency. The issuing agency's name appears at
the top of odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202-523-5227
or write to the Director, Office of the Federal Register, National
Archives and Records Administration, Washington, DC 20408 or e-mail
[email protected].
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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
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site also contains links to GPO Access.
Raymond A. Mosley,
Director,
Office of the Federal Register.
January 1, 2001.
[[Page ix]]
THIS TITLE
Title 10--Energy is composed of four volumes. The parts in these
volumes are arranged in the following order: parts 1-50, 51-199, 200-499
and part 500-end. The first and second volumes containing parts 1-199
are comprised of chapter I-- Nuclear Regulatory Commission. The third
and fourth volumes containing part 200-end are comprised of chapters II,
III and X--Department of Energy, and chapter XVII--Defense Nuclear
Facilities Safety Board. The contents of these volumes represent all
current regulations codified under this title of the CFR as of January
1, 2001.
[[Page x]]
[[Page 1]]
TITLE 10--ENERGY
(This book contains parts 51 to 199)
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Part
Chapter I--Nuclear Regulatory Commission (Continued)........ 51
[[Page 3]]
CHAPTER I--NUCLEAR REGULATORY COMMISSION
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Part Page
51 Environmental protection regulations for
domestic licensing and related
regulatory functions.................... 5
52 Early site permits; standard design
certifications; and combined licenses
for nuclear power plants................ 55
53 [Reserved]
54 Requirements for renewal of operating
licenses for nuclear power plants....... 95
55 Operators' licenses......................... 101
60 Disposal of high-level radioactive wastes in
geologic repositories................... 118
61 Licensing requirements for land disposal of
radioactive waste....................... 152
62 Criteria and procedures for emergency access
to non-federal and regional low-level
waste disposal facilities............... 179
70 Domestic licensing of special nuclear
material................................ 187
71 Packaging and transportation of radioactive
material................................ 246
72 Licensing requirements for the independent
storage of spent nuclear fuel and high-
level radioactive waste................. 291
73 Physical protection of plants and materials. 346
74 Material control and accounting of special
nuclear material........................ 422
75 Safeguards on nuclear material--
implementation of US/IAEA agreement..... 439
76 Certification of gaseous diffusion plants... 452
81 Standard specifications for the granting of
patent licenses......................... 477
95 Facility security clearance and safeguarding
of national security information and
restricted data......................... 485
100 Reactor site criteria....................... 502
110 Export and import of nuclear equipment and
material................................ 517
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140 Financial protection requirements and
indemnity agreements.................... 565
150 Exemptions and continued regulatory
authority in Agreement States and in
offshore waters under section 274....... 641
160 Trespassing on Commission property.......... 652
170 Fees for facilities, materials, import and
export licenses, and other regulatory
services under the Atomic Energy Act of
1954, as amended........................ 653
171 Annual fees for reactor licenses and fuel
cycle licenses and materials licenses,
including holders of certificates of
compliance, registrations, and quality
assurance program approvals and
government agencies licensed by the NRC. 667
172-199 [Reserved]
[[Page 5]]
PART 51--ENVIRONMENTAL PROTECTION REGULATIONS FOR DOMESTIC LICENSING AND RELATED REGULATORY FUNCTIONS--Table of Contents
Sec.
51.1 Scope.
51.2 Subparts.
51.3 Resolution of conflict.
51.4 Definitions.
51.5 Interpretations.
51.6 Specific exemptions.
Subpart A--National Environmental Policy Act--Regulations Implementing
Section 102(2)
51.10 Purpose and scope of subpart; application of regulations of
Council on Environmental Quality.
51.11 Relationship to other subparts. [Reserved]
51.12 Application of subpart to ongoing environmental work.
51.13 Emergencies.
51.14 Definitions.
51.15 Time schedules.
51.16 Proprietary information.
51.17 Information collection requirements; OMB approval.
Preliminary Procedures
classification of licensing and regulatory actions
51.20 Criteria for and identification of licensing and regulatory
actions requiring environmental impact statements.
51.21 Criteria for and identification of licensing and regulatory
actions requiring environmental assessments.
51.22 Criterion for categorical exclusion; identification of licensing
and regulatory actions eligible for categorical exclusion or
otherwise not requiring environmental review.
51.23 Temporary storage of spent fuel after cessation of reactor
operation--generic determination of no significant
environmental impact.
determinations to prepare environmental impact statements, environmental
assessments or findings of no significant impact, and related procedures
51.25 Determination to prepare environmental impact statement or
environmental assessment; eligibility for categorical
exclusion.
51.26 Requirement to publish notice of intent and conduct scoping
process.
51.27 Notice of intent.
scoping
51.28 Scoping--participants.
51.29 Scoping--environmental impact statement.
environmental assessment
51.30 Environmental assessment.
51.31 Determinations based on environmental assessment.
finding of no significant impact
51.32 Finding of no significant impact.
51.33 Draft finding of no significant impact; distribution.
51.34 Preparation of finding of no significant impact.
51.35 Requirement to publish finding of no significant impact;
limitation on Commission action.
Environmental Reports and Information--Requirements Applicable to
Applicants and Petitioners for Rulemaking
general
51.40 Consultation with NRC staff.
51.41 Requirement to submit environmental information.
environmental reports--general requirements
51.45 Environmental report.
environmental reports--production and utilization facilities
51.50 Environmental report--construction permit stage.
51.51 Uranium fuel cycle environmental data--Table S-3.
51.52 Environmental effects of transportation of fuel and waste--Table
S-4.
51.53 Postconstruction environmental reports.
51.54 Environmental report--manufacturing license.
51.55 Environmental report--number of copies; distribution.
environmental reports--materials licenses
51.60 Environmental report--materials licenses.
51.61 Environmental report--independent spent fuel storage installation
(ISFSI) or monitored retrievable storage installation (MRS)
license.
51.62 Environmental report--land disposal of radioactive waste licensed
under 10 CFR part 61.
51.66 Environmental report--number of copies; distribution.
51.67 Environmental information concerning geologic repositories.
environmental reports--rulemaking
51.68 Environmental report--rulemaking.
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51.69 Environmental report--number of copies.
Environmental Impact Statements
draft environmental impact statements--general requirements
51.70 Draft environmental impact statement--general.
51.71 Draft environmental impact statement--contents.
51.72 Supplement to draft environmental impact statement.
51.73 Request for comments on draft environmental impact statement.
51.74 Distribution of draft environmental impact statement and
supplement to draft environmental impact statement; news
releases.
draft environmental impact statements--production and utilization
facilities
51.75 Draft environmental impact statement--construction permit.
51.76 Draft environmental impact statement--manufacturing license.
51.77 Distribution of draft environmental impact statement.
draft environmental impact statements--materials licenses
51.80 Draft environmental impact statement--materials license.
51.81 Distribution of draft environmental impact statement.
draft environmental impact statements--rulemaking
51.85 Draft environmental impact statement--rulemaking.
51.86 Distribution of draft environmental impact statement.
legislative environmental impact statements--proposals for legislation
51.88 Proposals for legislation.
final environmental impact statements--general requirements
51.90 Final environmental impact statement--general.
51.91 Final environmental impact statement--contents.
51.92 Supplement to final environmental impact statement.
51.93 Distribution of final environmental impact statement and
supplement to final environmental impact statement; news
releases.
51.94 Requirement to consider final environmental impact statement.
final environmental impact statements--production and utilization
facilities
51.95 Postconstruction environmental impact statements.
final environmental impact statements--materials licenses
51.97 Final environmental impact statement--materials license.
final environmental impact statements--rulemaking
51.99 [Reserved]
NEPA Procedure and Administrative Action
general
51.100 Timing of Commission action.
51.101 Limitations on actions.
51.102 Requirement to provide a record of decision; preparation.
51.103 Record of decision--general.
51.104 NRC proceeding using public hearings; consideration of
environmental impact statement.
production and utilization facilities
51.105 Public hearings in proceedings for issuance of construction
permits or licenses to manufacture.
51.106 Public hearings in proceedings for issuance of operating
licenses.
materials licenses
51.108 [Reserved]
51.109 Public hearings in proceedings for issuance of materials license
with respect to a geologic repository.
rulemaking
51.110 [Reserved]
Public Notice of and Access to Environmental Documents
51.116 Notice of intent.
51.117 Draft environmental impact statement--notice of availability.
51.118 Final environmental impact statement--notice of availability.
51.119 Publication of finding of no significant impact; distribution.
51.120 Availability of environmental documents for public inspection.
51.121 Status of NEPA actions.
51.122 List of interested organizations and groups.
51.123 Charges for environmental documents; distribution to public;
distribution to governmental agencies.
Commenting
51.124 Commission duty to comment.
[[Page 7]]
Responsible Official
51.125 Responsible official.
Appendix A to Subpart A--Format for Presentation of Material in
Environmental Impact Statements
Appendix B to Subpart A--Environmental Effect of Renewing the Operating
License of a Nuclear Power Plant
Authority: Sec. 161, 68 Stat. 948, as amended, sec. 1701, 106 Stat.
2951, 2952, 2953, (42 U.S.C. 2201, 2297f); secs. 201, as amended, 202,
88 Stat. 1242, as amended, 1244 (42 U.S.C. 5841, 5842). Subpart A also
issued under National Environmental Policy Act of 1969, secs. 102, 104,
105, 83 Stat. 853-854, as amended (42 U.S.C. 4332, 4334, 4335); and Pub.
L. 95-604, Title II, 92 Stat. 3033-3041; and sec. 193, Pub. L. 101-575,
104 Stat. 2835 (42 U.S.C. 2243). Sections 51.20, 51.30, 51.60, 51.80.
and 51.97 also issued under secs. 135, 141, Pub. L. 97-425, 96 Stat.
2232, 2241, and sec. 148, Pub. L. 100-203, 101 Stat. 1330-223 (42 U.S.C.
10155, 10161, 10168). Section 51.22 also issued under sec. 274, 73 Stat.
688, as amended by 92 Stat. 3036-3038 (42 U.S.C. 2021) and under Nuclear
Waste Policy Act of 1982, sec 121, 96 Stat. 2228 (42 U.S.C. 10141).
Sections 51.43, 51.67, and 51.109 also under Nuclear Waste Policy Act of
1982, sec 114(f), 96 Stat. 2216, as amended (42 U.S.C. 10134(f)).
Source: 49 FR 9381, Mar. 12, 1984, unless otherwise noted.
Sec. 51.1 Scope.
This part contains environmental protection regulations applicable
to NRC's domestic licensing and related regulatory functions. These
regulations do not apply to export licensing matters within the scope of
part 110 of this chapter or to any environmental effects which NRC's
domestic licensing and related regulatory functions may have upon the
environment of foreign nations. Subject to these limitations, the
regulations in this part implement:
(a) Section 102(2) of the National Environmental Policy Act of 1969,
as amended.
Sec. 51.2 Subparts.
(a) The regulations in subpart A of this part implement section
102(2) of the National Environmental Policy Act of 1969, as amended.
Sec. 51.3 Resolution of conflict.
In any conflict between a general rule in subpart A of this part and
a special rule in another subpart of this part or another part of this
chapter applicable to a particular type of proceeding, the special rule
governs.
Sec. 51.4 Definitions.
As used in this part:
Act means the Atomic Energy Act of 1954 (Pub. L. 83-703, 68 Stat.
919) including any amendments thereto.
Commission means the Nuclear Regulatory Commission or its authorized
representatives.
NRC means the Nuclear Regulatory Commission, the agency established
by Title II of the Energy Reorganization Act of 1974, as amended.
NRC staff means any NRC officer or employee or his/her authorized
representative, except a Commissioner, a member of a Commissioner's
immediate staff, an Atomic Safety and Licensing Board, an Atomic Safety
and Licensing Appeal Board, a presiding officer, an administrative
judge, an administrative law judge, or any other officer or employee of
the Commission who performs adjudicatory functions.
NRC Staff Director means:
Executive Director for Operations;
Director, Office of Nuclear Reactor Regulation;
Director, Office of Nuclear Material Safety and Safeguards;
Director, Office of Nuclear Regulatory Research;
Director, Office of Governmental and Public Affairs; and
The designee of any NRC staff director.
[49 FR 9381, Mar. 12, 1984, as amended at 51 FR 35999, Oct. 8, 1986; 52
FR 31612, Aug. 21, 1987]
Sec. 51.5 Interpretations.
Except as specifically authorized by the Commission in writing, no
interpretation of the regulations in this part by any officer or
employee of the Commission other than a written interpretation by the
General Counsel will be recognized to be binding upon the Commission.
Sec. 51.6 Specific exemptions.
The Commission may, upon application of any interested person or
upon its own initiative, grant such exemptions from the requirements of
the regulations in this part as it determines are authorized by law and
are otherwise in the public interest.
[[Page 8]]
Subpart A--National Environmental Policy Act--Regulations Implementing
Section 102(2)
Sec. 51.10 Purpose and scope of subpart; application of regulations of Council on Environmental Quality.
(a) The National Environmental Policy Act of 1969, as amended (NEPA)
directs that, to the fullest extent possible: (1) The policies,
regulations, and public laws of the United States shall be interpreted
and administered in accordance with the policies set forth in NEPA, and
(2) all agencies of the Federal Government shall comply with the
procedures in section 102(2) of NEPA except where compliance would be
inconsistent with other statutory requirements. The regulations in this
subpart implement section 102(2) of NEPA in a manner which is consistent
with the NRC's domestic licensing and related regulatory authority under
the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act
of 1974, as amended, and the Uranium Mill Tailings Radiation Control Act
of 1978, and which reflects the Commission's announced policy to take
account of the regulations of the Council on Environmental Quality
published November 29, 1978 (43 FR 55978-56007) voluntarily, subject to
certain conditions. This subpart does not apply to export licensing
matters within the scope of part 110 of this chapter nor does it apply
to any environmental effects which NRC's domestic licensing and related
regulatory functions may have upon the environment of foreign nations.
(b) The Commission recognizes a continuing obligation to conduct its
domestic licensing and related regulatory functions in a manner which is
both receptive to environmental concerns and consistent with the
Commission's responsibility as an independent regulatory agency for
protecting the radiological health and safety of the public.
Accordingly, the Commission will:
(1) Examine any future interpretation or change to the Council's
NEPA regulations;
(2) Follow the provisions of 40 CFR 1501.5 and 1501.6 relating to
lead agencies and cooperating agencies, except that the Commission
reserves the right to prepare an independent environmental impact
statement whenever the NRC has regulatory jurisdiction over an acitivity
even though the NRC has not been designated as lead agency for
preparation of the statement; and
(3) Reserve the right to make a final decision on any matter within
the NRC's regulatory authority even though another agency has made a
predecisional referral of an NRC action to the Council under the
procedures of 40 CFR part 1504.
(c) The regulations in this subpart 1 also address the
limitations imposed on NRC's authority and responsibility under the
National Environmental Policy Act of 1969, as amended, by the Federal
Water Pollution Control Act Amendments of 1972, Pub. L. 92-500, 86 Stat.
816 et seq. (33 U.S.C. 1251 et seq.) In accordance with section
511(c)(2) of the Federal Water Pollution Control Act (86 Stat. 893, 33
U.S.C 1371(c)(2)) the NRC recognizes that responsibility for Federal
regulation of nonradiological pollutant discharges 2 into
receiving waters rests by statute with the Environmental Protection
Agency.
---------------------------------------------------------------------------
\1\ See also Second Memorandum of Understanding Regarding
Implementation of Certain NRC and EPA Responsibilities and Policy
Statement on Implementation of Section 511 of the Federal Water
Pollution Control Act (FWPCA) attached as Appendix A thereto, which were
published in the Federal Register on December 31, 1975 (40 FR 60115) and
became effective January 30, 1976.
\2\ On June 1, 1976, the U.S. Supreme Court held that ```pollutants'
subject to regulation under the FWPCA [Federal Water Pollution Control
Act] do not include source, byproduct, and special nuclear materials, .
. .'' Train v. Colorado PIRG, 426 U.S. 1 at 25.
---------------------------------------------------------------------------
(d) Commission actions initiating or relating to administrative or
judicial civil or criminal enforcement actions or proceedings are not
subject to Section 102(2) of NEPA. These actions include issuance of
notices of violation, orders, and denials of requests for action
pursuant to subpart B of part 2 of this chapter; matters covered by part
15 and part 160 of this chapter; and issuance of confirmatory action
letters, bulletins, generic letters, notices
[[Page 9]]
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of deviation, and notices of nonconformance.
[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 43578, Oct. 26, 1989; 61
FR 43408, Aug. 22, 1996]
Sec. 51.11 Relationship to other subparts. [Reserved]
Sec. 51.12 Application of subpart to ongoing environmental work.
(a) Except as otherwise provided in this section, the regulations in
this subpart shall apply to the fullest extent practicable to NRC's
ongoing environmental work.
(b) No environmental report or any supplement to an environmental
report filed with the NRC and no environmental assessment, environmental
impact statement or finding of no significant impact or any supplement
to any of the foregoing issued by the NRC before June 7, 1984, need be
redone and no notice of intent to prepare an environmental impact
statement or notice of availability of these environmental documents
need be republished solely by reason of the promulgation on March 12,
1984, of this revision of part 51.
[49 FR 9381, Mar. 12, 1984, as amended at 49 FR 24513, June 14, 1984]
Sec. 51.13 Emergencies.
Whenever emergency circumstances make it necessary and whenever, in
other situations, the health and safety of the public may be adversely
affected if mitigative or remedial actions are delayed, the Commission
may take an action with significant environmental impact without
observing the provisions of these regulations. In taking an action
covered by this section, the Commission will consult with the Council as
soon as feasible concerning appropriate alternative NEPA arrangements.
Sec. 51.14 Definitions.
(a) As used in this subpart:
Categorical Exclusion means a category of actions which do not
individually or cumulatively have a significant effect on the human
environment and which the Commission has found to have no such effect in
accordance with procedures set out in Sec. 51.22, and for which,
therefore, neither an environmental assessment nor an environmental
impact statement is required.
Cooperating Agency means any Federal agency other than the NRC which
has jurisdiction by law or special expertise with respect to any
environmental impact involved in a proposal (or a reasonable
alternative) for legislation or other major Federal action significantly
affecting the quality of the human environment. By agreement with the
Commission, a State or local agency of similar qualifications or, when
the effects are on a reservation, an Indian Tribe, may become a
cooperating agency.
Council means the Council on Environmental Quality (CEQ) established
by Title II of NEPA.
DOE means the U.S. Department of Energy or its duly authorized
representatives.
Environmental Assessment means a concise public document for which
the Commission is responsible that serves to:
(1) Briefly provide sufficient evidence and analysis for determining
whether to prepare an environmental impact statement or a finding of no
significant impact.
(2) Aid the Commission's compliance with NEPA when no environmental
impact statement is necessary.
(3) Facilitate preparation of an environmental impact statement when
one is necessary.
Environmental document includes an environmental assessment, an
environmental impact statement, a finding of no significant impact, an
environmental report and any supplements to or comments upon those
documents, and a notice of intent.
Environmental Impact Statement means a detailed written statement as
required by section 102(2)(C) of NEPA.
Environmental report means a document submitted to the Commission by
an applicant for a permit, license, or other form of permission, or an
amendment to or renewal of a permit, license or other form of
permission, or by a petitioner for rulemaking, in order to aid the
Commission in complying with section 102(2) of NEPA.
Finding of No Significant Impact means a concise public document for
[[Page 10]]
which the Commission is responsible that briefly states the reasons why
an action, not otherwise excluded, will not have a significant effect on
the human environment and for which therefore an environmental impact
statement will not be prepared.
NEPA means the National Environmental Policy Act of 1969, as amended
(Pub. L. 91-190, 83 Stat. 852, 856, as amended by Pub. L. 94-83, 89
Stat. 424, 42 U.S.C. 4321, et seq.).
Notice of Intent means a notice that an environmental impact
statement will be prepared and considered.
Uranium enrichment facility means:
(1) Any facility used for separating the isotopes for uranium or
enriching uranium in the isotope 235, except laboratory scale facilities
designed or used for experimental or analytical purposes only; or
(2) Any equipment or device, or important component part especially
designed for such equipment or device, capable of separating the
isotopes of uranium or enriching uranium in the isotope 235.
(b) The definitions in 40 CFR 1508.3, 1508.7, 1508.8, 1508.14,
1508.15, 1508.16, 1508.17, 1508.18, 1508.20, 1508.23, 1508.25, 1508.26,
and 1508.27, will also be used in implementing section 102(2) of NEPA.
[49 FR 9381, Mar. 12, 1984, as amended at 57 FR 18391, Apr. 30, 1992]
Sec. 51.15 Time schedules.
Consistent with the purposes of NEPA, the Administrative Procedure
Act, the Commission's rules of practice in part 2 of this chapter,
Secs. 51.100 and 51.101, and with other essential considerations of
national policy:
(a) The appropriate NRC staff director may, and upon the request of
an applicant for a proposed action or a petitioner for rulemaking shall,
establish a time schedule for all or any constituent part of the NRC
staff NEPA process. To the maximum extent practicable, the NRC staff
will conduct its NEPA review in accordance with any time schedule
established under this section.
(b) Pursuant to subpart G of part 2 of this chapter, the presiding
officer, the Atomic Safety and Licensing Appeal Board or the
Commissioners acting as a collegial body may establish a time schedule
for all or any part of an adjudicatory or rulemaking proceeding to the
extent that each has jurisdiction.
Sec. 51.16 Proprietary information.
(a) Proprietary information, such as trade secrets or privileged or
confidential commercial or financial information, will be treated in
accordance with the procedures provided in Sec. 2.790, ``Public
Inspections, Exemptions, Requests for Withholding,'' of part 2, ``Rules
of Practice,'' of this chapter.
(b) Any proprietary information which a person seeks to have
withheld from public disclosure shall be submitted in accordance with
Sec. 2.790 of this chapter. When submitted, the proprietary information
should be clearly identified and accompanied by a request, containing
detailed reasons and justifications, that the proprietary information be
withheld from public disclosure. A non-proprietary summary describing
the general content of the proprietary information should also be
provided.
Sec. 51.17 Information collection requirements; OMB approval.
(a) The Nuclear Regulatory Commission has submitted the information
collection requirements contained in this part to the Office of
Management and Budget (OMB) for approval as required by the Paperwork
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number. OMB
has approved the information collection requirements contained in this
part under control number 3150-0021.
(b) The approved information collection requirements in this part
appear in Secs. 51.16, 51.41, 51.45, 51.50, 51.51, 51.52, 51.53, 51.54,
51.55, 51.60, 51.61, 51.62, 51.66, 51.68, and 51.69.
[49 FR 24513, June 14, 1984, as amended at 62 FR 52188, Oct. 6, 1997]
[[Page 11]]
Preliminary Procedures
classification of licensing and regulatory actions
Sec. 51.20 Criteria for and identification of licensing and regulatory actions requiring environmental impact statements.
(a) Licensing and regulatory actions requiring an environmental
impact statement shall meet at least one of the following criteria:
(1) The proposed action is a major Federal action significantly
affecting the quality of the human environment.
(2) The proposed action involves a matter which the Commission, in
the exercise of its discretion, has determined should be covered by an
environmental impact statement.
(b) The following types of actions require an environmental impact
statement or a supplement to an environmental impact statement:
(1) Issuance of a limited work authorization or a permit to
construct a nuclear power reactor, testing facility or fuel reprocessing
plant pursuant to part 50 of this chapter.
(2) Issuance or renewal of a full power or design capacity license
to operate a nuclear power reactor, testing facility, or fuel
reprocessing plant pursuant to part 50 of this chapter.
(3) Issuance of a permit to construct or a design capacity license
to operate or renewal of a design capacity license to operate an
isotopic enrichment plant pursuant to part 50 of this chapter.
(4) Conversion of a provisional operating license for a nuclear
power reactor, testing facility or fuel reprocessing plant to a full
term or design capacity license pursuant to part 50 of this chapter if a
final environmental impact statement covering full term or design
capacity operation has not been previously prepared.
(5) [Reserved]
(6) Issuance of a license to manufacture pursuant to Appendix M of
part 52 of this chapter.
(7) Issuance of a license to possess and use special nuclear
material for processing and fuel fabrication, scrap recovery, or
conversion of uranium hexafluoride pursuant to part 70 of this chapter.
(8) Issuance of a license to possess and use source material for
uranium milling or production of uranium hexafluoride pursuant to part
40 of this chapter.
(9) Issuance of a license pursuant to part 72 of this chapter for
the storage of spent fuel in an independent spent fuel storage
installation (ISFSI) at a site not occupied by a nuclear power reactor,
or for the storage of spent fuel or high-level radioactive waste in a
monitored retrievable storage installation (MRS).
(10) Issuance of a license for a uranium enrichment facility.
(11) Issuance of renewal of a license authorizing receipt and
disposal of radioactive waste from other persons pursuant to part 61 of
this chapter.
(12) Issuance of a license amendment pursuant to part 61 of this
chapter authorizing (i) closure of a land disposal site, (ii) transfer
of the license to the disposal site owner for the purpose of
institutional control, or (iii) termination of the license at the end of
the institutional control period.
(13) Issuance of a construction authorization and license pursuant
to part 60 of this chapter.
(14) Any other action which the Commission determines is a major
Commission action significantly affecting the quality of the human
environment. As provided in Sec. 51.22(b), the Commission may, in
special circumstances, prepare an environmental impact statement on an
action covered by a categorical exclusion.
[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31681, Aug. 19, 1988; 53
FR 24052, June 27, 1988; 54 FR 15398, Apr. 18, 1989; 54 FR 27870, July
3, 1989; 57 FR 18392, Apr. 30, 1992]
Sec. 51.21 Criteria for and identification of licensing and regulatory actions requiring environmental assessments.
All licensing and regulatory actions subject to this subpart require
an environmental assessment except those identified in Sec. 51.20(b) as
requiring an environmental impact statement, those identified in
Sec. 51.22(c) as categorical exclusions, and those identified in
Sec. 51.22(d) as other actions not requiring environmental review. As
provided in
[[Page 12]]
Sec. 51.22(b), the Commission may, in special circumstances, prepare an
environmental assessment on an action covered by a categorical
exclusion.
[54 FR 27870, July 3, 1989]
Sec. 51.22 Criterion for categorical exclusion; identification of licensing and regulatory actions eligible for categorical exclusion or otherwise not requiring environmental review.
(a) Licensing and regulatory actions eligible for categorical
exclusion shall meet the following criterion: The proposed action
belongs to a category of actions which the Commission, by rule or
regulation, has declared to be a categorical exclusion, after first
finding that the category of actions does not individually or
cumulatively have a significant effect on the human environment.
(b) Except in special circumstances, as determined by the Commission
upon its own initiative or upon request of any interested person, an
environmental assessment or an environmental impact statement is not
required for any action within a category of actions included in the
list of categorical exclusions set out in paragraph (c) of this section.
Special circumstances include the circumstance where the proposed action
involves unresolved conflicts concerning alternative uses of available
resources within the meaning of section 102(2)(E) of NEPA.
(c) The following categories of actions are categorical exclusions:
(1) Amendments to Parts 1, 2, 4, 7, 8, 9, 10, 11, 19, 21, 25, 55,
75, 95, 110, 140, 150, 170, or 171 of this chapter, and actions on
petitions for rulemaking relating to Parts 1, 2, 4, 7, 9, 10, 11, 14,
19, 21, 25, 55, 75, 95, 110, 140, 150, 170, or 171.
(2) Amendments to the regulations in this chapter which are
corrective or of a minor or nonpolicy nature and do not substantially
modify existing regulations, and actions on petitions for rulemaking
relating to these amendments.
(3) Amendments to parts 20, 30, 31, 32, 33, 34, 35, 39, 40, 50, 51,
54, 60, 61, 70, 71, 72, 73, 74, 81 and 100 of this chapter which relate
to--
(i) Procedures for filing and reviewing applications for licenses or
construction permits or other forms of permission or for amendments to
or renewals of licenses or construction permits or other forms of
permission;
(ii) Recordkeeping requirements; or
(iii) Reporting requirements; and
(iv) Actions on petitions for rulemaking relating to these
amendments.
(4) Entrance into or amendment, suspension, or termination of all or
part of an agreement with a State pursuant to section 274 of the Atomic
Energy Act of 1954, as amended, providing for assumption by the State
and discontinuance by the Commission of certain regulatory authority of
the Commission.
(5) Procurement of general equipment and supplies.
(6) Procurement of technical assistance, confirmatory research
provided that the confirmatory research does not involve any significant
construction impacts, and personal services relating to the safe
operation and protection of commercial reactors, other facilities, and
materials subject to NRC licensing and regulation.
(7) Personnel actions.
(8) Issuance, amendment, or renewal of operators' licenses pursuant
to part 55 of this chapter.
(9) Issuance of an amendment to a permit or license for a reactor
pursuant to part 50 of this chapter which changes a requirement with
respect to installation or use of a facility component located within
the restricted area, as defined in part 20 of this chapter, or which
changes an inspection or a surveillance requirement, provided that (i)
the amendment involves no significant hazards consideration, (ii) there
is no significant change in the types or significant increase in the
amounts of any effluents that may be released offsite, and (iii) there
is no significant increase in individual or cumulative occupational
radiation exposure.
(10) Issuance of an amendment to a permit or license pursuant to
parts 30, 31, 32, 33, 34, 35, 36, 39, 40, 50, 60, 61, 70 or part 72 of
this chapter which (i) changes surety, insurance and/or indemnity
requirements, or (ii) changes recordkeeping, reporting, or
administrative procedures or requirements.
(11) Issuance of amendments to licenses for fuel cycle plants and
radioactive waste disposal sites and amendments to materials licenses
identified
[[Page 13]]
in Sec. 51.60(b)(1) which are administrative, organizational, or
procedural in nature, or which result in a change in process operations
or equipment, provided that (i) there is no significant change in the
types or significant increase in the amounts of any effluents that may
be released offsite, (ii) there is no significant increase in individual
or cumulative occupational radiation exposure, (iii) there is no
significant construction impact, and (iv) there is no significant
increase in the potential for or consequences from radiological
accidents.
(12) Issuance of an amendment to a license pursuant to parts 50, 60,
61, 70, 72 or 75 of this chapter relating solely to safeguards matters
(i.e., protection against sabotage or loss or diversion of special
nuclear material) or issuance of an approval of a safeguards plan
submitted pursuant to parts 50, 70, 72, and 73 of this chapter, provided
that the amendment or approval does not involve any significant
construction impacts. These amendments and approvals are confined to (i)
organizational and procedural matters, (ii) modifications to systems
used for security and/or materials accountability, (iii) administrative
changes, and (iv) review and approval of transportation routes pursuant
to 10 CFR 73.37.
(13) Approval of package designs for packages to be used for the
transportation of licensed materials.
(14) Issuance, amendment, or renewal of materials licenses issued
pursuant to 10 CFR parts 30, 31, 32, 33, 34, 35, 36, 39, 40 or part 70
authorizing the following types of activities:
(i) Distribution of radioactive material and devices or products
containing radioactive material to general licensees and to persons
exempt from licensing.
(ii) Distribution of radiopharmaceuticals, generators, reagent kits
and/or sealed sources to persons licensed pursuant to 10 CFR 35.18.
(iii) Nuclear pharmacies.
(iv) Medical and veterinary.
(v) Use of radioactive materials for research and development and
for educational purposes.
(vi) Industrial radiography.
(vii) Irradiators.
(viii) Use of sealed sources and use of gauging devices, analytical
instruments and other devices containing sealed sources.
(ix) Use of uranium as shielding material in containers or devices.
(x) Possession of radioactive material incident to performing
services such as installation, maintenance, leak tests and calibration.
(xi) Use of sealed sources and/or radioactive tracers in well-
logging procedures.
(xii) Acceptance of packaged radioactive wastes from others for
transfer to licensed land burial facilities provided the interim storage
period for any package does not exceed 180 days and the total possession
limit for all packages held in interim storage at the same time does not
exceed 50 curies.
(xiii) Manufacturing or processing of source, byproduct, or special
nuclear materials for distribution to other licensees, except processing
of source material for extraction of rare earth and other metals.
(xiv) Nuclear laundries.
(xv) Possession, manufacturing, processing, shipment, testing, or
other use of depleted uranium military munitions.
(xvi) Any use of source, byproduct, or special nuclear material not
listed above which involves quantities and forms of source, byproduct,
or special nuclear material similar to those listed in paragraphs
(c)(14) (i) through (xv) of this section (Category 14).
(15) Issuance, amendment or renewal of licenses for import of
nuclear facilities and materials pursuant to part 110 of this chapter,
except for import of spent power reactor fuel.
(16) Issuance or amendment of guides for the implementation of
regulations in this chapter, and issuance or amendment of other
informational and procedural documents that do not impose any legal
requirements.
(17) Issuance of an amendment to a permit or license pursuant to
parts 30, 40, 50 or part 70 of this chapter which deletes any limiting
condition of operation or monitoring requirement based on or applicable
to any matter subject to the provisions of the Federal Water Pollution
Control Act.
[[Page 14]]
(18) Issuance of amendments or orders authorizing licensees of
production or utilization facilities to resume operation, provided the
basis for the authorization rests solely on a determination or
redetermination by the Commission that applicable emergency planning
requirements are met.
(19) Issuance, amendment, modification, or renewal of a certificate
of compliance of gaseous diffusion enrichment facilities pursuant to 10
CFR part 76.
(20) Decommissioning of sites where licensed operations have been
limited to the use of--
(i) Small quantities of short-lived radioactive materials; or
(ii) Radioactive materials in sealed sources, provided there is no
evidence of leakage of radioactive material from these sealed sources.
(21) Approvals of direct or indirect transfers of any license issued
by NRC and any associated amendments of license required to reflect the
approval of a direct or indirect transfer of an NRC license.
(d) In accordance with section 121 of the Nuclear Waste Policy Act
of 1982 (42 U.S.C. 10141), the promulgation of technical requirements
and criteria that the Commission will apply in approving or disapproving
applications under part 60 of this chapter shall not require an
environmental impact statement, an environmental assessment, or any
environmental review under subparagraph (E) or (F) of section 102(2) of
NEPA.
[49 FR 9381, Mar. 12, 1984, as amended at 51 FR 9766, Mar. 21, 1986; 51
FR 33231, Sept. 18, 1986; 52 FR 8241, Mar. 17, 1987; 54 FR 27870, July
3, 1989; 58 FR 7737, Feb. 9, 1993; 59 FR 48959, Sept. 23, 1994; 60 FR
22491, May 8, 1995; 61 FR 9902, Mar. 12, 1996; 62 FR 39091, July 21,
1997; 63 FR 66735, Dec. 3, 1998; 65 FR 54950, Sept. 12, 2000]
Sec. 51.23 Temporary storage of spent fuel after cessation of reactor operation--generic determination of no significant environmental impact.
(a) The Commission has made a generic determination that, if
necessary, spent fuel generated in any reactor can be stored safely and
without significant environmental impacts for at least 30 years beyond
the licensed life for operation (which may include the term of a revised
or renewed license) of that reactor at its spent fuel storage basin or
at either onsite or offsite independent spent fuel storage
installations. Further, the Commission believes there is reasonable
assurance that at least one mined geologic repository will be available
within the first quarter of the twenty-first century, and sufficient
repository capacity will be available within 30 years beyond the
licensed life for operation of any reactor to dispose of the commercial
high-level waste and spent fuel originating in such reactor and
generated up to that time.
(b) Accordingly, as provided in Secs. 51.30(b), 51.53, 51.61,
51.80(b), 51.95 and 51.97(a), and within the scope of the generic
determination in paragraph (a) of this section, no discussion of any
environmental impact of spent fuel storage in reactor facility storage
pools or independent spent fuel storage installations (ISFSI) for the
period following the term of the reactor operating license or amendment
or initial ISFSI license or amendment for which application is made, is
required in any environmental report, environmental impact statement,
environmental assessment or other analysis prepared in connection with
the issuance or amendment of an operating license for a nuclear reactor
or in connection with the issuance of an initial license for storage of
spent fuel at an ISFSI, or any amendment thereto.
(c) This section does not alter any requirements to consider the
environmental impacts of spent fuel storage during the term of a reactor
operating license or a license for an ISFSI in a licensing proceeding.
[49 FR 34694, Aug. 31, 1984, as amended at 55 FR 38474, Sept. 18, 1990]
determinations to prepare environmental impact statements, environmental
assessments or findings of no significant impact, and related procedures
Sec. 51.25 Determination to prepare environmental impact statement or environmental assessment; eligibility for categorical exclusion.
Before taking a proposed action subject to the provisions of this
subpart, the appropriate NRC staff director will
[[Page 15]]
determine on the basis of the criteria and classifications of types of
actions in Secs. 51.20, 51.21 and 51.22 of this subpart whether the
proposed action is of the type listed in Sec. 51.22(c) as a categorical
exclusion or whether an environmental impact statement or an
environmental assessment should be prepared. An environmental assessment
is not necessary if it is determined that an environmental impact
statement will be prepared.
Sec. 51.26 Requirement to publish notice of intent and conduct scoping process.
(a) Whenever the appropriate NRC staff director determines that an
environmental impact statement will be prepared by NRC in connection
with a proposed action, a notice of intent will be prepared as provided
in Sec. 51.27, and will be published in the Federal Register as provided
in Sec. 51.116, and an appropriate scoping process (see Secs. 51.27,
51.28, and 51.29) will be conducted.
(b) The scoping process may include a public scoping meeting.
(c) Upon receipt of an application and accompanying environmental
impact statement under Sec. 60.22 of this chapter (pertaining to
geologic repositories for high-level radioactive waste), the appropriate
NRC staff director will include in the notice of docketing required to
be published by Sec. 2.101(f)(8) of this chapter a statement of
Commission intention to adopt the environmental impact statement to the
extent practicable. However, if the appropriate NRC staff director
determines, at the time of such publication or at any time thereafter,
that NRC should prepare a supplemental environmental impact statement in
connection with the Commission's action on the license application, the
procedures set out in paragraph (a) of this section shall be followed.
[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 27870, July 3, 1989]
Sec. 51.27 Notice of intent.
(a) The notice of intent required by Sec. 51.26 shall:
(1) State that an environmental impact statement will be prepared;
(2) Describe the proposed action and, to the extent sufficient
information is available, possible alternatives;
(3) State whether the applicant or petitioner for rulemaking has
filed an environmental report, and, if so, where copies are available
for public inspection;
(4) Describe the proposed scoping process, including the role of
participants, whether written comments will be accepted, the last date
for submitting comments and where comments should be sent, whether a
public scoping meeting will be held, the time and place of any scoping
meeting or when the time and place of the meeting will be announced; and
(5) State the name, address and telephone number of an individual in
NRC who can provide information about the proposed action, the scoping
process, and the environmental impact statement.
scoping
Sec. 51.28 Scoping--participants.
(a) The appropriate NRC staff director shall invite the following
persons to participate in the scoping process:
(1) The applicant or the petitioner for rulemaking;
(2) Any person who has petitioned for leave to intervene in the
proceeding or who has been admitted as a party to the proceeding;
(3) Any other Federal agency which has jurisdiction by law or
special expertise with respect to any environmental impact involved or
which is authorized to develop and enforce relevant environmental
standards;
(4) Affected State and local agencies, including those authorized to
develop and enforce relevant environmental standards;
(5) Any affected Indian tribe; and
(6) Any person who has requested an opportunity to participate in
the scoping process.
(b) The appropriate NRC staff director may also invite any other
appropriate person to participate in the scoping process.
(c) Participation in the scoping process for an environmental impact
statement does not entitle the participant to become a party to the
proceeding to
[[Page 16]]
which the environmental impact statement relates. Participation in an
adjudicatory proceeding is governed by the procedures in 10 CFR 2.714
and 2.715. Participation in a rulemaking proceeding in which the
Commission has decided to have a hearing is governed by the provisions
in the notice of hearing.
Sec. 51.29 Scoping--environmental impact statement.
(a) The scoping process for an environmental impact statement shall
begin as soon as practicable after publication of the notice of intent
as provided in Sec. 51.116, and shall be used to:
(1) Define the proposed action which is to be the subject of the
statement. The provisions of 40 CFR 1502.4 will be used for this
purpose.
(2) Determine the scope of the statement and identify the
significant issues to be analyzed in depth.
(3) Identify and eliminate from detailed study issues which are
peripheral or are not significant or which have been covered by prior
environmental review. Discussion of these issues in the statement will
be limited to a brief presentation of why they are peripheral or will
not have a significant effect on the quality of the human environment or
a reference to their coverage elsewhere.
(4) Identify any environmental assessments and other environmental
impact statements which are being or will be prepared that are related
to but are not part of the scope of the statement under consideration.
(5) Identify other environmental review and consultation
requirements related to the proposed action so that other required
analyses and studies may be prepared concurrently and integrated with
the environmental impact statement.
(6) Indicate the relationship between the timing of the preparation
of environmental analyses and the Commission's tentative planning and
decision-making schedule.
(7) Identify any cooperating agencies, and as appropriate, allocate
assignments for preparation and schedules for completion of the
statement to the NRC and any cooperating agencies.
(8) Describe the means by which the environmental impact statement
will be prepared, including any contractor assistance to be used.
(b) At the conclusion of the scoping process, the appropriate NRC
staff director will prepare a concise summary of the determinations and
conclusions reached, including the significant issues identified, and
will send a copy of the summary to each participant in the scoping
process.
(c) At any time prior to issuance of the draft environmental impact
statement, the appropriate NRC staff director may revise the
determinations made under paragraph (b) of this section, as appropriate,
if substantial changes are made in the proposed action, or if
significant new circumstances or information arise which bear on the
proposed action or its impacts.
environmental assessment
Sec. 51.30 Environmental assessment.
(a) An environmental assessment shall identify the proposed action
and include:
(1) A brief discussion of:
(i) The need for the proposed action;
(ii) Alternatives as required by section 102(2)(E) of NEPA;
(iii) The environmental impacts of the proposed action and
alternatives as appropriate; and
(2) A list of agencies and persons consulted, and identification of
sources used.
(b) Unless otherwise determined by the Commission, an environmental
assessment will not include discussion of any aspect of the storage of
spent fuel within the scope of the generic determination in
Sec. 51.23(a) and in accordance with the provisions of Sec. 51.23(b).
(c) An environmental assessment for a proposed action regarding a
monitored retrievable storage installation (MRS) will not address the
need for the MRS or any alternative to the design criteria for an MRS
set forth in section 141(b)(1) of the Nuclear Waste Policy Act of 1982
(96 Stat. 2242, 42 U.S.C. 10161(b)(1)).
[49 FR 9381, Mar. 12, 1984, as amended at 49 FR 34694, Aug. 31, 1984; 53
FR 31681, Aug. 19, 1988]
[[Page 17]]
Sec. 51.31 Determinations based on environmental assessment.
Upon completion of an environmental assessment, the appropriate NRC
staff director will determine whether to prepare an environmental impact
statement or a finding of no significant impact on the proposed action.
As provided in Sec. 51.33, a determination to prepare a draft finding of
no significant impact may be made.
finding of no significant impact
Sec. 51.32 Finding of no significant impact.
(a) A finding of no significant impact will:
(1) Identify the proposed action;
(2) State that the Commission has determined not to prepare an
environmental impact statement for the proposed action;
(3) Briefly present the reasons why the proposed action will not
have a significant effect on the quality of the human environment;
(4) Include the environmental assessment or a summary of the
environmental assessment. If the assessment is included, the finding
need not repeat any of the discussion in the assessment but may
incorporate it by reference;
(5) Note any other related environmental documents; and
(6) State that the finding and any related environmental documents
are available for public inspection and where the documents may be
inspected.
Sec. 51.33 Draft finding of no significant impact; distribution.
(a) As provided in paragraph (b) of this section, the appropriate
NRC staff director may make a determination to prepare and issue a draft
finding of no significant impact for public review and comment before
making a final determination whether to prepare an environmental impact
statement or a final finding of no significant impact on the proposed
action.
(b) Circumstances in which a draft finding of no significant impact
may be prepared will ordinarily include the following:
(1) A finding of no significant impact appears warranted for the
proposed action but the proposed action is (i) closely similar to one
which normally requires the preparation of an environmental impact
statement, or (ii) without precedent; and
(2) The appropriate NRC staff director determines that preparation
of a draft finding of no significant impact will further the purposes of
NEPA.
(c) A draft finding of no significant impact will (1) be marked
``Draft'', (2) contain the information specified in Sec. 51.32, (3) be
accompanied by or include a request for comments on the proposed action
and on the draft finding within thirty (30) days, or such longer period
as may be specified in the notice of the draft finding, and (4) be
published in the Federal Register as required by Secs. 51.35 and 51.119.
(d) A draft finding will be distributed as provided in
Sec. 51.74(a). Additional copies will be made available in accordance
with Sec. 51.123.
(e) When a draft finding of no significant impact is issued for a
proposed action, a final determination to prepare an environmental
impact statement or a final finding of no significant impact for that
action shall not be made until the last day of the public comment period
has expired.
Sec. 51.34 Preparation of finding of no significant impact.
(a) Except as provided in paragraph (b) of this section, the finding
of no significant impact will be prepared by the NRC staff director
authorized to take the action.
(b) When a hearing is held on the proposed action under the
regulations in subpart G of part 2 of this chapter or when the action
can only be taken by the Commissioners acting as a collegial body, the
appropriate NRC staff director will prepare a proposed finding of no
significant impact which may be subject to modification as a result of
review and decision as appropriate to the nature and scope of the
proceeding. In such cases, the presiding officer, the Atomic Safety and
Licensing Appeal Board, or the Commission acting as a collegial body, as
appropriate, will issue the final finding of no significant impact.
[[Page 18]]
Sec. 51.35 Requirement to publish finding of no significant impact; limitation on Commission action.
(a) Whenever the Commission makes a draft or final finding of no
significant impact on a proposed action, the finding will be published
in the Federal Register as provided in Sec. 51.119.
(b) Except as provided in Sec. 51.13, the Commission shall not take
the proposed action until after the final finding has been published in
the Federal Register.
Environmental Reports and Information--Requirements Applicable to
Applicants and Petitioners for Rulemaking
general
Sec. 51.40 Consultation with NRC staff.
(a) A prospective applicant or petitioner for rulemaking is
encouraged to confer with NRC staff as early as possible in its planning
process before submitting environmental information or filing an
environmental report.
(b) Requests for guidance or information on environmental matters
may include inquiries relating to:
(1) Applicable NRC rules and regulations;
(2) Format, content and procedures for filing environmental reports
and other environmental information, including the type and quantity of
environmental information likely to be needed to address issues and
concerns identified in the scoping process described in Sec. 51.29 in a
manner appropriate to their relative significance;
(3) Availability of relevant environmental studies and environmental
information;
(4) Need for, appropriate level and scope of any environmental
studies or information which the Commission may require to be submitted
in connection with an application or petition for rulemaking;
(5) Public meetings with NRC staff.
(c) Questions concerning environmental matters should be addressed
to the following NRC staff offices as appropriate:
(1) Utilization facilities: Director, Office of Nuclear Reactor
Regulation, U.S. Nuclear Regulatory Commission, Washington, DC 20555,
Telephone: (301) 415-1270.
(2) Production facilities: Director, Office of Nuclear Material
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington,
DC 20555, Telephone: (301) 415-7800.
(3) Materials licenses: Director, Office of Nuclear Material Safety
and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC
20555, Telephone: (301) 415-7800.
(4) Rulemaking: Director, Office of Nuclear Regulatory Research,
U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone:
(301) 415-6641.
(5) General Environmental Matters: Executive Director for
Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555,
Telephone: (301) 415-1700.
[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 13399, Apr. 25, 1988; 60
FR 24552, May 9, 1995]
Sec. 51.41 Requirement to submit environmental information.
The Commission may require an applicant for a permit, license, or
other form of permission, or amendment to or renewal of a permit,
license or other form of permission, or a petitioner for rulemaking to
submit such information to the Commission as may be useful in aiding the
Commission in complying with section 102(2) of NEPA. The Commission will
independently evaluate and be responsible for the reliability of any
information which it uses.
environmental reports--general requirements
Sec. 51.45 Environmental report.
(a) General. As required by Secs. 51.50, 51.53, 51.54, 51.60, 51.61,
51.62 or Sec. 51.68, as appropriate, each applicant or petitioner for
rulemaking shall submit with its application or petition for rulemaking
one signed original of a separate document entitled ``Applicant's'' or
``Petitioner's Environmental Report,'' as appropriate, and the number of
copies specified in Secs. 51.55, 51.66 or Sec. 51.69. An applicant or
petitioner for rulemaking may submit a supplement
[[Page 19]]
to an environmental report at any time.
(b) Environmental considerations. The environmental report shall
contain a description of the proposed action, a statement of its
purposes, a description of the environment affected, and discuss the
following considerations:
(1) The impact of the proposed action on the environment. Impacts
shall be discussed in proportion to their significance;
(2) Any adverse environmental effects which cannot be avoided should
the proposal be implemented;
(3) Alternatives to the proposed action. The discussion of
alternatives shall be sufficiently complete to aid the Commission in
developing and exploring, pursuant to section 102(2)(E) of NEPA,
``appropriate alternatives to recommended courses of action in any
proposal which involves unresolved conflicts concerning alternative uses
of available resources.'' To the extent practicable, the environmental
impacts of the proposal and the alternatives should be presented in
comparative form;
(4) The relationship between local short-term uses of man's
environment and the maintenance and enhancement of long-term
productivity; and
(5) Any irreversible and irretrievable commitments of resources
which would be involved in the proposed action should it be implemented.
(c) Analysis. The environmental report shall include an analysis
that considers and balances the environmental effects of the proposed
action, the environmental impacts of alternatives to the proposed
action, and alternatives available for reducing or avoiding adverse
environmental effects. Except for environmental reports prepared at the
license renewal stage pursuant to Sec. 51.53(c), the analysis in the
environmental report should also include consideration of the economic,
technical, and other benefits and costs of the proposed action and of
alternatives. Environmental reports prepared at the license renewal
stage pursuant to Sec. 51.53(c) need not discuss the economic or
technical benefits and costs of either the proposed action or
alternatives except insofar as such benefits and costs are either
essential for a determination regarding the inclusion of an alternative
in the range of alternatives considered or relevant to mitigation. In
addition, environmental reports prepared pursuant to Sec. 51.53(c) need
not discuss other issues not related to the environmental effects of the
proposed action and alternatives. The analyses for environmental reports
shall, to the fullest extent practicable, quantify the various factors
considered. To the extent that there are important qualitative
considerations or factors that cannot be quantified, those
considerations or factors shall be discussed in qualitative terms. The
environmental report should contain sufficient data to aid the
Commission in its development of an independent analysis.
(d) Status of compliance. The environmental report shall list all
Federal permits, licenses, approvals and other entitlements which must
be obtained in connection with the proposed action and shall describe
the status of compliance with these requirements. The environmental
report shall also include a discussion of the status of compliance with
applicable environmental quality standards and requirements including,
but not limited to, applicable zoning and land-use regulations, and
thermal and other water pollution limitations or requirements which have
been imposed by Federal, State, regional, and local agencies having
responsibility for environmental protection. The discussion of
alternatives in the report shall include a discussion of whether the
alternatives will comply with such applicable environmental quality
standards and requirements.
(e) Adverse information. The information submitted pursuant to
paragraphs (b) through (d) of this section should not be confined to
information supporting the proposed action but should also include
adverse information.
[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28486, June 5, 1996; 61
FR 66542, Dec. 18, 1996]
[[Page 20]]
environmental reports--production and utilization facilities
Sec. 51.50 Environmental report--construction permit stage.
Each applicant for a permit to construct a production or utilization
facility covered by Sec. 51.20 shall submit with its application the
number of copies, as specified in Sec. 51.55, of a separate document,
entitled ``Applicant's Environmental Report--Construction Permit
Stage,'' which shall contain the information specified in Secs. 51.45,
51.51 and 51.52. Each environmental report shall identify procedures for
reporting and keeping records of environmental data, and any conditions
and monitoring requirements for protecting the non-aquatic environment,
proposed for possible inclusion in the license as environmental
conditions in accordance with Sec. 50.36b of this chapter.
Sec. 51.51 Uranium fuel cycle environmental data--Table S-3.
(a) Every environmental report prepared for the construction permit
stage of a light-water-cooled nuclear power reactor, and submitted on or
after September 4, 1979, shall take Table S-3, Table of Uranium Fuel
Cycle Environmental Data, as the basis for evaluating the contribution
of the environmental effects of uranium mining and milling, the
production of uranium hexafluoride, isotopic enrichment, fuel
fabrication, reprocessing of irradiated fuel, transportation of
radioactive materials and management of low level wastes and high level
wastes related to uranium fuel cycle activities to the environmental
costs of licensing the nuclear power reactor. Table S-3 shall be
included in the environmental report and may be supplemented by a
discussion of the environmental significance of the data set forth in
the table as weighed in the analysis for the proposed facility.
(b) Table S-3.
Table S-3--Table of Uranium Fuel Cycle Environmental Data \1\
[Normalized to model LWR annual fuel requirement [WASH-1248] or
reference reactor year [NUREG-0116]]
[See footnotes at end of this table]
------------------------------------------------------------------------
Maximum effect per
annual fuel requirement
Environmental considerations Total or reference reactor
year of model 1,000 MWe
LWR
------------------------------------------------------------------------
Natural Resource Use
Land (acres):
Temporarily committed 2........... 100
Undisturbed area................ 79
Disturbed area.................. 22 Equivalent to a 110 MWe
coal-fired power
plant.
Permanently committed............. 13
Overburden moved (millions of MT). 2.8 Equivalent to 95 MWe
coal-fired power
plant.
-----------
Water (millions of gallons):
Discharged to air................. 160 =2 percent of model
1,000 MWe LWR with
cooling tower.
Discharged to water bodies........ 11,090
Discharged to ground.............. 127
-----------
Total......................... 11,377 <4 percent of model
1,000 MWe LWR with
once-through cooling.
-----------
Fossil fuel:
Electrical energy (thousands of MW- 323 <5 percent of model
hour). 1,000 MWe LWR output.
Equivalent coal (thousands of MT). 118 Equivalent to the
consumption of a 45
MWe coal-fired power
plant.
Natural gas (millions of scf)..... 135 <0.4 percent of model
1,000 MWe energy
output.
Effluents--Chemical (MT)
Gases (including entrainment): 3
SOx............................... 4,400
NOx4.............................. 1,190 Equivalent to emissions
from 45 MWe coal-fired
plant for a year.
Hydrocarbons...................... 14
CO................................ 29.6
Particulates...................... 1,154
[[Page 21]]
Other gases:
F................................. .67 Principally from UF6
production,
enrichment, and
reprocessing.
Concentration within
range of state
standards--below level
that has effects on
human health.
HCl............................... .014
Liquids:
SO-4................................ 9.9 From enrichment, fuel
NO-3................................ 25.8 fabrication, and
Fluoride............................ 12.9 reprocessing steps.
Ca++................................ 5.4 Components that
C1-................................. 8.5 constitute a potential
Na+................................. 12.1 for adverse
NH3................................. 10.0 environmental effect
Fe.................................. .4 are present in dilute
concentrations and
receive additional
dilution by receiving
bodies of water to
levels below
permissible standards.
The constituents that
require dilution and
the flow of dilution
water are: NH3--600
cfs., NO3--20 cfs.,
Fluoride--70 cfs.
Tailings solutions (thousands of MT) 240 From mills only--no
significant effluents
to environment.
Solids.............................. 91,000 Principally from mills--
no significant
effluents to
environment.
Effluents--Radiological (curies)
Gases (including entrainment):
Rn-222............................ ......... Presently under
reconsideration by the
Commission.
Ra-226............................ .02
Th-230............................ .02
Uranium........................... .034
Tritium (thousands)............... 18.1
C-14.............................. 24
Kr-85 (thousands)................. 400
Ru-106............................ .14 Principally from fuel
reprocessing plants.
I-129............................. 1.3
I-131............................. .83
Tc-99............................. ......... Presently under
consideration by the
Commission.
Fission products and transuranics. .203
Liquids:
Uranium and daughters............. 2.1 Principally from
milling--included
tailings liquor and
returned to ground--no
effluents; therefore,
no effect on
environment.
Ra-226............................ .0034 From UF6 production.
Th-230............................ .0015
Th-234............................ .01 From fuel fabrication
plants--concentration
10 percent of 10 CFR
20 for total
processing 26 annual
fuel requirements for
model LWR.
Fission and activation products... 5.9 x 10-
6
Solids (buried on site):
Other than high level (shallow)... 11,300 9,100 Ci comes from low
level reactor wastes
and 1,500 Ci comes
from reactor
decontamination and
decommissioning--burie
d at land burial
facilities. 600 Ci
comes from mills--
included in tailings
returned to ground.
Approximately 60 Ci
comes from conversion
and spent fuel
storage. No
significant effluent
to the environment.
TRU and HLW (deep)................ 1\1\ 1.1 Buried at Federal
x10 Repository.
Effluents--thermal (billions of 4,063 <5 percent of model
British thermal units). 1,000 MWe LWR.
Transportation (person-rem):
Exposure of workers and general 2.5
public.
Occupational exposure (person-rem) 22.6 From reprocessing and
waste management.
------------------------------------------------------------------------
\1\ In some cases where no entry appears it is clear from the background
documents that the matter was addressed and that, in effect, the Table
should be read as if a specific zero entry had been made. However,
there are other areas that are not addressed at all in the Table.
Table S-3 does not include health effects from the effluents described
in the Table, or estimates of releases of Radon-222 from the uranium
fuel cycle or estimates of Technetium-99 released from waste
management or reprocessing activities. These issues may be the subject
of litigation in the individual licensing proceedings.
Data supporting this table are given in the ``Environmental Survey of
the Uranium Fuel Cycle,'' WASH-1248, April 1974; the ``Environmental
Survey of the Reprocessing and Waste Management Portion of the LWR
Fuel Cycle,'' NUREG-0116 (Supp.1 to WASH-1248); the ``Public Comments
and Task Force Responses Regarding the Environmental Survey of the
Reprocessing and Waste Management Portions of the LWR Fuel Cycle,''
NUREG-0216 (Supp. 2 to WASH-1248); and in the record of the final
rulemaking pertaining to Uranium Fuel Cycle Impacts from Spent Fuel
Reprocessing and Radioactive Waste Management, Docket RM-50-3. The
contributions from reprocessing, waste management and transportation
of wastes are maximized for either of the two fuel cycles (uranium
only and no recycle). The contribution from transportation excludes
transportation of cold fuel to a reactor and of irradiated fuel and
radioactive wastes from a reactor which are considered in Table S-4 of
Sec. 51.20(g). The contributions from the other steps of the fuel
cycle are given in columns A-E of Table S-3A of WASH-1248.
[[Page 22]]
\2\ The contributions to temporarily committed land from reprocessing
are not prorated over 30 years, since the complete temporary impact
accrues regardless of whether the plant services one reactor for one
year or 57 reactors for 30 years.
\3\ Estimated effluents based upon combustion of equivalent coal for
power generation.
\4\ 1.2 percent from natural gas use and process.
[49 FR 9381, Mar. 12, 1984; 49 FR 10922, Mar. 23, 1984]
Sec. 51.52 Environmental effects of transportation of fuel and waste--Table S-4.
Every environmental report prepared for the construction permit
stage of a light-water-cooled nuclear power reactor, and submitted after
February 4, 1975, shall contain a statement concerning transportation of
fuel and radioactive wastes to and from the reactor. That statement
shall indicate that the reactor and this transportation either meet all
of the conditions in paragraph (a) of this section or all of the
conditions in paragraph (b) of this section.
(a)(1) The reactor has a core thermal power level not exceeding
3,800 megawatts;
(2) The reactor fuel is in the form of sintered uranium dioxide
pellets having a uranium-235 enrichment not exceeding 4% by weight, and
the pellets are encapsulated in zircaloy rods;
(3) The average level of irradiation of the irradiated fuel from the
reactor does not exceed 33,000 megawatt-days per metric ton, and no
irradiated fuel assembly is shipped until at least 90 days after it is
discharged from the reactor;
(4) With the exception of irradiated fuel, all radioactive waste
shipped from the reactor is packaged and in a solid form;
(5) Unirradiated fuel is shipped to the reactor by truck; irradiated
fuel is shipped from the reactor by truck, rail, or barge; and
radioactive waste other than irradiated fuel is shipped from the reactor
by truck or rail; and
(6) The environmental impacts of transportation of fuel and waste to
and from the reactor, with respect to normal conditions of transport and
possible accidents in transport, are as set forth in Summary Table S-4
in paragraph (c) of this section; and the values in the table represent
the contribution of the transportation to the environmental costs of
licensing the reactor.
(b) For reactors not meeting the conditions of paragraph (a) of this
section, the statement shall contain a full description and detailed
analysis of the environmental effects of transportation of fuel and
wastes to and from the reactor, including values for the environmental
impact under normal conditions of transport and for the environmental
risk from accidents in transport. The statement shall indicate that the
values determined by the analysis represent the contribution of such
effects to the environmental costs of licensing the reactor.
(c)
Summary Table S-4--Environmental Impact of Transportation of Fuel and
Waste to and From One Light-Water-Cooled Nuclear Power Reactor \1\
Normal Conditions of Transport
------------------------------------------------------------------------
Environmental impact
------------------------------------------------------------------------
Heat (per irradiated fuel cask in 250,000 Btu/hr.
transit).
Weight (governed by Federal or State 73,000 lbs. per truck; 100 tons
restrictions). per cask per rail car.
Traffic density:
Truck................................ Less than 1 per day.
Rail................................. Less than 3 per month
------------------------------------------------------------------------
----------------------------------------------------------------------------------------------------------------
Estimated
number of Range of doses to exposed Cumulative dose to exposed
Exposed population persons individuals \2\ (per reactor population (per reactor
exposed year) year) \3\
----------------------------------------------------------------------------------------------------------------
Transportation workers................. 200 0.01 to 300 millirem........... 4 man-rem.
General public:
Onlookers............................ 1,100 0.003 to 1.3 millirem.......... 3 man-rem.
Along Route.......................... 600,000 0.0001 to 0.06 millirem........
----------------------------------------------------------------------------------------------------------------
[[Page 23]]
Accidemts in Transport
------------------------------------------------------------------------
Environmental risk
------------------------------------------------------------------------
Radiological effects................... Small \4\
Common (nonradiological) causes........ 1 fatal injury in 100 reactor
years; 1 nonfatal injury in 10
reactor years; $475 property
damage per reactor year.
------------------------------------------------------------------------
\1\ Data supporting this table are given in the Commission's
``Environmental Survey of Transportation of Radioactive Materials to
and from Nuclear Power Plants,'' WASH-1238, December 1972, and Supp. 1
NUREG-75/038 April 1975. Both documents are available for inspection
and copying at the Commission's Public Document Room, 2120 L Street
NW., Washington, DC and may be obtained from National Technical
Information Service, Springfield, VA 22161. WASH-1238 is available
from NTIS at a cost of $5.45 (microfiche, $2.25) and NUREG-75/038 is
available at a cost of $3.25 (microfiche, $2.25).
\2\ The Federal Radiation Council has recommended that the radiation
doses from all sources of radiation other than natural background and
medical exposures should be limited to 5,000 millirem per year for
individuals as a result of occupational exposure and should be limited
to 500 millirem per year for individuals in the general population.
The dose to individuals due to average natural background radiation is
about 130 millirem per year.
\3\ Man-rem is an expression for the summation of whole body doses to
individuals in a group. Thus, if each member of a population group of
1,000 people were to receive a dose of 0.001 rem (1 millirem), or if 2
people were to receive a dose of 0.5 rem (500 millirem) each, the
total man-rem dose in each case would be 1 man-rem.
\4\ Athough the environmental risk of radiological effects stemming from
transportation accidents is currently incapable of being numerically
quantified, the risk remains small regardless of whether it is being
appiled to a single reactor or a multireactor site.
[49 FR 9381, Mar. 12, 1984; 49 FR 10922, Mar. 23, 1984, as amended at 53
FR 43420, Oct. 27, 1988]
Sec. 51.53 Postconstruction environmental reports.
(a) General. Any environmental report prepared under the provisions
of this section may incorporate by reference any information contained
in a prior environmental report or supplement thereto that relates to
the production or utilization facility or any information contained in a
final environmental document previously prepared by the NRC staff that
relates to the production or utilization facility. Documents that may be
referenced include, but are not limited to, the final environmental
impact statement; supplements to the final environmental impact
statement, including supplements prepared at the license renewal stage;
NRC staff-prepared final generic environmental impact statements; and
environmental assessments and records of decisions prepared in
connection with the construction permit, the operating license, and any
license amendment for that facility.
(b) Operating license stage. Each applicant for a license to operate
a production or utilization facility covered by Sec. 51.20 shall submit
with its application the number of copies specified in Sec. 51.55 of a
separate document entitled ``Supplement to Applicant's Environmental
Report--Operating License Stage,'' which will update ``Applicant's
Environmental Report--Construction Permit Stage.'' Unless otherwise
required by the Commission, the applicant for an operating license for a
nuclear power reactor shall submit this report only in connection with
the first licensing action authorizing full-power operation. In this
report, the applicant shall discuss the same matters described in
Secs. 51.45, 51.51, and 51.52, but only to the extent that they differ
from those discussed or reflect new information in addition to that
discussed in the final environmental impact statement prepared by the
Commission in connection with the construction permit. No discussion of
need for power, or of alternative energy sources, or of alternative
sites for the facility, or of any aspect of the storage of spent fuel
for the facility within the scope of the generic determination in
Sec. 51.23(a) and in accordance with Sec. 51.23(b) is required in this
report.
(c) Operating license renewal stage. (1) Each applicant for renewal
of a license to operate a nuclear power plant under part 54 of this
chapter shall submit with its application the number of copies specified
in Sec. 51.55 of a separate document entitled ``Applicant's
Environmental Report--Operating License Renewal Stage.''
(2) The report must contain a description of the proposed action,
including the applicant's plans to modify the facility or its
administrative control procedures as described in accordance with
Sec. 54.21 of this chapter. This report must describe in detail the
modifications directly affecting the environment or affecting plant
effluents that affect the environment. In addition, the applicant shall
discuss in this report the environmental impacts of
[[Page 24]]
alternatives and any other matters described in Sec. 51.45. The report
is not required to include discussion of need for power or the economic
costs and economic benefits of the proposed action or of alternatives to
the proposed action except insofar as such costs and benefits are either
essential for a determination regarding the inclusion of an alternative
in the range of alternatives considered or relevant to mitigation. The
environmental report need not discuss other issues not related to the
environmental effects of the proposed action and the alternatives. In
addition, the environmental report need not discuss any aspect of the
storage of spent fuel for the facility within the scope of the generic
determination in Sec. 51.23(a) and in accordance with Sec. 51.23(b).
(3) For those applicants seeking an initial renewal license and
holding either an operating license or construction permit as of June
30, 1995, the environmental report shall include the information
required in paragraph (c)(2) of this section subject to the following
conditions and considerations:
(i) The environmental report for the operating license renewal stage
is not required to contain analyses of the environmental impacts of the
license renewal issues identified as Category 1 issues in appendix B to
subpart A of this part.
(ii) The environmental report must contain analyses of the
environmental impacts of the proposed action, including the impacts of
refurbishment activities, if any, associated with license renewal and
the impacts of operation during the renewal term, for those issues
identified as Category 2 issues in appendix B to subpart A of this part.
The required analyses are as follows:
(A) If the applicant's plant utilizes cooling towers or cooling
ponds and withdraws make-up water from a river whose annual flow rate is
less than 3.15x1012 ft3/year (9x1010
m3/year), an assessment of the impact of the proposed action
on the flow of the river and related impacts on instream and riparian
ecological communities must be provided. The applicant shall also
provide an assessment of the impacts of the withdrawal of water from the
river on alluvial aquifers during low flow.
(B) If the applicant's plant utilizes once-through cooling or
cooling pond heat dissipation systems, the applicant shall provide a
copy of current Clean Water Act 316(b) determinations and, if necessary,
a 316(a) variance in accordance with 40 CFR part 125, or equivalent
State permits and supporting documentation. If the applicant can not
provide these documents, it shall assess the impact of the proposed
action on fish and shellfish resources resulting from heat shock and
impingement and entrainment.
(C) If the applicant's plant uses Ranney wells or pumps more than
100 gallons (total onsite) of ground water per minute, an assessment of
the impact of the proposed action on ground-water use must be provided.
(D) If the applicant's plant is located at an inland site and
utilizes cooling ponds, an assessment of the impact of the proposed
action on groundwater quality must be provided.
(E) All license renewal applicants shall assess the impact of
refurbishment and other license-renewal-related construction activities
on important plant and animal habitats. Additionally, the applicant
shall assess the impact of the proposed action on threatened or
endangered species in accordance with the Endangered Species Act.
(F) If the applicant's plant is located in or near a nonattainment
or maintenance area, an assessment of vehicle exhaust emissions
anticipated at the time of peak refurbishment workforce must be provided
in accordance with the Clean Air Act as amended.
(G) If the applicant's plant uses a cooling pond, lake, or canal or
discharges into a river having an annual average flow rate of less than
3.15x1012 ft3/year (9x1010
m3/year), an assessment of the impact of the proposed action
on public health from thermophilic organisms in the affected water must
be provided.
(H) If the applicant's transmission lines that were constructed for
the specific purpose of connecting the plant to the transmission system
do not meet the recommendations of the National Electric Safety Code for
preventing electric shock from induced currents, an assessment of the
impact of the proposed action on the potential shock
[[Page 25]]
hazard from the transmission lines must be provided.
(I) An assessment of the impact of the proposed action on housing
availability, land-use, and public schools (impacts from refurbishment
activities only) within the vicinity of the plant must be provided.
Additionally, the applicant shall provide an assessment of the impact of
population increases attributable to the proposed project on the public
water supply.
(J) All applicants shall assess the impact of highway traffic
generated by the proposed project on the level of service of local
highways during periods of license renewal refurbishment activities and
during the term of the renewed license.
(K) All applicants shall assess whether any historic or
archaeological properties will be affected by the proposed project.
(L) If the staff has not previously considered severe accident
mitigation alternatives for the applicant's plant in an environmental
impact statement or related supplement or in an environmental
assessment, a consideration of alternatives to mitigate severe accidents
must be provided.
(M) [Reserved]
(iii) The report must contain a consideration of alternatives for
reducing adverse impacts, as required by Sec. 51.45(c), for all Category
2 license renewal issues in appendix B to subpart A of this part. No
such consideration is required for Category 1 issues in appendix B to
subpart A of this part.
(iv) The environmental report must contain any new and significant
information regarding the environmental impacts of license renewal of
which the applicant is aware.
(d) Postoperating license stage. Each applicant for a license
amendment authorizing decommissioning activities for a production or
utilization facility either for unrestricted use or based on continuing
use restrictions applicable to the site; and each applicant for a
license amendment approving a license termination plan or
decommissioning plan under Sec. 50.82 of this chapter either for
unrestricted use or based on continuing use restrictions applicable to
the site; and each applicant for a license or license amendment to store
spent fuel at a nuclear power reactor after expiration of the operating
license for the nuclear power reactor shall submit with its application
the number of copies, as specified in Sec. 51.55, of a separate
document, entitled ``Supplement to Applicant's Environmental Report--
Post Operating License Stage,'' which will update ``Applicant's
Environmental Report--Operating License Stage,'' as appropriate, to
reflect any new information or significant environmental change
associated with the applicant's proposed decommissioning activities or
with the applicant's proposed activities with respect to the planned
storage of spent fuel. Unless otherwise required by the Commission, in
accordance with the generic determination in Sec. 51.23(a) and the
provisions in Sec. 51.23(b), the applicant shall only address the
environmental impact of spent fuel storage for the term of the license
applied for. The ``Supplement to Applicant's Environmental Report--Post
Operating License Stage'' may incorporate by reference any information
contained in ``Applicants Environmental Report--Construction Permit
Stage.
[61 FR 66543, Dec. 18, 1996, as amended at 64 FR 48506, Sept. 3, 1999]
Sec. 51.54 Environmental report--manufacturing license.
Each applicant for a license to manufacture a nuclear power reactor
or, for an amendment to a license to manufacture seeking approval of the
final design of the nuclear power reactor, pursuant to appendix M of
part 52 of this chapter, shall submit with its application, as specified
in Sec. 50.4, a separate document, entitled ``Applicant's Environmental
Report--Manufacturing License,'' or ``Supplement to Applicant's
Environmental Report--Manufacturing License.'' The environmental report
shall address the environmental matters specified in appendix M of part
52 of this chapter, and shall contain the information specified in
Sec. 51.45, as appropriate.
[51 FR 40311, Nov. 6, 1986, as amended at 54 FR 15398, Apr. 18, 1989]
[[Page 26]]
Sec. 51.55 Environmental report--number of copies; distribution.
(a) Each applicant for a license to construct and operate a
production or utilization facility covered by paragraphs (b)(1), (b)(2),
(b)(3), or (b)(4) of Sec. 51.20, each applicant for renewal of an
operating license for a nuclear power plant, each applicant for a
license amendment authorizing the decommissioning of a production or
utilization facility covered by Sec. 51.20, and each applicant for a
license or license amendment to store spent fuel at a nuclear power
plant after expiration of the operating license for the nuclear power
plant shall submit to the Director of the Office of Nuclear Reactor
Regulation or the Director of the Office of Nuclear Material Safety and
Safeguards, as appropriate, 41 copies of an environmental report or any
supplement to an environmental report. The applicant shall retain an
additional 109 copies of the environmental report or any supplement to
the environmental report for distribution to parties and Boards in the
NRC proceedings; Federal, State, and local officials; and any affected
Indian tribes, in accordance with written instructions issued by the
Director of the Office of Nuclear Reactor Regulation or the Director of
the Office of Nuclear Material Safety and Safeguards, as appropriate.
(b) Each applicant for a license to manufacture a nuclear power
reactor, or for an amendment to a license to manufacture seeking
approval of the final design of the nuclear power reactor, pursuant to
appendix M of part 52 of this chapter shall submit to the Commission an
environmental report or any supplement to an environmental report in the
manner specified in Sec. 50.4. The applicant shall retain an additional
109 copies of the environmental report or any supplement to the
environmental report for distribution to parties and Boards in the NRC
proceeding, Federal, State, and local officials and any affected Indian
tribes, in accordance with written instructions issued by the Director
of Nuclear Reactor Regulation.
[51 FR 40311, Nov. 6, 1986, as amended at 53 FR 24052, June 27, 1988; 54
FR 15398, Apr. 18, 1989; 61 FR 28488, June 5, 1996; 61 FR 66544, Dec.
18, 1996; 62 FR 59276, Nov. 3, 1997]
environmental reports--materials licenses
Sec. 51.60 Environmental report--materials licenses.
(a) Each applicant for a license or other form of permission, or an
amendment to or renewal of a license or other form of permission issued
pursuant to parts 30, 32, 33, 34, 35, 36, 39, 40, 61, 70 and/or 72 of
this chapter, and covered by paragraphs (b)(1) through (b)(5) of this
section, shall submit with its application to the Director of Nuclear
Material Safety and Safeguards the number of copies, as specified in
Sec. 51.66, of a separate document, entitled ``Applicant's Environmental
Report'' or ``Supplement to Applicant's Environmental Report,'' as
appropriate. The ``Applicant's Environmental Report'' shall contain the
information specified in Sec. 51.45. If the application is for an
amendment to or a renewal of a license or other form of permission for
which the applicant has previously submitted an environmental report,
the supplement to applicant's environmental report may be limited to
incorporating by reference, updating or supplementing the information
previously submitted to reflect any significant environmental change,
including any significant environmental change resulting from
operational experience or a change in operations or proposed
decommissioning activities. If the applicant is the U.S. Department of
Energy, the environmental report may be in the form of either an
environmental impact statement or an environmental assessment, as
appropriate.
(b) As required by paragraph (a) of this section, each applicant
shall prepare an environmental report for the following types of
actions:
(1) Issuance or renewal of a license or other form of permission
for:
(i) Possession and use of special nuclear material for processing
and fuel fabrication, scrap recovery, or conversion of uranium
hexafluoride pursuant to part 70 of this chapter.
(ii) Possession and use of source material for uranium milling or
production of uranium hexafluoride pursuant to part 40 of this chapter.
(iii) Storage of spent fuel in an independent spent fuel storage
installation
[[Page 27]]
(ISFSI) or the storage of spent fuel or high-level radio-active waste in
a monitored retrievable storage installation (MRS) pursuant to part 72
of this chapter.
(iv) Receipt and disposal of radioactive waste from other persons
pursuant to part 61 of this chapter.
(v) Processing of source material for extraction of rare earth and
other metals.
(vi) Use of radioactive tracers in field flood studies involving
secondary and tertiary oil and gas recovery.
(vii) Construction and operation of a uranium enrichment facility.
(2) Issuance of an amendment that would authorize or result in (i) a
significant expansion of a site, (ii) a significant change in the types
of effluents, (iii) a significant increase in the amounts of effluents,
(iv) a significant increase in individual or cumulative occupational
radiation exposure, (v) a significant increase in the potential for or
consequences from radiological accidents, or (vi) a significant increase
in spent fuel storage capacity, in a license or other form of permission
to conduct an activity listed in paragraph (b)(1) of this section.
(3) Amendment of a license to authorize the decommissioning of an
independent spent fuel storage installation (ISFSI) or a monitored
retrievable storage installation (MRS) pursuant to part 72 of this
chapter.
(4) Issuance of a license amendment pursuant to part 61 of this
chapter authorizing (i) closure of a land disposal site, (ii) transfer
of the license to the disposal site owner for the purpose of
institutional control, or (iii) termination of the license at the end of
the institutional control period.
(5) Any other licensing action for which the Commission determines
an Environmental Report is necessary.
[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31681, Aug. 19, 1988; 57
FR 18392, Apr. 30, 1992; 58 FR 7737, Feb. 9, 1993; 62 FR 26732, May 14,
1997]
Sec. 51.61 Environmental report--independent spent fuel storage installation (ISFSI) or monitored retrievable storage installation (MRS) license.
Each applicant for issuance of a license for storage of spent fuel
in an independent spent fuel storage installation (ISFSI) or for the
storage of spent fuel and high-level radioactive waste in a monitored
retrievable storage installation (MRS) pursuant to part 72 of this
chapter shall submit with its application to the Director of Nuclear
Material Safety and Safeguards the number of copies, as specified in
Sec. 51.66 of a separate document entitled ``Applicant's Environmental
Report--ISFSI License'' or ``Applicant's Environmental Report--MRS
License,'' as appropriate. If the applicant is the U.S. Department of
Energy, the environmental report may be in the form of either an
environmental impact statement or an environmental assessment, as
appropriate. The environmental report shall contain the information
specified in Sec. 51.45 and shall address the siting evaluation factors
contained in subpart E of part 72 of this chapter. Unless otherwise
required by the Commission, in accordance with the generic determination
in Sec. 51.23(a) and the provisions in Sec. 51.23(b), no discussion of
the environmental impact of the storage of spent fuel at an ISFSI beyond
the term of the license or amendment applied for is required in an
environmental report submitted by an applicant for an initial license
for storage of spent fuel in an ISFSI, or any amendment thereto.
[53 FR 31681, Aug. 19, 1988]
Sec. 51.62 Environmental report--land disposal of radioactive waste licensed under 10 CFR part 61.
(a) Each applicant for issuance of a license for land disposal of
radioactive waste pursuant to part 61 of this chapter shall submit with
its application to the Director of Nuclear Material Safety and
Safeguards the number of copies, as specified in Sec. 51.66 of a
separate
[[Page 28]]
document, entitled ``Applicant's Environmental Report--License for Land
Disposal of Radioactive Waste.'' The environmental report and any
supplement to the environmental report may incorporate by reference
information contained in the application or in any previous application,
statement or report filed with the Commission provided that such
references are clear and specific and that copies of the information so
incorporated are available at the NRC Web site, http://www.nrc.gov, and/
or at the NRC Public Document Room.
(b) The environmental report shall contain the information specified
in Sec. 51.45, shall address the applicant's environmental monitoring
program required by Secs. 61.12(l), 61.53 and 61.59(b) of this chapter,
and shall be as complete as possible in the light of information that is
available at the time the environmental report is submitted.
(c) The applicant shall supplement the environmental report in a
timely manner as necessary to permit the Commission to review, prior to
issuance, amendment or renewal of a license, new information regarding
the environmental impact of previously proposed activities, information
regarding the environmental impact of any changes in previously proposed
activities, or any significant new information regarding the
environmental impact of closure activities and long-term performance of
the disposal site.
[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 43420, Oct. 27, 1988; 64
FR 48952, Sept. 9, 1999]
Sec. 51.66 Environmental report--number of copies; distribution.
(a) Each applicant for a license or other form of permission, or an
amendment to or renewal of a license or other form of permission issued
pursuant to parts 30, 32, 33, 34, 35, 36, 39, 40, 61, 70 and/or 72 of
this chapter, and covered by paragraphs (b) (1) through (6) of
Sec. 51.60; or by Sec. 51.61 or Sec. 51.62 shall submit to the Director
of Nuclear Material Safety and Safeguards an environmental report or any
supplement to an environmental report in the number of copies specified.
The applicant shall retain additional copies of the environmental report
or any supplement to the environmental report in the number of copies
specified for distribution to Federal, State, and local officials and
any affected Indian tribes in accordance with written instructions
issued by the Director of Nuclear Material Safety and Safeguards.
(b)
Environmental Report
------------------------------------------------------------------------
Number of copies
Number of copies to to be retained by
Type of licensing action be submitted with applicant for
application subsequent
distribution
------------------------------------------------------------------------
Licensing actions requiring 25 copies.......... 125 copies.
environmental impact
statements pursuant to Sec.
51.20(b).
Licensing actions requiring 15 copies.......... None.
environmental assessments
pursuant to Sec. 51.21.
------------------------------------------------------------------------
[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 8241, Mar. 17, 1987; 58
FR 7737, Feb. 9, 1993]
Sec. 51.67 Environmental information concerning geologic repositories.
(a) In lieu of an environmental report, the Department of Energy, as
an applicant for a license or license amendment pursuant to part 60 of
this chapter, shall submit to the Commission any final environmental
impact statement which the Department prepares in connection with any
geologic repository developed under Subtitle A of Title I, or under
Title IV, of the Nuclear Waste Policy Act of 1982, as amended. (See
Sec. 60.22 of this chapter as to required time and manner of
submission.) The statement shall include, among the alternatives under
consideration, denial of a license or construction authorization by the
Commission.
(b) Under applicable provisions of law, the Department of Energy may
be required to supplement its final environmental impact statement if it
makes a substantial change in its proposed action that is relevant to
environmental concerns or determines that there are significant new
circumstances or information relevant to environmental concerns and
bearing on the proposed action or its impacts. The Department shall
submit any supplement to its final environmental impact
[[Page 29]]
statement to the Commission. (See Sec. 60.22 of this chapter as to
required time and manner of submission.)
(c) Whenever the Department of Energy submits a final environmental
impact statement, or a final supplement to an environmental impact
statement, to the Commission pursuant to this section, it shall also
inform the Commission of the status of any civil action for judicial
review initiated pursuant to section 119 of the Nuclear Waste Policy Act
of 1982. This status report, which the Department shall update from time
to time to reflect changes in status, shall:
(1) State whether the environmental impact statement has been found
by the courts of the United States to be adequate or inadequate; and
(2) Identify any issues relating to the adequacy of the
environmental impact statement that may remain subject to judicial
review.
[54 FR 27870, July 3, 1989]
environmental reports--rulemaking
Sec. 51.68 Environmental report--rulemaking.
Petitioners for rulemaking requesting amendments of parts 30, 31,
32, 33, 34, 35, 36, 39, 40 or part 70 of this chapter concerning the
exemption from licensing and regulatory requirements of or authorizing
general licenses for any equipment, device, commodity or other product
containing byproduct material, source material or special nuclear
material shall submit with the petition the number of copies, as
specified in Sec. 51.69, of a separate document entitled ``Petitioner's
Environmental Report,'' which shall contain the information specified in
Sec. 51.45.
[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 8241, Mar. 17, 1987; 58
FR 7737, Feb. 9, 1993]
Sec. 51.69 Environmental report--number of copies.
Petitioners for rulemaking covered by Sec. 51.68 shall submit fifty
(50) copies of an environmental report or any supplement to an
environmental report.
Environmental Impact Statements
draft environmental impact statements--general requirements
Sec. 51.70 Draft environmental impact statement--general.
(a) The NRC staff will prepare a draft environmental impact
statement as soon as practicable after publication of the notice of
intent to prepare an environmental impact statement and completion of
the scoping process. To the fullest extent practicable, environmental
impact statements will be prepared concurrently or integrated with
environmental impact analyses and related surveys and studies required
by other Federal law.
(b) The draft environmental impact statement will be concise, clear
and analytic, will be written in plain language with appropriate
graphics, will state how alternatives considered in it and decisions
based on it will or will not achieve the requirements of sections 101
and 102(1) of NEPA and of any other relevant and applicable
environmental laws and policies, will identify any methodologies used
and sources relied upon, and will be supported by evidence that the
necessary environmental analyses have been made. The format provided in
section 1(a) of appendix A of this subpart should be used. The NRC staff
will independently evaluate and be responsible for the reliability of
all information used in the draft environmental impact statement.
(c) The Commission will cooperate with State and local agencies to
the fullest extent possible to reduce duplication between NEPA and State
and local requirements, in accordance with 40 CFR 1506.2 (b) and (c).
Sec. 51.71 Draft environmental impact statement--contents.
(a) Scope. The draft environmental impact statement will be prepared
in accordance with the scope decided upon in the scoping process
required by Secs. 51.26 and 51.29. As appropriate and to the extent
required by the scope, the draft statement will address the topics in
paragraphs (b), (c), (d) and (e) of this section and the matters
specified in
[[Page 30]]
Sec. Sec. 51.45, 51.50, 51.51, 51.52, 51.53, 51.54, 51.61 and 51.62.
(b) Analysis of major points of view. To the extent sufficient
information is available, the draft environmental impact statement will
include consideration of major points of view concerning the
environmental impacts of the proposed action and the alternatives, and
contain an analysis of significant problems and objections raised by
other Federal, State, and local agencies, by any affected Indian tribes,
and by other interested persons.
(c) Status of compliance. The draft environmental impact statement
will list all Federal permits, licenses, approvals, and other
entitlements which must be obtained in implementing the proposed action
and will describe the status of compliance with those requirements. If
it is uncertain whether a Federal permit, license, approval, or other
entitlement is necessary, the draft environmental impact statement will
so indicate.
(d) Analysis. The draft environmental impact statement will include
a preliminary analysis that considers and weighs the environmental
effects of the proposed action; the environmental impacts of
alternatives to the proposed action; and alternatives available for
reducing or avoiding adverse environmental effects. Except for
supplemental environmental impact statements for the operating license
renewal stage prepared pursuant to Sec. 51.95(c), draft environmental
impact statements should also include consideration of the economic,
technical, and other benefits and costs of the proposed action and
alternatives and indicate what other interests and considerations of
Federal policy, including factors not related to environmental quality
if applicable, are relevant to the consideration of environmental
effects of the proposed action identified pursuant to paragraph (a) of
this section. Supplemental environmental impact statements prepared at
the license renewal stage pursuant to Sec. 51.95(c) need not discuss the
economic or technical benefits and costs of either the proposed action
or alternatives except insofar as such benefits and costs are either
essential for a determination regarding the inclusion of an alternative
in the range of alternatives considered or relevant to mitigation. In
addition, the supplemental environmental impact statement prepared at
the license renewal stage need not discuss other issues not related to
the environmental effects of the proposed action and associated
alternatives. The draft supplemental environmental impact statement for
license renewal prepared pursuant to Sec. 51.95(c) will rely on
conclusions as amplified by the supporting information in the GEIS for
issues designated as Category 1 in appendix B to subpart A of this part.
The draft supplemental environmental impact statement must contain an
analysis of those issues identified as Category 2 in appendix B to
subpart A of this part that are open for the proposed action. The
analysis for all draft environmental impact statements will, to the
fullest extent practicable, quantify the various factors considered. To
the extent that there are important qualitative considerations or
factors that cannot be quantified, these considerations or factors will
be discussed in qualitative terms. Due consideration will be given to
compliance with environmental quality standards and requirements that
have been imposed by Federal, State, regional, and local agencies having
responsibility for environmental protection, including applicable zoning
and land-use regulations and water pollution limitations or requirements
promulgated or imposed pursuant to the Federal Water Pollution Control
Act. The environmental impact of the proposed action will be considered
in the analysis with respect to matters covered by such standards and
requirements irrespective of whether a certification or license from the
appropriate authority has been obtained.3 While
[[Page 31]]
satisfaction of Commission standards and criteria pertaining to
radiological effects will be necessary to meet the licensing
requirements of the Atomic Energy Act, the analysis will, for the
purposes of NEPA, consider the radiological effects of the proposed
action and alternatives.
---------------------------------------------------------------------------
\3\ Compliance with the environmental quality standards and
requirements of the Federal Water Pollution Control Act (imposed by EPA
or designated permitting states) is not a substitute for and does not
negate the requirement for NRC to weigh all environmental effects of the
proposed action, including the degradation, if any, of water quality,
and to consider alternatives to the proposed action that are available
for reducing adverse effects. Where an environmental assessment of
aquatic impact from plant discharges is available from the permitting
authority, the NRC will consider the assessment in its determination of
the magnitude of environmental impacts for striking an overall cost-
benefit balance at the construction permit and operating license stages,
and in its determination of whether the adverse environmental impacts of
license renewal are so great that preserving the option of license
renewal for energy planning decisionmakers would be unreasonable at the
license renewal stage. When no such assessment of aquatic impacts is
available from the permitting authority, NRC will establish on its own
or in conjunction with the permitting authority and other agencies
having relevant expertise the magnitude of potential impacts for
striking an overall cost-benefit balance for the facility at the
construction permit and operating license stages, and in its
determination of whether the adverse environmental impacts of license
renewal are so great that preserving the option of license renewal for
energy planning decisionmakers would be unreasonable at the license
renewal stage.
---------------------------------------------------------------------------
(e) Preliminary recommendation. The draft environmental impact
statement normally will include a preliminary recommendation by the NRC
staff respecting the proposed action. This preliminary recommendation
will be based on the information and analysis described in paragraphs
(a) through (d) of this section and Secs. 51.75, 51.76, 51.80, 51.85,
and 51.95, as appropriate, and will be reached after considering the
environmental effects of the proposed action and reasonable
alternatives,4 and, except for supplemental environmental
impact statements for the operating license renewal stage prepared
pursuant to Sec. 51.95(c), after weighing the costs and benefits of the
proposed action. In lieu of a recommendation, the NRC staff may indicate
in the draft statement that two or more alternatives remain under
consideration.
---------------------------------------------------------------------------
\4\ The consideration of reasonable alternatives to a proposed
action involving nuclear power reactors (e.g., alternative energy
sources) is intended to assist the NRC in meeting its NEPA obligations
and does not preclude any State authority from making separate
determinations with respect to these alternatives and in no way
preempts, displaces, or affects the authority of States or other Federal
agencies to address these issues.
[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28488, June 5, 1996; 61
FR 66544, Dec. 18, 1996]
Sec. 51.72 Supplement to draft environmental impact statement.
(a) The NRC staff will prepare a supplement to a draft environmental
impact statement for which a notice of availability has been published
in the Federal Register as provided in Sec. 51.117, if:
(1) There are substantial changes in the proposed action that are
relevant to environmental concerns; or
(2) There are significant new circumstances or information relevant
to environmental concerns and bearing on the proposed action or its
impacts.
(b) The NRC staff may prepare a supplement to a draft environmental
impact statement when, in its opinion, preparation of a supplement will
further the purposes of NEPA.
(c) The supplement to a draft environmental impact statement will be
prepared and noticed in the same manner as the draft environmental
impact statement except that a scoping process need not be used.
Sec. 51.73 Request for comments on draft environmental impact statement.
Each draft environmental impact statement and each supplement to a
draft environmental impact statement distributed in accordance with
Sec. 51.74, and each news release provided pursuant to Sec. 51.74(d)
will be accompanied by or include a request for comments on the proposed
action and on the draft environmental impact statement or any supplement
to the draft environmental impact statement and will state where
comments should be submitted and the date on which the comment period
closes. A minimum comment period of 45 days will be provided. The
comment period will be calculated
[[Page 32]]
from the date on which the Environmental Protection Agency notice
stating that the draft statement or the supplement to the draft
statement has been filed with EPA is published in the Federal Register.
If no comments are provided within the time specified, it will be
presumed, unless the agency or person requests an extension of time,
that the agency or person has no comment to make. To the extent
practicable, NRC staff will grant reasonable requests for extensions of
time of up to fifteen (15) days.
Sec. 51.74 Distribution of draft environmental impact statement and supplement to draft environmental impact statement; news releases.
(a) A copy of the draft environmental impact statement will be
distributed to:
(1) The Environmental Protection Agency.
(2) Any other Federal agency which has special expertise or
jurisdiction by law with respect to any environmental impact involved or
which is authorized to develop and enforce relevant environmental
standards.
(3) The applicant or petitioner for rulemaking and any other party
to the proceeding.
(4) Appropriate State and local agencies authorized to develop and
enforce relevant environmental standards.
(5) Appropriate State, regional and metropolitan clearinghouses.
(6) Appropriate Indian tribes when the proposed action may have an
environmental impact on a reservation.
(7) Upon written request, any organization or group included in the
master list of interested organizations and groups maintained under
Sec. 51.122.
(8) Upon written request, any other person to the extent available.
(b) Additional copies will be made available in accordance with
Sec. 51.123.
(c) A supplement to a draft environmental impact statement will be
distributed in the same manner as the draft environmental impact
statement to which it relates.
(d) News releases stating the availability for comment and place for
obtaining or inspecting a draft environmental statement or supplement
will be provided to local newspapers and other appropriate media.
(e) A notice of availability will be published in the Federal
Register in accordance with Sec. 51.117.
draft environmental impact statements--production and utilization
facilities
Sec. 51.75 Draft environmental impact statement--construction permit.
A draft environmental impact statement relating to issuance of a
construction permit for a production or utilization facility will be
prepared in accordance with the procedures and measures described in
Secs. 51.70, 51.71, 51.72 and 51.73. The contribution of the
environmental effects of the uranium fuel cycle activities specified in
Sec. 51.51 shall be evaluated on the basis of impact values set forth in
Table S-3, Table of Uranium Fuel Cycle Environmental Data, which shall
be set out in the draft environmental impact statement. With the
exception of radon-222 and technetium-99 releases, no further discussion
of fuel cycle release values and other numerical data that appear
explicitly in the Table shall be required.5 The impact
statement shall take account of dose commitments and health effects from
fuel cycle effluents set forth in Table S-3 and shall in addition take
account of economic, socioeconomic, and possible cumulative impacts and
such other fuel cycle impacts as may reasonably appear significant.
---------------------------------------------------------------------------
\5\ Values for releases of Rn-222 and Tc-99 are not given in the
Table. The amount and significance of Rn-222 releases from the fuel
cycle and Tc-99 releases from waste management or reprocessing
activities shall be considered in the draft environmental impact
statement and may be the subject of litigation in individual licensing
proceedings.
[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28489, June 5, 1996]
Sec. 51.76 Draft environmental impact statement--manufacturing license.
A draft environmental impact statement relating to issuance of a
license to manufacture a nuclear power reactor will address the
environmental matters specified in appendix M of part 52 of this
chapter. The draft environmental impact statement will include
[[Page 33]]
a request for comments as provided in Sec. 51.73.
[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 15398, Apr. 18, 1989]
Sec. 51.77 Distribution of draft environmental impact statement.
(a) In addition to the distribution authorized by Sec. 51.74, a copy
of a draft environmental statement for a licensing action for a
production or utilization facility, except an action authorizing
issuance, amendment or renewal of a license to manufacture a nuclear
power reactor pursuant to 10 CFR part 52, appendix M will also be
distributed to:
(1) The chief executive of the municipality or county identified in
the draft environmental impact statement as the preferred site for the
proposed facility or activity.
(2) Upon request, the chief executive of each municipality or county
identified in the draft environmental impact statement as an alternative
site.
(b) Additional copies will be made available in accordance with
Sec. 51.123.
[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 15398, Apr. 18, 1989]
draft environmental impact statements--materials licenses
Sec. 51.80 Draft environmental impact statement--materials license.
(a) The NRC staff will either prepare a draft environmental impact
statement or as provided in Sec. 51.92, a supplement to a final
environmental impact statement for each type of action identified in
Sec. 51.20(b) (7) through (12). Except as the context may otherwise
require, procedures and measures similar to those described in
Secs. 51.70, 51.71, 51.72 and 51.73 will be followed.
(b)(1) Independent spent fuel storage installation (ISFSI). Unless
otherwise determined by the Commission and in accordance with the
generic determination in Sec. 51.23(a) and the provisions of
Sec. 51.23(b), a draft environmental impact statement on the issuance of
an initial license for storage of spent fuel at an independent spent
fuel storage installation (ISFSI) or any amendment thereto, will address
environmental impacts of spent fuel only for the term of the license or
amendment applied for.
(2) Monitored retrievable storage installation (MRS). As provided in
sections 141 (c), (d), and (e) and 148 (a) and (c) of the Nuclear Waste
Policy Act of 1982, as amended (NWPA) (96 Stat. 2242, 2243, 42 U.S.C.
10161 (c), (d), (e); 101 Stat. 1330-235, 1330-236, 42 U.S.C. 10168 (a)
and (c)), a draft environmental impact statement for the construction of
a monitored retrievable storage installation (MRS) will not address the
need for the MRS or any alternative to the design criteria for an MRS
set forth in section 141(b)(1) of the NWPA (96 Stat. 2242, 42 U.S.C.
10161(b)(1)) but may consider alternative facility designs which are
consistent with these design criteria.
[49 FR 34695, Aug. 31, 1984, as amended at 53 FR 31682, Aug. 19, 1988]
Sec. 51.81 Distribution of draft environmental impact statement.
Copies of the draft environmental impact statement and any
supplement to the draft environmental impact statement will be
distributed in accordance with the provisions of Sec. 51.74.
draft environmental impact statements--rulemaking
Sec. 51.85 Draft environmental impact statement--rulemaking.
Except as the context may otherwise require, procedures and measures
similar to those described in Secs. 51.70, 51.71, 51.72 and 51.73 will
be followed in proceedings for rulemaking for which the Commission has
determined to prepare an environmental impact statement.
Sec. 51.86 Distribution of draft environmental impact statement.
Copies of the draft environmental impact statement and any
supplement to the draft environmental impact statement will be
distributed in accordance with the provisions of Sec. 51.74.
legislative environmental impact statements--proposals for legislation
Sec. 51.88 Proposals for legislation.
The Commission will, as a matter of policy, follow the provisions of
40 CFR 1506.8 regarding the NEPA process for proposals for legislation.
[[Page 34]]
final environmental impact statements--general requirements
Sec. 51.90 Final environmental impact statement--general.
After receipt and consideration of comments requested pursuant to
Secs. 51.73 and 51.117, the NRC staff will prepare a final environmental
impact statement in accordance with the requirements in Secs. 51.70(b)
and 51.71 for a draft environmental impact statement. The format
provided in section 1(a) of appendix A of this subpart should be used.
Sec. 51.91 Final environmental impact statement--contents.
(a)(1) The final environmental impact statement will include
responses to any comments on the draft environmental impact statement or
on any supplement to the draft environmental impact statement. Responses
to comments may include:
(i) Modification of alternatives, including the proposed action;
(ii) Development and evaluation of alternatives not previously given
serious consideration;
(iii) Supplementation or modification of analyses;
(iv) Factual corrections;
(v) Explanation of why comments do not warrant further response,
citing sources, authorities or reasons which support this conclusion.
(2) All substantive comments received on the draft environmental
impact statement or any supplement to the draft environmental impact
statement (or summaries thereof where the response has been
exceptionally voluminous) will be attached to the final statement,
whether or not each comment is discussed individually in the text of the
statement.
(3) If changes in the draft environmental impact statement in
response to comments are minor and are confined either to factual
corrections or to explanations of why the comments do not warrant
further response, the changes may be made by attaching errata sheets to
the draft statement. The entire document with a new cover may then be
issued as the final environmental impact statement.
(b) The final environmental impact statement will discuss any
relevant responsible opposing view not adequately discussed in the draft
environmental impact statement or in any supplement to the draft
environmental impact statement, and respond to the issues raised.
(c) The final environmental impact statement will state how the
alternatives considered in it and decisions based on it will or will not
achieve the requirements of sections 101 and 102(1) of NEPA and of any
other relevant and applicable environmental laws and policies.
(d) The final environmental impact statement will include a final
analysis and a final recommendation on the action to be taken.
Sec. 51.92 Supplement to the final environmental impact statement.
(a) If the proposed action has not been taken, the NRC staff will
prepare a supplement to a final environmental impact statement for which
a notice of availability has been published in the Federal Register as
provided in Sec. 51.118, if:
(1) There are substantial changes in the proposed action that are
relevant to environmental concerns; or
(2) There are significant new circumstances or information relevant
to environmental concerns and bearing on the proposed action or its
impacts.
(b) The NRC staff may prepare a supplement to a final environmental
impact statement when, in its opinion, preparation of a supplement will
further the purposes of NEPA.
(c) The supplement to a final environmental impact statement will be
prepared in the same manner as the final environmental impact statement
except that a scoping process need not be used.
(d)(1) A supplement to a final environmental impact statement will
be accompanied by or will include a request for comments as provided in
Sec. 51.73 and a notice of availability will be published in the Federal
Register as provided in Sec. 51.117 if the conditions described in
paragraph (a) of this section apply.
(2) If comments are not requested, a notice of availability of a
supplement
[[Page 35]]
to a final environmental impact statement will be published in the
Federal Register as provided in Sec. 51.118.
Sec. 51.93 Distribution of final environmental impact statement and supplement to final environmental impact statement; news releases.
(a) A copy of the final environmental impact statement will be
distributed to:
(1) The Environmental Protection Agency.
(2) The applicant or petitioner for rulemaking and any other party
to the proceeding.
(3) Appropriate State, regional and metropolitan clearinghouses.
(4) Each commenter.
(b) Additional copies will be made available in accordance with
Sec. 51.123.
(c) If the final environmental impact statement is unusually long or
there are so many comments on a draft environmental impact statement or
any supplement to a draft environmental impact statement that
distribution of the entire final statement to all commenters is
impracticable, a summary of the final statement and the substantive
comments will be distributed. When the final environmental impact
statement has been prepared by adding errata sheets to the draft
environmental impact statement as provided in Sec. 51.91(a)(3), only the
comments, the responses to the comments and the changes to the
environmental impact statement will be distributed.
(d) A supplement to a final environmental impact statement will be
distributed in the same manner as the final environmental impact
statement to which it relates.
(e) News releases stating the availability and place for obtaining
or inspecting a final environmental impact statement or supplement will
be provided to local newspapers and other appropriate media.
(f) A notice of availability will be published in the Federal
Register in accordance with Sec. 51.118.
Sec. 51.94 Requirement to consider final environmental impact statement.
The final environmental impact statement, together with any comments
and any supplement, will accompany the application or petition for
rulemaking through, and be considered in, the Commission's
decisionmaking process. The final environmental impact statement,
together with any comments and any supplement, will be made a part of
the record of the appropriate adjudicatory or rulemaking proceeding.
final environmental impact statements--production and utilization
facilities
Sec. 51.95 Postconstruction environmental impact statements.
(a) General. Any supplement to a final environmental impact
statement or any environmental assessment prepared under the provisions
of this section may incorporate by reference any information contained
in a final environmental document previously prepared by the NRC staff
that relates to the same production or utilization facility. Documents
that may be referenced include, but are not limited to, the final
environmental impact statement; supplements to the final environmental
impact statement, including supplements prepared at the operating
license stage; NRC staff-prepared final generic environmental impact
statements; environmental assessments and records of decisions prepared
in connection with the construction permit, the operating license, and
any license amendment for that facility. A supplement to a final
environmental impact statement will include a request for comments as
provided in Sec. 51.73.
(b) Initial operating license stage. In connection with the issuance
of an operating license for a production or utilization facility, the
NRC staff will prepare a supplement to the final environmental impact
statement on the construction permit for that facility, which will
update the prior environmental review. The supplement will only cover
matters that differ from the final environmental impact statement or
that reflect significant new information concerning matters discussed in
the final environmental impact statement. Unless otherwise determined by
the Commission, a supplement on the operation of a nuclear power plant
will not include a discussion of need for power, or of alternative
energy sources,
[[Page 36]]
or of alternative sites, or of any aspect of the storage of spent fuel
for the nuclear power plant within the scope of the generic
determination in Sec. 51.23(a) and in accordance with Sec. 51.23(b), and
will only be prepared in connection with the first licensing action
authorizing full-power operation.
(c) Operating license renewal stage. In connection with the renewal
of an operating license for a nuclear power plant under part 54 of this
chapter, the Commission shall prepare an EIS, which is a supplement to
the Commission's NUREG-1437, ``Generic Environmental Impact Statement
for License Renewal of Nuclear Plants'' (May 1996) which is available in
the NRC Public Document Room, 2120 L Street, NW., (Lower Level)
Washington, DC.
(1) The supplemental environmental impact statement for the
operating license renewal stage shall address those issues as required
by Sec. 51.71. In addition, the NRC staff must comply with 40 CFR
1506.6(b)(3) in conducting the additional scoping process as required by
Sec. 51.71(a).
(2) The supplemental environmental impact statement for license
renewal is not required to include discussion of need for power or the
economic costs and economic benefits of the proposed action or of
alternatives to the proposed action except insofar as such benefits and
costs are either essential for a determination regarding the inclusion
of an alternative in the range of alternatives considered or relevant to
mitigation. In addition, the supplemental environmental impact statement
prepared at the license renewal stage need not discuss other issues not
related to the environmental effects of the proposed action and the
alternatives, or any aspect of the storage of spent fuel for the
facility within the scope of the generic determination in Sec. 51.23(a)
and in accordance with Sec. 51.23(b). The analysis of alternatives in
the supplemental environmental impact statement should be limited to the
environmental impacts of such alternatives and should otherwise be
prepared in accordance with Sec. 51.71 and appendix A to subpart A of
this part.
(3) The supplemental environmental impact statement shall be issued
as a final impact statement in accordance with Secs. 51.91 and 51.93
after considering any significant new information relevant to the
proposed action contained in the supplement or incorporated by
reference.
(4) The supplemental environmental impact statement must contain the
NRC staff's recommendation regarding the environmental acceptability of
the license renewal action. In order to make its recommendation and
final conclusion on the proposed action, the NRC staff, adjudicatory
officers, and Commission shall integrate the conclusions, as amplified
by the supporting information in the generic environmental impact
statement for issues designated Category 1 (with the exception of
offsite radiological impacts for collective effects and the disposal of
spent fuel and high level waste) or resolved Category 2,information
developed for those open Category 2 issues applicable to the plant in
accordance with Sec. 51.53(c)(3)(ii), and any significant new
information. Given this information, the NRC staff, adjudicatory
officers, and Commission shall determine whether or not the adverse
environmental impacts of license renewal are so great that preserving
the option of license renewal for energy planning decisionmakers would
be unreasonable.
(d) Postoperating license stage. In connection with the amendment of
an operating license authorizing decommissioning activities at a
production or utilization facility covered by Sec. 51.20, either for
unrestricted use or based on continuing use restrictions applicable to
the site, or with the issuance, amendment or renewal of a license to
store spent fuel at a nuclear power reactor after expiration of the
operating license for the nuclear power reactor, the NRC staff will
prepare a supplemental environmental impact statement for the post
operating license stage or an environmental assessment, as appropriate,
which will update the prior environmental review. The supplement or
assessment may incorporate by reference any information contained in the
final environmental impact statement-operating license stage, or in the
records of decision prepared in connection with the construction permit
or the operating license for
[[Page 37]]
that facility. The supplement will include a request for comments as
provided in Sec. 51.73. Unless other wise required by the Commission in
accordance with the generic determination in Sec. 51.23(a) and the
provisions of Sec. 51.23(b), a supplemental environmental impact
statement for the post operating license stage or an environmental
assessment, as appropriate, will address the environmental impacts of
spent fuel storage only for the term of the license, license amendment
or license renewal applied for.
[61 FR 66545, Dec. 18, 1996]
final environmental impact statements--materials licenses
Sec. 51.97 Final environmental impact statement--materials license.
(a) Independent spent fuel storage installation (ISFSI). Unless
otherwise determined by the Commission, and in accordance with the
generic determination in Sec. 51.23(a) and the provisions of
Sec. 51.23(b), a final environmental impact statement on the issuance of
an initial license for the storage of spent fuel at an independent spent
fuel storage installation (ISFSI) or any amendment thereto, will address
environmental impacts of spent fuel storage only for the term of the
license or amendment applied for.
(b) Monitored retrievable storage facility (MRS). As provided in
sections 141 (c), (d), and (e) and 148 (a) and (c) of the Nuclear Waste
Policy Act of 1982, as amended (NWPA) (96 Stat. 2242, 2243, 42 U.S.C.
10161 (c), (d), (e); 101 Stat. 1330-235, 1330-236, 42 U.S.C. 10168 (a),
(c)) a final environmental impact statement for the construction of a
monitored retrievable storage installation (MRS) will not address the
need for the MRS or any alternative to the design criteria for an MRS
set forth in section 141(b)(1) of the NWPA (96 Stat. 2242, 42 U.S.C.
10161(b)(1)) but may consider alternative facility designs which are
consistent with these design criteria.
(c) Uranium enrichment facility. As provided in section 5(e) of the
Solar, Wind, Waste, and Geothermal Power Production Incentives Act of
1990 (104 Stat. 2834 at 2835, 42 U.S.C. 2243), a final environmental
impact statement must be prepared before the hearing on the issuance of
a license for a uranium enrichment facility is completed.
[49 FR 34695, Aug. 31, 1984, as amended at 53 FR 31682, Aug. 19, 1988;
57 FR 18392, Apr. 30, 1992]
final environmental impact statements--rulemaking
Sec. 51.99 [Reserved]
NEPA Procedure and Administrative Action
general
Sec. 51.100 Timing of Commission action.
(a)(1) Except as provided in Sec. 51.13 and paragraph (b) of this
section, no decision on a proposed action, including the issuance of a
permit, license, or other form of permission, or amendment to or renewal
of a permit, license, or other form of permission, or the issuance of an
effective regulation, for which an environmental impact statement is
required, will be made and no record of decision will be issued until
the later of the following dates:
(i) Ninety (90) days after publication by the Environmental
Protection Agency of a Federal Register notice stating that the draft
environmental impact statement has been filed with EPA.
(ii) Thirty (30) days after publication by the Environmental
Protection Agency of a Federal Register notice stating that the final
environmental impact statement has been filed with EPA.
(2) If a notice of filing of a final environmental impact statement
is published by the Environmental Protection Agency within ninety (90)
days after a notice of filing of a draft environmental impact statement
has been published by EPA, the minimum thirty (30) day period and the
minimum ninety (90) day period may run concurrently to the extent they
overlap.
(b) In any rulemaking proceeding for the purpose of protecting the
public health or safety or the common defense and security, the
Commission may make and publish the decision on the final rule at the
same time that the Environmental Protection Agency publishes the Federal
Register notice of
[[Page 38]]
filing of the final environmental impact statement.
Sec. 51.101 Limitations on actions.
(a) Until a record of decision is issued in connection with a
proposed licensing or regulatory action for which an environmental
impact statement is required under Sec. 51.20, or until a final finding
of no significant impact is issued in connection with a proposed
licensing or regulatory action for which an environmental assessment is
required under Sec. 51.21:
(1) No action concerning the proposal may be taken by the Commission
which would (i) have an adverse environmental impact, or (ii) limit the
choice of reasonable alternatives.
(2) Any action concerning the proposal taken by an applicant which
would (i) have an adverse environmental impact, or (ii) limit the choice
of reasonable alternatives may be grounds for denial of the license. In
the case of an application covered by Secs. 30.32(f), 40.31(f),
50.10(c), 70.21(f), or Secs. 72.16 and 72.34 of this chapter, the
provisions of this paragraph will be applied in accordance with
Secs. 30.33(a)(5), 40.32(e), 50.10 (c) and (e), 70.23(a)(7) or
Sec. 72.40(b) of this chapter, as appropriate.
(b) While work on a required program environmental impact statement
is in progress, the Commission will not undertake in the interim any
major Federal action covered by the program which may significantly
affect the quality of the human environment unless such action:
(1) Is justified independently of the program;
(2) Is itself accompanied by an adequate environmental impact
statement; and
(3) Will not prejudice the ultimate decision on the program. Absent
any satisfactory explanation to the contrary, interim action which tends
to determine subsequent development or limit reasonable alternatives,
will be considered prejudicial.
(c) This section does not preclude any applicant for an NRC permit,
license, or other form of permission, or amendment to or renewal of an
NRC permit, license, or other form of permission, (1) from developing
any plans or designs necessary to support an application; or (2) after
prior notice and consultation with NRC staff, (i) from performing any
physical work necessary to support an application, or (ii) from
performing any other physical work relating to the proposed action if
the adverse environmental impact of that work is de minimis.
[49 FR 9381, Mar. 12, 1984, as amended at 53 FR 31682, Aug. 19, 1988]
Sec. 51.102 Requirement to provide a record of decision; preparation.
(a) A Commission decision on any action for which a final
environmental impact statement has been prepared shall be accompanied by
or include a concise public record of decision.
(b) Except as provided in paragraph (c) of this section, the record
of decision will be prepared by the NRC staff director authorized to
take the action.
(c) When a hearing is held on the proposed action under the
regulations in subpart G of part 2 of this chapter or when the action
can only be taken by the Commissioners acting as a collegial body, the
initial decision of the presiding officer or the final decision of the
Atomic Safety and Licensing Appeal Board or the final decision of the
Commissioners acting as a collegial body will constitute the record of
decision. An initial or final decision constituting the record of
decision will be distributed as provided in Sec. 51.93.
Sec. 51.103 Record of decision--general.
(a) The record of decision required by Sec. 51.102 shall be clearly
identified and shall:
(1) State the decision.
(2) Identify all alternatives considered by the Commission in
reaching the decision, state that these alternatives were included in
the range of alternatives discussed in the environmental impact
statement, and specify the alternative or alternatives which were
considered to be environmentally preferable.
(3) Discuss preferences among alternatives based on relevant
factors, including economic and technical considerations where
appropriate, the NRC's statutory mission, and any essential
considerations of national policy,
[[Page 39]]
which were balanced by the Commission in making the decision and state
how these considerations entered into the decision.
(4) State whether the Commission has taken all practicable measures
within its jurisdiction to avoid or minimize environmental harm from the
alternative selected, and if not, to explain why those measures were not
adopted. Summarize any license conditions and monitoring programs
adopted in connection with mitigation measures.
(5) In making a final decision on a license renewal action pursuant
to part 54 of this chapter, the Commission shall determine whether or
not the adverse environmental impacts of license renewal are so great
that preserving the option of license renewal for energy planning
decisionmakers would be unreasonable.
(b) The record of decision may be integrated into any other record
prepared by the Commission in connection with the action.
(c) The record of decision may incorporate by reference material
contained in a final environmental impact statement.
[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28490, June 5, 1996; 61
FR 66546, Dec. 18, 1996; 61 FR 68543, Dec. 30, 1996]
Sec. 51.104 NRC proceeding using public hearings; consideration of environmental impact statement.
(a)(1) In any proceeding in which (i) a hearing is held on the
proposed action, (ii) a final environmental impact statement has been
prepared in connection with the proposed action, and (iii) matters
within the scope of NEPA and this subpart are in issue, the NRC staff
may not offer the final environmental impact statement in evidence or
present the position of the NRC staff on matters within the scope of
NEPA and this subpart until the final environmental impact statement is
filed with the Environmental Protection Agency, furnished to commenting
agencies and made available to the public.
(2) Any party to the proceeding may take a position and offer
evidence on the aspects of the proposed action within the scope of NEPA
and this subpart in accordance with the provisions of part 2 of this
chapter applicable to that proceeding or in accordance with the terms of
the notice of hearing.
(3) In the proceeding the presiding officer will decide those
matters in controversy among the parties within the scope of NEPA and
this subpart.
(b) In any proceeding in which a hearing is held where the NRC staff
has determined that no environmental impact statement need be prepared
for the proposed action, unless the Commission orders otherwise, any
party to the proceeding may take a position and offer evidence on the
aspects of the proposed action within the scope of NEPA and this subpart
in accordance with the provisions of part 2 of this chapter applicable
to that proceeding or in accordance with the terms of the notice of
hearing. In the proceeding, the presiding officer will decide any such
matters in controversy among the parties.
production and utilization facilities
Sec. 51.105 Public hearings in proceedings for issuance of construction permits or licenses to manufacture.
(a) In addition to complying with applicable requirements of
Sec. 51.104, in a proceeding for the issuance of a construction permit
for a nuclear power reactor, testing facility, fuel reprocessing plant
or isotopic enrichment plant, or for the issuance of a license to
manufacture, the presiding officer will:
(1) Determine whether the requirements of section 102(2) (A), (C),
and (E) of NEPA and the regulations in this subpart have been met;
(2) Independently consider the final balance among conflicting
factors contained in the record of the proceeding with a view to
determining the appropriate action to be taken;
(3) Determine, after weighing the environmental, economic,
technical, and other benefits against environmental and other costs, and
considering reasonable alternatives, whether the construction permit or
license to manufacture should be issued, denied, or appropriately
conditioned to protect environmental values;
[[Page 40]]
(4) Determine, in an uncontested proceeding, whether the NEPA review
conducted by the NRC staff has been adequate; and
(5) Determine, in a contested proceeding, whether in accordance with
the regulations in this subpart, the construction permit or license to
manufacture should be issued as proposed.
Sec. 51.106 Public hearings in proceedings for issuance of operating licenses.
(a) Consistent with the requirements of this section and as
appropriate, the presiding officer in an operating license hearing shall
comply with any applicable requirements of Secs. 51.104 and 51.105.
(b) During the course of a hearing on an application for issuance of
an operating license for a nuclear power reactor, or a testing facility,
the presiding officer may authorize, pursuant to Sec. 50.57(c) of this
chapter, the loading of nuclear fuel in the reactor core and limited
operation within the scope of Sec. 50.57(c) of this chapter, upon
compliance with the procedures described therein. In any such hearing,
where any party opposes such authorization on the basis of matters
covered by subpart A of this part, the provisions of Secs. 51.104 and
51.105 will apply, as appropriate.
(c) The presiding officer in an operating license hearing shall not
admit contentions proffered by any party concerning need for power or
alternative energy sources or alternative sites for the facility for
which an operating license is requested.
(d) The presiding officer in an operating license hearing shall not
raise issues concerning alternative sites for the facility for which an
operating license is requested sua sponte.
materials licenses
Sec. 51.108 [Reserved]
Sec. 51.109 Public hearings in proceedings for issuance of materials license with respect to a geologic repository.
(a)(1) In a proceeding for the issuance of a license to receive and
possess source, special nuclear, and byproduct material at a geologic
repository operations area, the NRC staff shall, upon the publication of
the notice of hearing in the Federal Register, present its position on
whether it is practicable to adopt, without further supplementation, the
environmental impact statement (including any supplement thereto)
prepared by the Secretary of Energy. If the position of the staff is
that supplementation of the environmental impact statement by NRC is
required, it shall file its final supplemental environmental impact
statement with the Environmental Protection Agency, furnish that
statement to commenting agencies, and make it available to the public,
before presenting its position, or as soon thereafter as may be
practicable. In discharging its responsibilities under this paragraph,
the staff shall be guided by the principles set forth in paragraphs (c)
and (d) of this section.
(2) Any other party to the proceeding who contends that it is not
practicable to adopt the DOE environmental impact statement, as it may
have been supplemented, shall file a contention to that effect within
thirty days after the publication of the notice of hearing in the
Federal Register. Such contention must be accompanied by one or more
affidavits which set forth factual and/or technical bases for the claim
that, under the principles set forth in paragraphs (c) and (d) of this
section, it is not practicable to adopt the DOE environmental impact
statement, as it may have been supplemented. The presiding officer shall
resolve disputes concerning adoption of the DOE environmental impact
statement by using, to the extent possible, the criteria and procedures
that are followed in ruling on motions to reopen under Sec. 2.734 of
this chapter.
(b) In any such proceeding, the presiding officer will determine
those matters in controversy among the parties within the scope of NEPA
and this subpart, specifically including whether, and to what extent, it
is practicable to adopt the environmental impact statement prepared by
the Secretary of Energy in connection with the issuance of a
construction authorization and license for such repository.
[[Page 41]]
(c) The presiding officer will find that it is practicable to adopt
any environmental impact statement prepared by the Secretary of Energy
in connection with a geologic repository proposed to be constructed
under Title I of the Nuclear Waste Policy Act of 1982, as amended,
unless:
(1)(i) The action proposed to be taken by the Commission differs
from the action proposed in the license application submitted by the
Secretary of Energy; and
(ii) The difference may significantly affect the quality of the
human environment; or
(2) Significant and substantial new information or new
considerations render such environmental impact statement inadequate.
(d) To the extent that the presiding officer determines it to be
practicable, in accordance with paragraph (c) of this section, to adopt
the environmental impact statement prepared by the Secretary of Energy,
such adoption shall be deemed to satisfy all responsibilities of the
Commission under NEPA and no further consideration under NEPA or this
subpart shall be required.
(e) To the extent that it is not practicable, in accordance with
paragraph (c) of this section, to adopt the environmental impact
statement prepared by the Secretary of Energy, the presiding officer
will:
(1) Determine whether the requirements of section 102(2) (A), (C),
and (E) of NEPA and the regulations in this subpart have been met;
(2) Independently consider the final balance among conflicting
factors contained in the record of the proceeding with a view to
determining the appropriate action to be taken;
(3) Determine, after weighing the environmental, economic, technical
and other benefits against environmental and other costs, whether the
construction authorization or license should be issued, denied, or
appropriately conditioned to protect environmental values;
(4) Determine, in an uncontested proceeding, whether the NEPA review
conducted by the NRC staff has been adequate; and
(5) Determine, in a contested proceeding, whether in accordance with
the regulations in this subpart, the construction authorization or
license should be issued as proposed.
(f) In making the determinations described in paragraph (e), the
environmental impact statement will be deemed modified to the extent
that findings and conclusions differ from those in the final statement
prepared by the Secretary of Energy, as it may have been supplemented.
The initial decision will be distributed to any persons not otherwise
entitled to receive it who responded to the request in the notice of
docketing, as described in Sec. 51.26(c). If the Commission or the
Atomic Safety and Licensing Appeal Board reaches conclusions different
from those of the presiding officer with respect to such matters, the
final environmental impact statement will be deemed modified to that
extent and the decision will be similarly distributed.
(g) The provisions of this section shall be followed, in place of
those set out in Sec. 51.104, in any proceedings for the issuance of a
license to receive and possess source, special nuclear, and byproduct
material at a geologic repository operations area.
[54 FR 27870, July 3, 1989]
rulemaking
Sec. 51.110 [Reserved]
Public Notice of and Access to Environmental Documents
Sec. 51.116 Notice of intent.
(a) In accordance with Sec. 51.26, the appropriate NRC staff
director will publish in the Federal Register a notice of intent stating
that an environmental impact statement will be prepared. The notice will
contain the information specified in Sec. 51.27.
(b) Copies of the notice will be sent to appropriate Federal, State,
and local agencies, and Indian tribes, appropriate State, regional, and
metropolitan clearinghouses and to interested persons upon request. A
public announcement of the notice of intent will also be made.
[[Page 42]]
Sec. 51.117 Draft environmental impact statement--notice of availability.
(a) Upon completion of a draft environmental impact statement or any
supplement to a draft environmental impact statement, the appropriate
NRC staff director will publish a notice of availability of the
statement in the Federal Register.
(b) The notice will request comments on the proposed action and on
the draft statement or any supplement to the draft statement and will
specify where comments should be submitted and when the comment period
expires.
(c) The notice will (1) state that copies of the draft statement or
any supplement to the draft statement are available for public
inspection; (2) state where inspection may be made, and (3) state that
any comments of Federal, State, and local agencies, Indian tribes or
other interested persons will be made available for public inspection
when received.
(d) Copies of the notice will be sent to appropriate Federal, State,
and local agencies, and Indian tribes, appropriate State, regional, and
metropolitan clearinghouses, and to interested persons upon request.
Sec. 51.118 Final environmental impact statement--notice of availability.
(a) Upon completion of a final environmental impact statement or any
supplement to a final environmental impact statement, the appropriate
NRC staff director will publish a notice of availability of the
statement in the Federal Register. The notice will state that copies of
the final statement or any supplement to the final statement are
available for public inspection and where inspection may be made. Copies
of the notice will be sent to appropriate Federal, State, and local
agencies, and Indian tribes, appropriate State, regional, and
metropolitan clearinghouses and to interested persons upon request.
(b) Upon adoption of a final environmental impact statement or any
supplement to a final environmental impact statement prepared by the
Department of Energy with respect to a geologic repository that is
subject to the Nuclear Waste Policy Act of 1982, the appropriate NRC
staff director shall follow the procedures set out in paragraph (a) of
this section.
[49 FR 9381, Mar. 12, 1984, as amended at 54 FR 27871, July 3, 1989]
Sec. 51.119 Publication of finding of no significant impact; distribution.
(a) As required by Sec. 51.35, the appropriate NRC staff director
will publish the finding of no significant impact in the Federal
Register. The finding of no significant impact will be identified as a
draft or final finding, and will contain the information specified in
Secs. 51.32 or 51.33, as appropriate. A draft finding of no significant
impact will include a request for comments which specifies where
comments should be submitted and when the comment period expires.
(b) The finding will state that copies of the finding, the
environmental assessment setting forth the basis for the finding and any
related environmental documents are available for public inspection and
where inspection may be made.
(c) A copy of a final finding will be sent to appropriate Federal,
State, and local agencies, and Indian tribes, appropriate State,
regional, and metropolitan clearinghouses, the applicant or petitioner
for rulemaking and any other party to the proceeding, and if a draft
finding was issued, to each commenter. Additional copies will be made
available in accordance with Sec. 51.123.
Sec. 51.120 Availability of environmental documents for public inspection.
Copies of environmental reports, draft and final environmental
impact statements, environmental assessments, and findings of no
significant impact, together with any related comments and environmental
documents, will be made available at the NRC Web site, http://
www.nrc.gov, and/or at the NRC Public Document Room.
[64 FR 48952, Sept. 9, 1999]
Sec. 51.121 Status of NEPA actions.
Individuals or organizations desiring information on the NRC's NEPA
process or on the status of specific NEPA actions should address
inquiries to:
(a) Utilization facilities: Director, Office of Nuclear Reactor
Regulation, U.S. Nuclear Regulatory Commission,
[[Page 43]]
Washington, DC 20555, Telephone (301) 415-1270.
(b) Production facilities: Director, Office of Nuclear Material
Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington,
DC 20555, Telephone: (301) 415-7800.
(c) Materials licenses: Director, Office of Nuclear Material Safety
and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC
20555, Telephone: (301) 415-7800.
(d) Rulemaking: Director, Office of Nuclear Regulatory Research,
U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone:
(301) 415-6641.
(e) General Environmental Matters: Executive Director for
Operations, U.S. Nuclear Regulatory Commission, Washington, DC 20555,
Telephone: (301) 415-1700.
[53 FR 13399, Apr. 25, 1988, as amended at 60 FR 24552, May 9, 1995]
Sec. 51.122 List of interested organizations and groups.
The NRC Office of Information Resources Management will maintain a
master list of organizations and groups, including relevant conservation
commissions, known to be interested in the Commission's licensing and
regulatory activities. The NRC Office of Information Resources
Management with the assistance of the appropriate NRC staff director
will select from this master list those organizations and groups that
may have an interest in a specific NRC NEPA action and will promptly
notify such organizations and groups of the availability of a draft
environmental impact statement or a draft finding of no significant
impact.
[49 FR 9381, Mar. 12, 1984, as amended at 52 FR 31612, Aug. 12, 1987; 54
FR 53316, Dec. 28, 1989]
Sec. 51.123 Charges for environmental documents; distribution to public; distribution to governmental agencies.
(a) Distribution to public. Upon written request to the Reproduction
and Distribution Services Section, Office of the Chief Information
Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001,
and to the extent available, single copies of draft environmental impact
statements and draft findings of no significant impact will be made
available to interested persons without charge. Single copies of final
environmental impact statements and final findings of no significant
impact will also be provided without charge to the persons listed in
Secs. 51.93(a) and 51.119(c), respectively. When more than one copy of
an environmental impact statement or a finding of no significant impact
is requested or when available NRC copies have been exhausted, the
requestor will be advised that the NRC will provide copies at the
charges specified in Sec. 9.35 of this chapter.
(b) Distribution to governmental agencies. Upon written request to
the Reproduction and Distribution Services Section, Office of the Chief
Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001, and to the extent available, copies of draft and final
environmental impact statements and draft final findings of no
significant impact will be made available in the number requested to
Federal, State and local agencies, Indian tribes, and State, regional
and metropolitan clearinghouses. When available NRC copies have been
exhausted, the requester will be advised that the NRC will provide
copies at the charges specified in Sec. 9.35 of this chapter.
(c) Charges. Charges for the reproduction of environmental documents
by the NRC at locations other than the NRC Public Document Room located
in Washington, DC vary according to location.
[50 FR 21037, May 22, 1985, as amended at 52 FR 31612, Aug. 21, 1987; 53
FR 43421, Oct. 27, 1988; 61 FR 9902, Mar. 12, 1996; 64 FR 48952, Sept.
9, 1999]
Commenting
Sec. 51.124 Commission duty to comment.
It is the policy of the Commission to comment on draft environmental
impact statements prepared by other Federal agencies, consistent with
the provisions of 40 CFR 1503.2 and 1503.3.
[[Page 44]]
Responsible Official
Sec. 51.125 Responsible official.
The Executive Director for Operations shall be responsible for
overall review of NRC NEPA compliance, except for matters under the
jurisdiction of a presiding officer, administrative judge,
administrative law judge, Atomic Safety and Licensing Board, Atomic
Safety and Licensing Appeal Board, or the Commission acting as a
collegial body.
Appendix A to Subpart A--Format for Presentation of Material in
Environmental Impact Statements
1. General
2. Cover sheet
3. Summary
4. Purpose of and need for action
5. Alternatives including the proposed action
6. Affected environment
7. Environmental consequences and mitigating actions
8. List of preparers
9. Appendices
1. General.
(a) The Commission will use a format for environmental impact
statements which will encourage good analysis and clear presentation of
the alternatives including the proposed action. The following standard
format for environmental impact statements should be followed unless
there is a compelling reason to do otherwise:
(1) Cover sheet*
(2) Summary*
(3) Table of Contents
(4) Purpose of and Need for Action*
(5) Alternatives including the proposed action*
(6) Affected Environment*
(7) Environmental Consequences and Mitigating Actions*
(8) List of Preparers*
(9) List of Agencies, Organizations and Persons to Whom Copies of the
Statement are Sent
(10) Substantive Comments Received and NRC Staff Responses
(11) Index
(12) Appendices (if any)*
If a different format is used, it shall include paragraphs (1), (2),
(3), (8), (9), (10), and (11) of this section and shall include the
substance of paragraphs (4), (5), (6), (7), and (12) of this section, in
any appropriate format.
Additional guidance on the presentation of material under the format
headings identified by an asterisk is set out in sections 2.-9. of this
appendix.
(b) The techniques of tiering and incorporation by reference
described respectively in 40 CFR 1502.20 and 1508.28 and 40 CFR 1502.21
1 of CEQ's NEPA regulations may be used as appropriate to aid
in the presentation of issues, eliminate repetition or reduce the size
of an environmental impact statement. In appropriate circumstances,
draft or final environmental impact statements prepared by other Federal
agencies may be adopted in whole or in part in accordance with the
procedures outlined in 40 CFR 1506.3 2 of CEQ's NEPA
regulations. In final environmental impact statements, material under
the following format headings will normally be presented in less than
150 pages: Purpose of and Need for Action, Alternatives Including the
Proposed Action, Affected Environment, and Environmental Consequences
and Mitigating Actions. For proposals of unusual scope or complexity,
the material presented under these format headings may extend to 300
pages.
---------------------------------------------------------------------------
\1\ Tiering--40 CFR 1502.20, 40 CFR 1508.28; Incorporation by
reference--40 CFR 1502.21.
\2\ Adoption--40 CFR 1506.3.
---------------------------------------------------------------------------
2. Cover sheet.
The cover sheet will not exceed one page. It will include:
(a) The name of the NRC office responsible for preparing the
statement and a list of any cooperating agencies.
(b) The title of the proposed action that is the subject of the
statement with a list of the states, counties or municipalities where
the facility or other subject of the action is located, as appropriate.
(c) The name, address, and telephone number of the individual in NRC
who can supply further information.
(d) A designation of the statement as a draft or final statement, or
a draft or final supplement.
(e) A one paragraph abstract of the statement.
(f) For draft environmental impact statements, the date by which
comments must be received. This date may be specified in the form of the
following or a substantially similar statement:
``Comments should be filed no later than 3 days after the
date on which the Environmental Protection Agency notice stating that
the draft environmental impact statement has been filed with EPA is
published in the Federal Register. Comments received after the
expiration of the comment period will be considered if it is practical
to do so but assurance of consideration of late comments cannot be
given.''
---------------------------------------------------------------------------
\3\ The number of days in the comment period should be inserted. The
minimum comment period is 45 days (see Sec. 51.73.)
---------------------------------------------------------------------------
[[Page 45]]
3. Summary.
Each environmental impact statement will contain a summary which
adequately and accurately summarizes the statement. The summary will
stress the major issues considered. The summary will discuss the areas
of controversy, will identify any remaining issues to be resolved, and
will present the major conclusions and recommendations. The summary will
normally not exceed 15 pages.
4. Purpose of and need for action.
The statement will briefly describe and specify the need for the
proposed action. The alternative of no action will be discussed. In the
case of nuclear power plant construction or siting, consideration will
be given to the potential impact of conservation measures in determining
the demand for power and consequent need for additional generating
capacity.
5. Alternatives including the proposed action.
This section is the heart of the environmental impact statement. It
will present the environmental impacts of the proposal and the
alternatives in comparative form. Where important to the comparative
evaluation of alternatives, appropriate mitigating measures of the
alternatives will be discussed. All reasonable alternatives will be
identified. The range of alternatives discussed will encompass those
proposed to be considered by the ultimate decisionmaker. An otherwise
reasonable alternative will not be excluded from discussion solely on
the ground that it is not within the jurisdiction of the
NRC.4 The discussion of alternatives will take into accounts,
without duplicating, the environmental information and analyses included
in sections, 4., 6. and 7. of this appendix.
---------------------------------------------------------------------------
\4\ With respect to limitations on NRC's NEPA authority and
responsibility imposed by the Federal Water Pollution Control Act
Amendments of 1972, see Secs. 51.10(c), 51.22(c)(17) and 51.71(d).
---------------------------------------------------------------------------
In the draft environmental impact statement, this section will
either include a preliminary recommendation on the action to be taken,
or identify the alternatives under consideration.
In the final environmental impact statement, this section will
include a final recommendation on the action to be taken.
6. Affected environment.
The environmental impact statement will succinctly describe the
environment to be affected by the proposed action. Data and analyses in
the statement will be commensurate with the importance of the impact,
with less important material summarized, consolidated, or simply
referenced. Effort and attention will be concentrated on important
issues; useless bulk will be eliminated.
7. Environmental consequences and mitigating actions.
This section discusses the environmental consequences of
alternatives, including the proposed actions and any mitigating actions
which may be taken. Alternatives eliminated from detailed study will be
identified and a discussion of those alternatives will be confined to a
brief statement of the reasons why the alternatives were eliminated. The
level of information for each alternative considered in detail will
reflect the depth of analysis required for sound decisionmaking.
The discussion will include any adverse environmental effects which
cannot be avoided should the alternative be implemented, the
relationship between short-term uses of man's environment and the
maintenance and enhancement of long-term productivity, and any
irreversible or irretrievable commitments of resources which would be
involved in the alternative should it be implemented. This section will
include discussions of:
(a) Direct effects and their significance.
(b) Indirect effects and their significance.
(c) Possible conflicts between the alternative and the objectives of
Federal, regional, State, and local (and in the case of a reservation,
Indian tribe) land use plans, policies and controls for the area
concerned.
(d) Means to mitigate adverse environmental impacts.
8. List of preparers.
The environmental impact statement will list the names and
qualifications (expertise, experience, professional disciplines), of the
persons who were primarily responsible for preparing the environmental
impact statement or significant background papers. Persons responsible
for making an independent evaluation of information submitted by the
applicant or petitioner for rulemaking or others will be included in the
list. Where possible, the persons who are responsible for a particular
analysis, including analyses in background papers, will be identified.
9. Appendices.
An appendix to an environmental impact statement will:
(a) Consist of material prepared in connection with an environmental
impact statement (as distinct from material which is not so prepared and
which is incorporated by reference (40 CFR 1502.21)).
(b) Normally consist of material which substantiates any analysis
fundamental to the impact statement. Discussion of methodology used may
be placed in an appendix.
(c) Normally be analytic.
(d) Be relevant to the decision to be made.
[[Page 46]]
(e) Be circulated with the environmental impact statement or be
readily available on request.
Discussion of Footnotes
1. Tiering.
40 CFR 1502.20 states:
``Agencies are encouraged to tier their environmental impact
statements to eliminate repetitive discussions of the same issues and to
focus on the actual issues ripe for decision at each level of
environmental review (Sec. 1508.28). Whenever a broad environmental
impact statement has been prepared (such as a program or policy
statement) and a subsequent statement or environmental assessment is
then prepared on an action included within the entire program or policy
(such as a site specific action) the subsequent statement or
environmental assessment need only summarize the issues discussed in the
broader statement and incorporate discussions from the broader statement
by reference and shall concentrate on the issues specific to the
subsequent action. The subsequent document shall state where the earlier
document is available. Tiering may also be appropriate for different
stages of actions. (Sec. 1508.28).''
40 CFR 1508.28 states:
`` `Tiering' refers to the coverage of general matters in broader
environmental impact statements (such as national program or policy
statements) with subsequent narrower statements or environmental
analyses (such as regional or basinwide program statements or ultimately
site-specific statements) incorporating by reference the general
discussions and concentrating solely on the issues specific to the
statement subsequently prepared. Tiering is appropriate when the
sequence of statements or analyses is:
``(a) From a program, plan, or policy environmental impact statement
to a program, plan, or policy statement or analysis of lesser scope or
to a site-specific statement or analysis.
``(b) From an environmental impact statement on a specific action at
an early stage (such as need and site selection) to a supplement (which
is preferred) or a subsequent statement or analysis at a later stage
(such as environmental mitigation). Tiering in such cases is appropriate
when it helps the lead agency to focus on the issues which are ripe for
decision and exclude from consideration issues already decided or not
yet ripe.''
Incorporation by reference. 40 CFR 1502.21 states:
``Agencies shall incorporate material into an environmental impact
statement by reference when the effect will be to cut down on bulk
without impeding agency and public review of the action. The
incorporated material shall be cited in the statement and its content
briefly described. No material may be incorporated by reference unless
it is reasonably available for inspection by potentially interested
persons within the time allowed for comment. Material based on
proprietary data which is itself not available for review and comment
shall not be incorporated by reference.''
2. Adoption.
40 CFR 1506.3 states:
``(a) An agency may adopt a Federal draft or final environmental
impact statement or portion thereof provided that the statement or
portion thereof meets the standards for an adequate statement under
these regulations.
``(b) If the actions covered by the original environmental impact
statement and the proposed action are substantially the same, the agency
adopting another agency's statement is not required to recirculate it
except as a final statement. Otherwise the adopting agency shall treat
the statement as a draft and recirculate it (except as provided in
paragraph (c) of this section).
``(c) A cooperating agency may adopt without recirculating the
environmental impact statement of a lead agency when, after an
independent review of the statement, the cooperating agency concludes
that its comments and suggestions have been satisfied.
``(d) When an agency adopts a statement which is not final within
the agency that prepared it, or when the action it assesses is the
subject of a referral under part 1504, or when the statement's adequacy
is the subject of a judicial action which is not final, the agency shall
so specify.''
[49 FR 9381, Mar. 12, 1984, as amended at 61 FR 28490, June 5, 1996; 61
FR 66546, Dec. 18, 1996]
Appendix B to Subpart A--Environmental Effect of Renewing the Operating
License of a Nuclear Power Plant
The Commission has assessed the environmental impacts associated
with granting a renewed operating license for a nuclear power plant to a
licensee who holds either an operating license or construction permit as
of June 30, 1995. Table B-1 summarizes the Commission's findings on the
scope and magnitude of environmental impacts of renewing the operating
license for a nuclear power plant as required by section 102(2) of the
National Environmental Policy Act of 1969, as amended. Table B-1,
subject to an evaluation of those issues identified in Category 2 as
requiring further analysis and possible significant new information,
represents the analysis of the environmental impacts associated with
renewal of any operating license and is to be used in accordance with
Sec. 51.95(c). On a 10-year cycle, the Commission intends to review the
material in this appendix and update it if necessary. A scoping notice
must
[[Page 47]]
be published in the Federal Register indicating the results of the NRC's
review and inviting public comments and proposals for other areas that
should be updated.
Table B-1--Summary of Findings on NEPA Issues for License Renewal of Nuclear Power Plants \1\
----------------------------------------------------------------------------------------------------------------
Issue Category 2 Findings 3
----------------------------------------------------------------------------------------------------------------
Surface Water Quality, Hydrology, and Use (for all plants)
----------------------------------------------------------------------------------------------------------------
Impacts of refurbishment on surface water 1 SMALL. Impacts are expected to be negligible during
quality. refurbishment because best management practices are
expected to be employed to control soil erosion and
spills.
Impacts of refurbishment on surface water 1 SMALL. Water use during refurbishment will not
use. increase appreciably or will be reduced during plant
outage.
Altered current patterns at intake and 1 SMALL. Altered current patterns have not been found to
discharge structures. be a problem at operating nuclear power plants and
are not expected to be a problem during the license
renewal term.
Altered salinity gradients................. 1 SMALL. Salinity gradients have not been found to be a
problem at operating nuclear power plants and are not
expected to be a problem during the license renewal
term.
Altered thermal stratification of lakes.... 1 SMALL. Generally, lake stratification has not been
found to be a problem at operating nuclear power
plants and is not expected to be a problem during the
license renewal term.
Temperature effects on sediment transport 1 SMALL. These effects have not been found to be a
capacity. problem at operating nuclear power plants and are not
expected to be a problem during the license renewal
term.
Scouring caused by discharged cooling water 1 SMALL. Scouring has not been found to be a problem at
most operating nuclear power plants and has caused
only localized effects at a few plants. It is not
expected to be a problem during the license renewal
term.
Eutrophication............................. 1 SMALL. Eutrophication has not been found to be a
problem at operating nuclear power plants and is not
expected to be a problem during the license renewal
term.
Discharge of chlorine or other biocides.... 1 SMALL. Effects are not a concern among regulatory and
resource agencies, and are not expected to be a
problem during the license renewal term.
Discharge of sanitary wastes and minor 1 SMALL. Effects are readily controlled through NPDES
chemical spills. permit and periodic modifications, if needed, and are
not expected to be a problem during the license
renewal term.
Discharge of other metals in waste water... 1 SMALL. These discharges have not been found to be a
problem at operating nuclear power plants with
cooling-tower-based heat dissipation systems and have
been satisfactorily mitigated at other plants. They
are not expected to be a problem during the license
renewal term.
Water use conflicts (plants with once- 1 SMALL. These conflicts have not been found to be a
through cooling systems). problem at operating nuclear power plants with once-
through heat dissipation systems.
Water use conflicts (plants with cooling 2 SMALL OR MODERATE. The issue has been a concern at
ponds or cooling towers using make-up nuclear power plants with cooling ponds and at plants
water from a small river with low flow). with cooling towers. Impacts on instream and riparian
communities near these plants could be of moderate
significance in some situations. See Sec.
51.53(c)(3)(ii)(A).
----------------------------------------------------------------------------------------------------------------
Aquatic Ecology (for all plants)
----------------------------------------------------------------------------------------------------------------
Refurbishment.............................. 1 SMALL. During plant shutdown and refurbishment there
will be negligible effects on aquatic biota because
of a reduction of entrainment and impingement of
organisms or a reduced release of chemicals.
Accumulation of contaminants in sediments 1 SMALL. Accumulation of contaminants has been a concern
or biota. at a few nuclear power plants but has been
satisfactorily mitigated by replacing copper alloy
condenser tubes with those of another metal. It is
not expected to be a problem during the license
renewal term.
Entrainment of phytoplankton and 1 SMALL. Entrainment of phytoplankton and zooplankton
zooplankton. has not been found to be a problem at operating
nuclear power plants and is not expected to be a
problem during the license renewal term.
Cold shock................................. 1 SMALL. Cold shock has been satisfactorily mitigated at
operating nuclear plants with once-through cooling
systems, has not endangered fish populations or been
found to be a problem at operating nuclear power
plants with cooling towers or cooling ponds, and is
not expected to be a problem during the license
renewal term.
Thermal plume barrier to migrating fish.... 1 SMALL. Thermal plumes have not been found to be a
problem at operating nuclear power plants and are not
expected to be a problem during the license renewal
term.
Distribution of aquatic organisms.......... 1 SMALL. Thermal discharge may have localized effects
but is not expected to effect the larger geographical
distribution of aquatic organisms.
[[Page 48]]
Premature emergence of aquatic insects..... 1 SMALL. Premature emergence has been found to be a
localized effect at some operating nuclear power
plants but has not been a problem and is not expected
to be a problem during the license renewal term.
Gas supersaturation (gas bubble disease)... 1 SMALL. Gas supersaturation was a concern at a small
number of operating nuclear power plants with once-
through cooling systems but has been satisfactorily
mitigated. It has not been found to be a problem at
operating nuclear power plants with cooling towers or
cooling ponds and is not expected to be a problem
during the license renewal term.
Low dissolved oxygen in the discharge...... 1 SMALL. Low dissolved oxygen has been a concern at one
nuclear power plant with a once-through cooling
system but has been effectively mitigated. It has not
been found to be a problem at operating nuclear power
plants with cooling towers or cooling ponds and is
not expected to be a problem during the license
renewal term.
Losses from predation, parasitism, and 1 SMALL. These types of losses have not been found to be
disease among organisms exposed to a problem at operating nuclear power plants and are
sublethal stresses. not expected to be a problem during the license
renewal term.
Stimulation of nuisance organisms (e.g., 1 SMALL. Stimulation of nuisance organisms has been
shipworms). satisfactorily mitigated at the single nuclear power
plant with a once-through cooling system where
previously it was a problem. It has not been found to
be a problem at operating nuclear power plants with
cooling towers or cooling ponds and is not expected
to be a problem during the license renewal term.
----------------------------------------------------------------------------------------------------------------
Aquatic Ecology (for plants with once-through and cooling pond heat dissipation systems)
----------------------------------------------------------------------------------------------------------------
Entrainment of fish and shellfish in early 2 SMALL, MODERATE, OR LARGE. The impacts of entrainment
life stages. are small at many plants but may be moderate or even
large at a few plants with once-through and cooling-
pond cooling systems. Further, ongoing efforts in the
vicinity of these plants to restore fish populations
may increase the numbers of fish susceptible to
intake effects during the license renewal period,
such that entrainment studies conducted in support of
the original license may no longer be valid. See Sec.
51.53(c)(3)(ii)(B).
Impingement of fish and shellfish.......... 2 SMALL, MODERATE, OR LARGE. The impacts of impingement
are small at many plants but may be moderate or even
large at a few plants with once-through and cooling-
pond cooling systems. See Sec. 51.53(c)(3)(ii)(B).
Heat shock................................. 2 SMALL, MODERATE, OR LARGE. Because of continuing
concerns about heat shock and the possible need to
modify thermal discharges in response to changing
environmental conditions, the impacts may be of
moderate or large significance at some plants. See
Sec. 51.53(c)(3)(ii)(B).
----------------------------------------------------------------------------------------------------------------
Aquatic Ecology (for plants with cooling-tower-based heat dissipation systems)
----------------------------------------------------------------------------------------------------------------
Entrainment of fish and shellfish in early 1 SMALL. Entrainment of fish has not been found to be a
life stages. problem at operating nuclear power plants with this
type of cooling system and is not expected to be a
problem during the license renewal term.
Impingement of fish and shellfish.......... 1 SMALL. The impingement has not been found to be a
problem at operating nuclear power plants with this
type of cooling system and is not expected to be a
problem during the license renewal term.
Heat shock................................. 1 SMALL. Heat shock has not been found to be a problem
at operating nuclear power plants with this type of
cooling system and is not expected to be a problem
during the license renewal term.
----------------------------------------------------------------------------------------------------------------
Ground-water Use and Quality
----------------------------------------------------------------------------------------------------------------
Impacts of refurbishment on ground-water 1 SMALL. Extensive dewatering during the original
use and quality. construction on some sites will not be repeated
during refurbishment on any sites. Any plant wastes
produced during refurbishment will be handled in the
same manner as in current operating practices and are
not expected to be a problem during the license
renewal term.
Ground-water use conflicts (potable and 1 SMALL. Plants using less than 100 gpm are not expected
service water; plants that use 100 gpm). to cause any ground-water use conflicts.
Ground-water use conflicts (potable and 2 SMALL, MODERATE, OR LARGE. Plants that use more than
service water, and dewatering; plants that 100 gpm may cause ground-water use conflicts with
use >100 gpm). nearby ground-water users. See Sec.
51.53(c)(3)(ii)(C).
[[Page 49]]
Ground-water use conflicts (plants using 2 SMALL, MODERATE, OR LARGE. Water use conflicts may
cooling towers withdrawing make-up water result from surface water withdrawals from small
from a small river). water bodies during low flow conditions which may
affect aquifer recharge, especially if other ground-
water or upstream surface water users come on line
before the time of license renewal. See Sec.
51.53(c)(3)(ii)(A).
Ground-water use conflicts (Ranney wells).. 2 SMALL, MODERATE, OR LARGE. Ranney wells can result in
potential ground-water depression beyond the site
boundary. Impacts of large ground-water withdrawal
for cooling tower makeup at nuclear power plants
using Ranney wells must be evaluated at the time of
application for license renewal. See Sec.
51.53(c)(3)(ii)(C).
Ground-water quality degradation (Ranney 1 SMALL. Ground-water quality at river sites may be
wells). degraded by induced infiltration of poor-quality
river water into an aquifer that supplies large
quantities of reactor cooling water. However, the
lower quality infiltrating water would not preclude
the current uses of ground water and is not expected
to be a problem during the license renewal term.
Ground-water quality degradation (saltwater 1 SMALL. Nuclear power plants do not contribute
intrusion). significantly to saltwater intrusion.
Ground-water quality degradation (cooling 1 SMALL. Sites with closed-cycle cooling ponds may
ponds in salt marshes). degrade ground-water quality. Because water in salt
marshes is brackish, this is not a concern for plants
located in salt marshes.
Ground-water quality degradation (cooling 2 SMALL, MODERATE, OR LARGE. Sites with closed-cycle
ponds at inland sites). cooling ponds may degrade ground-water quality. For
plants located inland, the quality of the ground
water in the vicinity of the ponds must be shown to
be adequate to allow continuation of current uses.
See Sec. 51.53(c)(3)(ii)(D).
----------------------------------------------------------------------------------------------------------------
Terrestrial Resources
----------------------------------------------------------------------------------------------------------------
Refurbishment impacts...................... 2 SMALL, MODERATE, OR LARGE. Refurbishment impacts are
insignificant if no loss of important plant and
animal habitat occurs. However, it cannot be known
whether important plant and animal communities may be
affected until the specific proposal is presented
with the license renewal application. See Sec.
51.53(c)(3)(ii)(E).
Cooling tower impacts on crops and 1 SMALL. Impacts from salt drift, icing, fogging, or
ornamental vegetation. increased humidity associated with cooling tower
operation have not been found to be a problem at
operating nuclear power plants and are not expected
to be a problem during the license renewal term.
Cooling tower impacts on native plants..... 1 SMALL. Impacts from salt drift, icing, fogging, or
increased humidity associated with cooling tower
operation have not been found to be a problem at
operating nuclear power plants and are not expected
to be a problem during the license renewal term.
Bird collisions with cooling towers........ 1 SMALL. These collisions have not been found to be a
problem at operating nuclear power plants and are not
expected to be a problem during the license renewal
term.
Cooling pond impacts on terrestrial 1 SMALL. Impacts of cooling ponds on terrestrial
resources. ecological resources are considered to be of small
significance at all sites.
Power line right-of-way management (cutting 1 SMALL. The impacts of right-of-way maintenance on
and herbicide application). wildlife are expected to be of small significance at
all sites.
Bird collision with power lines............ 1 SMALL. Impacts are expected to be of small
significance at all sites.
Impacts of electromagnetic fields on flora 1 SMALL. No significant impacts of electromagnetic
and fauna (plants, agricultural crops, fields on terrestrial flora and fauna have been
honeybees, wildlife, livestock). identified. Such effects are not expected to be a
problem during the license renewal term.
Floodplains and wetland on power line right 1 SMALL. Periodic vegetation control is necessary in
of way. forested wetlands underneath power lines and can be
achieved with minimal damage to the wetland. No
significant impact is expected at any nuclear power
plant during the license renewal term.
----------------------------------------------------------------------------------------------------------------
Threatened or Endangered Species (for all plants)
----------------------------------------------------------------------------------------------------------------
Threatened or endangered species........... 2 SMALL, MODERATE, OR LARGE. Generally, plant
refurbishment and continued operation are not
expected to adversely affect threatened or endangered
species. However, consultation with appropriate
agencies would be needed at the time of license
renewal to determine whether threatened or endangered
species are present and whether they would be
adversely affected. See Sec. 51.53(c)(3)(ii)(E).
----------------------------------------------------------------------------------------------------------------
[[Page 50]]
Air Quality
----------------------------------------------------------------------------------------------------------------
Air quality during refurbishment (non- 2 SMALL, MODERATE, OR LARGE. Air quality impacts from
attainment and maintenance areas). plant refurbishment associated with license renewal
are expected to be small. However, vehicle exhaust
emissions could be cause for concern at locations in
or near nonattainment or maintenance areas. The
significance of the potential impact cannot be
determined without considering the compliance status
of each site and the numbers of workers expected to
be employed during the outage. See Sec.
51.53(c)(3)(ii)(F).
Air quality effects of transmission lines.. 1 SMALL. Production of ozone and oxides of nitrogen is
insignificant and does not contribute measurably to
ambient levels of these gases.
----------------------------------------------------------------------------------------------------------------
Land Use
----------------------------------------------------------------------------------------------------------------
Onsite land use............................ 1 SMALL. Projected onsite land use changes required
during refurbishment and the renewal period would be
a small fraction of any nuclear power plant site and
would involve land that is controlled by the
applicant.
Power line right of way.................... 1 SMALL. Ongoing use of power line right of ways would
continue with no change in restrictions. The effects
of these restrictions are of small significance.
----------------------------------------------------------------------------------------------------------------
Human Health
----------------------------------------------------------------------------------------------------------------
Radiation exposures to the public during 1 SMALL. During refurbishment, the gaseous effluents
refurbishment. would result in doses that are similar to those from
current operation. Applicable regulatory dose limits
to the public are not expected to be exceeded.
Occupational radiation exposures during 1 SMALL. Occupational doses from refurbishment are
refurbishment. expected to be within the range of annual average
collective doses experienced for pressurized-water
reactors and boiling-water reactors. Occupational
mortality risk from all causes including radiation is
in the mid-range for industrial settings.
Microbiological organisms (occupational 1 SMALL. Occupational health impacts are expected to be
health). controlled by continued application of accepted
industrial hygiene practices to minimize worker
exposures.
Microbiological organisms (public 2 SMALL, MODERATE, OR LARGE. These organisms are not
health)(plants using lakes or canals, or expected to be a problem at most operating plants
cooling towers or cooling ponds that except possibly at plants using cooling ponds, lakes,
discharge to a small river). or canals that discharge to small rivers. Without
site-specific data, it is not possible to predict the
effects generically. See Sec. 51.53(c)(3)(ii)(G).
Noise...................................... 1 SMALL. Noise has not been found to be a problem at
operating plants and is not expected to be a problem
at any plant during the license renewal term.
Electromagnetic fields, acute effects 2 SMALL, MODERATE, OR LARGE. Electrical shock resulting
(electric shock). from direct access to energized conductors or from
induced charges in metallic structures have not been
found to be a problem at most operating plants and
generally are not expected to be a problem during the
license renewal term. However, site-specific review
is required to determine the significance of the
electric shock potential at the site. See Sec.
51.53(c)(3)(ii)(H).
Electromagnetic fields, chronic effects \5\ \4\ NA UNCERTAIN. Biological and physical studies of 60-Hz
electromagnetic fields have not found consistent
evidence linking harmful effects with field
exposures. However, research is continuing in this
area and a consensus scientific view has not been
reached.\5\
Radiation exposures to public (license 1 SMALL. Radiation doses to the public will continue at
renewal term). current levels associated with normal operations.
Occupational radiation exposures (license 1 SMALL. Projected maximum occupational doses during the
renewal term). license renewal term are within the range of doses
experienced during normal operations and normal
maintenance outages, and would be well below
regulatory limits.
----------------------------------------------------------------------------------------------------------------
[[Page 51]]
Socioeconomics
----------------------------------------------------------------------------------------------------------------
Housing impacts............................ 2 SMALL, MODERATE, OR LARGE. Housing impacts are
expected to be of small significance at plants
located in a medium or high population area and not
in an area where growth control measures that limit
housing development are in effect. Moderate or large
housing impacts of the workforce associated with
refurbishment may be associated with plants located
in sparsely populated areas or in areas with growth
control measures that limit housing development. See
Sec. 51.53(c)(3)(ii)(I).
Public services: public safety, social 1 SMALL. Impacts to public safety, social services, and
services, and tourism and recreation. tourism and recreation are expected to be of small
significance at all sites.
Public services: public utilities.......... 2 SMALL OR MODERATE. An increased problem with water
shortages at some sites may lead to impacts of
moderate significance on public water supply
availability. See Sec. 51.53(c)(3)(ii)(I).
Public services, education (refurbishment). 2 SMALL, MODERATE, OR LARGE. Most sites would experience
impacts of small significance but larger impacts are
possible depending on site- and project-specific
factors. See Sec. 51.53(c)(3)(ii)(I).
Public services, education (license renewal 1 SMALL. Only impacts of small significance are
term). expected.
Offsite land use (refurbishment)........... 2 SMALL OR MODERATE. Impacts may be of moderate
significance at plants in low population areas. See
Sec. 51.53(c)(3)(ii)(I).
Offsite land use (license renewal term).... 2 SMALL, MODERATE, OR LARGE. Significant changes in land
use may be associated with population and tax revenue
changes resulting from license renewal. See Sec.
51.53(c)(3)(ii)(I).
Public services, Transportation............ 2 SMALL, MODERATE, OR LARGE. Transportation impacts
(level of service) of highway traffic generated
during plant refurbishment and during the term of the
renewed license are generally expected to be of small
significance. However, the increase in traffic
associated with additional workers and the local road
and traffic control conditions may lead to impacts of
moderate or large significance at some sites. See
Sec. 51.53(c)(3)(ii)(J).
Historic and archaeological resources...... 2 SMALL, MODERATE, OR LARGE. Generally, plant
refurbishment and continued operation are expected to
have no more than small adverse impacts on historic
and archaeological resources. However, the National
Historic Preservation Act requires the Federal agency
to consult with the State Historic Preservation
Officer to determine whether there are properties
present that require protection. See Sec.
51.53(c)(3)(ii)(K).
Aesthetic impacts (refurbishment).......... 1 SMALL. No significant impacts are expected during
refurbishment.
Aesthetic impacts (license renewal term)... 1 SMALL. No significant impacts are expected during the
license renewal term.
Aesthetic impacts of transmission lines 1 SMALL. No significant impacts are expected during the
(license renewal term). license renewal term.
----------------------------------------------------------------------------------------------------------------
Postulated Accidents
----------------------------------------------------------------------------------------------------------------
Design basis accidents..................... 1 SMALL. The NRC staff has concluded that the
environmental impacts of design basis accidents are
of small significance for all plants.
Severe accidents........................... 2 SMALL. The probability weighted consequences of
atmospheric releases, fallout onto open bodies of
water, releases to ground water, and societal and
economic impacts from severe accidents are small for
all plants. However, alternatives to mitigate severe
accidents must be considered for all plants that have
not considered such alternatives. See Sec.
51.53(c)(3)(ii)(L).
----------------------------------------------------------------------------------------------------------------
Uranium Fuel Cycle and Waste Management
----------------------------------------------------------------------------------------------------------------
Offsite radiological impacts (individual 1 SMALL. Off-site impacts of the uranium fuel cycle have
effects from other than the disposal of been considered by the Commission in Table S-3 of
spent fuel and high level waste). this part. Based on information in the GEIS, impacts
on individuals from radioactive gaseous and liquid
releases including radon-222 and technetium-99 are
small.
[[Page 52]]
Offsite radiological impacts (collective 1 The 100 year environmental dose commitment to the U.S.
effects). population from the fuel cycle, high level waste and
spent fuel disposal is calculated to be about 14,800
person rem, or 12 cancer fatalities, for each
additional 20-year power reactor operating term. Much
of this, especially the contribution of radon
releases from mines and tailing piles, consists of
tiny doses summed over large populations. This same
dose calculation can theoretically be extended to
include many tiny doses over additional thousands of
years as well as doses outside the U. S. The result
of such a calculation would be thousands of cancer
fatalities from the fuel cycle, but this result
assumes that even tiny doses have some statistical
adverse health effect which will not ever be
mitigated (for example no cancer cure in the next
thousand years), and that these doses projected over
thousands of years are meaningful. However, these
assumptions are questionable. In particular, science
cannot rule out the possibility that there will be no
cancer fatalities from these tiny doses. For
perspective, the doses are very small fractions of
regulatory limits, and even smaller fractions of
natural background exposure to the same populations.
Nevertheless, despite all the uncertainty, some
judgement as to the regulatory NEPA implications of
these matters should be made and it makes no sense to
repeat the same judgement in every case. Even taking
the uncertainties into account, the Commission
concludes that these impacts are acceptable in that
these impacts would not be sufficiently large to
require the NEPA conclusion, for any plant, that the
option of extended operation under 10 CFR Part 54
should be eliminated. Accordingly, while the
Commission has not assigned a single level of
significance for the collective effects of the fuel
cycle, this issue is considered Category 1.
Offsite radiological impacts (spent fuel 1 For the high level waste and spent fuel disposal
and high level waste disposal). component of the fuel cycle, there are no current
regulatory limits for offsite releases of
radionuclides for the current candidate repository
site. However, if we assume that limits are developed
along the lines of the 1995 National Academy of
Sciences (NAS) report, ``Technical Bases for Yucca
Mountain Standards,'' and that in accordance with the
Commission's Waste Confidence Decision, 10 CFR 51.23,
a repository can and likely will be developed at some
site which will comply with such limits, peak doses
to virtually all individuals will be 100 millirem per
year or less. However, while the Commission has
reasonable confidence that these assumptions will
prove correct, there is considerable uncertainty
since the limits are yet to be developed, no
repository application has been completed or
reviewed, and uncertainty is inherent in the models
used to evaluate possible pathways to the human
environment. The NAS report indicated that 100
millirem per year should be considered as a starting
point for limits for individual doses, but notes that
some measure of consensus exists among national and
international bodies that the limits should be a
fraction of the 100 millirem per year. The lifetime
individual risk from 100 millirem annual dose limit
is about 3 X 10-3.
[[Page 53]]
Estimating cumulative doses to populations over
thousands of years is more problematic. The
likelihood and consequences of events that could
seriously compromise the integrity of a deep geologic
repository were evaluated by the Department of Energy
in the ``Final Environmental Impact Statement:
Management of Commercially Generated Radioactive
Waste,'' October 1980. The evaluation estimated the
70-year whole-body dose commitment to the maximum
individual and to the regional population resulting
from several modes of breaching a reference
repository in the year of closure, after 1,000 years,
after 100,000 years, and after 100,000,000 years.
Subsequently, the NRC and other federal agencies have
expended considerable effort to develop models for
the design and for the licensing of a high level
waste repository, especially for the candidate
repository at Yucca Mountain. More meaningful
estimates of doses to population may be possible in
the future as more is understood about the
performance of the proposed Yucca Mountain
repository. Such estimates would involve very great
uncertainty, especially with respect to cumulative
population doses over thousands of years. The
standard proposed by the NAS is a limit on maximum
individual dose. The relationship of potential new
regulatory requirements, based on the NAS report, and
cumulative population impacts has not been
determined, although the report articulates the view
that protection of individuals will adequately
protect the population for a repository at Yucca
Mountain. However, EPA's generic repository standards
in 40 CFR part 191 generally provide an indication of
the order of magnitude of cumulative risk to
population that could result from the licensing of a
Yucca Mountain repository, assuming the ultimate
standards will be within the range of standards now
under consideration. The standards in 40 CFR part 191
protect the population by imposing ``containment
requirements'' that limit the cumulative amount of
radioactive material released over 10,000 years.
Reporting performance standards that will be required
by EPA are expected to result in releases and
associated health consequences in the range between
10 and 100 premature cancer deaths with an upper
limit of 1,000 premature cancer deaths world-wide for
a 100,000 metric tonne (MTHM) repository.
Nevertheless, despite all the uncertainty, some
judgement as to the regulatory NEPA implications of
these matters should be made and it makes no sense to
repeat the same judgement in every case. Even taking
the uncertainties into account, the Commission
concludes that these impacts are acceptable in that
these impacts would not be sufficiently large to
require the NEPA conclusion, for any plant, that the
option of extended operation under 10 CFR part 54
should be eliminated. Accordingly, while the
Commission has not assigned a single level of
significance for the impacts of spent fuel and high
level waste disposal, this issue is considered
Category 1.
Nonradiological impacts of the uranium fuel 1 SMALL. The nonradiological impacts of the uranium fuel
cycle. cycle resulting from the renewal of an operating
license for any plant are found to be small.
Low-level waste storage and disposal....... 1 SMALL. The comprehensive regulatory controls that are
in place and the low public doses being achieved at
reactors ensure that the radiological impacts to the
environment will remain small during the term of a
renewed license. The maximum additional on-site land
that may be required for low-level waste storage
during the term of a renewed license and associated
impacts will be small. Nonradiological impacts on air
and water will be negligible. The radiological and
nonradiological environmental impacts of long-term
disposal of low-level waste from any individual plant
at licensed sites are small. In addition, the
Commission concludes that there is reasonable
assurance that sufficient low-level waste disposal
capacity will be made available when needed for
facilities to be decommissioned consistent with NRC
decommissioning requirements.
[[Page 54]]
Mixed waste storage and disposal........... 1 SMALL. The comprehensive regulatory controls and the
facilities and procedures that are in place ensure
proper handling and storage, as well as negligible
doses and exposure to toxic materials for the public
and the environment at all plants. License renewal
will not increase the small, continuing risk to human
health and the environment posed by mixed waste at
all plants. The radiological and nonradiological
environmental impacts of long-term disposal of mixed
waste from any individual plant at licensed sites are
small. In addition, the Commission concludes that
there is reasonable assurance that sufficient mixed
waste disposal capacity will be made available when
needed for facilities to be decommissioned consistent
with NRC decommissioning requirements.
On-site spent fuel......................... 1 SMALL. The expected increase in the volume of spent
fuel from an additional 20 years of operation can be
safely accommodated on site with small environmental
effects through dry or pool storage at all plants if
a permanent repository or monitored retrievable
storage is not available.
Nonradiological waste...................... 1 SMALL. No changes to generating systems are
anticipated for license renewal. Facilities and
procedures are in place to ensure continued proper
handling and disposal at all plants.
Transportation............................. 1 SMALL. The impacts of transporting spent fuel enriched
up to 5 percent uranium-235 with average burnup for
the peak rod to current levels approved by NRC up to
62,000 MWd/MTU and the cumulative impacts of
transporting high-level waste to a single repository,
such as Yucca Mountain, Nevada are found to be
consistent with the impact values contained in 10 CFR
51.52(c), Summary Table S-4--Environmental Impact of
Transportation of Fuel and Waste to and from One
Light-Water-Cooled Nuclear Power Reactor. If fuel
enrichment or burnup conditions are not met, the
applicant must submit an assessment of the
implications for the environmental impact values
reported in Sec. 51.52.
----------------------------------------------------------------------------------------------------------------
Decommissioning
----------------------------------------------------------------------------------------------------------------
Radiation doses............................ 1 SMALL. Doses to the public will be well below
applicable regulatory standards regardless of which
decommissioning method is used. Occupational doses
would increase no more than 1 man-rem caused by
buildup of long-lived radionuclides during the
license renewal term.
Waste management........................... 1 SMALL. Decommissioning at the end of a 20-year license
renewal period would generate no more solid wastes
than at the end of the current license term. No
increase in the quantities of Class C or greater than
Class C wastes would be expected.
Air quality................................ 1 SMALL. Air quality impacts of decommissioning are
expected to be negligible either at the end of the
current operating term or at the end of the license
renewal term.
Water quality.............................. 1 SMALL. The potential for significant water quality
impacts from erosion or spills is no greater whether
decommissioning occurs after a 20-year license
renewal period or after the original 40-year
operation period, and measures are readily available
to avoid such impacts.
Ecological resources....................... 1 SMALL. Decommissioning after either the initial
operating period or after a 20-year license renewal
period is not expected to have any direct ecological
impacts.
Socioeconomic impacts...................... 1 SMALL. Decommissioning would have some short-term
socioeconomic impacts. The impacts would not be
increased by delaying decommissioning until the end
of a 20-year relicense period, but they might be
decreased by population and economic growth.
----------------------------------------------------------------------------------------------------------------
Environmental Justice
----------------------------------------------------------------------------------------------------------------
Environmental justice \6\.................. \4\ NA NONE. The need for and the content of an analysis of
environmental justice will be addressed in plant-
specific reviews.\6\
----------------------------------------------------------------------------------------------------------------
\1\ Data supporting this table are contained in NUREG-1437, ``Generic Environmental Impact Statement for License
Renewal of Nuclear Plants'' (May 1996) and NUREG-1437, Vol. 1, Addendum 1, ``Generic Environmental Impact
Statement for License Renewal of Nuclear Plants: Main Report Section 6.3--`Transportation,' Table 9.1 `Summary
of findings on NEPA issues for license renewal of nuclear power plants,' Final Report'' (August 1999).
\2\ The numerical entries in this column are based on the following category definitions:
Category 1: For the issue, the analysis reported in the Generic Environmental Impact Statement has shown:
(1) The environmental impacts associated with the issue have been determined to apply either to all plants or,
for some issues, to plants having a specific type of cooling system or other specified plant or site
characteristic;
(2) A single significance level (i.e., small, moderate, or large) has been assigned to the impacts (except for
collective off site radiological impacts from the fuel cycle and from high level waste and spent fuel
disposal); and
(3) Mitigation of adverse impacts associated with the issue has been considered in the analysis, and it has been
determined that additional plant-specific mitigation measures are likely not to be sufficiently beneficial to
warrant implementation.
[[Page 55]]
The generic analysis of the issue may be adopted in each plant-specific review.
Category 2: For the issue, the analysis reported in the Generic Environmental Impact Statement has shown that
one or more of the criteria of Category 1 cannot be met, and therefore additional plant-specific review is
required.
\3\ The impact findings in this column are based on the definitions of three significance levels. Unless the
significance level is identified as beneficial, the impact is adverse, or in the case of ``small,'' may be
negligible. The definitions of significance follow:
SMALL--For the issue, environmental effects are not detectable or are so minor that they will neither
destabilize nor noticeably alter any important attribute of the resource. For the purposes of assessing
radiological impacts, the Commission has concluded that those impacts that do not exceed permissible levels in
the Commission's regulations are considered small as the term is used in this table.
MODERATE--For the issue, environmental effects are sufficient to alter noticeably, but not to destabilize,
important attributes of the resource.
LARGE--For the issue, environmental effects are clearly noticeable and are sufficient to destabilize important
attributes of the resource.
For issues where probability is a key consideration (i.e., accident consequences), probability was a factor in
determining significance.
\4\ NA (not applicable). The categorization and impact finding definitions do not apply to these issues.
\5\ If, in the future, the Commission finds that, contrary to current indications, a consensus has been reached
by appropriate Federal health agencies that there are adverse health effects from electromagnetic fields, the
Commission will require applicants to submit plant-specific reviews of these health effects as part of their
license renewal applications. Until such time, applicants for license renewal are not required to submit
information on this issue.
\6\ Environmental Justice was not addressed in NUREG-1437, ``Generic Environmental Impact Statement for License
Renewal of Nuclear Plants,'' because guidance for implementing Executive Order 12898 issued on February 11,
1994, was not available prior to completion of NUREG-1437. This issue will be addressed in individual license
renewal reviews.
[61 FR 66546, Dec. 18, 1996, as amended at 62 FR 59276, Nov. 3, 1997; 64
FR 48507, Sept. 3, 1999]
PART 52--EARLY SITE PERMITS; STANDARD DESIGN CERTIFICATIONS; AND COMBINED LICENSES FOR NUCLEAR POWER PLANTS--Table of Contents
General Provisions
Sec.
52.1 Scope.
52.3 Definitions.
52.5 Interpretations.
52.8 Information collection requirements: OMB approval.
52.9 Deliberate misconduct.
Subpart A--Early Site Permits
52.11 Scope of subpart.
52.13 Relationship to subpart F of 10 CFR part 2 and appendix Q of this
part.
52.15 Filing of applications.
52.17 Contents of applications.
52.18 Standards for review of applications.
52.19 Permit and renewal fees.
52.21 Hearings.
52.23 Referral to the ACRS.
52.24 Issuance of early site permit.
52.25 Extent of activities permitted.
52.27 Duration of permit.
52.29 Application for renewal.
52.31 Criteria for renewal.
52.33 Duration of renewal.
52.35 Use of site for other purposes.
52.37 Reporting of defects and noncompliance; revocation, suspension,
modification of permits for cause.
52.39 Finality of early site permit determinations.
Subpart B--Standard Design Certifications
52.41 Scope of subpart.
52.43 Relationship to appendices M, N, and O of this part.
52.45 Filing of applications.
52.47 Contents of applications.
52.48 Standards for review of applications.
52.49 Fees for review of applications.
52.51 Administrative review of applications.
52.53 Referral to the ACRS.
52.54 Issuance of standard design certification.
52.55 Duration of certification.
52.57 Application for renewal.
52.59 Criteria for renewal.
52.61 Duration of renewal.
52.63 Finality of standard design certifications.
Subpart C--Combined Licenses
52.71 Scope of subpart.
52.73 Relationship to subparts A and B.
52.75 Filing of applications.
52.77 Contents of applications; general information.
52.78 Contents of applications; training and qualification of nuclear
power plant personnel.
52.79 Contents of applications; technical information.
52.81 Standards for review of applications.
52.83 Applicability of part 50 provisions.
52.85 Administrative review of applications.
52.87 Referral to the ACRS.
52.89 Environmental review.
52.91 Authorization to conduct site activities.
52.93 Exemptions and variances.
52.97 Issuance of combined licenses.
52.99 Inspection during construction.
52.103 Operation under a combined license.
Subpart D--Violations
52.111 Violations.
52.113 Criminal penalties.
Appendix A to Part 52--Design Certification Rule for the U.S. Advanced
Boiling Water Reactor
[[Page 56]]
Appendix B to Part 52--Design Certification Rule for the System 80+
Design
Appendix C to Part 52--Design Certification Rule for the AP600 Design
Appendices D-L to Part 52 [Reserved]
Appendix M to Part 52--Standardization of Design; Manufacture of Nuclear
Power Reactors; Construction and Operation of Nuclear Power
Reactors Manufactured Pursuant to Commission License
Appendix N to Part 52--Standardization of Nuclear Power Plant Designs:
Licenses to Construct and Operate Nuclear Power Reactors of
Duplicate Design at Multiple Sites
Appendix O to Part 52--Standardization of Design: Staff Review of
Standard Designs
Appendix P to Part 52 [Reserved]
Appendix Q to Part 52--Pre-Application Early Review of Site Suitability
Issues
Authority: Secs. 103, 104, 161, 182, 183, 186, 189, 68 Stat. 936,
948, 953, 954, 955, 956, as amended, sec. 234, 83 Stat. 444, as amended
(42 U.S.C. 2133, 2201, 2232, 2233, 2236, 2239, 2282); secs. 201, 202,
206, 88 Stat. 1242, 1244, 1246, as amended (42 U.S.C. 5841, 5842, 5846).
Source: 54 FR 15386, Apr. 18, 1989, unless otherwise noted.
General Provisions
Sec. 52.1 Scope.
This part governs the issuance of early site permits, standard
design certifications, and combined licenses for nuclear power
facilities licensed under Section 103 or 104b of the Atomic Energy Act
of 1954, as amended (68 Stat. 919), and Title II of the Energy
Reorganization Act of 1974 (88 Stat. 1242). This part also gives notice
to all persons who knowingly provide to any holder of or applicant for
an early site permit, standard design certification, or combined
license, or to a contractor, subcontractor, or consultant of any of
them, components, equipment, materials, or other goods or services, that
relate to the activities of a holder of or applicant for an early site
permit, standard design certification, or combined license, subject to
this part, that they may be individually subject to NRC enforcement
action for violation of Sec. 52.9.
[63 FR 1897, Jan. 13, 1998]
Sec. 52.3 Definitions.
As used in this part,
(a) Combined license means a combined construction permit and
operating license with conditions for a nuclear power facility issued
pursuant to subpart C of this part.
(b) Early site permit means a Commission approval, issued pursuant
to subpart A of this part, for a site or sites for one or more nuclear
power facilities.
(c) Standard design means a design which is sufficiently detailed
and complete to support certification in accordance with subpart B of
this part, and which is usable for a multiple number of units or at a
multiple number of sites without reopening or repeating the review.
(d) Standard design certification, design certification, or
certification means a Commission approval, issued pursuant to subpart B
of this part, of a standard design for a nuclear power facility. A
design so approved may be referred to as a certified standard design.
(e) All other terms in this part have the meaning set out in 10 CFR
50.2, or section 11 of the Atomic Energy Act, as applicable.
Sec. 52.5 Interpretations.
Except as specifically authorized by the Commission in writing, no
interpretation of the meaning of the regulations in this part by any
officer or employee of the Commission other than a written
interpretation by the General Counsel will be recognized to be binding
upon the Commission.
Sec. 52.8 Information collection requirements: OMB approval.
(a) The Nuclear Regulatory Commission has submitted the information
collection requirements contained in this part to the Office of
Management and Budget (OMB) for approval as required by the Paperwork
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number. OMB
has approved the information collection requirements contained in this
part under control number 3150-0151.
[[Page 57]]
(b) The approved information collection requirements contained in
this part appear in Secs. 52.15, 52.17, 52.29, 52.35, 52.45, 52.47,
52.51, 52.57, 52.63, 52.75, 52.77, 52.78, 52.79, 52.89, 52.91, 52.99,
and appendices A, B, and C.
[62 FR 52188, Oct. 6, 1997, as amended at 64 FR 72015, Dec. 23, 1999]
Sec. 52.9 Deliberate misconduct.
(a) Any holder of, or applicant for, an early site permit, standard
design certification, or combined license, including its employees,
contractors, subcontractors, or consultants and their employees, who
knowingly provides to any holder of, or applicant for, an early site
permit, standard design certification, or combined license, or to a
contractor, subcontractor or consultant of any of them, equipment,
materials, or other goods or services that relate to the activities of a
holder of, or applicant for, an early site permit, standard design
certification or combined license in this part, may not:
(1) Engage in deliberate misconduct that causes or would have
caused, if not detected, a holder of, or applicant for, an early site
permit, standard design certification, or combined license, to be in
violation of any rule, regulation, or order; or any term, condition, or
limitation of any permit, certification or license issued by the
Commission; or
(2) Deliberately submit to the NRC, a holder of, or applicant for,
an early site permit, standard design certification, or combined
license, or a contractor, subcontractor, or consultant of any of them,
information that the person submitting the information knows to be
incomplete or inaccurate in some respect material to the NRC.
(b) A person who violates paragraph (a)(1) or (a)(2) of this section
may be subject to enforcement action in accordance with the procedures
in 10 CFR part 2, subpart B.
(c) For the purposes of paragraph (a)(1) of this section, deliberate
misconduct by a person means an intentional act or omission that the
person knows:
(1) Would cause a holder of, or applicant for, an early site permit,
standard design certification, or combined license, to be in violation
of any rule, regulation, or order; or any term, condition, or
limitation, of any license issued by the Commission; or
(2) Constitutes a violation of a requirement, procedure,
instruction, contract, purchase order, or policy of a holder of, or
applicant for, an early site permit, certified design or combined
license, or a contractor or subcontractor of any of them.
[63 FR 1897, Jan. 13, 1998]
Subpart A--Early Site Permits
Sec. 52.11 Scope of subpart.
This subpart sets out the requirements and procedures applicable to
Commission issuance of early site permits for approval of a site or
sites for one or more nuclear power facilities separate from the filing
of an application for a construction permit or combined license for such
a facility.
Sec. 52.13 Relationship to subpart F of 10 CFR part 2 and appendix Q of this part.
The procedures of this subpart do not replace those set out in
subpart F of 10 CFR part 2 or appendix Q of this part. Subpart F applies
only when early review of site suitability issues is sought in
connection with an appliction for a permit to construct certain power
facilities. Appendix Q applies only when NRC staff review of one or more
site suitability issues is sought separately from and prior to the
submittal of a construction permit. A Staff Site Report issued under
appendix Q in no way affects the authority of the Commission or the
presiding officer in any proceeding under subpart F or G of 10 CFR part
2. Subpart A applies when any person who may apply for a construction
permit under 10 CFR part 50 or for a combined license under 10 CFR part
52 seeks an early site permit from the Commission separately from an
application for a construction permit or a combined license for a
facility.
Sec. 52.15 Filing of applications.
(a) Any person who may apply for a construction permit under 10 CFR
part 50, or for a combined license under 10 CFR part 52, may file with
the Director
[[Page 58]]
of Nuclear Reactor Regulation an application for an early site permit.
An application for an early site permit may be filed notwithstanding the
fact that an application for a construction permit or a combined license
has not been filed in connection with the site or sites for which a
permit is sought.
(b) The application must comply with the filing requirements of 10
CFR 50.30 (a), (b), and (f) as they would apply to an application for a
construction permit. The following portions of Sec. 50.4, which is
referenced by Sec. 50.30(a)(1), are applicable: paragraphs (a), (b) (1)-
(3), (c), (d), and (e).
Sec. 52.17 Contents of applications.
(a)(1) The application must contain the information required by
Sec. 50.33 (a) through (d), the information required by Sec. 50.34
(a)(12) and (b)(10), and to the extent approval of emergency plans is
sought under paragraph (b)(2)(ii) of this section, the information
required by Sec. 50.33 (g) and (j), and Sec. 50.34 (b)(6)(v) of this
chapter. The application must also contain a description and safety
assessment of the site on which the facility is to be located. The
assessment must contain an analysis and evaluation of the major
structures, systems, and components of the facility that bear
significantly on the acceptability of the site under the radiological
consequence evaluation factors identified in Sec. 50.34(a)(1) of this
chapter. Site characteristics must comply with part 100 of this chapter.
In addition, the application should describe the following:
(i) The number, type, and thermal power level of the facilities for
which the site may be used;
(ii) The boundaries of the site;
(iii) The proposed general location of each facility on the site;
(iv) The anticipated maximum levels of radiological and thermal
effluents each facility will produce;
(v) The type of cooling systems, intakes, and outflows that may be
associated with each facility;
(vi) The seismic, meteorological, hydrologic, and geologic
characteristics of the proposed site;
(vii) The location and description of any nearby industrial,
military, or transportation facilities and routes; and
(viii) The existing and projected future population profile of the
area surrounding the site.
(2) A complete environmental report as required by 10 CFR 51.45 and
51.50 must be included in the application, provided, however, that such
environmental report must focus on the environmental effects of
construction and operation of a reactor, or reactors, which have
characteristics that fall within the postulated site parameters, and
provided further that the report need not include an assessment of the
benefits (for example, need for power) of the proposed action, but must
include an evaluation of alternative sites to determine whether there is
any obviously superior alternative to the site proposed.
(b)(1) The application must identify physical characteristics unique
to the proposed site, such as egress limitations from the area
surrounding the site, that could pose a significant impediment to the
development of emergency plans.
(2) The application may also either:
(i) Propose major features of the emergency plans, such as the exact
sizes of the emergency planning zones, that can be reviewed and approved
by NRC in consultation with FEMA in the absence of complete and
integrated emergency plans; or
(ii) Propose complete and integrated emergency plans for review and
approval by the NRC, in consultation with the Federal Emergency
Management Agency, in accord with the applicable provisions of 10 CFR
50.47.
(3) Under paragraphs (b) (1) and (2)(i) of this section, the
application must include a description of contacts and arrangements made
with local, state, and federal governmental agencies with emergency
planning responsibilities. Under the option set forth in paragraph
(b)(2)(ii) of this section, the applicant shall make good faith efforts
to obtain from the same governmental agencies certifications that: (i)
The proposed emergency plans are practicable; (ii) These agencies are
committed to participating in any further development of the plans,
including any required field demonstrations, and (iii) that these
agencies are committed to executing their responsibilities
[[Page 59]]
under the plans in the event of an emergency. The application must
contain any certifications that have been obtained. If these
certifications cannot be obtained, the application must contain
information, including a utility plan, sufficient to show that the
proposed plans nonetheless provide reasonable assurance that adequate
protective measures can and will be taken, in the event of a
radiological emergency at the site.
(c) If the applicant wishes to be able to perform, after grant of
the early site permit, the activities at the site allowed by 10 CFR
50.10(e)(1) without first obtaining the separate authorization required
by that section, the applicant shall propose, in the early site permit,
a plan for redress of the site in the event that the activities are
performed and the site permit expires before it is referenced in an
application for a construction permit or a combined license issued under
subpart C of this part. The application must demonstrate that there is
reasonable assurance that redress carried out under the plan will
achieve an environmentally stable and aesthetically acceptable site
suitable for whatever non-nuclear use may conform with local zoning
laws.
[54 FR 15386, Sept. 18, 1989, as amended at 61 FR 65175, Dec. 11, 1996]
Sec. 52.18 Standards for review of applications.
Applications filed under this subpart will be reviewed according to
the applicable standards set out in 10 CFR part 50 and its appendices
and part 100 as they apply to applications for construction permits for
nuclear power plants. In particular, the Commission shall prepare an
environmental impact statement during review of the application, in
accordance with the applicable provisions of 10 CFR part 51, provided,
however, that the draft and final environmental impact statements
prepared by the Commission focus on the environmental effects of
construction and operation of a reactor, or reactors, which have
characteristics that fall within the postulated site parameters, and
provided further that the statements need not include an assessment of
the benefits (for example, need for power) of the proposed action, but
must include an evaluation of alternative sites to determine whether
there is any obviously superior alternative to the site proposed. The
Commission shall determine, after consultation with the Federal
Emergency Management Agency, whether the information required of the
applicant by Sec. 52.17(b)(1) shows that there is no significant
impediment to the development of emergency plans, whether any major
features of emergency plans submitted by the applicant under
Sec. 52.17(b)(2)(i) are acceptable, and whether any emergency plans
submitted by the applicant under Sec. 52.17(b)(2)(ii) provide reasonable
assurance that adequate protective measures can and will be taken in the
event of a radiological emergency.
Sec. 52.19 Permit and renewal fees.
The fees charged for the review of an application for the initial
issuance or renewal of an early site permit are set forth in 10 CFR
170.21 and shall be paid in accordance with 10 CFR 170.12.
[56 FR 31499, July 10, 1991]
Sec. 52.21 Hearings.
An early site permit is a partial construction permit and is
therefore subject to all procedural requirements in 10 CFR part 2 which
are applicable to construction permits, including the requirements for
docketing in Secs. 2.101(a) (1)-(4), and the requirements for issuance
of a notice of hearing in Secs. 2.104 (a), (b)(1) (iv) and (v), (b)(2)
to the extent it runs parallel to (b)(1) (iv) and (v), and (b)(3),
provided that the designated sections may not be construed to require
that the environmental report or draft or final environmental impact
statement include an assessment of the benefits of the proposed action.
In the hearing, the presiding officer shall also determine whether,
taking into consideration the site criteria contained in 10 CFR part
100, a reactor, or reactors, having characteristics that fall within the
parameters for the site can be constructed and operated without undue
risk to the health and safety of the public. All hearings conducted on
applications for early site permits filed under this part are governed
by the procedures contained in subpart G of part 2.
[[Page 60]]
Sec. 52.23 Referral to the ACRS.
The Commission shall refer a copy of the application to the Advisory
Committee on Reactor Safeguards (ACRS). The ACRS shall report on those
portions of the application which concern safety.
Sec. 52.24 Issuance of early site permit.
After conducting a hearing under Sec. 52.21 of this subpart and
receiving the report to be submitted by the Advisory Committee on
Reactor Safeguards under Sec. 52.23 of this subpart, and upon
determining that an application for an early site permit meets the
applicable standards and requirements of the Atomic Energy Act and the
Commission's regulations, and that notifications, if any, to other
agencies or bodies have been duly made, the Commission shall issue an
early site permit, in the form and containing the conditions and
limitations, as the Commission deems appropriate and necessary.
Sec. 52.25 Extent of activities permitted.
(a) If an early site permit contains a site redress plan, the holder
of the permit, or the applicant for a construction permit or combined
license who references the permit, may perform the activities at the
site allowed by 10 CFR 50.10(e)(1) without first obtaining the separate
authorization required by that section, provided that the final
environmental impact statement prepared for the permit has concluded
that the activities will not result in any significant adverse
environmental impact which cannot be redressed.
(b) If the activities permitted by paragraph (a) of this section are
performed at any site for which an early site permit has been granted,
and the site is not referenced in an application for a construction
permit or a combined license issued under subpart C of this part while
the permit remains valid, then the early site permit must remain in
effect solely for the purpose of site redress, and the holder of the
permit shall redress the site in accordance with the terms of the site
redress plan required by Sec. 52.17(c). If, before redress is complete,
a use not envisaged in the redress plan is found for the site or parts
thereof, the holder of the permit shall carry out the redress plan to
the greatest extent possible consistent with the alternate use.
Sec. 52.27 Duration of permit.
(a) Except as provided in paragraph (b) of this section, an early
site permit issued under this subpart may be valid for not less than ten
nor more than twenty years from the date of issuance.
(b)(1) An early site permit continues to be valid beyond the date of
expiration in any proceeding on a construction permit application or a
combined license application which references the early site permit and
is docketed either before the date of expiration of the early site
permit, or, if a timely application for renewal of the permit has been
filed, before the Commission has determined whether to renew the permit.
(2) An early site permit also continues to be valid beyond the date
of expiration in any proceeding on an operating license application
which is based on a construction permit which references the early site
permit, and in any hearing held under Sec. 52.103 of this part before
operation begins under a combined license which references the early
site permit.
(c) An applicant for a construction permit or combined license may,
at its own risk, reference in its application a site for which an early
site permit application has been docketed but not granted.
Sec. 52.29 Application for renewal.
(a) Not less than twelve nor more than thirty-six months prior to
the end of the initial twenty-year period, or any later renewal period,
the permit holder may apply for a renewal of the permit. An application
for renewal must contain all information necessary to bring up to date
the information and data contained in the previous application.
(b) Any person whose interests may be affected by renewal of the
permit may request a hearing on the application for renewal. The request
for a hearing must comply with 10 CFR 2.714. If a hearing is granted,
notice of the hearing will be published in accordance with 10 CFR 2.703.
[[Page 61]]
(c) An early site permit, either original or renewed, for which a
timely application for renewal has been filed, remains in effect until
the Commission has determined whether to renew the permit. If the permit
is not renewed, it continues to be valid in certain proceedings in
accordance with the provisions of Sec. 52.27(b).
(d) The Commission shall refer a copy of the application for renewal
to the Advisory Committee on Reactor Safeguards (ACRS). The ACRS shall
report on those portions of the application which concern safety and
shall apply the criteria set forth in Sec. 52.31.
Sec. 52.31 Criteria for renewal.
(a) The Commission shall grant the renewal if the Commission
determines that the site complies with the Atomic Energy Act and the
Commission's regulations and orders applicable and in effect at the time
the site permit was originally issued, and any new requirements the
Commission may wish to impose after a determination that there is a
substantial increase in overall protection of the public health and
safety or the common defense and security to be derived from the new
requirements and that the direct and indirect costs of implementation of
those requirements are justified in view of this increased protection.
(b) A denial of renewal on this basis does not bar the permit holder
or another applicant from filing a new application for the site which
proposes changes to the site or the way in which it is used which
correct the deficiencies cited in the denial of the renewal.
Sec. 52.33 Duration of renewal.
Each renewal of an early site permit may be for not less than ten
nor more than twenty years.
Sec. 52.35 Use of site for other purposes.
A site for which an early site permit has been issued under this
subpart may be used for purposes other than those described in the
permit, including the location of other types of energy facilities. The
permit holder shall inform the Director of Nuclear Reactor Regulation of
any significant uses for the site which have not been approved in the
early site permit. The information about the activities must be given to
the Director in advance of any actual construction or site modification
for the activities. The information provided could be the basis for
imposing new requirements on the permit, in accordance with the
provisions of Sec. 52.39. If the permit holder informs the Director that
the holder no longer intends to use the site for a nuclear power plant,
the Director shall terminate the permit.
Sec. 52.37 Reporting of defects and noncompliance; revocation, suspension, modification of permits for cause.
For purposes of part 21 and 10 CFR 50.100, an early site permit is a
construction permit.
Sec. 52.39 Finality of early site permit determinations.
(a)(1) Notwithstanding any provision in 10 CFR 50.109, while an
early site permit is in effect under Secs. 52.27 or 52.33 the Commission
may not impose new requirements, including new emergency planning
requirements, on the early site permit or the site for which it was
issued, unless the Commission determines that a modification is
necessary either to bring the permit or the site into compliance with
the Commission's regulations and orders applicable and in effect at the
time the permit was issued, or to assure adequate protection of the
public health and safety or the common defense and security.
(2) In making the findings required for issuance of a construction
permit, operating license, or combined license, or the findings required
by Sec. 52.103 of this part, if the application for the construction
permit, operating license, or combined license references an early site
permit, the Commission shall treat as resolved those matters resolved in
the proceeding on the application for issuance or renewal of the early
site permit, unless a contention is admitted that a reactor does not fit
within one or more of the site parameters included in the site permit,
or a petition is filed which alleges either that the site is not in
compliance with the terms of the early site permit, or that the terms
and conditions of the early site permit should be modified.
[[Page 62]]
(i) A contention that a reactor does not fit within one or more of
the site parameters included in the site permit may be litigated in the
same manner as other issues material to the proceeding.
(ii) A petition which alleges that the site is not in compliance
with the terms of the early site permit must include, or clearly
reference, official NRC documents, documents prepared by or for the
permit holder, or evidence admissible in a proceeding under subpart G of
part 2, which show, prima facie, that the acceptance criteria have not
been met. The permit holder and NRC staff may file answers to the
petition within the time specified in 10 CFR 2.730 for answers to
motions by parties and staff. If the Commission, in its judgment,
decides, on the basis of the petitions and any answers thereto, that the
petition meets the requirements of this paragraph, that the issues are
not exempt from adjudication under 5 U.S.C. 554(a)(3), that genuine
issues of material fact are raised, and that settlement or other
informal resolution of the issues is not possible, then the genuine
issues of material fact raised by the petition must be resolved in
accordance with the provisions in 554, 556, and 557 which are applicable
to determining application for initial licenses.
(iii) A petition which alleges that the terms and conditions of the
early site permit should be modified will be processed in accord with 10
CFR 2.206. Before construction commences, the Commission shall consider
the petition and determine whether any immediate action is required. If
the petition is granted, then an appropriate order will be issued.
Construction under the construction permit or combined license will not
be affected by the granting of the petition unless the order is made
immediately effective.
(iv) Prior to construction, the Commission shall find that the terms
of the early site permit have been met.
(b) An applicant for a construction permit, operating license, or
combined license who has filed an application referencing an early site
permit issued under this subpart may include in the application a
request for a variance from one or more elements of the permit. In
determining whether to grant the variance, the Commission shall apply
the same technically relevant criteria as were applicable to the
application for the original or renewed site permit. Issuance of the
variance must be subject to litigation during the construction permit,
operating license, or combined license proceeding in the same manner as
other issues material to those proceedings.
Subpart B--Standard Design Certifications
Sec. 52.41 Scope of subpart.
This subpart set out the requirements and procedures applicable to
Commission issuance of rules granting standard design certification for
nuclear power facilities separate from the filing of an application for
a construction permit or combined license for such facility.
Sec. 52.43 Relationship to appendices M, N, and O of this part.
(a) Appendix M to this part governs the issuance of licenses to
manufacture nuclear power reactors to be installed and operated at sites
not identified in the manufacturing license application. Appendix N
governs licenses to construct and operate nuclear power reactors of
duplicate design at multiple sites. These appendices may be used
independently of the provisions in this subpart unless the applicant
also wishes to use a certified standard design approved under this
subpart.
(b) Appendix O governs the staff review and approval of preliminary
and final standard designs. A staff approval under appendix O in no way
affects the authority of the Commission or the presiding officer in any
proceeding under subpart G of 10 CFR part 2. Subpart B of part 52
governs Commission approval, or certification, of standard designs by
rulemaking.
(c) A final design approval under appendix O is a prerequisite for
certification of a standard design under this subpart. An application
for a final design approval must state whether the applicant intends to
seek certification of the design. If the applicant does so
[[Page 63]]
intend, the application for the final design approval must, in addition
to containing the information required by appendix O, comply with the
applicable requirements of part 52, subpart B, particularly Secs. 52.45
and 52.47.
Sec. 52.45 Filing of applications.
(a)(1) Any person may seek a standard design certification for an
essentially complete nuclear power plant design which is an evolutionary
change from light water reactor designs of plants which have been
licensed and in commercial operation before the effective date of this
rule.
(2) Any person may also seek a standard design certification for a
nuclear power plant design which differs significantly from the light
water reactor designs described in paragraph (a)(1) of this section or
utilizes simplified, inherent, passive, or other innovative means to
accomplish its safety functions.
(b) An application for certification may be filed notwithstanding
the fact that an application for a construction permit or combined
license for such a facility has not been filed.
(c)(1) Because a final design approval under appendix O of this part
is a prerequisite for certification of a standard design, a person who
seeks such a certification and does not hold, or has not applied for, a
final design approval, shall file with the Director of Nuclear Reactor
Regulation an application for a final design approval and certification.
(2) Any person who seeks certification but already holds, or has
applied for, a final design approval, also shall file with the Director
of Nuclear Reactor Regulation an application for certification, because
the NRC staff may require that the information before the staff in
connection with the review for the final design approval be supplemented
for the review for certification.
(d) The applicant must comply with the filing requirements of 10 CFR
50.30(a) (1)-(4), and (6) and 50.30(b) as they would apply to an
application for a nuclear power plant construction permit. The following
portions of Sec. 50.4, which is referenced by Sec. 50.30(a)(1), are
applicable to the extent technically relevant: paragraphs (a); (b),
except for paragraphs (6); (c); and (e).
Sec. 52.47 Contents of applications.
(a) The requirements of this paragraph apply to all applications for
design certification. (1) An application for design certification must
contain:
(i) The technical information which is required of applicants for
construction permits and operating licenses by 10 CFR part 20, part 50
and its appendices, and parts 73 and 100, and which is technically
relevant to the design and not site-specific;
(ii) Demonstration of compliance with any technically relevant
portions of the Three Mile Island requirements set forth in 10 CFR
50.34(f);
(iii) The site parameters postulated for the design, and an analysis
and evaluation of the design in terms of such parameters;
(iv) Proposed technical resolutions of those Unresolved Safety
Issues and medium- and high-priority Generic Safety Issues which are
identified in the version of NUREG-0933 current on the date six months
prior to application and which are technically relevant to the design;
(v) A design-specific probabilistic risk assessment;
(vi) Proposed tests, inspections, analyses, and acceptance criteria
which are necessary and sufficient to provide reasonable assurance that,
if the tests, inspections and analyses are performed and the acceptance
criteria met, a plant which references the design is built and will
operate in accordance with the design certification.
(vii) The interface requirements to be met by those portions of the
plant for which the application does not seek certification. These
requirements must be sufficiently detailed to allow completion of the
final safety analysis and design-specific probabilistic risk assessment
required by paragraph (a)(1)(v) of this section;
(viii) Justification that compliance with the interface requirements
of paragraph (a)(1)(vii) of this section is verifiable through
inspection, testing (either in the plant or elsewhere), or analysis. The
method to be used for verification of interface requirements
[[Page 64]]
must be included as part of the proposed tests, inspections, analyses,
and acceptance criteria required by paragraph (a)(1)(vi) of this
section; and
(ix) A representative conceptual design for those portions of the
plant for which the application does not seek certification, to aid the
staff in its review of the final safety analysis and probabilistic risk
assessment required by paragraph (a)(1)(v) of this section, and to
permit assessment of the adequacy of the interface requirements called
for by paragraph (a)(1)(vii) of this subsection.
(2) The application must contain a level of design information
sufficient to enable the Commission to judge the applicant's proposed
means of assuring that construction conforms to the design and to reach
a final conclusion on all safety questions associated with the design
before the certification is granted. The information submitted for a
design certification must include performance requirements and design
information sufficiently detailed to permit the preparation of
acceptance and inspection requirements by the NRC, and procurement
specifications and construction and installation specifications by an
applicant. The Commission will require, prior to design certification,
that information normally contained in certain procurement
specifications and construction and installation specifications be
completed and available for audit if such information is necessary for
the Commission to make its safety determination.
(3) The staff shall advise the applicant on whether any technical
information beyond that required by this section must be submitted.
(b) This paragraph applies, according to its provisions, to
particular applications:
(1) The application for certification of a nuclear power plant
design which is an evolutionary change from light water reactor designs
of plants which have been licensed and in commercial operation before
the effective date of this rule must provide an essentially complete
nuclear power plant design except for site-specific elements such as the
service water intake structure and the ultimate heat sink.
(2)(i) Certification of a standard design which differs
significantly from the light water reactor designs described in
paragraph (b)(1) of this section or utilizes simplified, inherent,
passive, or other innovative means to accomplish its safety functions
will be granted only if
(A)(1) The performance of each safety feature of the design has been
demonstrated through either analysis, appropriate test programs,
experience, or a combination thereof;
(2) Interdependent effects among the safety features of the design
have been found acceptable by analysis, appropriate test programs,
experience, or a combination thereof;
(3) Sufficient data exist on the safety features of the design to
assess the analytical tools used for safety analyses over a sufficient
range of normal operating conditions, transient conditions, and
specified accident sequences, including equilibrium core conditions; and
(4) The scope of the design is complete except for site-specific
elements such as the service water intake structure and the ultimate
heat sink; or
(B) There has been acceptable testing of an appropriately sited,
full-size, prototype of the design over a sufficient range of normal
operating conditions, transient conditions, and specified accident
sequences, including equilibrium core conditions. If the criterion in
paragraph (b)(2)(i)(A)(4) of this section is not met, the testing of the
prototype must demonstrate that the non-certified portion of the plant
cannot significantly affect the safe operation of the plant.
(ii) The application for final design approval of a standard design
of the type described in this subsection must propose the specific
testing necessary to support certification of the design, whether the
testing be prototype testing or the testing required in the alternative
by paragraph (b)(2)(i)(A) of this section.
The Appendix O final design approval of such a design must identify
the specific testing required for certification of the design.
[[Page 65]]
(3) An application seeking certification of a modular design must
describe the various options for the configuration of the plant and
site, including variations in, or sharing of, common systems, interface
requirements, and system interactions. The final safety analysis and the
probabilistic risk assessment should also account for differences among
the various options, including any restrictions which will be necessary
during the construction and startup of a given module to ensure the safe
operation of any module already operating.
Sec. 52.48 Standards for review of applications.
Applications filed under this subpart will be reviewed for
compliance with the standards set out in 10 CFR part 20, part 50 and its
appendices, and parts 73 and 100 as they apply to applications for
construction permits and operating licenses for nuclear power plants,
and as those standards are technically relevant to the design proposed
for the facility.
Sec. 52.49 Fees for review of applications.
The fee charged for the review of an application for the initial
issuance or renewal of a standard design certification are set forth in
10 CFR 170.21 and shall be paid in accordance with 10 CFR 170.12.
[56 FR 31499, July 10, 1991]
Sec. 52.51 Administrative review of applications.
(a) A standard design certification is a rule that will be issued in
accordance with the provisions of subpart H of 10 CFR part 2, as
supplemented by the provisions of this section. The Commission shall
initiate the rulemaking after an application has been filed under
Sec. 52.45 and shall specify the procedures to be used for the
rulemaking.
(b) The rulemaking procedures must provide for notice and comment
and an opportunity for an informal hearing before an Atomic Safety and
Licensing Board. The procedures for the informal hearing must include
the opportunity for written presentations made under oath or affirmation
and for oral presentations and questioning if the Board finds them
either necessary for the creation of an adequate record or the most
expeditious way to resolve controversies. Ordinarily, the questioning in
the informal hearing will be done by members of the Board, using either
the Board's questions or questions submitted to the Board by the
parties. The Board may also request authority from the Commission to use
additional procedures, such as direct and cross examination by the
parties, or may request that the Commission convene a formal hearing
under subpart G of 10 CFR part 2 on specific and substantial disputes of
fact, necessary for the Commission's decision, that cannot be resolved
with sufficient accuracy except in a formal hearing. The staff will be a
party in the hearing.
(c) The decision in such a hearing will be based only on information
on which all parties have had an opportunity to comment, either in
response to the notice of proposed rulemaking or in the informal
hearing. Notwithstanding anything in 10 CFR 2.790 to the contrary,
proprietary information will be protected in the same manner and to the
same extent as proprietary information submitted in connection with
applications for construction permits and operating licenses under 10
CFR part 50, provided that the design certification shall be published
in chapter I of this title.
Sec. 52.53 Referral to the ACRS.
The Commission shall refer a copy of the application to the Advisory
Committee on Reactor Safeguards (ACRS). The ACRS shall report on those
portions of the application which concern safety.
Sec. 52.54 Issuance of standard design certification.
After conducting a rulemaking proceeding under Sec. 52.51 on an
application for a standard design certification and receiving the report
to be submitted by the Advisory Committee on Reactor Safeguards under
Sec. 52.53, and upon determining that the application meets the
applicable standards and requirements of the Atomic Energy Act and the
Commission's regulations, the Commission shall issue a standard design
certification in the form of a rule
[[Page 66]]
for the design which is the subject of the application.
Sec. 52.55 Duration of certification.
(a) Except as provided in paragraph (b) of this section, a standard
design certification issued pursuant to this subpart is valid for
fifteen years from the date of issuance.
(b) A standard design certification continues to be valid beyond the
date of expiration in any proceeding on an application for a combined
license or operating license which references the standard design
certification and is docketed either before the date of expiration of
the certification, or, if a timely application for renewal of the
certification has been filed, before the Commission has determined
whether to renew the certification. A design certification also
continues to be valid beyond the date of expiration in any hearing held
under Sec. 52.103 before operation begins under a combined license which
references the design certification.
(c) An applicant for a construction permit or combined license may,
at its own risk, reference in its application a design for which a
design certification application has been docketed but not granted.
Sec. 52.57 Application for renewal.
(a) Not less than twelve nor more than thirty-six months prior to
expiration of the initial fifteen-year period, or any later renewal
period, any person may apply for renewal of the certification. An
application for renewal must contain all information necessary to bring
up to date the information and data contained in the previous
application. The Commission will require, prior to renewal of
certification, that information normally contained in certain
procurement specifications and construction and installation
specifications be completed and available for audit if such information
is necessary for the Commission to make its safety determination. Notice
and comment procedures must be used for a rulemaking proceeding on the
application for renewal. The Commission, in its discretion, may require
the use of additional procedures in individual renewal proceedings.
(b) A design certification, either original or renewed, for which a
timely application for renewal has been filed remains in effect until
the Commission has determined whether to renew the certification. If the
certification is not renewed, it continues to be valid in certain
proceedings, in accordance with the provisions of Sec. 52.55.
(c) The Commission shall refer a copy of the application for renewal
to the Advisory Committee on Reactor Safeguards (ACRS). The ACRS shall
report on those portions of the application which concern safety and
shall apply the criteria set forth in Sec. 52.59.
Sec. 52.59 Criteria for renewal.
(a) The Commission shall issue a rule granting the renewal if the
design, either as originally certified or as modified during the
rulemaking on the renewal, complies with the Atomic Energy Act and the
Commission's regulations applicable and in effect at the time the
certification was issued, and any other requirements the Commission may
wish to impose after a determination that there is a substantial
increase in overall protection of the public health and safety or the
common defense and security to be derived from the new requirements and
that the direct and indirect costs of implementation of those
requirements are justified in view of this increased protection. In
addition, the applicant for renewal may request an amendment to the
design certification. The Commission shall grant the amendment request
if it determines that the amendment will comply with the Atomic Energy
Act and the Commission's regulations in effect at the time or renewal.
If the amendment request entails such an extensive change to the design
certification that an essentially new standard design is being proposed,
an application for a design certification shall be filed in accordance
with Sec. 52.45 and 52.47 of this part.
(b) Denial of renewal does not bar the applicant, or another
applicant, from filing a new application for certification of the
design, which proposes design changes which correct the deficiencies
cited in the denial of the renewal.
[[Page 67]]
Sec. 52.61 Duration of renewal.
Each renewal of certification for a standard design will be for not
less than ten nor more than fifteen years.
Sec. 52.63 Finality of standard design certifications.
(a)(1) Notwithstanding any provision in 10 CFR 50.109, while a
standard design certification is in effect under Sec. 52.55 or 52.61,
the Commission may not modify, rescind, or impose new requirements on
the certification, whether on its own motion, or in response to a
petition from any person, unless the Commission determines in a
rulemaking that a modification is necessary either to bring the
certification or the referencing plants into compliance with the
Commission's regulations applicable and in effect at the time the
certification was issued, or to assure adequate protection of the public
health and safety or the common defense and security. The rulemaking
procedures must provide for notice and comment and an opportunity for
the party which applied for the certification to request an informal
hearing which uses the procedures described in Sec. 52.51 of this
subpart.
(2) Any modification the NRC imposes on a design certification rule
under paragraph (a)(1) of this section will be applied to all plants
referencing the certified design, except those to which the modification
has been rendered technically irrelevant by action taken under
paragraphs (a)(3), (a)(4), or (b) of this section.
(3) While a design certification is in effect under Sec. 52.55 or
Sec. 52.61, unless (i) a modification is necessary to secure compliance
with the Commission's regulations applicable and in effect at the time
the certification was issued, or to assure adequate protection of the
public health and safety or the common defense and security, and (ii)
special circumstances as defined in 10 CFR 50.12(a) are present, the
Commission may not impose new requirements by plant-specific order on
any part of the design of a specific plant referencing the design
certification if that part was approved in the design certification. In
addition to the factors listed in Sec. 50.12(a), the Commission shall
consider whether the special circumstances which Sec. 50.12(a)(2)
requires to be present outweigh any decrease in safety that may result
from the reduction in standardization caused by the plant-specific
order.
(4) Except as provided in 10 CFR 2.758, in making the findings
required for issuance of a combined license or operating license, or for
any hearing under Sec. 52.103, the Commission shall treat as resolved
those matters resolved in connection with the issuance or renewal of a
design certification.
(b)(1) An applicant or licensee who references a standard design
certification may request an exemption from one or more elements of the
design certification. The Commission may grant such a request only if it
determines that the exemption will comply with the requirements of 10
CFR 50.12(a). In addition to the factors listed in Sec. 50.12(a), the
Commission shall consider whether the special circumstances which
Sec. 50.12(a)(2) requires to be present outweigh any decrease in safety
that may result from the reduction in standardization caused by the
exemption. The granting of an exemption on request of an applicant must
be subject to litigation in the same manner as other issues in the
operating license or combined license hearing.
(2) Subject Sec. 50.59, a licensee who references a standard design
certification may make changes to the design of the nuclear power
facility, without prior Commission approval, unless the proposed change
involves a change to the design as described in the rule certifying the
design. The licensee shall maintain records of all changes to the
facility and these records must be maintained and available for audit
until the date of termination of the license.
(c) The Commission will require, prior to granting a construction
permit, combined license, or operating license which references a
standard design certification, that information normally contained in
certain procurement specifications and construction and installation
specifications be completed and available for audit if such information
is necessary for the Commission to make its safety determinations,
including the determination that the application is consistent with the
[[Page 68]]
certified design. This information may be acquired by appropriate
arrangements with the design certification applicant.
Subpart C--Combined Licenses
Sec. 52.71 Scope of subpart.
This subpart sets out the requirements and procedures applicable to
Commission issuance of combined licenses for nuclear power facilities.
Sec. 52.73 Relationship to subparts A and B.
An application for a combined license under this subpart may, but
need not, reference a standard design certification issued under subpart
B of this part or an early site permit issued under subpart A of this
part, or both. In the absence of a demonstration that an entity other
than the one originally sponsoring and obtaining a design certification
is qualified to supply such design, the Commission will entertain an
application for a combined license which references a standard design
certification issued under subpart B only if the entity that sponsored
and obtained the certification supplies the certified design for the
applicant's use.
Sec. 52.75 Filing of applications.
Any person except one excluded by 10 CFR 50.38 may file an
application for a combined license for a nuclear power facility with the
Director of Nuclear Reactor Regulation. The applicant shall comply with
the filing requirements of 10 CFR 50.4 and 50.30 (a) and (b), except for
paragraph (b)(6) of Sec. 50.4, as they would apply to an application for
a nuclear power plant construction permit. The fees associated with the
filing and review of the application are set out in 10 CFR part 170.
Sec. 52.77 Contents of applications; general information.
The application must contain all of the information required by 10
CFR 50.33, as that section would apply to applicants for construction
permits and operating licenses, and 10 CFR 50.33a, as that section would
apply to an applicant for a nuclear power plant construction permit. In
particular, the applicant shall comply with the requirement of
Sec. 50.33a(b) regarding the submission of antitrust information.
Sec. 52.78 Contents of applications; training and qualification of nuclear power plant personnel.
(a) Applicability. The requirements of this section apply only to
the personnel associated with the operating phase of the combined
licenses.
(b) The application must demonstrate compliance with the
requirements for training programs established in Sec. 50.120 of this
chapter.
[58 FR 21912, Apr. 26, 1993]
Sec. 52.79 Contents of applications; technical information.
(a)(1) In general, if the application references an early site
permit, the application need not contain information or analyses
submitted to the Commission in connection with the early site permit,
but must contain, in addition to the information and analyses otherwise
required, information sufficient to demonstrate that the design of the
facility falls within the parameters specified in the early site permit,
and to resolve any other significant environmental issue not considered
in any previous proceeding on the site or the design.
(2) If the application does not reference an early site permit, the
applicant shall comply with the requirements of 10 CFR 50.30(f) by
including with the application an environmental report prepared in
accordance with the provisions of subpart A of 10 CFR part 51.
(3) If the application does not reference an early site permit which
contains a site redress plan as described in Sec. 52.17(c), and if the
applicant wishes to be able to perform the activities at the site
allowed by 10 CFR 50.10(e)(1), then the application must contain the
information required by Sec. 52.17(c).
(b) The application must contain the technically relevant
information required of applicants for an operating license by 10 CFR
50.34. The final safety analysis report and other required information
may incorporate by reference the final safety analysis report for a
certified standard design. In particular, an application referencing a
certified design must describe those
[[Page 69]]
portions of the design which are site-specific, such as the service
water intake structure and the ultimate heat sink. An application
referencing a certified design must also demonstrate compliance with the
interface requirements established for the design under
Sec. 52.47(a)(1), and have available for audit procurement
specifications and construction and installation specifications in
accordance with Sec. 52.47(a)(2). If the application does not reference
a certified design, the application must comply with the requirements of
Sec. 52.47(a)(2) for level of design information, and shall contain the
technical information required by Secs. 52.47(a)(1) (i), (ii), (iv), and
(v) and (3), and, if the design is modular, Sec. 52.47(b)(3).
(c) The application for a combined license must include the proposed
inspections, tests and analyses, including those applicable to emergency
planning, which the licensee shall perform and the acceptance criteria
therefor which are necessary and sufficient to provide reasonable
assurance that, if the inspections, tests and analyses are performed and
the acceptance criteria met, the facility has been constructed and will
operate in conformity with the combined license, the provisions of the
Atomic Energy Act, and the NRC's regulations. Where the application
references a certified standard design, the inspections, tests, analyses
and acceptance criteria contained in the certified design must apply to
those portions of the facility design which are covered by the design
certification.
(d) The application must contain emergency plans which provide
reasonable assurance that adequate protective measures can and will be
taken in the event of a radiological emergency at the site.
(1) If the application references an early site permit, the
application may incorporate by reference emergency plans, or major
features of emergency plans, approved in connection with the issuance of
the permit.
(2) If the application does not reference an early site permit, or
if no emergency plans were approved in connection with the issuance of
the permit, the applicant shall make good faith efforts to obtain
certifications from the local and State governmental agencies with
emergency planning responsibilities (i) that the proposed emergency
plans are practicable, (ii) that these agencies are committed to
participating in any further development of the plans, including any
required field demonstrations, and (iii) that these agencies are
committed to executing their responsibilities under the plans in the
event of an emergency. The application must contain any certifications
that have been obtained. If these certifications cannot be obtained, the
application must contain information, including a utility plan,
sufficient to show that the proposed plans nonetheless provide
reasonable assurance that adequate protective measures can and will be
taken in the event of a radiological emergency at the site.
[54 FR 15386, Apr. 18, 1989, as amended at 57 FR 60978, Dec. 23, 1992]
Sec. 52.81 Standards for review of applications.
Applications filed under this subpart will be reviewed according to
the standards set out in 10 CFR parts 20, 50, 51, 55, 73, and 100 as
they apply to applications for construction permits and operating
licenses for nuclear power plants, and as those standards are
technically relevant to the design proposed for the facility.
Sec. 52.83 Applicability of part 50 provisions.
Unless otherwise specifically provided for in this subpart, all
provisions of 10 CFR part 50 and its appendices applicable to holders of
construction permits for nuclear power reactors also apply to holders of
combined licenses issued under this subpart. Similarly, all provisions
of 10 CFR part 50 and its appendices applicable to holders of operating
licenses also apply to holders of combined licenses issued under this
subpart, once the Commission has made the findings required under
Sec. 52.99, provided that, as applied to a combined license, 10 CFR
50.51 must require that the initial duration of the license may not
exceed 40 years from the date on which the Commission makes the findings
required under Sec. 52.99. However, any limitations contained in part 50
regarding applicability of the
[[Page 70]]
provisions to certain classes of facilities continue to apply.
Provisions of 10 CFR part 50 that do not apply to holders of combined
licenses issued under this subpart include Secs. 50.55 (a), (b) and (d),
and 50.58.
[57 FR 60978, Dec. 23, 1992]
Sec. 52.85 Administrative review of applications.
A proceeding on a combined license is subject to all applicable
procedural requirements contained in 10 CFR part 2, including the
requirements for docketing (Sec. 2.101) and issuance of a notice of
hearing (Sec. 2.104). All hearings on combined licenses are governed by
the procedures contained in part 2, subpart G.
Sec. 52.87 Referral to the ACRS.
The Commission shall refer a copy of the application to the Advisory
Committee on Reactor Safeguards (ACRS). The ACRS shall report on those
portions of the application which concern safety and shall apply the
criteria set forth in Sec. 52.81, in accordance with the finality
provisions of this part.
Sec. 52.89 Environmental review.
If the application references an early site permit or a certified
standard design, the environmental review must focus on whether the
design of the facility falls within the parameters specified in the
early site permit and any other significant environmental issue not
considered in any previous proceeding on the site or the design. If the
application does not reference an early site permit or a certified
standard design, the environmental review procedures set out in 10 CFR
part 51 must be followed, including the issuance of a final
environmental impact statement, but excluding the issuance of a
supplement under Sec. 51.95(a).
Sec. 52.91 Authorization to conduct site activities.
(a)(1) If the application references an early site permit which
contains a site redress plan as described in Sec. 52.17(c) the applicant
is authorized by Sec. 52.25 to perform the site preparation activities
described in 10 CFR 50.10(e)(1).
(2) If the application does not reference an early site permit which
contains a redress plan, the applicant may not perform the site
preparation activities allowed by 10 CFR 50.10(e)(1) without first
submitting a site redress plan in accord with Sec. 52.79(a)(3) and
obtaining the separate authorization required by 10 CFR 50.10(e)(1).
Authorization must be granted only after the presiding officer in the
proceeding on the application has made the findings and determination
required by 10 CFR 50.10(e)(2) and has determined that the site redress
plan meets the criteria in Sec. 52.17(c).
(3) Authorization to conduct the activities described in 10 CFR
50.10(e)(3)(i) may be granted only after the presiding officer in the
combined license proceeding makes the additional finding required by 10
CFR 50.10(e)(3)(ii).
(b) If, after an applicant for a combined license has performed the
activities permitted by paragraph (a) of this section, the application
for the license is withdrawn or denied, and the early site permit
referenced by the application expires, then the applicant shall redress
the site in accord with the terms of the site redress plan. If, before
redress is complete, a use not envisaged in the redress plan is found
for the site or parts thereof, the applicant shall carry out the redress
plan to the greatest extent possible consistent with the alternate use.
Sec. 52.93 Exemptions and variances.
(a) Applicants for a combined license under this subpart, or any
amendment to a combined license, may include in the application a
request, under 10 CFR 50.12, for an exemption from one or more of the
Commission's regulations, including any part of a design certification
rule. The Commission shall grant such a request if it determines that
the exemption will comply with the requirements of 10 CFR 50.12(a) or
52.63(b)(1) if the exemption includes any part of the design
certification rule.
(b) An applicant for a combined license, or any amendment to a
combined license, who has filed an application referencing an early site
permit issued under this subpart may include in the application a
request for a variance from one or more elements of the
[[Page 71]]
permit. In determining whether to grant the variance, the Commission
shall apply the same technically relevant criteria as were applicable to
the application for the original or renewed site permit. Issuance of the
variance must be subject to litigation during the combined license
proceeding in the same manner as other issues material to that
proceeding.
Sec. 52.97 Issuance of combined licenses.
(a) The Commission shall issue a combined license for a nuclear
power facility upon finding that the applicable requirements of 10 CFR
50.40, 50.42, 50.43, 50.47, and 50.50 have been met, and that there is
reasonable assurance that the facility will be constructed and operated
in conformity with the license, the provisions of the Atomic Energy Act,
and the Commission's regulations.
(b)(1) The Commission shall identify within the combined license the
inspections, tests, and analyses, including those applicable to
emergency planning, that the licensee shall perform, and the acceptance
criteria that, if met, are necessary and sufficient to provide
reasonable assurance that the facility has been constructed and will be
operated in conformity with the license, the provisions of the atomic
Energy Act, and the Commission's rules and regulations.
(2)(i) Any modification to, addition to, or deletion from the terms
of a combined construction and operating license, including any
modification to, addition to, or deletion from the inspections, tests,
analyses, or related acceptance criteria contained in the license is a
proposed amendment to the license. There must be an opportunity for a
hearing on these amendments.
(ii) The Commission may issue and make immediately effective any
amendment to a combined construction and operating license upon a
determination by the Commission that the amendment involves no
significant hazards consideration, notwithstanding the pendency before
the Commission of a request for a hearing from any person. The amendment
may be issued and made immediately effective in advance of the holding
and completion of any required hearing. The amendment will be processed
in accordance with the procedures specified in 10 CFR 50.91.
[54 FR 15386, Apr. 18, 1989, as amended at 57 FR 60978, Dec. 23, 1992]
Sec. 52.99 Inspection during construction.
After issuance of a combined license, the Commission shall ensure
that the required inspections, tests, and analyses are performed and,
prior to operation of the facility, shall find that the prescribed
acceptance criteria are met. Holders of combined licenses shall comply
with the provisions of 10 CFR 50.70 and 50.71. At appropriate intervals
during construction, the NRC staff shall publish in the Federal Register
notices of the successful completion of inspections, tests, and
analyses.
[57 FR 60978, Dec. 23, 1992]
Sec. 52.103 Operation under a combined license.
(a) Not less than one hundred and eighty days before the date
scheduled for initial loading of fuel into a plant by a licensee that
has been issued a combined construction permit and operating license
under subpart C of this part, the Commission shall publish in the
Federal Register notice of intended operation. That notice shall provide
that any person whose interest may be affected by operation of the
plant, may within sixty days request the Commission to hold a hearing on
whether the facility as constructed complies, or on completion will
comply, with the acceptance criteria of the license.
(b) A request for hearing under paragraph (a) of this section shall
show, prima facie, that--
(1) One or more of the acceptance criteria in the combined license
have not been, or will not be met; and
(2) The specific operational consequences of nonconformance that
would be contrary to providing reasonable assurance of adequate
protection of the public health and safety.
(c) After receiving a request for a hearing, the Commission
expeditiously shall either deny or grant the request. If the request is
granted, the Commission shall determine, after considering petitioners'
prima facie showing and any answers thereto, whether during a
[[Page 72]]
period of interim operation, there will be reasonable assurance of
adequate protection of the public health and safety. If the Commission
determines that there is such reasonable assurance, it shall allow
operation during an interim period under the combined license.
(d) The Commission, in its discretion, shall determine appropriate
hearing procedures, whether informal or formal adjudicatory, for any
hearing under paragraph (a) of this section, and shall state its reasons
therefor.
(e) The Commission shall, to the maximum possible extent, render a
decision on issues raised by the hearing request within one hundred and
eighty days of the publication of the notice provided by paragraph (a)
of this section or the anticipated date for initial loading of fuel into
the reactor, whichever is later.
(f) A petition to modify the terms and conditions of the combined
license will be processed as a request for action in accord with 10 CFR
2.206. The petitioner shall file the petition with the Secretary of the
Commission. Before the licensed activity allegedly affected by the
petition (fuel loading, low power testing, etc.) commences, the
Commission shall determine whether any immediate action is required. If
the petition is granted, then an appropriate order will be issued. Fuel
loading and operation under the combined license will not be affected by
the granting of the petition unless the order is made immediately
effective.
(g) Prior to operation of the facility, the Commission shall find
that the acceptance criteria in the combined license are met. If the
combined license is for a modular design, each reactor module may
require a separate finding as construction proceeds.
[57 FR 60978, Dec. 23, 1992]
Subpart D--Violations
Sec. 52.111 Violations.
(a) The Commission may obtain an injunction or other court order to
prevent a violation of the provisions of--
(1) The Atomic Energy Act of 1954, as amended;
(2) Title II of the Energy Reorganization Act of 1974, as amended;
or
(3) A regulation or order issued pursuant to those Acts.
(b) The Commission may obtain a court order for the payment of a
civil penalty imposed under section 234 of the Atomic Energy Act:
(1) For violations of--
(i) Section 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of
the Atomic Energy Act of 1954, as amended;
(ii) Section 206 of the Energy Reorganization Act;
(iii) Any rule, regulation, or order issued pursuant to the sections
specified in paragraph (b)(1)(i) of this section;
(iv) Any term, condition, or limitation of any license issued under
the sections specified in paragraph (b)(1)(i) of this section.
(2) For any violation for which a license may be revoked under
section 186 of the Atomic Energy Act of 1954, as amended.
[57 FR 55075, Nov. 24, 1992]
Sec. 52.113 Criminal penalties.
(a) Section 223 of the Atomic Energy Act of 1954, as amended,
provides for criminal sanctions for willful violation of, attempted
violation of, or conspiracy to violate, any regulation issued under
sections 161b, 161i, or 161o of the Act. For purposes of section 223,
all the regulations in part 52 are issued under one or more of sections
161b, 161i, or 160o, except for the sections listed in paragraph (b) of
this section.
(b) The regulations in part 52 that are not issued under sections
161b, 161i, or 161o for the purposes of section 223 are as follows:
Secs. 52.1, 52.3, 52.5, 52.8, 52.11, 52.13, 52.15, 52.17, 52.18, 52.19,
52.21, 52.23, 52.24, 52.27, 52.29, 52.31, 52.33, 52.37, 52.39, 52.41,
52.43, 52.45, 52.47, 52.48, 52.49, 52.51, 52.53, 52.54, 52.55, 52.57,
52.59, 52.61, 52.71, 52.73, 52.75, 52.77, 52.78, 52.79, 52.81, 52.83,
52.85, 52.87, 52.89, 52.93, 52.97, 52.103, 52.111, and 52.113.
[57 FR 55075, Nov. 24, 1992, as amended at 58 FR 21912, Apr. 26, 1993]
[[Page 73]]
Appendix A To Part 52--Design Certification Rule for the U.S. Advanced
Boiling Water Reactor
I. Introduction
Appendix A constitutes the standard design certification for the
U.S. Advanced Boiling Water Reactor (ABWR) design, in accordance with 10
CFR Part 52, Subpart B. The applicant for certification of the U.S. ABWR
design was GE Nuclear Energy.
II. Definitions
A. Generic design control document (generic DCD) means the document
containing the Tier 1 and Tier 2 information and generic technical
specifications that is incorporated by reference into this appendix.
B. Generic technical specifications means the information, required
by 10 CFR 50.36 and 50.36a, for the portion of the plant that is within
the scope of this appendix.
C. Plant-specific DCD means the document, maintained by an applicant
or licensee who references this appendix, consisting of the information
in the generic DCD, as modified and supplemented by the plant-specific
departures and exemptions made under Section VIII of this appendix.
D. Tier 1 means the portion of the design-related information
contained in the generic DCD that is approved and certified by this
appendix (hereinafter Tier 1 information). The design descriptions,
interface requirements, and site parameters are derived from Tier 2
information. Tier 1 information includes:
1. Definitions and general provisions;
2. Design descriptions;
3. Inspections, tests, analyses, and acceptance criteria (ITAAC);
4. Significant site parameters; and
5. Significant interface requirements.
E. Tier 2 means the portion of the design-related information
contained in the generic DCD that is approved but not certified by this
appendix (hereinafter Tier 2 information). Compliance with Tier 2 is
required, but generic changes to and plant-specific departures from Tier
2 are governed by Section VIII of this appendix. Compliance with Tier 2
provides a sufficient, but not the only acceptable, method for complying
with Tier 1. Compliance methods differing from Tier 2 must satisfy the
change process in Section VIII of this appendix. Regardless of these
differences, an applicant or licensee must meet the requirement in
Section III.B to reference Tier 2 when referencing Tier 1. Tier 2
information includes:
1. Information required by 10 CFR 52.47, with the exception of
generic technical specifications and conceptual design information;
2. Information required for a final safety analysis report under 10
CFR 50.34;
3. Supporting information on the inspections, tests, and analyses
that will be performed to demonstrate that the acceptance criteria in
the ITAAC have been met; and
4. Combined license (COL) action items (COL license information),
which identify certain matters that shall be addressed in the site-
specific portion of the final safety analysis report (FSAR) by an
applicant who references this appendix. These items constitute
information requirements but are not the only acceptable set of
information in the FSAR. An applicant may depart from or omit these
items, provided that the departure or omission is identified and
justified in the FSAR. After issuance of a construction permit or COL,
these items are not requirements for the licensee unless such items are
restated in the FSAR.
F. Tier 2* means the portion of the Tier 2 information, designated
as such in the generic DCD, which is subject to the change process in
VIII.B.6 of this appendix. This designation expires for some Tier 2*
information under VIII.B.6.
G. All other terms in this appendix have the meaning set out in 10
CFR 50.2, 10 CFR 52.3, or Section 11 of the Atomic Energy Act of 1954,
as amended, as applicable.
III. Scope and Contents
A. Tier 1, Tier 2, and the generic technical specifications in the
U.S. ABWR Design Control Document, GE Nuclear Energy, Revision 4 dated
March 1997, are approved for incorporation by reference by the Director
of the Office of the Federal Register in accordance with 5 U.S.C. 552(a)
and 1 CFR Part 51. Copies of the generic DCD may be obtained from the
National Technical Information Service, 5285 Port Royal Road,
Springfield, VA 22161. A copy is available for examination and copying
at the NRC Public Document Room, 2120 L Street NW. (Lower Level),
Washington, DC 20555. Copies are also available for examination at the
NRC Library, 11545 Rockville Pike, Rockville, Maryland 20582 and the
Office of the Federal Register, 800 North Capitol Street, NW., Suite
700, Washington DC.
B. An applicant or licensee referencing this appendix, in accordance
with Section IV of this appendix, shall incorporate by reference and
comply with the requirements of this appendix, including Tier 1, Tier 2,
and the generic technical specifications except as otherwise provided in
this appendix. Conceptual design information, as set forth in the
generic DCD, and the ``Technical Support Document for the ABWR'' are not
part of this appendix. Tier 2 references to the probabilistic risk
assessment (PRA) in the ABWR Standard Safety Analysis Report do not
incorporate the PRA into Tier 2.
C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then
Tier 1 controls.
D. If there is a conflict between the generic DCD and either the
application for design
[[Page 74]]
certification of the U.S. ABWR design or NUREG-1503, ``Final Safety
Evaluation Report related to the Certification of the Advanced Boiling
Water Reactor Design,'' (FSER) and Supplement No. 1, then the generic
DCD controls.
E. Design activities for structures, systems, and components that
are wholly outside the scope of this appendix may be performed using
site-specific design parameters, provided the design activities do not
affect the DCD or conflict with the interface requirements.
IV. Additional Requirements and Restrictions
A. An applicant for a license that wishes to reference this appendix
shall, in addition to complying with the requirements of 10 CFR 52.77,
52.78, and 52.79, comply with the following requirements:
1. Incorporate by reference, as part of its application, this
appendix;
2. Include, as part of its application:
a. A plant-specific DCD containing the same information and
utilizing the same organization and numbering as the generic DCD for the
U.S. ABWR design, as modified and supplemented by the applicant's
exemptions and departures;
b. The reports on departures from and updates to the plant-specific
DCD required by X.B of this appendix;
c. Plant-specific technical specifications, consisting of the
generic and site-specific technical specifications, that are required by
10 CFR 50.36 and 50.36a;
d. Information demonstrating compliance with the site parameters and
interface requirements;
e. Information that addresses the COL action items; and
f. Information required by 10 CFR 52.47(a) that is not within the
scope of this appendix.
3. Physically include, in the plant-specific DCD, the proprietary
information and safeguards information referenced in the U.S. ABWR DCD.
B. The Commission reserves the right to determine in what manner
this appendix may be referenced by an applicant for a construction
permit or operating license under 10 CFR Part 50.
V. Applicable Regulations
A. Except as indicated in paragraph B of this section, the
regulations that apply to the U.S. ABWR design are in 10 CFR Parts 20,
50, 73, and 100, codified as of May 2, 1997, that are applicable and
technically relevant, as described in the FSER (NUREG-1503) and
Supplement No. 1.
B. The U.S. ABWR design is exempt from portions of the following
regulations:
1. Paragraph (f)(2)(iv) of 10 CFR 50.34--Separate Plant Safety
Parameter Display Console;
2. Paragraph (f)(2)(viii) of 10 CFR 50.34--Post-Accident Sampling
for Boron, Chloride, and Dissolved Gases; and
3. Paragraph (f)(3)(iv) of 10 CFR 50.34--Dedicated Containment
Penetration.
VI. Issue Resolution
A. The Commission has determined that the structures, systems,
components, and design features of the U.S. ABWR design comply with the
provisions of the Atomic Energy Act of 1954, as amended, and the
applicable regulations identified in Section V of this appendix; and
therefore, provide adequate protection to the health and safety of the
public. A conclusion that a matter is resolved includes the finding that
additional or alternative structures, systems, components, design
features, design criteria, testing, analyses, acceptance criteria, or
justifications are not necessary for the U.S. ABWR design.
B. The Commission considers the following matters resolved within
the meaning of 10 CFR 52.63(a)(4) in subsequent proceedings for issuance
of a combined license, amendment of a combined license, or renewal of a
combined license, proceedings held pursuant to 10 CFR 52.103, and
enforcement proceedings involving plants referencing this appendix:
1. All nuclear safety issues, except for the generic technical
specifications and other operational requirements, associated with the
information in the FSER and Supplement No. 1, Tier 1, Tier 2 (including
referenced information which the context indicates is intended as
requirements), and the rulemaking record for certification of the U.S.
ABWR design;
2. All nuclear safety and safeguards issues associated with the
information in proprietary and safeguards documents, referenced and in
context, are intended as requirements in the generic DCD for the U.S.
ABWR design;
3. All generic changes to the DCD pursuant to and in compliance with
the change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;
4. All exemptions from the DCD pursuant to and in compliance with
the change processes in Sections VIII.A.4 and VIII.B.4 of this appendix,
but only for that proceeding;
5. All departures from the DCD that are approved by license
amendment, but only for that proceeding;
6. Except as provided in VIII.B.5.f of this appendix, all departures
from Tier 2 pursuant to and in compliance with the change processes in
VIII.B.5 of this appendix that do not require prior NRC approval;
7. All environmental issues concerning severe accident mitigation
design alternatives associated with the information in the NRC's final
environmental assessment for the U.S. ABWR design and Revision 1 of the
Technical Support Document for the U.S. ABWR,
[[Page 75]]
dated December 1994, for plants referencing this appendix whose site
parameters are within those specified in the Technical Support Document.
C. The Commission does not consider operational requirements for an
applicant or licensee who references this appendix to be matters
resolved within the meaning of 10 CFR 52.63(a)(4). The Commission
reserves the right to require operational requirements for an applicant
or licensee who references this appendix by rule, regulation, order, or
license condition.
D. Except in accordance with the change processes in Section VIII of
this appendix, the Commission may not require an applicant or licensee
who references this appendix to:
1. Modify structures, systems, components, or design features as
described in the generic DCD;
2. Provide additional or alternative structures, systems,
components, or design features not discussed in the generic DCD; or
3. Provide additional or alternative design criteria, testing,
analyses, acceptance criteria, or justification for structures, systems,
components, or design features discussed in the generic DCD.
E.1. Persons who wish to review proprietary and safeguards
information or other secondary references in the DCD for the U.S. ABWR
design, in order to request or participate in the hearing required by 10
CFR 52.85 or the hearing provided under 10 CFR 52.103, or to request or
participate in any other hearing relating to this appendix in which
interested persons have adjudicatory hearing rights, shall first request
access to such information from GE Nuclear Energy. The request must
state with particularity:
a. The nature of the proprietary or other information sought;
b. The reason why the information currently available to the public
at the NRC Web site, http://www.nrc.gov, and/or at the NRC Public
Document Room, is insufficient;
c. The relevance of the requested information to the hearing
issue(s) which the person proposes to raise; and
d. A showing that the requesting person has the capability to
understand and utilize the requested information.
2. If a person claims that the information is necessary to prepare a
request for hearing, the request must be filed no later than 15 days
after publication in the Federal Register of the notice required either
by 10 CFR 52.85 or 10 CFR 52.103. If GE Nuclear Energy declines to
provide the information sought, GE Nuclear Energy shall send a written
response within ten (10) days of receiving the request to the requesting
person setting forth with particularity the reasons for its refusal. The
person may then request the Commission (or presiding officer, if a
proceeding has been established) to order disclosure. The person shall
include copies of the original request (and any subsequent clarifying
information provided by the requesting party to the applicant) and the
applicant's response. The Commission and presiding officer shall base
their decisions solely on the person's original request (including any
clarifying information provided by the requesting person to GE Nuclear
Energy), and GE Nuclear Energy's response. The Commission and presiding
officer may order GE Nuclear Energy to provide access to some or all of
the requested information, subject to an appropriate non-disclosure
agreement.
VII. Duration of This Appendix
This appendix may be referenced for a period of 15 years from June
11, 1997 except as provided for in 10 CFR 52.55(b) and 52.57(b). This
appendix remains valid for an applicant or licensee who references this
appendix until the application is withdrawn or the license expires,
including any period of extended operation under a renewed license.
VIII. Processes for Changes and Departures
A. Tier 1 information.
1. Generic changes to Tier 1 information are governed by the
requirements in 10 CFR 52.63(a)(1).
2. Generic changes to Tier 1 information are applicable to all
applicants or licensees who reference this appendix, except those for
which the change has been rendered technically irrelevant by action
taken under paragraphs A.3 or A.4 of this section.
3. Departures from Tier 1 information that are required by the
Commission through plant-specific orders are governed by the
requirements in 10 CFR 52.63(a)(3).
4. Exemptions from Tier 1 information are governed by the
requirements in 10 CFR 52.63(b)(1) and Sec. 52.97(b). The Commission
will deny a request for an exemption from Tier 1, if it finds that the
design change will result in a significant decrease in the level of
safety otherwise provided by the design.
B. Tier 2 information.
1. Generic changes to Tier 2 information are governed by the
requirements in 10 CFR 52.63(a)(1).
2. Generic changes to Tier 2 information are applicable to all
applicants or licensees who reference this appendix, except those for
which the change has been rendered technically irrelevant by action
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
3. The Commission may not require new requirements on Tier 2
information by plant-specific order while this appendix is in effect
under Secs. 52.55 or 52.61, unless:
a. A modification is necessary to secure compliance with the
Commission's regulations applicable and in effect at the time this
appendix was approved, as set forth in
[[Page 76]]
Section V of this appendix, or to assure adequate protection of the
public health and safety or the common defense and security; and
b. Special circumstances as defined in 10 CFR 50.12(a) are present.
4. An applicant or licensee who references this appendix may request
an exemption from Tier 2 information. The Commission may grant such a
request only if it determines that the exemption will comply with the
requirements of 10 CFR 50.12(a). The Commission will deny a request for
an exemption from Tier 2, if it finds that the design change will result
in a significant decrease in the level of safety otherwise provided by
the design. The grant of an exemption to an applicant must be subject to
litigation in the same manner as other issues material to the license
hearing. The grant of an exemption to a licensee must be subject to an
opportunity for a hearing in the same manner as license amendments.
5.a. An applicant or licensee who references this appendix may
depart from Tier 2 information, without prior NRC approval, unless the
proposed departure involves a change to or departure from Tier 1
information, Tier 2* information, or the technical specifications, or
involves an unreviewed safety question as defined in paragraphs B.5.b
and B.5.c of this section. When evaluating the proposed departure, an
applicant or licensee shall consider all matters described in the plant-
specific DCD.
b. A proposed departure from Tier 2, other than one affecting
resolution of a severe accident issue identified in the plant-specific
DCD, involves an unreviewed safety question if--
(1) The probability of occurrence or the consequences of an accident
or malfunction of equipment important to safety previously evaluated in
the plant-specific DCD may be increased;
(2) A possibility for an accident or malfunction of a different type
than any evaluated previously in the plant-specific DCD may be created;
or
(3) The margin of safety as defined in the basis for any technical
specification is reduced.
c. A proposed departure from Tier 2 affecting resolution of a severe
accident issue identified in the plant-specific DCD, involves an
unreviewed safety question if--
(1) There is a substantial increase in the probability of a severe
accident such that a particular severe accident previously reviewed and
determined to be not credible could become credible; or
(2) There is a substantial increase in the consequences to the
public of a particular severe accident previously reviewed.
d. If a departure involves an unreviewed safety question as defined
in paragraph B.5 of this section, it is governed by 10 CFR 50.90.
e. A departure from Tier 2 information that is made under paragraph
B.5 of this section does not require an exemption from this appendix.
f. A party to an adjudicatory proceeding for either the issuance,
amendment, or renewal of a license or for operation under 10 CFR
52.103(a), who believes that an applicant or licensee who references
this appendix has not complied with VIII.B.5 of this appendix when
departing from Tier 2 information, may petition to admit into the
proceeding such a contention. In addition to compliance with the general
requirements of 10 CFR 2.714(b)(2), the petition must demonstrate that
the departure does not comply with VIII.B.5 of this appendix. Further,
the petition must demonstrate that the change bears on an asserted
noncompliance with an ITAAC acceptance criterion in the case of a 10 CFR
52.103 preoperational hearing, or that the change bears directly on the
amendment request in the case of a hearing on a license amendment. Any
other party may file a response. If, on the basis of the petition and
any response, the presiding officer determines that a sufficient showing
has been made, the presiding officer shall certify the matter directly
to the Commission for determination of the admissibility of the
contention. The Commission may admit such a contention if it determines
the petition raises a genuine issue of fact regarding compliance with
VIII.B.5 of this appendix.
6.a. An applicant who references this appendix may not depart from
Tier 2* information, which is designated with italicized text or
brackets and an asterisk in the generic DCD, without NRC approval. The
departure will not be considered a resolved issue, within the meaning of
Section VI of this appendix and 10 CFR 52.63(a)(4).
b. A licensee who references this appendix may not depart from the
following Tier 2* matters without prior NRC approval. A request for a
departure will be treated as a request for a license amendment under 10
CFR 50.90.
(1) Fuel burnup limit (4.2).
(2) Fuel design evaluation (4.2.3).
(3) Fuel licensing acceptance criteria (Appendix 4B).
c. A licensee who references this appendix may not, before the plant
first achieves full power following the finding required by 10 CFR
52.103(g), depart from the following Tier 2* matters except in
accordance with paragraph B.6.b of this section. After the plant first
achieves full power, the following Tier 2* matters revert to Tier 2
status and are thereafter subject to the departure provisions in
paragraph B.5 of this section.
(1) ASME Boiler & Pressure Vessel Code, Section III.
(2) ACI 349 and ANSI/AISC N-690.
(3) Motor-operated valves.
[[Page 77]]
(4) Equipment seismic qualification methods.
(5) Piping design acceptance criteria.
(6) Fuel system and assembly design (4.2), except burnup limit.
(7) Nuclear design (4.3).
(8) Equilibrium cycle and control rod patterns (App. 4A).
(9) Control rod licensing acceptance criteria (App. 4C).
(10) Instrument setpoint methodology.
(11) EMS performance specifications and architecture.
(12) SSLC hardware and software qualification.
(13) Self-test system design testing features and commitments.
(14) Human factors engineering design and implementation process.
d. Departures from Tier 2* information that are made under paragraph
B.6 of this section do not require an exemption from this appendix.
C. Operational requirements.
1. Generic changes to generic technical specifications and other
operational requirements that were completely reviewed and approved in
the design certification rulemaking and do not require a change to a
design feature in the generic DCD are governed by the requirements in 10
CFR 50.109. Generic changes that do require a change to a design feature
in the generic DCD are governed by the requirements in paragraphs A or B
of this section.
2. Generic changes to generic technical specifications and other
operational requirements are applicable to all applicants or licensees
who reference this appendix, except those for which the change has been
rendered technically irrelevant by action taken under paragraphs C.3 or
C.4 of this section.
3. The Commission may require plant-specific departures on generic
technical specifications and other operational requirements that were
completely reviewed and approved, provided a change to a design feature
in the generic DCD is not required and special circumstances as defined
in 10 CFR 2.758(b) are present. The Commission may modify or supplement
generic technical specifications and other operational requirements that
were not completely reviewed and approved or require additional
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD
is not required.
4. An applicant who references this appendix may request an
exemption from the generic technical specifications or other operational
requirements. The Commission may grant such a request only if it
determines that the exemption will comply with the requirements of 10
CFR 50.12(a). The grant of an exemption must be subject to litigation in
the same manner as other issues material to the license hearing.
5. A party to an adjudicatory proceeding for either the issuance,
amendment, or renewal of a license or for operation under 10 CFR
52.103(a), who believes that an operational requirement approved in the
DCD or a technical specification derived from the generic technical
specifications must be changed may petition to admit into the proceeding
such a contention. Such petition must comply with the general
requirements of 10 CFR 2.714(b)(2) and must demonstrate why special
circumstances as defined in 10 CFR 2.758(b) are present, or for
compliance with the Commission's regulations in effect at the time this
appendix was approved, as set forth in Section V of this appendix. Any
other party may file a response thereto. If, on the basis of the
petition and any response, the presiding officer determines that a
sufficient showing has been made, the presiding officer shall certify
the matter directly to the Commission for determination of the
admissibility of the contention. All other issues with respect to the
plant-specific technical specifications or other operational
requirements are subject to a hearing as part of the license proceeding.
6. After issuance of a license, the generic technical specifications
have no further effect on the plant-specific technical specifications
and changes to the plant-specific technical specifications will be
treated as license amendments under 10 CFR 50.90.
IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)
A.1 An applicant or licensee who references this appendix shall
perform and demonstrate conformance with the ITAAC before fuel load.
With respect to activities subject to an ITAAC, an applicant for a
license may proceed at its own risk with design and procurement
activities, and a licensee may proceed at its own risk with design,
procurement, construction, and preoperational activities, even though
the NRC may not have found that any particular ITAAC has been satisfied.
2. The licensee who references this appendix shall notify the NRC
that the required inspections, tests, and analyses in the ITAAC have
been successfully completed and that the corresponding acceptance
criteria have been met.
3. In the event that an activity is subject to an ITAAC, and the
applicant or licensee who references this appendix has not demonstrated
that the ITAAC has been satisfied, the applicant or licensee may either
take corrective actions to successfully complete that ITAAC, request an
exemption from the ITAAC in accordance with Section VIII of this
appendix and 10 CFR 52.97(b), or petition for rulemaking to amend this
appendix by changing the requirements of the ITAAC, under 10 CFR 2.802
and 52.97(b). Such rulemaking changes to the ITAAC must meet
[[Page 78]]
the requirements of paragraph VIII.A.1 of this appendix.
B.1 The NRC shall ensure that the required inspections, tests, and
analyses in the ITAAC are performed. The NRC shall verify that the
inspections, tests, and analyses referenced by the licensee have been
successfully completed and, based solely thereon, find the prescribed
acceptance criteria have been met. At appropriate intervals during
construction, the NRC shall publish notices of the successful completion
of ITAAC in the Federal Register.
2. In accordance with 10 CFR 52.99 and 52.103(g), the Commission
shall find that the acceptance criteria in the ITAAC for the license are
met before fuel load.
3. After the Commission has made the finding required by 10 CFR
52.103(g), the ITAAC do not, by virtue of their inclusion within the
DCD, constitute regulatory requirements either for licensees or for
renewal of the license; except for specific ITAAC, which are the subject
of a Section 103(a) hearing, their expiration will occur upon final
Commission action in such proceeding. However, subsequent modifications
must comply with the Tier 1 and Tier 2 design descriptions in the plant-
specific DCD unless the licensee has complied with the applicable
requirements of 10 CFR 52.97 and Section VIII of this appendix.
X. Records and Reporting
A. Records.
1. The applicant for this appendix shall maintain a copy of the
generic DCD that includes all generic changes to Tier 1 and Tier 2. The
applicant shall maintain the proprietary and safeguards information
referenced in the generic DCD for the period that this appendix may be
referenced, as specified in Section VII of this appendix.
2. An applicant or licensee who references this appendix shall
maintain the plant-specific DCD to accurately reflect both generic
changes to the generic DCD and plant-specific departures made pursuant
to Section VIII of this appendix throughout the period of application
and for the term of the license (including any period of renewal).
3. An applicant or licensee who references this appendix shall
prepare and maintain written safety evaluations which provide the bases
for the determinations required by Section VIII of this appendix. These
evaluations must be retained throughout the period of application and
for the term of the license (including any period of renewal).
B. Reporting.
1. An applicant or licensee who references this appendix shall
submit a report to the NRC containing a brief description of any
departures from the plant-specific DCD, including a summary of the
safety evaluation of each. This report must be filed in accordance with
the filing requirements applicable to reports in 10 CFR 50.4.
2. An applicant or licensee who references this appendix shall
submit updates to its plant-specific DCD, which reflect the generic
changes to the generic DCD and the plant-specific departures made
pursuant to Section VIII of this appendix. These updates shall be filed
in accordance with the filing requirements applicable to final safety
analysis report updates in 10 CFR 50.4 and 50.71(e).
3. The reports and updates required by paragraphs B.1 and B.2 of
this section must be submitted as follows:
a. On the date that an application for a license referencing this
appendix is submitted, the application shall include the report and any
updates to the plant-specific DCD.
b. During the interval from the date of application to the date of
issuance of a license, the report and any updates to the plant-specific
DCD must be submitted annually and may be submitted along with
amendments to the application.
c. During the interval from the date of issuance of a license to the
date the Commission makes its findings under 10 CFR 52.103(g), the
report must be submitted quarterly. Updates to the plant-specific DCD
must be submitted annually.
d. After the Commission has made its finding under 10 CFR 52.103(g),
reports and updates to the plant-specific DCD may be submitted annually
or along with updates to the site-specific portion of the final safety
analysis report for the facility at the intervals required by 10 CFR
50.71(e), or at shorter intervals as specified in the license.
[62 FR 25827, May 12, 1997; 62 FR 27293, May 19, 1997, as amended at 64
FR 48953, Sept. 9, 1999]
Appendix B To Part 52--Design Certification Rule for the System 80+
Design
I. Introduction
Appendix B constitutes design certification for the System 80+
1 standard plant design, in accordance with 10 CFR part 52,
subpart B. The applicant for certification of the System 80+ design was
Combustion Engineering, Inc. (ABB-CE).
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\1\ ``System 80+'' is a trademark of Combustion Engineering, Inc.
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II. Definitions
A. Generic design control document (generic DCD) means the document
containing the Tier 1 and Tier 2 information and generic technical
specifications that is incorporated by reference into this appendix.
B. Generic technical specifications means the information, required
by 10 CFR 50.36 and
[[Page 79]]
50.36a, for the portion of the plant that is within the scope of this
appendix.
C. Plant-specific DCD means the document, maintained by an applicant
or licensee who references this appendix, consisting of the information
in the generic DCD, as modified and supplemented by the plant-specific
departures and exemptions made under Section VIII of this appendix.
D. Tier 1 means the portion of the design-related information
contained in the generic DCD that is approved and certified by this
appendix (hereinafter Tier 1 information). The design descriptions,
interface requirements, and site parameters are derived from Tier 2
information. Tier 1 information includes:
1. Definitions and general provisions;
2. Design descriptions;
3. Inspections, tests, analyses, and acceptance criteria (ITAAC);
4. Significant site parameters; and
5. Significant interface requirements.
E. Tier 2 means the portion of the design-related information
contained in the generic DCD that is approved but not certified by this
appendix (hereinafter Tier 2 information). Compliance with Tier 2 is
required, but generic changes to and plant-specific departures from Tier
2 are governed by Section VIII of this appendix. Compliance with Tier 2
provides a sufficient, but not the only acceptable, method for complying
with Tier 1. Compliance methods differing from Tier 2 must satisfy the
change process in Section VIII of this appendix. Regardless of these
differences, an applicant or licensee must meet the requirement in
Section III.B to reference Tier 2 when referencing Tier 1. Tier 2
information includes:
1. Information required by 10 CFR 52.47, with the exception of
generic technical specifications and conceptual design information;
2. Information required for a final safety analysis report under 10
CFR 50.34;
3. Supporting information on the inspections, tests, and analyses
that will be performed to demonstrate that the acceptance criteria in
the ITAAC have been met; and
4. Combined license (COL) action items (COL license information),
which identify certain matters that shall be addressed in the site-
specific portion of the final safety analysis report (FSAR) by an
applicant who references this appendix. These items constitute
information requirements but are not the only acceptable set of
information in the FSAR. An applicant may depart from or omit these
items, provided that the departure or omission is identified and
justified in the FSAR. After issuance of a construction permit or COL,
these items are not requirements for the licensee unless such items are
restated in the FSAR.
F. Tier 2* means the portion of the Tier 2 information, designated
as such in the generic DCD, which is subject to the change process in
VIII.B.6 of this appendix. This designation expires for some Tier 2*
information under VIII.B.6.
G. All other terms in this appendix have the meaning set out in 10
CFR 50.2, 10 CFR 52.3, or Section 11 of the Atomic Energy Act of 1954,
as amended, as applicable.
III. Scope and Contents
A. Tier 1, Tier 2, and the generic technical specifications in the
System 80+ Design Control Document, ABB-CE, with revisions dated January
1997, are approved for incorporation by reference by the Director of the
Office of the Federal Register in accordance with 5 U.S.C. 552(a) and 1
CFR Part 51. Copies of the generic DCD may be obtained from the National
Technical Information Service, 5285 Port Royal Road, Springfield, VA
22161. A copy is available for examination and copying at the NRC Public
Document Room, 2120 L Street NW. (Lower Level), Washington, DC 20555.
Copies are also available for examination at the NRC Library, 11545
Rockville Pike, Rockville, Maryland 20582 and the Office of the Federal
Register, 800 North Capitol Street, NW., Suite 700, Washington, DC.
B. An applicant or licensee referencing this appendix, in accordance
with Section IV of this appendix, shall incorporate by reference and
comply with the requirements of this appendix, including Tier 1, Tier 2,
and the generic technical specifications except as otherwise provided in
this appendix. Conceptual design information, as set forth in the
generic DCD, and the Technical Support Document for the System 80+
design are not part of this appendix.
C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then
Tier 1 controls.
D. If there is a conflict between the generic DCD and either the
application for design certification of the System 80+ design or NUREG-
1462, ``Final Safety Evaluation Report related to the Certification of
the System 80+ Design,'' (FSER) and Supplement No. 1, then the generic
DCD controls.
E. Design activities for structures, systems, and components that
are wholly outside the scope of this appendix may be performed using
site-specific design parameters, provided the design activities do not
affect the DCD or conflict with the interface requirements.
IV. Additional Requirements and Restrictions
A. An applicant for a license that wishes to reference this appendix
shall, in addition to complying with the requirements of 10 CFR 52.77,
52.78, and 52.79, comply with the following requirements:
1. Incorporate by reference, as part of its application, this
appendix;
2. Include, as part of its application:
[[Page 80]]
a. A plant-specific DCD containing the same information and
utilizing the same organization and numbering as the generic DCD for the
System 80+ design, as modified and supplemented by the applicant's
exemptions and departures;
b. The reports on departures from and updates to the plant-specific
DCD required by X.B of this appendix;
c. Plant-specific technical specifications, consisting of the
generic and site-specific technical specifications, that are required by
10 CFR 50.36 and 50.36a;
d. Information demonstrating compliance with the site parameters and
interface requirements;
e. Information that addresses the COL action items; and
f. Information required by 10 CFR 52.47(a) that is not within the
scope of this appendix.
3. Physically include, in the plant-specific DCD, the proprietary
information referenced in the System 80+ DCD.
B. The Commission reserves the right to determine in what manner
this appendix may be referenced by an applicant for a construction
permit or operating license under 10 CFR Part 50.
V. Applicable Regulations
A. Except as indicated in paragraph B of this section, the
regulations that apply to the System 80+ design are in 10 CFR Parts 20,
50, 73, and 100, codified as of May 9, 1997, that are applicable and
technically relevant, as described in the FSER (NUREG-1462) and
Supplement No. 1.
B. The System 80+ design is exempt from portions of the following
regulations:
1. Paragraph (f)(2)(iv) of 10 CFR 50.34--Separate Plant Safety
Parameter Display Console;
2. Paragraphs (f)(2) (vii), (viii), (xxvi), and (xxviii) of 10 CFR
50.34--Accident Source Terms;
3. Paragraph (f)(2)(viii) of 10 CFR 50.34--Post-Accident Sampling
for Hydrogen, Boron, Chloride, and Dissolved Gases;
4. Paragraph (f)(3)(iv) of 10 CFR 50.34--Dedicated Containment
Penetration; and
5. Paragraphs III.A.1(a) and III.C.3(b) of Appendix J to 10 CFR 50--
Containment Leakage Testing.
VI. Issue Resolution
A. The Commission has determined that the structures, systems,
components, and design features of the System 80+ design comply with the
provisions of the Atomic Energy Act of 1954, as amended, and the
applicable regulations identified in Section V of this appendix; and
therefore, provide adequate protection to the health and safety of the
public. A conclusion that a matter is resolved includes the finding that
additional or alternative structures, systems, components, design
features, design criteria, testing, analyses, acceptance criteria, or
justifications are not necessary for the System 80+ design.
B. The Commission considers the following matters resolved within
the meaning of 10 CFR 52.63(a)(4) in subsequent proceedings for issuance
of a combined license, amendment of a combined license, or renewal of a
combined license, proceedings held pursuant to 10 CFR 52.103, and
enforcement proceedings involving plants referencing this appendix:
1. All nuclear safety issues, except for the generic technical
specifications and other operational requirements, associated with the
information in the FSER and Supplement No. 1, Tier 1, Tier 2 (including
referenced information which the context indicates is intended as
requirements), and the rulemaking record for certification of the System
80+ design;
2. All nuclear safety issues associated with the information in
proprietary documents, referenced and in context, are intended as
requirements in the generic DCD for the System 80+ design;
3. All generic changes to the DCD pursuant to and in compliance with
the change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;
4. All exemptions from the DCD pursuant to and in compliance with
the change processes in Sections VIII.A.4 and VIII.B.4 of this appendix,
but only for that proceeding;
5. All departures from the DCD that are approved by license
amendment, but only for that proceeding;
6. Except as provided in VIII.B.5.f of this appendix, all departures
from Tier 2 pursuant to and in compliance with the change processes in
VIII.B.5 of this appendix that do not require prior NRC approval;
7. All environmental issues concerning severe accident mitigation
design alternatives associated with the information in the NRC's final
environmental assessment for the System 80+ design and the Technical
Support Document for the System 80+ design, dated January 1995, for
plants referencing this appendix whose site parameters are within those
specified in the Technical Support Document.
C. The Commission does not consider operational requirements for an
applicant or licensee who references this appendix to be matters
resolved within the meaning of 10 CFR 52.63(a)(4). The Commission
reserves the right to require operational requirements for an applicant
or licensee who references this appendix by rule, regulation, order, or
license condition.
D. Except in accordance with the change processes in Section VIII of
this appendix, the Commission may not require an applicant or licensee
who references this appendix to:
[[Page 81]]
1. Modify structures, systems, components, or design features as
described in the generic DCD;
2. Provide additional or alternative structures, systems,
components, or design features not discussed in the generic DCD; or
3. Provide additional or alternative design criteria, testing,
analyses, acceptance criteria, or justification for structures, systems,
components, or design features discussed in the generic DCD.
E.1. Persons who wish to review proprietary information or other
secondary references in the DCD for the System 80+ design, in order to
request or participate in the hearing required by 10 CFR 52.85 or the
hearing provided under 10 CFR 52.103, or to request or participate in
any other hearing relating to this appendix in which interested persons
have adjudicatory hearing rights, shall first request access to such
information from ABB-CE. The request must state with particularity:
a. The nature of the proprietary or other information sought;
b. The reason why the information currently available to the public
at the NRC Web site, http://www.nrc.gov, and/or at the NRC Public
Document Room, is insufficient.
c. The relevance of the requested information to the hearing
issue(s) which the person proposes to raise; and
d. A showing that the requesting person has the capability to
understand and utilize the requested information.
2. If a person claims that the information is necessary to prepare a
request for hearing, the request must be filed no later than 15 days
after publication in the Federal Register of the notice required either
by 10 CFR 52.85 or 10 CFR 52.103. If ABB-CE declines to provide the
information sought, ABB-CE shall send a written response within ten (10)
days of receiving the request to the requesting person setting forth
with particularity the reasons for its refusal. The person may then
request the Commission (or presiding officer, if a proceeding has been
established) to order disclosure. The person shall include copies of the
original request (and any subsequent clarifying information provided by
the requesting party to the applicant) and the applicant's response. The
Commission and presiding officer shall base their decisions solely on
the person's original request (including any clarifying information
provided by the requesting person to ABB-CE), and ABB-CE's response. The
Commission and presiding officer may order ABB-CE to provide access to
some or all of the requested information, subject to an appropriate
nondisclosure agreement.
VII. Duration of This Appendix
This appendix may be referenced for a period of 15 years from June
20, 1997, except as provided for in 10 CFR 52.55(b) and 52.57(b). This
appendix remains valid for an applicant or licensee who references this
appendix until the application is withdrawn or the license expires,
including any period of extended operation under a renewed license.
VIII. Processes for Changes and Departures
A. Tier 1 information.
1. Generic changes to Tier 1 information are governed by the
requirements in 10 CFR 52.63(a)(1).
2. Generic changes to Tier 1 information are applicable to all
applicants or licensees who reference this appendix, except those for
which the change has been rendered technically irrelevant by action
taken under paragraphs A.3 or A.4 of this section.
3. Departures from Tier 1 information that are required by the
Commission through plant-specific orders are governed by the
requirements in 10 CFR 52.63(a)(3).
4. Exemptions from Tier 1 information are governed by the
requirements in 10 CFR 52.63(b)(1) and Sec. 52.97(b). The Commission
will deny a request for an exemption from Tier 1, if it finds that the
design change will result in a significant decrease in the level of
safety otherwise provided by the design.
B. Tier 2 information.
1. Generic changes to Tier 2 information are governed by the
requirements in 10 CFR 52.63(a)(1).
2. Generic changes to Tier 2 information are applicable to all
applicants or licensees who reference this appendix, except those for
which the change has been rendered technically irrelevant by action
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
3. The Commission may not require new requirements on Tier 2
information by plant-specific order while this appendix is in effect
under Secs. 52.55 or 52.61, unless:
a. A modification is necessary to secure compliance with the
Commission's regulations applicable and in effect at the time this
appendix was approved, as set forth in Section V of this appendix, or to
assure adequate protection of the public health and safety or the common
defense and security; and
b. Special circumstances as defined in 10 CFR 50.12(a) are present.
4. An applicant or licensee who references this appendix may request
an exemption from Tier 2 information. The Commission may grant such a
request only if it determines that the exemption will comply with the
requirements of 10 CFR 50.12(a). The Commission will deny a request for
an exemption from Tier 2, if it finds that the design change will result
in a significant decrease in the level of safety otherwise provided by
the design. The grant of an exemption to an applicant must be subject to
litigation in the same manner as other issues material to the license
hearing. The grant of
[[Page 82]]
an exemption to a licensee must be subject to an opportunity for a
hearing in the same manner as license amendments.
5.a. An applicant or licensee who references this appendix may
depart from Tier 2 information, without prior NRC approval, unless the
proposed departure involves a change to or departure from Tier 1
information, Tier 2* information, or the technical specifications, or
involves an unreviewed safety question as defined in paragraphs B.5.b
and B.5.c of this section. When evaluating the proposed departure, an
applicant or licensee shall consider all matters described in the plant-
specific DCD.
b. A proposed departure from Tier 2, other than one affecting
resolution of a severe accident issue identified in the plant-specific
DCD, involves an unreviewed safety question if--
(1) The probability of occurrence or the consequences of an accident
or malfunction of equipment important to safety previously evaluated in
the plant-specific DCD may be increased;
(2) A possibility for an accident or malfunction of a different type
than any evaluated previously in the plant-specific DCD may be created;
or
(3) The margin of safety as defined in the basis for any technical
specification is reduced.
c. A proposed departure from Tier 2 affecting resolution of a severe
accident issue identified in the plant-specific DCD, involves an
unreviewed safety question if--
(1) There is a substantial increase in the probability of a severe
accident such that a particular severe accident previously reviewed and
determined to be not credible could become credible; or
(2) There is a substantial increase in the consequences to the
public of a particular severe accident previously reviewed.
d. If a departure involves an unreviewed safety question as defined
in paragraph B.5 of this section, it is governed by 10 CFR 50.90.
e. A departure from Tier 2 information that is made under paragraph
B.5 of this section does not require an exemption from this appendix.
f. A party to an adjudicatory proceeding for either the issuance,
amendment, or renewal of a license or for operation under 10 CFR
52.103(a), who believes that an applicant or licensee who references
this appendix has not complied with VIII.B.5 of this appendix when
departing from Tier 2 information, may petition to admit into the
proceeding such a contention. In addition to compliance with the general
requirements of 10 CFR 2.714(b)(2), the petition must demonstrate that
the departure does not comply with VIII.B.5 of this appendix. Further,
the petition must demonstrate that the change bears on an asserted
noncompliance with an ITAAC acceptance criterion in the case of a 10 CFR
52.103 preoperational hearing, or that the change bears directly on the
amendment request in the case of a hearing on a license amendment. Any
other party may file a response. If, on the basis of the petition and
any response, the presiding officer determines that a sufficient showing
has been made, the presiding officer shall certify the matter directly
to the Commission for determination of the admissibility of the
contention. The Commission may admit such a contention if it determines
the petition raises a genuine issue of fact regarding compliance with
VIII.B.5 of this appendix.
6.a. An applicant who references this appendix may not depart from
Tier 2* information, which is designated with italicized text or
brackets and an asterisk in the generic DCD, without NRC approval. The
departure will not be considered a resolved issue, within the meaning of
Section VI of this appendix and 10 CFR 52.63(a)(4).
b. A licensee who references this appendix may not depart from the
following Tier 2* matters without prior NRC approval. A request for a
departure will be treated as a request for a license amendment under 10
CFR 50.90.
(1) Maximum fuel rod average burnup.
(2) Control room human factors engineering.
c. A licensee who references this appendix may not, before the plant
first achieves full power following the finding required by 10 CFR
52.103(g), depart from the following Tier 2* matters except in
accordance with paragraph B.6.b of this section. After the plant first
achieves full power, the following Tier 2* matters revert to Tier 2
status and are thereafter subject to the departure provisions in
paragraph B.5 of this section.
(1) ASME Boiler & Pressure Vessel Code, Section III.
(2) ACI 349 and ANSI/AISC N-690.
(3) Motor-operated valves.
(4) Equipment seismic qualification methods.
(5) Piping design acceptance criteria.
(6) Fuel and control rod design, except burnup limit.
(7) Instrumentation & controls setpoint methodology.
(8) Instrumentation & controls hardware and software changes.
(9) Instrumentation & controls environmental qualification.
(10) Seismic design criteria for non-seismic category I structures.
d. Departures from Tier 2* information that are made under paragraph
B.6 of this section do not require an exemption from this appendix.
C. Operational requirements.
[[Page 83]]
1. Generic changes to generic technical specifications and other
operational requirements that were completely reviewed and approved in
the design certification rulemaking and do not require a change to a
design feature in the generic DCD are governed by the requirements in 10
CFR 50.109. Generic changes that do require a change to a design feature
in the generic DCD are governed by the requirements in paragraphs A or B
of this section.
2. Generic changes to generic technical specifications and other
operational requirements are applicable to all applicants or licensees
who reference this appendix, except those for which the change has been
rendered technically irrelevant by action taken under paragraphs C.3 or
C.4 of this section.
3. The Commission may require plant-specific departures on generic
technical specifications and other operational requirements that were
completely reviewed and approved, provided a change to a design feature
in the generic DCD is not required and special circumstances as defined
in 10 CFR 2.758(b) are present. The Commission may modify or supplement
generic technical specifications and other operational requirements that
were not completely reviewed and approved or require additional
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD
is not required.
4. An applicant who references this appendix may request an
exemption from the generic technical specifications or other operational
requirements. The Commission may grant such a request only if it
determines that the exemption will comply with the requirements of 10
CFR 50.12(a). The grant of an exemption must be subject to litigation in
the same manner as other issues material to the license hearing.
5. A party to an adjudicatory proceeding for either the issuance,
amendment, or renewal of a license or for operation under 10 CFR
52.103(a), who believes that an operational requirement approved in the
DCD or a technical specification derived from the generic technical
specifications must be changed may petition to admit into the proceeding
such a contention. Such petition must comply with the general
requirements of 10 CFR 2.714(b)(2) and must demonstrate why special
circumstances as defined in 10 CFR 2.758(b) are present, or for
compliance with the Commission's regulations in effect at the time this
appendix was approved, as set forth in Section V of this appendix. Any
other party may file a response thereto. If, on the basis of the
petition and any response, the presiding officer determines that a
sufficient showing has been made, the presiding officer shall certify
the matter directly to the Commission for determination of the
admissibility of the contention. All other issues with respect to the
plant-specific technical specifications or other operational
requirements are subject to a hearing as part of the license proceeding.
6. After issuance of a license, the generic technical specifications
have no further effect on the plant-specific technical specifications
and changes to the plant-specific technical specifications will be
treated as license amendments under 10 CFR 50.90.
IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)
A.1 An applicant or licensee who references this appendix shall
perform and demonstrate conformance with the ITAAC before fuel load.
With respect to activities subject to an ITAAC, an applicant for a
license may proceed at its own risk with design and procurement
activities, and a licensee may proceed at its own risk with design,
procurement, construction, and preoperational activities, even though
the NRC may not have found that any particular ITAAC has been satisfied.
2. The licensee who references this appendix shall notify the NRC
that the required inspections, tests, and analyses in the ITAAC have
been successfully completed and that the corresponding acceptance
criteria have been met.
3. In the event that an activity is subject to an ITAAC, and the
applicant or licensee who references this appendix has not demonstrated
that the ITAAC has been satisfied, the applicant or licensee may either
take corrective actions to successfully complete that ITAAC, request an
exemption from the ITAAC in accordance with Section VIII of this
appendix and 10 CFR 52.97(b), or petition for rulemaking to amend this
appendix by changing the requirements of the ITAAC, under 10 CFR 2.802
and 52.97(b). Such rulemaking changes to the ITAAC must meet the
requirements of paragraph VIII.A.1 of this appendix.
B.1 The NRC shall ensure that the required inspections, tests, and
analyses in the ITAAC are performed. The NRC shall verify that the
inspections, tests, and analyses referenced by the licensee have been
successfully completed and, based solely thereon, find the prescribed
acceptance criteria have been met. At appropriate intervals during
construction, the NRC shall publish notices of the successful completion
of ITAAC in the Federal Register.
2. In accordance with 10 CFR 52.99 and 52.103(g), the Commission
shall find that the acceptance criteria in the ITAAC for the license are
met before fuel load.
3. After the Commission has made the finding required by 10 CFR
52.103(g), the ITAAC do not, by virtue of their inclusion within the
DCD, constitute regulatory requirements either for licensees or for
renewal of the license; except for specific ITAAC, which are the subject
of a Section 103(a) hearing, their
[[Page 84]]
expiration will occur upon final Commission action in such proceeding.
However, subsequent modifications must comply with the Tier 1 and Tier 2
design descriptions in the plant-specific DCD unless the licensee has
complied with the applicable requirements of 10 CFR 52.97 and Section
VIII of this appendix.
X. Records and Reporting
A. Records
1. The applicant for this appendix shall maintain a copy of the
generic DCD that includes all generic changes to Tier 1 and Tier 2. The
applicant shall maintain the proprietary and safeguards information
referenced in the generic DCD for the period that this appendix may be
referenced, as specified in Section VII of this appendix.
2. An applicant or licensee who references this appendix shall
maintain the plant-specific DCD to accurately reflect both generic
changes to the generic DCD and plant-specific departures made pursuant
to Section VIII of this appendix throughout the period of application
and for the term of the license (including any period of renewal).
3. An applicant or licensee who references this appendix shall
prepare and maintain written safety evaluations which provide the bases
for the determinations required by Section VIII of this appendix. These
evaluations must be retained throughout the period of application and
for the term of the license (including any period of renewal).
B. Reporting
1. An applicant or licensee who references this appendix shall
submit a report to the NRC containing a brief description of any
departures from the plant-specific DCD, including a summary of the
safety evaluation of each. This report must be filed in accordance with
the filing requirements applicable to reports in 10 CFR 50.4.
2. An applicant or licensee who references this appendix shall
submit updates to its plant-specific DCD, which reflect the generic
changes to the generic DCD and the plant-specific departures made
pursuant to Section VIII of this appendix. These updates shall be filed
in accordance with the filing requirements applicable to final safety
analysis report updates in 10 CFR 50.4 and 50.71(e).
3. The reports and updates required by paragraphs B.1 and B.2 of
this section must be submitted as follows:
a. On the date that an application for a license referencing this
appendix is submitted, the application shall include the report and any
updates to the plant-specific DCD.
b. During the interval from the date of application to the date of
issuance of a license, the report and any updates to the plant-specific
DCD must be submitted annually and may be submitted along with
amendments to the application.
c. During the interval from the date of issuance of a license to the
date the Commission makes its findings under 10 CFR 52.103(g), the
report must be submitted quarterly. Updates to the plant-specific DCD
must be submitted annually.
d. After the Commission has made its finding under 10 CFR 52.103(g),
reports and updates to the plant-specific DCD may be submitted annually
or along with updates to the site-specific portion of the final safety
analysis report for the facility at the intervals required by 10 CFR
50.71(e), or at shorter intervals as specified in the license.
[62 FR 27867, May 21, 1997, as amended at 64 FR 48953, Sept. 9, 1999]
Appendix C to Part 52--Design Certification Rule for the AP600 Design
I. Introduction
Appendix C constitutes the standard design certification for the
AP600 1 design, in accordance with 10 CFR Part 52, Subpart B.
The applicant for certification of the AP600 design is Westinghouse
Electric Company LLC.
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\1\ AP600 is a trademark of Westinghouse Electric Company LLC.
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II. Definitions
A. Generic design control document (generic DCD) means the document
containing the Tier 1 and Tier 2 information and generic technical
specifications that is incorporated by reference into this appendix.
B. Generic technical specifications means the information, required
by 10 CFR 50.36 and 50.36a, for the portion of the plant that is within
the scope of this appendix.
C. Plant-specific DCD means the document, maintained by an applicant
or licensee who references this appendix, consisting of the information
in the generic DCD, as modified and supplemented by the plant-specific
departures and exemptions made under Section VIII of this appendix.
D. Tier 1 means the portion of the design-related information
contained in the generic DCD that is approved and certified by this
appendix (hereinafter Tier 1 information). The design descriptions,
interface requirements, and site parameters are derived from Tier 2
information. Tier 1 information includes:
1. Definitions and general provisions;
2. Design descriptions;
3. Inspections, tests, analyses, and acceptance criteria (ITAAC);
4. Significant site parameters; and
5. Significant interface requirements.
[[Page 85]]
E. Tier 2 means the portion of the design-related information
contained in the generic DCD that is approved but not certified by this
appendix (hereinafter Tier 2 information). Compliance with Tier 2 is
required, but generic changes to and plant-specific departures from Tier
2 are governed by Section VIII of this appendix. Compliance with Tier 2
provides a sufficient, but not the only acceptable, method for complying
with Tier 1. Compliance methods differing from Tier 2 must satisfy the
change process in Section VIII of this appendix. Regardless of these
differences, an applicant or licensee must meet the requirement in
Section III.B to reference Tier 2 when referencing Tier 1. Tier 2
information includes:
1. Information required by 10 CFR 52.47, with the exception of
generic technical specifications and conceptual design information;
2. Information required for a final safety analysis report under 10
CFR 50.34;
3. Supporting information on the inspections, tests, and analyses
that will be performed to demonstrate that the acceptance criteria in
the ITAAC have been met; and
4. Combined license (COL) action items (combined license
information), which identify certain matters that shall be addressed in
the site-specific portion of the final safety analysis report (FSAR) by
an applicant who references this appendix. These items constitute
information requirements but are not the only acceptable set of
information in the FSAR. An applicant may depart from or omit these
items, provided that the departure or omission is identified and
justified in the FSAR. After issuance of a construction permit or COL,
these items are not requirements for the licensee unless such items are
restated in the FSAR.
5. The investment protection short-term availability controls in
Section 16.3 of the DCD.
F. Tier 2* means the portion of the Tier 2 information, designated
as such in the generic DCD, which is subject to the change process in
VIII.B.6 of this appendix. This designation expires for some Tier 2*
information under VIII.B.6.
G. All other terms in this appendix have the meaning set out in 10
CFR 50.2, 10 CFR 52.3, or Section 11 of the Atomic Energy Act of 1954,
as amended, as applicable.
III. Scope and Contents
A. Tier 1, Tier 2 (including the investment protection short-term
availability controls in Section 16.3), and the generic technical
specifications in the AP600 DCD (12/99 revision) are approved for
incorporation by reference by the Director of the Office of the Federal
Register on January 24, 2000 in accordance with 5 U.S.C. 552(a) and 1
CFR Part 51. Copies of the generic DCD may be obtained from Mr. Brian A.
McIntyre, Manager, Advanced Plant Safety and Licensing, Westinghouse
Electric Company, P.O. Box 355, Pittsburgh, PA 15230-0355. A copy of the
generic DCD is available for examination and copying at the NRC Public
Document Room, 2120 L Street NW. (Lower Level), Washington, DC 20555-
0001. Copies are also available for examination at the NRC Library,
11545 Rockville Pike, Rockville, Maryland 20582; and the Office of the
Federal Register, 800 North Capitol Street, NW., suite 700, Washington,
DC.
B. An applicant or licensee referencing this appendix, in accordance
with Section IV of this appendix, shall incorporate by reference and
comply with the requirements of this appendix, including Tier 1, Tier 2
(including the investment protection short-term availability controls in
Section 16.3), and the generic technical specifications except as
otherwise provided in this appendix. Conceptual design information in
the generic DCD and the evaluation of severe accident mitigation design
alternatives in Appendix 1B of the generic DCD are not part of this
appendix.
C. If there is a conflict between Tier 1 and Tier 2 of the DCD, then
Tier 1 controls.
D. If there is a conflict between the generic DCD and either the
application for design certification of the AP600 design or NUREG-1512,
``Final Safety Evaluation Report Related to Certification of the AP600
Standard Design,'' (FSER), then the generic DCD controls.
E. Design activities for structures, systems, and components that
are wholly outside the scope of this appendix may be performed using
site-specific design parameters, provided the design activities do not
affect the DCD or conflict with the interface requirements.
IV. Additional Requirements and Restrictions
A. An applicant for a license that wishes to reference this appendix
shall, in addition to complying with the requirements of 10 CFR 52.77,
52.78, and 52.79, comply with the following requirements:
1. Incorporate by reference, as part of its application, this
appendix.
2. Include, as part of its application:
a. A plant-specific DCD containing the same information and
utilizing the same organization and numbering as the AP600 DCD, as
modified and supplemented by the applicant's exemptions and departures;
b. The reports on departures from and updates to the plant-specific
DCD required by X.B of this appendix;
c. Plant-specific technical specifications, consisting of the
generic and site-specific technical specifications, that are required by
10 CFR 50.36 and 50.36a;
d. Information demonstrating compliance with the site parameters and
interface requirements;
[[Page 86]]
e. Information that addresses the COL action items; and
f. Information required by 10 CFR 52.47(a) that is not within the
scope of this appendix.
3. Physically include, in the plant-specific DCD, the proprietary
and safeguards information referenced in the AP600 DCD.
B. The Commission reserves the right to determine in what manner
this appendix may be referenced by an applicant for a construction
permit or operating license under Part 50.
V. Applicable Regulations
A. Except as indicated in paragraph B of this section, the
regulations that apply to the AP600 design are in 10 CFR Parts 20, 50,
73, and 100, codified as of December 16, 1999, that are applicable and
technically relevant, as described in the FSER (NUREG-1512) and the
supplementary information for this section.
B. The AP600 design is exempt from portions of the following
regulations:
1. Paragraph (a)(1) of 10 CFR 50.34--whole body dose criterion;
2. Paragraph (f)(2)(iv) of 10 CFR 50.34--Plant Safety Parameter
Display Console;
3. Paragraphs (f)(2)(vii), (viii), (xxvi), and (xxviii) of 10 CFR
50.34--Accident Source Term in TID 14844;
4. Paragraph (a)(2) of 10 CFR 50.55a--ASME Boiler and Pressure
Vessel Code;
5. Paragraph (c)(1) of 10 CFR 50.62--Auxiliary (or emergency)
feedwater system;
6. Appendix A to 10 CFR Part 50, GDC 17--Offsite Power Sources; and
7. Appendix A to 10 CFR Part 50, GDC 19--whole body dose criterion.
VI. Issue Resolution
A. The Commission has determined that the structures, systems,
components, and design features of the AP600 design comply with the
provisions of the Atomic Energy Act of 1954, as amended, and the
applicable regulations identified in Section V of this appendix; and
therefore, provide adequate protection to the health and safety of the
public. A conclusion that a matter is resolved includes the finding that
additional or alternative structures, systems, components, design
features, design criteria, testing, analyses, acceptance criteria, or
justifications are not necessary for the AP600 design.
B. The Commission considers the following matters resolved within
the meaning of 10 CFR 52.63(a)(4) in subsequent proceedings for issuance
of a combined license, amendment of a combined license, or renewal of a
combined license, proceedings held pursuant to 10 CFR 52.103, and
enforcement proceedings involving plants referencing this appendix:
1. All nuclear safety issues, except for the generic technical
specifications and other operational requirements, associated with the
information in the FSER, Tier 1, Tier 2 (including referenced
information, which the context indicates is intended as requirements,
and the investment protection short-term availability controls in
Section 16.3), and the rulemaking record for certification of the AP600
design;
2. All nuclear safety and safeguards issues associated with the
information in proprietary and safeguards documents, referenced and in
context, are intended as requirements in the generic DCD for the AP600
design;
3. All generic changes to the DCD pursuant to and in compliance with
the change processes in Sections VIII.A.1 and VIII.B.1 of this appendix;
4. All exemptions from the DCD pursuant to and in compliance with
the change processes in Sections VIII.A.4 and VIII.B.4 of this appendix,
but only for that proceeding;
5. All departures from the DCD that are approved by license
amendment, but only for that proceeding;
6. Except as provided in VIII.B.5.f of this appendix, all departures
from Tier 2 pursuant to and in compliance with the change processes in
VIII.B.5 of this appendix that do not require prior NRC approval;
7. All environmental issues concerning severe accident mitigation
design alternatives (SAMDAs) associated with the information in the
NRC's environmental assessment for the AP600 design and Appendix 1B of
the generic DCD, for plants referencing this appendix whose site
parameters are within those specified in the SAMDA evaluation.
C. The Commission does not consider operational requirements for an
applicant or licensee who references this appendix to be matters
resolved within the meaning of 10 CFR 52.63(a)(4). The Commission
reserves the right to require operational requirements for an applicant
or licensee who references this appendix by rule, regulation, order, or
license condition.
D. Except in accordance with the change processes in Section VIII of
this appendix, the Commission may not require an applicant or licensee
who references this appendix to:
1. Modify structures, systems, components, or design features as
described in the generic DCD;
2. Provide additional or alternative structures, systems,
components, or design features not discussed in the generic DCD; or
3. Provide additional or alternative design criteria, testing,
analyses, acceptance criteria, or justification for structures, systems,
components, or design features discussed in the generic DCD.
E.1. Persons who wish to review proprietary and safeguards
information or other secondary references in the AP600 DCD, in order to
request or participate in the hearing required by 10 CFR 52.85 or the
hearing provided under 10 CFR 52.103, or to request or
[[Page 87]]
participate in any other hearing relating to this appendix in which
interested persons have adjudicatory hearing rights, shall first request
access to such information from Westinghouse. The request must state
with particularity:
a. The nature of the proprietary or other information sought;
b. The reason why the information currently available to the public
at the NRC Web site, http://www.nrc.gov, and/or at the NRC's Public
Document Room, is insufficient;
c. The relevance of the requested information to the hearing
issue(s) which the person proposes to raise; and
d. A showing that the requesting person has the capability to
understand and utilize the requested information.
2. If a person claims that the information is necessary to prepare a
request for hearing, the request must be filed no later than 15 days
after publication in the Federal Register of the notice required either
by 10 CFR 52.85 or 10 CFR 52.103. If Westinghouse declines to provide
the information sought, Westinghouse shall send a written response
within ten (10) days of receiving the request to the requesting person
setting forth with particularity the reasons for its refusal. The person
may then request the Commission (or presiding officer, if a proceeding
has been established) to order disclosure. The person shall include
copies of the original request (and any subsequent clarifying
information provided by the requesting party to the applicant) and the
applicant's response. The Commission and presiding officer shall base
their decisions solely on the person's original request (including any
clarifying information provided by the requesting person to
Westinghouse), and Westinghouse's response. The Commission and presiding
officer may order Westinghouse to provide access to some or all of the
requested information, subject to an appropriate non-disclosure
agreement.
VII. Duration of This Appendix
This appendix may be referenced for a period of 15 years from
January 24, 2000, except as provided for in 10 CFR 52.55(b) and
52.57(b). This appendix remains valid for an applicant or licensee who
references this appendix until the application is withdrawn or the
license expires, including any period of extended operation under a
renewed license.
VIII. Processes for Changes and Departures
A. Tier 1 information.
1. Generic changes to Tier 1 information are governed by the
requirements in 10 CFR 52.63(a)(1).
2. Generic changes to Tier 1 information are applicable to all
applicants or licensees who reference this appendix, except those for
which the change has been rendered technically irrelevant by action
taken under paragraphs A.3 or A.4 of this section.
3. Departures from Tier 1 information that are required by the
Commission through plant-specific orders are governed by the
requirements in 10 CFR 52.63(a)(3).
4. Exemptions from Tier 1 information are governed by the
requirements in 10 CFR 52.63(b)(1) and Sec. 52.97(b). The Commission
will deny a request for an exemption from Tier 1, if it finds that the
design change will result in a significant decrease in the level of
safety otherwise provided by the design.
B. Tier 2 information.
1. Generic changes to Tier 2 information are governed by the
requirements in 10 CFR 52.63(a)(1).
2. Generic changes to Tier 2 information are applicable to all
applicants or licensees who reference this appendix, except those for
which the change has been rendered technically irrelevant by action
taken under paragraphs B.3, B.4, B.5, or B.6 of this section.
3. The Commission may not require new requirements on Tier 2
information by plant-specific order while this appendix is in effect
under Secs. 52.55 or 52.61, unless:
a. A modification is necessary to secure compliance with the
Commission's regulations applicable and in effect at the time this
appendix was approved, as set forth in Section V of this appendix, or to
assure adequate protection of the public health and safety or the common
defense and security; and
b. Special circumstances as defined in 10 CFR 50.12(a) are present.
4. An applicant or licensee who references this appendix may request
an exemption from Tier 2 information. The Commission may grant such a
request only if it determines that the exemption will comply with the
requirements of 10 CFR 50.12(a). The Commission will deny a request for
an exemption from Tier 2, if it finds that the design change will result
in a significant decrease in the level of safety otherwise provided by
the design. The grant of an exemption to an applicant must be subject to
litigation in the same manner as other issues material to the license
hearing. The grant of an exemption to a licensee must be subject to an
opportunity for a hearing in the same manner as license amendments.
5.a. An applicant or licensee who references this appendix may
depart from Tier 2 information, without prior NRC approval, unless the
proposed departure involves a change to or departure from Tier 1
information, Tier 2* information, or the technical specifications, or
involves an unreviewed safety question as defined in paragraphs B.5.b
and B.5.c of this section. When evaluating the proposed departure, an
applicant or
[[Page 88]]
licensee shall consider all matters described in the plant-specific DCD.
b. A proposed departure from Tier 2, other than one affecting
resolution of a severe accident issue identified in the plant-specific
DCD, involves an unreviewed safety question if--
(1) The probability of occurrence or the consequences of an accident
or malfunction of equipment important to safety previously evaluated in
the plant-specific DCD may be increased;
(2) A possibility for an accident or malfunction of a different type
than any evaluated previously in the plant-specific DCD may be created;
or
(3) The margin of safety as defined in the basis for any technical
specification is reduced.
c. A proposed departure from Tier 2 affecting resolution of a severe
accident issue identified in the plant-specific DCD, involves an
unreviewed safety question if--
(1) There is a substantial increase in the probability of a severe
accident such that a particular severe accident previously reviewed and
determined to be not credible could become credible; or
(2) There is a substantial increase in the consequences to the
public of a particular severe accident previously reviewed.
d. If a departure involves an unreviewed safety question as defined
in paragraph B.5 of this section, it is governed by 10 CFR 50.90.
e. A departure from Tier 2 information that is made under paragraph
B.5 of this section does not require an exemption from this appendix.
f. A party to an adjudicatory proceeding for either the issuance,
amendment, or renewal of a license or for operation under 10 CFR
52.103(a), who believes that an applicant or licensee who references
this appendix has not complied with VIII.B.5 of this appendix when
departing from Tier 2 information, may petition to admit into the
proceeding such a contention. In addition to compliance with the general
requirements of 10 CFR 2.714(b)(2), the petition must demonstrate that
the departure does not comply with VIII.B.5 of this appendix. Further,
the petition must demonstrate that the change bears on an asserted
noncompliance with an ITAAC acceptance criterion in the case of a 10 CFR
52.103 preoperational hearing, or that the change bears directly on the
amendment request in the case of a hearing on a license amendment. Any
other party may file a response. If, on the basis of the petition and
any response, the presiding officer determines that a sufficient showing
has been made, the presiding officer shall certify the matter directly
to the Commission for determination of the admissibility of the
contention. The Commission may admit such a contention if it determines
the petition raises a genuine issue of fact regarding compliance with
VIII.B.5 of this appendix.
6.a. An applicant who references this appendix may not depart from
Tier 2* information, which is designated with italicized text or
brackets and an asterisk in the generic DCD, without NRC approval. The
departure will not be considered a resolved issue, within the meaning of
Section VI of this appendix and 10 CFR 52.63(a)(4).
b. A licensee who references this appendix may not depart from the
following Tier 2* matters without prior NRC approval. A request for a
departure will be treated as a request for a license amendment under 10
CFR 50.90.
(1) Maximum fuel rod average burn-up.
(2) Fuel principal design requirements.
(3) Fuel criteria evaluation process.
(4) Fire areas.
(5) Human factors engineering.
c. A licensee who references this appendix may not, before the plant
first achieves full power following the finding required by 10 CFR
52.103(g), depart from the following Tier 2* matters except in
accordance with paragraph B.6.b of this section. After the plant first
achieves full power, the following Tier 2* matters revert to Tier 2
status and are thereafter subject to the departure provisions in
paragraph B.5 of this section.
(1) Nuclear Island structural dimensions.
(2) ASME Boiler and Pressure Vessel Code, Section III, and Code Case
N-284.
(3) Design Summary of Critical Sections.
(4) ACI 318, ACI 349, and ANSI/AISC--690.
(5) Definition of critical locations and thicknesses.
(6) Seismic qualification methods and standards.
(7) Nuclear design of fuel and reactivity control system, except
burn-up limit.
(8) Motor-operated and power-operated valves.
(9) Instrumentation and control system design processes, methods,
and standards.
(10) PRHR natural circulation test (first plant only).
(11) ADS and CMT verification tests (first three plants only).
d. Departures from Tier 2* information that are made under paragraph
B.6 of this section do not require an exemption from this appendix.
C. Operational requirements.
1. Generic changes to generic technical specifications and other
operational requirements that were completely reviewed and approved in
the design certification rulemaking and do not require a change to a
design feature in the generic DCD are governed by the requirements in 10
CFR 50.109. Generic changes that do require a change to a design feature
in the generic DCD are governed by the requirements in paragraphs A or B
of this section.
[[Page 89]]
2. Generic changes to generic technical specifications and other
operational requirements are applicable to all applicants or licensees
who reference this appendix, except those for which the change has been
rendered technically irrelevant by action taken under paragraphs C.3 or
C.4 of this section.
3. The Commission may require plant-specific departures on generic
technical specifications and other operational requirements that were
completely reviewed and approved, provided a change to a design feature
in the generic DCD is not required and special circumstances as defined
in 10 CFR 2.758(b) are present. The Commission may modify or supplement
generic technical specifications and other operational requirements that
were not completely reviewed and approved or require additional
technical specifications and other operational requirements on a plant-
specific basis, provided a change to a design feature in the generic DCD
is not required.
4. An applicant who references this appendix may request an
exemption from the generic technical specifications or other operational
requirements. The Commission may grant such a request only if it
determines that the exemption will comply with the requirements of 10
CFR 50.12(a). The grant of an exemption must be subject to litigation in
the same manner as other issues material to the license hearing.
5. A party to an adjudicatory proceeding for either the issuance,
amendment, or renewal of a license or for operation under 10 CFR
52.103(a), who believes that an operational requirement approved in the
DCD or a technical specification derived from the generic technical
specifications must be changed may petition to admit into the proceeding
such a contention. Such petition must comply with the general
requirements of 10 CFR 2.714(b)(2) and must demonstrate why special
circumstances as defined in 10 CFR 2.758(b) are present, or for
compliance with the Commission's regulations in effect at the time this
appendix was approved, as set forth in Section V of this appendix. Any
other party may file a response thereto. If, on the basis of the
petition and any response, the presiding officer determines that a
sufficient showing has been made, the presiding officer shall certify
the matter directly to the Commission for determination of the
admissibility of the contention. All other issues with respect to the
plant-specific technical specifications or other operational
requirements are subject to a hearing as part of the license proceeding.
6. After issuance of a license, the generic technical specifications
have no further effect on the plant-specific technical specifications
and changes to the plant-specific technical specifications will be
treated as license amendments under 10 CFR 50.90.
IX. Inspections, Tests, Analyses, and Acceptance Criteria (ITAAC)
A.1 An applicant or licensee who references this appendix shall
perform and demonstrate conformance with the ITAAC before fuel load.
With respect to activities subject to an ITAAC, an applicant for a
license may proceed at its own risk with design and procurement
activities, and a licensee may proceed at its own risk with design,
procurement, construction, and preoperational activities, even though
the NRC may not have found that any particular ITAAC has been satisfied.
2. The licensee who references this appendix shall notify the NRC
that the required inspections, tests, and analyses in the ITAAC have
been successfully completed and that the corresponding acceptance
criteria have been met.
3. In the event that an activity is subject to an ITAAC, and the
applicant or licensee who references this appendix has not demonstrated
that the ITAAC has been satisfied, the applicant or licensee may either
take corrective actions to successfully complete that ITAAC, request an
exemption from the ITAAC in accordance with Section VIII of this
appendix and 10 CFR 52.97(b), or petition for rulemaking to amend this
appendix by changing the requirements of the ITAAC, under 10 CFR 2.802
and 52.97(b). Such rulemaking changes to the ITAAC must meet the
requirements of paragraph VIII.A.1 of this appendix.
B.1 The NRC shall ensure that the required inspections, tests, and
analyses in the ITAAC are performed. The NRC shall verify that the
inspections, tests, and analyses referenced by the licensee have been
successfully completed and, based solely thereon, find the prescribed
acceptance criteria have been met. At appropriate intervals during
construction, the NRC shall publish notices of the successful completion
of ITAAC in the Federal Register.
2. In accordance with 10 CFR 52.99 and 52.103(g), the Commission
shall find that the acceptance criteria in the ITAAC for the license are
met before fuel load.
3. After the Commission has made the finding required by 10 CFR
52.103(g), the ITAAC do not, by virtue of their inclusion within the
DCD, constitute regulatory requirements either for licensees or for
renewal of the license; except for specific ITAAC, which are the subject
of a Section 103(a) hearing, their expiration will occur upon final
Commission action in such proceeding. However, subsequent modifications
must comply with the Tier 1 and Tier 2 design descriptions in the plant-
specific DCD unless the licensee has complied with the applicable
requirements of 10 CFR 52.97 and Section VIII of this appendix.
[[Page 90]]
X. Records and Reporting
A. Records
1. The applicant for this appendix shall maintain a copy of the
generic DCD that includes all generic changes to Tier 1 and Tier 2. The
applicant shall maintain the proprietary and safeguards information
referenced in the generic DCD for the period that this appendix may be
referenced, as specified in Section VII of this appendix.
2. An applicant or licensee who references this appendix shall
maintain the plant-specific DCD to accurately reflect both generic
changes to the generic DCD and plant-specific departures made pursuant
to Section VIII of this appendix throughout the period of application
and for the term of the license (including any period of renewal).
3. An applicant or licensee who references this appendix shall
prepare and maintain written safety evaluations which provide the bases
for the determinations required by Section VIII of this appendix. These
evaluations must be retained throughout the period of application and
for the term of the license (including any period of renewal).
B. Reporting
1. An applicant or licensee who references this appendix shall
submit a report to the NRC containing a brief description of any
departures from the plant-specific DCD, including a summary of the
safety evaluation of each. This report must be filed in accordance with
the filing requirements applicable to reports in 10 CFR 50.4.
2. An applicant or licensee who references this appendix shall
submit updates to its plant-specific DCD, which reflect the generic
changes to the generic DCD and the plant-specific departures made
pursuant to Section VIII of this appendix. These updates shall be filed
in accordance with the filing requirements applicable to final safety
analysis report updates in 10 CFR 50.4 and 50.71(e).
3. The reports and updates required by paragraphs B.1 and B.2 of
this section must be submitted as follows:
a. On the date that an application for a license referencing this
appendix is submitted, the application shall include the report and any
updates to the plant-specific DCD.
b. During the interval from the date of application to the date of
issuance of a license, the report and any updates to the plant-specific
DCD must be submitted annually and may be submitted along with
amendments to the application.
c. During the interval from the date of issuance of a license to the
date the Commission makes its findings under 10 CFR 52.103(g), the
report must be submitted quarterly. Updates to the plant-specific DCD
must be submitted annually.
d. After the Commission has made its finding under 10 CFR 52.103(g),
reports and updates to the plant-specific DCD may be submitted annually
or along with updates to the site-specific portion of the final safety
analysis report for the facility at the intervals required by 10 CFR
50.71(e), or at shorter intervals as specified in the license.
[64 FR 72015, Dec. 23, 1999]
Appendices D-L to Part 52 [Reserved]
Appendix M to Part 52--Standardization of Design; Manufacture of Nuclear
Power Reactors; Construction and Operation of Nuclear Power Reactors
Manufactured Pursuant to Commission License
Section 101 of the Atomic Energy Act of 1954, as amended, and
Sec. 50.10 of this chapter require a Commission license to transfer or
receive in interstate commerce, manufacture, produce, transfer, acquire,
possess, use, import, or export any production or utilization facility.
The regulations in part 50 require the issuance of a construction permit
by the Commission before commencement of construction of a production or
utilization facility, and the issuance of an operating license before
operation of the facility. The provisions of part 50 relating to the
facility licensing process are, in general, predicated on the assumption
that the facility will be assembled and constructed on the site at which
it is to be operated. In those circumstances, both facility design and
site-related issues can be considered in the initial, construction
permit stage of the licensing process.
However, under the Atomic Energy Act, a license may be sought and
issued authorizing the manufacture of facilities but not their
construction and installation at the sites on which the facilities are
to be operated. Prior to the ``commencement of construction'', as
defined in Sec. 50.10(c) of this chapter of a facility (manufactured
pursuant to such a Commission license) on the site at which it is to
operate--that is preparation of the site and installation of the
facility--a construction permit that, among other things, reflects
approval of the site on which the facility is to be operated, must be
issued by the Commission. This appendix sets out the particular
requirements and provisions applicable to such situations where nuclear
power reactors to be manufactured pursuant to a Commission license and
subsequently installed at the site pursuant to a Commission construction
permit, are of the type described in Sec. 50.22 of this chapter. It thus
codifies one approach to the standardization of nuclear power reactors.
[[Page 91]]
1. Except as otherwise specified in this appendix or as the context
otherwise indicates, the provisions in part 50 applicable to
construction permits, including the requirement in Sec. 50.58 of this
chapter for review of the application by the Advisory Committee on
Reactor Safeguards and the holding of a public hearing, apply in
context, with respect to matters of radiological health and safety,
environmental protection, and the common defense and security, to
licenses pursuant to this appendix M to manufacture nuclear power
reactors (manufacturing licenses) to be operated at sites not identified
in the license application.
2. An application for a manufacturing license pursuant to this
appendix M must be submitted, as specified in Sec. 50.4 of this chapter
and meet all the requirements of Secs. 50.34(a) (1)-(9) and 50.34a (a)
and (b) of this chapter except that the preliminary safety analysis
report shall be designated as a ``design report'' and any required
information or analyses relating to site matters shall be predicated on
postulated site parameters which must be specified in the application.
The application must also include information pertaining to design
features of the proposed reactor(s) that affect plans for coping with
emergencies in the operation of the reactor(s).
3. An applicant for a manufacturing license pursuant to this
appendix M shall submit with his application an environmental report as
required of applicants for construction permits in accordance with
subpart A of part 51 of this chapter, provided, however, that such
report shall be directed at the manufacture of the reactor(s) at the
manufacturing site; and, in general terms, at the construction and
operation of the reactor(s) at a hypothetical site or sites having
characterisitics that fall within the postulated site parameters. The
related draft and final environmental impact statement prepared by the
Commission's regulatory staff will be similarly directed.
4. (a) Sections 50.10 (b) and (c), 50.12(b), 50.23, 50.30(d),
50.34(a)(10), 50.34a(c), 50.35 (a) and (c), 50.40(a), 50.45, 50.55(d),
50.56 of this chapter and appendix J of part 50 do not apply to
manufacturing licenses. Appendices E and H of part 50 apply to
manufacturing licenses only to the extent that the requirements of these
appendices involve facility design features.
(b) The financial information submitted pursuant to Sec. 50.33(f) of
this chapter and appendix C of part 50 shall be directed at a
demonstration of the financial qualifications of the applicant for the
manufacturing license to carry out the manufacturing activity for which
the license is sought.
5. The Commission may issue a license to manufacture one or more
nuclear power reactors to be operated at sites not identified in the
license application if the Commission finds that:
(a) The applicant has described the proposed design of and the site
parameters postulated for the reactor(s), including, but not limited to,
the principal architectural and engineering criteria for the design, and
has identified the major features of components incorporated therein for
the protection of the health and safety of the public.
(b) Such further technical or design information as may be required
to complete the design report and which can reasonably be left for later
consideration, will be supplied in a supplement to the design report.
(c) Safety features or components, if any, which require research
and development have been described by the applicant and the applicant
has identified, and there will be conducted a research and development
program reasonably designed to resolve any safety questions associated
with such features of components; and
(d) On the basis of the foregoing, there is reasonable assurance
that (i) such safety questions will be satisfactorily resolved before
any of the proposed nuclear power reactor(s) are removed from the
manufacturing site and (ii) taking into consideration the site criteria
contained in part 100 of this chapter, the proposed reactor(s) can be
constructed and operated at sites having characteristics that fall
within the site parameters postulated for the design of the reactor(s)
without undue risk to the health and safety of the public.
(e) The applicant is technically and financially qualified to design
and manufacture the proposed nuclear power reactor(s).
(f) The issuance of a license to the applicant will not be inimical
to the common defense and security or to the health and safety of the
public.
(g) On the basis of the evaluations and analyses of the
environmental effects of the proposed action required by subpart A of
part 51 of this chapter and paragraph 3 of this appendix, the action
called for is the issuance of the license.
Note: When an applicant has supplied initially all of the technical
information required to complete the application, including the final
design of the reactor(s), the findings required for the issuance of the
license will be appropriately modified to reflect that fact.
6. Each manufacturing license issued pursuant to this appendix will
specify the number of nuclear power reactors authorized to be
manufactured and the latest date for the completion of the manufacture
of all such reactors. Upon good cause shown, the Commission will extend
such completion date for a reasonable period of time.
7. The holder of a manufacturing license issued pursuant to this
appendix M shall submit to the Commission the final design of
[[Page 92]]
the nuclear power reactor(s) covered by the license as soon as such
design has been completed. Such submittal shall be in the form of an
application for amendment of the manufacturing license.
8. The prohibition in Sec. 50.10(c) of this chapter against
commencement of construction of a production or utilization facility
prior to issuance of a construction permit applies to the transport of a
nuclear power reactor(s) manufactured pursuant to this appendix from the
manufacturing facility to the site at which the reactor(s) will be
installed and operated. In addition, such nuclear power reactor(s) shall
not be removed from the manufacturing site until the final design of the
reactor(s) has been approved by the Commission in accordance with
paragraph 7.
9. An application for a permit to construct a nuclear power
reactor(s) which is the subject of an application for a manufacturing
license pursuant to this appendix M need not contain such information or
analyses as have previously been submitted to the Commission in
connection with the application for a manufacturing license, but shall
by Secs. 50.34(a) and 50.34a of this chapter, sufficient information to
demonstrate that the site on which the reactor(s) is to be operated
falls within the postulated site parameters specified in the relevant
manufacturing license application.
10. The Commission may issue a permit to construct a nuclear power
reactor(s) which is the subject of an application for a manufacturing
license pursuant to this appendix M if the Commission (a) finds that the
site on which the reactor is to be operated falls within the postulated
site parameters specified in the relevant application for a
manufacturing license and (b) makes the findings otherwise required by
part 50. In no event will a construction permit be issued until the
relevant manufacturing license has been issued.
11. An operating license for a nuclear power reactor(s) that has
been manufactured under a Commission license issued pursuant to this
appendix M may be issued by the Commission pursuant to Sec. 50.57 and
subpart A of part 51 of this chapter except that the Commission shall
find, pursuant to Sec. 50.57(a)(1), that construction of the reactor(s)
has been substantially completed in conformity with both the
manufacturing license and the construction permit and the applications
therefor, as amended, and the provisions of the Act, and the rules and
regulations of the Commission. Notwithstanding the other provisions of
this paragraph, no application for an operating license for a nuclear
power reactor(s) that has been manufactured under a Commission license
issued pursuant to this appendix M will be docketed until the
application for an amendment to the relevant manufacturing license
required by paragraph 7 has been docketed.
12. In making the findings required by this part for the issuance of
a construction permit or an operating license for a nuclear power
reactor(s) that has been manufactured under a Commission license issued
pursuant to this appendix, or an amendment to such a manufacturing
license, construction permit, or operating license, the Commission will
treat as resolved those matters which have been resolved at an earlier
stage of the licensing process, unless there exists significant new
information that substantially affects the conclusion(s) reached at the
earlier stage or other good cause.
Appendix N to Part 52--Standardization of Nuclear Power Plant Designs:
Licenses To Construct and Operate Nuclear Power Reactors of Duplicate
Design at Multiple Sites
Section 101 of the Atomic Energy Act of 1954, as amended, and
Sec. 50.10 of this chapter require a Commission license to transfer or
receive in interstate commerce, manufacture, produce, transfer, acquire,
possess, use, import or export any production or utilization facility.
The regulations in part 50 require the issuance of a construction permit
by the Commission before commencement of construction of a production or
utilization facility, except as provided in Sec. 50.10(e) of this
chapter, and the issuance of an operating license before the operation
of the facility.
The Commission's regulations in part 2 of this chapter specifically
provide for the holding of hearings on particular issues separately from
other issues involved in hearings in licensing proceedings (Sec. 2.761a,
appendix A, section I(c)), and for the consolidation of adjudicatory
proceedings and of the presentations of parties in adjudicatory
proceedings such as licensing proceedings (Secs. 2.715a, 2.716).
This appendix sets out the particular requirements and provisions
applicable to situations in which applications are filed by one or more
applicants for licenses to construct and operate nuclear power reactors
of essentially the same design to be located at different sites.\1\
---------------------------------------------------------------------------
\1\ If the design for the power reactor(s) proposed in a particular
application is not identical to the others, that application may not be
processed under this appendix and subpart D of part 2 of this chapter.
---------------------------------------------------------------------------
1. Except as otherwise specified in this appendix or as the context
otherwise indicates, the provisions of part 50, applicable to
construction permits and operating licenses, including the requirement
in Sec. 50.58 of this chapter for review of the application by the
Advisory Committee on Reactor Safeguards
[[Page 93]]
and the holding of public hearings, apply to construction permits and
operating license subject to this appendix N.
2. Applications for construction permits submitted pursuant to this
appendix must include the information required by Secs. 50.33, 50.33a,
50.34(a) and 50.34a (a) and (b) of this chapter, and be submitted as
specified in Sec. 50.4 of this chapter. The applicant shall also submit
the information required by Sec. 51.50 of this chapter.
For the technical information required by Secs. 50.34(a) (1) through
(5) and (8) and 50.34a (a) and (b) of this chapter, reference may be
made to a single preliminary safety analysis of the design \2\ which,
for the purposes of Sec. 50.34(a)(1) includes one set of site parameters
postulated for the design of the reactors, and an analysis and
evaluation of the reactors in terms of such postulated site parameters.
Such single preliminary safety analysis shall also include information
pertaining to design features of the proposed reactors that affect plans
for coping with emergencies in the operation of the reactors, and shall
describe the quality assurance program with respect to aspects of
design, fabrication, procurement and construction that are common to all
of the reactors.
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\2\ As used in this appendix, the design of a nuclear power reactor
included in a single referenced safety analysis report means the design
of those structures, systems and components important to radiological
health and safety and the common defense and security.
---------------------------------------------------------------------------
3. Applications for operating licenses submitted pursuant to this
appendix N shall include the information required by Secs. 50.33, 50.34
(b) and (c), and 50.34a(c) of this chapter. The applicant shall also
submit the information required by Sec. 51.53 of this chapter. For the
technical information required by Secs. 50.34(b) (2) through (5) and
50.34a(c), reference may be made to a single final safety analysis of
the design.
Appendix O to Part 52--Standardization of Design: Staff Review of
Standard Designs
This appendix sets out procedures for the filing, staff review and
referral to the Advisory Committee on Reactor Safeguards of standard
designs for a nuclear power reactor of the type described in Sec. 50.22
of this chapter or major portions thereof.
1. Any person may submit a proposed preliminary or final standard
design for a nuclear power reactor of the type described in Sec. 50.22
to the regulatory staff for its review. Such a submittal may consist of
either the preliminary or final design for the entire reactor facility
or the preliminary or final design of major portions thereof.
2. The submittal for review of the standard design must be made in
the same manner and in the same number of copies as provided in
Secs. 50.4 and 50.30 of this chapter for license applications.
3. The submittal for review of the standard design shall include the
information described in Secs. 50.33 (a) through (d) of this chapter and
the applicable technical information required by Secs. 50.34 (a) and
(b), as appropriate, and 50.34a of this chapter (other than that
required by Secs. 50.34(a) (6) and (10), 50.34(b)(1), (6) (i), (ii),
(iv), and (v) and 50.34(b) (7) and (8)). The submittal shall also
include a description, analysis and evaluation of the interfaces between
the submitted design and the balance of the nuclear power plant. With
respect to the requirements of Secs. 50.34(a)(1) of this chapter, the
submittal for review of a standard design shall include the site
parameters postulated for the design, and an analysis and evaluation of
the design in terms of such postulated site parameters. The information
submitted pursuant to Sec. 50.34(a)(7) of this chapter, shall be limted
to the quality assurance program to be applied to the design,
procurement and fabrication of the structures, systems, and components
for which design review has been requested and the information submitted
pursuant to Sec. 50.34(a)(9) of this chapter shall be limited to the
qualifications of the person submitting the standard design to design
the reactor or major portion thereof. The submittal shall also include
information pertaining to design features that affect plans for coping
with emergencies in the operation of the reactor or major portion
thereof.
4. Once the regulatory staff has initiated a technical review of a
submittal under this appendix, the submittal will be referred to the
Advisory Committee on Reactor Safeguards (ACRS) for a review and report.
5. Upon completion of their review of a submittal under this
appendix, the NRC regulatory staff shall publish in the Federal Register
a determination as to whether or not the preliminary or final design is
acceptable, subject to such conditions as may be appropriate, and make
available at the NRC Web site, http://www.nrc.gov, an analysis of the
design in the form of a report. An approved design shall be utilized by
and relied upon by the regulatory staff and the ACRS in their review of
any individual facility license application which incorporates by
reference a design approved in accordance with this paragraph unless
there exists significant new information which substantially affects the
earlier determination or other good cause.
6. The determination and report by the regulatory staff shall not
constitute a commitment to issue a permit or license, or in any way
affect the authority of the Commission, Atomic Safety and Licensing
Appeal Panel, Atomic Safety and Licensing Board
[[Page 94]]
Panel, and other presiding officers in any proceeding under subpart G of
part 2 of this chapter.
7. Information requests to the approval holder regarding an approved
design shall be evaluated prior to issuance to ensure that the burden to
be imposed on respondents is justified in view of the potential safety
significance of the issue to be addressed in the requested information.
Each such evaluation performed by the NRC staff shall be in accordance
with 10 CFR 50.54(f) and shall be approved by the Executive Director for
Operations or his or her designee prior to issuance of the request.
[54 FR 15386, Apr. 18, 1989, as amended at 61 FR 9902, Mar. 12, 1996; 64
FR 48953, Sept. 9, 1999]
Appendix P to Part 52 [Reserved]
Appendix Q to Part 52--Pre-Application Early Review of Site Suitability
Issues
This appendix sets out procedures for the filing, Staff review, and
referral to the Advisory Committee on Reactor Safeguards (ACRS) of
requests for early review of one or more site suitability issues
relating to the construction and operation of certain utilization
facilities separately from and prior to the submittal of applications
for construction permits for the facilities. The appendix also sets out
procedures for the preparation and issuance of Staff Site Reports and
for their incorporation by reference in applications for the
construction and operation of certain utilization facilities. The
utilization facilities are those which are subject to Sec. 51.20(b) of
this chapter and are of the type specified in Sec. 50.21(b) (2) or (3)
or Sec. 50.22 of this chapter or are testing facilities. This appendix
does not apply to proceedings conducted pursuant to subpart F or part 2
of this chapter.
1. Any person may submit information regarding one or more site
suitability issues to the Commission's Staff for its review separately
from and prior to an application for a construction permit for a
facility. Such a submittal shall be accompanied by any fee required by
part 170 of this chapter and shall consist of the portion of the
information required of applicants for construction permits by
Secs. 50.33 (a)-(c) and (e) of this chapter, and, insofar as it relates
to the issue(s) of site suitability for which early review is sought, by
Secs. 50.34(a)(1) and 50.30(f) of this chapter, except that information
with respect to operation of the facility at the projected initial power
level need not be supplied.
2. The submittal for early review of site suitability issue(s) must
be made in the same manner and in the same number of copies as provided
in Secs. 50.4 and 50.30 of this chapter for license applications. The
submittal must include sufficient information concerning range of
postulated facility design and operation parameters to enable the Staff
to perform the requested review of site suitability issues. The
submittal must contain suggested conclusions on the issues of site
suitability submitted for review and must be accompanied by a statement
of the bases or the reasons for those conclusions. The submittal must
also list, to the extent possible, any long-range objectives for
ultimate development of the site, state whether any site selection
process was used in preparing the submittal, describe any site selection
process used, and explain what consideration, if any, was given to
alternative sites.
3. The staff shall publish a note of docketing of the submittal in
the Federal Register, and shall send a copy of the notice of docketing
to the Governor or other appropriate official of the State in which the
site is located. This notice shall identify the location of the site,
briefly describe the site suitability issue(s) under review, and invite
comments from Federal, State, and local agencies and interested persons
within 120 days of publication or such other time as may be specified,
for consideration by the staff in connection with the initiation or
outcome of the review and, if appropriate by the ACRS, in connection
with the outcome of their review. The person requesting review shall
serve a copy of the submittal on the Governor or other appropriate
official of the State in which the site is located, and on the chief
executive of the municipality in which the site is located or, if the
site is not located in a municipality, on the chief executive of the
county. The portion of the submittal containing information requested of
applicants for construction permits by Secs. 50.33 (a)-(c) and (e) and
50.34(a)(1) of this chapter will be referred to the ACRS for a review
and report. There will be no referral to the ACRS unless early review of
the site safety issues under Sec. 50.34(a)(1) is requested.
4. Upon completion of review by the NRC staff and, if appropriate by
the ACRS, of a submittal under this appendix, the NRC staff shall
prepare a Staff Site Report which shall identify the location of the
site, state the site suitability issues reviewed, explain the nature and
scope of the review, state the conclusions of the staff regarding the
issues reviewed and state the reasons for those conclusions. Upon
issuance of an NRC Staff Site Report, the NRC staff shall publish a
notice of the availability of the report in the Federal Register and
shall make available a copy of the report at the NRC Web site, http://
www.nrc.gov. The NRC staff shall also send a copy of the report to the
Governor or other appropriate official of the State in which the site is
located, and to the chief executive of the municipality in which the
site is located
[[Page 95]]
or, if the site is not located in a municipality, to the chief executive
of the county.
5. Any Staff Site Report prepared and issued in accordance with this
appendix may be incorporated by reference, as appropriate, in an
application for a construction permit for a utilization facility which
is subject to Sec. 51.20(b) of this chapter and is of the type specific
in Sec. 50.21(b) (2) or (3) or Sec. 50.22 of this chapter or is a
testing facility. The conclusions of the Staff Site Report will be
reexamined by the staff where five years or more have elapsed between
the issuance of the Staff Site Report and its incorporation by reference
in a construction permit application.
6. Issuance of a Staff Site Report shall not constitute a commitment
to issue a permit or license, to permit on-site work under Sec. 50.10(e)
of this chapter, or in any way affect the authority of the Commission,
Atomic Safety and Licensing Appeal Panel, Atomic Safety and Licensing
Board Panel, and other presiding officers in any proceeding under
subpart F and/or G of part 2 of this chapter.
7. The staff will not conduct more than one review of site
suitability issues with regard to a particular site prior to the full
construction permit review required by subpart A of part 51 of this
chapter. The staff may decline to prepare and issue a Staff Site Report
in response to a submittal under this appendix where it appears that,
(a) in cases where no review of the relative merits of the submitted
site and alternative sites under subpart A of part 51 of this chapter is
requested, there is a reasonable likelihood that further staff review
would identify one or more preferable alternative sites and the staff
review of one or more site suitability issues would lead to an
irreversible and irretrievable commitment of resources prior to the
submittal of the analysis of alternative sites in the Environmental
Report that would prejudice the later review and decision on alternative
sites under subpart F and/or G of part 2 and subpart A of part 51 of
this chapter; or (b) in cases where, in the judgment of the staff, early
review of any site suitability issue or issues would not be in the
public interest, considering (1) the degree of likelihood that any early
findings on those issues would retain their validity in later reviews,
(2) the objections, if any, of cognizant state or local government
agencies to the conduct of an early review on those issues, and (3) the
possible effect on the public interest of having an early, if not
necessarily conclusive, resolution of those issues.
[54 FR 15386, Apr. 18, 1989, as amended at 64 FR 48953, Sept. 9, 1999]
PART 53 [RESERVED]
PART 54--REQUIREMENTS FOR RENEWAL OF OPERATING LICENSES FOR NUCLEAR POWER PLANTS--Table of Contents
General Provisions
Sec.
54.1 Purpose.
54.3 Definitions.
54.4 Scope.
54.5 Interpretations.
54.7 Written communications.
54.9 Information collection requirements: OMB approval.
54.11 Public inspection of applications.
54.13 Completeness and accuracy of information.
54.15 Specific exemptions.
54.17 Filing of application.
54.19 Contents of application--general information.
54.21 Contents of application--technical information.
54.22 Contents of application--technical specifications.
54.23 Contents of application--environmental information.
54.25 Report of the Advisory Committee on Reactor Safeguards.
54.27 Hearings.
54.29 Standards for issuance of a renewed license.
54.30 Matters not subject to a renewal review.
54.31 Issuance of a renewed license.
54.33 Continuation of CLB and conditions of renewed license.
54.35 Requirements during term of renewed license.
54.37 Additional records and recordkeeping requirements.
54.41 Violations.
54.43 Criminal penalties.
Authority: Secs. 102, 103, 104, 161, 181, 182, 183, 186, 189, 68
Stat. 936, 937, 938, 948, 953, 954, 955, as amended, sec. 234, 83 Stat.
1244, as amended (42 U.S.C. 2132, 2133, 2134, 2135, 2201, 2232, 2233,
2236, 2239, 2282); secs 201, 202, 206, 88 Stat. 1242, 1244, as amended
(42 U.S.C. 5841, 5842), E.O. 12829, 3 CFR, 1993 Comp., p. 570; E.O.
12958, as amended, 3 CFR, 1995 Comp., p. 333; E.O. 12968, 3 CFR, 1995
Comp., p. 391.
Source: 60 FR 22491, May 8, 1995, unless otherwise noted.
General Provisions
Sec. 54.1 Purpose.
This part governs the issuance of renewed operating licenses for
nuclear power plants licensed pursuant to Sections 103 or 104b of the
Atomic Energy Act of 1954, as amended (68 Stat. 919),
[[Page 96]]
and Title II of the Energy Reorganization Act of 1974 (88 Stat. 1242).
Sec. 54.3 Definitions.
(a) As used in this part,
Current licensing basis (CLB) is the set of NRC requirements
applicable to a specific plant and a licensee's written commitments for
ensuring compliance with and operation within applicable NRC
requirements and the plant-specific design basis (including all
modifications and additions to such commitments over the life of the
license) that are docketed and in effect. The CLB includes the NRC
regulations contained in 10 CFR parts 2, 19, 20, 21, 26, 30, 40, 50, 51,
54, 55, 70, 72, 73, 100 and appendices thereto; orders; license
conditions; exemptions; and technical specifications. It also includes
the plant-specific design-basis information defined in 10 CFR 50.2 as
documented in the most recent final safety analysis report (FSAR) as
required by 10 CFR 50.71 and the licensee's commitments remaining in
effect that were made in docketed licensing correspondence such as
licensee responses to NRC bulletins, generic letters, and enforcement
actions, as well as licensee commitments documented in NRC safety
evaluations or licensee event reports.
Integrated plant assessment (IPA) is a licensee assessment that
demonstrates that a nuclear power plant facility's structures and
components requiring aging management review in accordance with
Sec. 54.21(a) for license renewal have been identified and that the
effects of aging on the functionality of such structures and components
will be managed to maintain the CLB such that there is an acceptable
level of safety during the period of extended operation.
Nuclear power plant means a nuclear power facility of a type
described in 10 CFR 50.21(b) or 50.22.
Time-limited aging analyses, for the purposes of this part, are
those licensee calculations and analyses that:
(1) Involve systems, structures, and components within the scope of
license renewal, as delineated in Sec. 54.4(a);
(2) Consider the effects of aging;
(3) Involve time-limited assumptions defined by the current
operating term, for example, 40 years;
(4) Were determined to be relevant by the licensee in making a
safety determination;
(5) Involve conclusions or provide the basis for conclusions related
to the capability of the system, structure, and component to perform its
intended functions, as delineated in Sec. 54.4(b); and
(6) Are contained or incorporated by reference in the CLB.
(b) All other terms in this part have the same meanings as set out
in 10 CFR 50.2 or Section 11 of the Atomic Energy Act, as applicable.
Sec. 54.4 Scope.
(a) Plant systems, structures, and components within the scope of
this part are--
(1) Safety-related systems, structures, and components which are
those relied upon to remain functional during and following design-basis
events (as defined in 10 CFR 50.49 (b)(1)) to ensure the following
functions--
(i) The integrity of the reactor coolant pressure boundary;
(ii) The capability to shut down the reactor and maintain it in a
safe shutdown condition; or
(iii) The capability to prevent or mitigate the consequences of
accidents which could result in potential offsite exposures comparable
to those referred to in Sec. 50.34(a)(1), Sec. 50.67(b)(2), or
Sec. 100.11 of this chapter, as applicable.
(2) All nonsafety-related systems, structures, and components whose
failure could prevent satisfactory accomplishment of any of the
functions identified in paragraphs (a)(1) (i), (ii), or (iii) of this
section.
(3) All systems, structures, and components relied on in safety
analyses or plant evaluations to perform a function that demonstrates
compliance with the Commission's regulations for fire protection (10 CFR
50.48), environmental qualification (10 CFR 50.49), pressurized thermal
shock (10 CFR 50.61), anticipated transients without scram (10 CFR
50.62), and station blackout (10 CFR 50.63).
(b) The intended functions that these systems, structures, and
components must be shown to fulfill in Sec. 54.21 are those functions
that are the bases for
[[Page 97]]
including them within the scope of license renewal as specified in
paragraphs (a) (1)-(3) of this section.
[60 FR 22491, May 8, 1995, as amended at 61 FR 65175, Dec. 11, 1996; 64
FR 72002, Dec. 23, 1999]
Sec. 54.5 Interpretations.
Except as specifically authorized by the Commission in writing, no
interpretation of the meaning of the regulations in this part by any
officer or employee of the Commission other than a written
interpretation by the General Counsel will be recognized to be binding
upon the Commission.
Sec. 54.7 Written communications.
All applications, correspondence, reports, and other written
communications shall be filed in accordance with applicable portions of
10 CFR 50.4.
Sec. 54.9 Information collection requirements: OMB approval.
(a) The Nuclear Regulatory Commission has submitted the information
collection requirements contained in this part to the Office of
Management and Budget (OMB) for approval as required by the Paperwork
Reduction Act (44 U.S.C. 3501, et seq.). The NRC may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number. OMB
has approved the information collection requirements contained in this
part under control number 3150-0155.
(b) The approved information collection requirements contained in
this part appear in Secs. 54.13, 54.17, 54.19, 54.21, 54.22, 54.23,
54.33, and 54.37.
[60 FR 22491, May 8, 1995, as amended at 62 FR 52188, Oct. 6, 1997]
Sec. 54.11 Public inspection of applications.
Applications and documents submitted to the Commission in connection
with renewal applications may be made available for public inspection in
accordance with the provisions of the regulations contained in 10 CFR
part 2.
Sec. 54.13 Completeness and accuracy of information.
(a) Information provided to the Commission by an applicant for a
renewed license or information required by statute or by the
Commission's regulations, orders, or license conditions to be maintained
by the applicant must be complete and accurate in all material respects.
(b) Each applicant shall notify the Commission of information
identified by the applicant as having, for the regulated activity, a
significant implication for public health and safety or common defense
and security. An applicant violates this paragraph only if the applicant
fails to notify the Commission of information that the applicant has
identified as having a significant implication for public health and
safety or common defense and security. Notification must be provided to
the Administrator of the appropriate regional office within 2 working
days of identifying the information. This requirement is not applicable
to information that is already required to be provided to the Commission
by other reporting or updating requirements.
Sec. 54.15 Specific exemptions.
Exemptions from the requirements of this part may be granted by the
Commission in accordance with 10 CFR 50.12.
Sec. 54.17 Filing of application.
(a) The filing of an application for a renewed license must be in
accordance with subpart A of 10 CFR part 2 and 10 CFR 50.4 and 50.30.
(b) Any person who is a citizen, national, or agent of a foreign
country, or any corporation, or other entity which the Commission knows
or has reason to know is owned, controlled, or dominated by an alien, a
foreign corporation, or a foreign government, is ineligible to apply for
and obtain a renewed license.
(c) An application for a renewed license may not be submitted to the
Commission earlier than 20 years before the expiration of the operating
license currently in effect.
(d) An applicant may combine an application for a renewed license
with applications for other kinds of licenses.
[[Page 98]]
(e) An application may incorporate by reference information
contained in previous applications for licenses or license amendments,
statements, correspondence, or reports filed with the Commission,
provided that the references are clear and specific.
(f) If the application contains Restricted Data or other defense
information, it must be prepared in such a manner that all Restricted
Data and other defense information are separated from unclassified
information in accordance with 10 CFR 50.33(j).
(g) As part of its application, and in any event before the receipt
of Restricted Data or classified National Security Information or the
issuance of a renewed license, the applicant shall agree in writing that
it will not permit any individual to have access to or any facility to
possess Restricted Data or classified National Security Information
until the individual and/or facility has been approved for such access
under the provisions of 10 CFR parts 25 and/or 95. The agreement of the
applicant in this regard shall be deemed part of the renewed license,
whether so stated therein or not.
[60 FR 22491, May 8, 1995, as amended at 62 FR 17690, Apr. 11, 1997]
Sec. 54.19 Contents of application--general information.
(a) Each application must provide the information specified in 10
CFR 50.33 (a) through (e), (h), and (i). Alternatively, the application
may incorporate by reference other documents that provide the
information required by this section.
(b) Each application must include conforming changes to the standard
indemnity agreement, 10 CFR 140.92, Appendix B, to account for the
expiration term of the proposed renewed license.
Sec. 54.21 Contents of application--technical information.
Each application must contain the following information:
(a) An integrated plant assessment (IPA). The IPA must--
(1) For those systems, structures, and components within the scope
of this part, as delineated in Sec. 54.4, identify and list those
structures and components subject to an aging management review.
Structures and components subject to an aging management review shall
encompass those structures and components--
(i) That perform an intended function, as described in Sec. 54.4,
without moving parts or without a change in configuration or properties.
These structures and components include, but are not limited to, the
reactor vessel, the reactor coolant system pressure boundary, steam
generators, the pressurizer, piping, pump casings, valve bodies, the
core shroud, component supports, pressure retaining boundaries, heat
exchangers, ventilation ducts, the containment, the containment liner,
electrical and mechanical penetrations, equipment hatches, seismic
Category I structures, electrical cables and connections, cable trays,
and electrical cabinets, excluding, but not limited to, pumps (except
casing), valves (except body), motors, diesel generators, air
compressors, snubbers, the control rod drive, ventilation dampers,
pressure transmitters, pressure indicators, water level indicators,
switchgears, cooling fans, transistors, batteries, breakers, relays,
switches, power inverters, circuit boards, battery chargers, and power
supplies; and
(ii) That are not subject to replacement based on a qualified life
or specified time period.
(2) Describe and justify the methods used in paragraph (a)(1) of
this section.
(3) For each structure and component identified in paragraph (a)(1)
of this section, demonstrate that the effects of aging will be
adequately managed so that the intended function(s) will be maintained
consistent with the CLB for the period of extended operation.
(b) CLB changes during NRC review of the application. Each year
following submittal of the license renewal application and at least 3
months before scheduled completion of the NRC review, an amendment to
the renewal application must be submitted that identifies any change to
the CLB of the facility that materially affects the contents of the
license renewal application, including the FSAR supplement.
(c) An evaluation of time-limited aging analyses.
[[Page 99]]
(1) A list of time-limited aging analyses, as defined in Sec. 54.3,
must be provided. The applicant shall demonstrate that--
(i) The analyses remain valid for the period of extended operation;
(ii) The analyses have been projected to the end of the period of
extended operation; or
(iii) The effects of aging on the intended function(s) will be
adequately managed for the period of extended operation.
(2) A list must be provided of plant-specific exemptions granted
pursuant to 10 CFR 50.12 and in effect that are based on time-limited
aging analyses as defined in Sec. 54.3. The applicant shall provide an
evaluation that justifies the continuation of these exemptions for the
period of extended operation.
(d) An FSAR supplement. The FSAR supplement for the facility must
contain a summary description of the programs and activities for
managing the effects of aging and the evaluation of time-limited aging
analyses for the period of extended operation determined by paragraphs
(a) and (c) of this section, respectively.
Sec. 54.22 Contents of application--technical specifications.
Each application must include any technical specification changes or
additions necessary to manage the effects of aging during the period of
extended operation as part of the renewal application. The justification
for changes or additions to the technical specifications must be
contained in the license renewal application.
Sec. 54.23 Contents of application--environmental information.
Each application must include a supplement to the environmental
report that complies with the requirements of subpart A of 10 CFR part
51.
Sec. 54.25 Report of the Advisory Committee on Reactor Safeguards.
Each renewal application will be referred to the Advisory Committee
on Reactor Safeguards for a review and report. Any report will be made
part of the record of the application and made available to the public,
except to the extent that security classification prevents disclosure.
Sec. 54.27 Hearings.
A notice of an opportunity for a hearing will be published in the
Federal Register in accordance with 10 CFR 2.105. In the absence of a
request for a hearing filed within 30 days by a person whose interest
may be affected, the Commission may issue a renewed operating license
without a hearing upon 30-day notice and publication once in the Federal
Register of its intent to do so.
Sec. 54.29 Standards for issuance of a renewed license.
A renewed license may be issued by the Commission up to the full
term authorized by Sec. 54.31 if the Commission finds that:
(a) Actions have been identified and have been or will be taken with
respect to the matters identified in paragraphs (a)(1) and (a)(2) of
this section, such that there is reasonable assurance that the
activities authorized by the renewed license will continue to be
conducted in accordance with the CLB, and that any changes made to the
plant's CLB in order to comply with this paragraph are in accord with
the Act and the Commission's regulations. These matters are:
(1) managing the effects of aging during the period of extended
operation on the functionality of structures and components that have
been identified to require review under Sec. 54.21(a)(1); and
(2) time-limited aging analyses that have been identified to require
review under Sec. 54.21(c).
(b) Any applicable requirements of subpart A of 10 CFR part 51 have
been satisfied.
(c) Any matters raised under Sec. 2.758 have been addressed.
Sec. 54.30 Matters not subject to a renewal review.
(a) If the reviews required by Sec. 54.21 (a) or (c) show that there
is not reasonable assurance during the current license term that
licensed activities will be conducted in accordance with the CLB, then
the licensee shall take measures under its current license, as
appropriate, to ensure that the intended
[[Page 100]]
function of those systems, structures or components will be maintained
in accordance with the CLB throughout the term of its current license.
(b) The licensee's compliance with the obligation under Paragraph
(a) of this section to take measures under its current license is not
within the scope of the license renewal review.
Sec. 54.31 Issuance of a renewed license.
(a) A renewed license will be of the class for which the operating
license currently in effect was issued.
(b) A renewed license will be issued for a fixed period of time,
which is the sum of the additional amount of time beyond the expiration
of the operating license (not to exceed 20 years) that is requested in a
renewal application plus the remaining number of years on the operating
license currently in effect. The term of any renewed license may not
exceed 40 years.
(c) A renewed license will become effective immediately upon its
issuance, thereby superseding the operating license previously in
effect. If a renewed license is subsequently set aside upon further
administrative or judicial appeal, the operating license previously in
effect will be reinstated unless its term has expired and the renewal
application was not filed in a timely manner.
(d) A renewed license may be subsequently renewed in accordance with
all applicable requirements.
Sec. 54.33 Continuation of CLB and conditions of renewed license.
(a) Whether stated therein or not, each renewed license will contain
and otherwise be subject to the conditions set forth in 10 CFR 50.54.
(b) Each renewed license will be issued in such form and contain
such conditions and limitations, including technical specifications, as
the Commission deems appropriate and necessary to help ensure that
systems, structures, and components subject to review in accordance with
Sec. 54.21 will continue to perform their intended functions for the
period of extended operation. In addition, the renewed license will be
issued in such form and contain such conditions and limitations as the
Commission deems appropriate and necessary to help ensure that systems,
structures, and components associated with any time-limited aging
analyses will continue to perform their intended functions for the
period of extended operation.
(c) Each renewed license will include those conditions to protect
the environment that were imposed pursuant to 10 CFR 50.36b and that are
part of the CLB for the facility at the time of issuance of the renewed
license. These conditions may be supplemented or amended as necessary to
protect the environment during the term of the renewed license and will
be derived from information contained in the supplement to the
environmental report submitted pursuant to 10 CFR part 51, as analyzed
and evaluated in the NRC record of decision. The conditions will
identify the obligations of the licensee in the environmental area,
including, as appropriate, requirements for reporting and recordkeeping
of environmental data and any conditions and monitoring requirements for
the protection of the nonaquatic environment.
(d) The licensing basis for the renewed license includes the CLB, as
defined in Sec. 54.3(a); the inclusion in the licensing basis of matters
such as licensee commitments does not change the legal status of those
matters unless specifically so ordered pursuant to paragraphs (b) or (c)
of this section.
Sec. 54.35 Requirements during term of renewed license.
During the term of a renewed license, licensees shall be subject to
and shall continue to comply with all Commission regulations contained
in 10 CFR parts 2, 19, 20, 21, 26, 30, 40, 50, 51, 54, 55, 70, 72, 73,
and 100, and the appendices to these parts that are applicable to
holders of operating licenses.
Sec. 54.37 Additional records and recordkeeping requirements.
(a) The licensee shall retain in an auditable and retrievable form
for the term of the renewed operating license all information and
documentation required by, or otherwise necessary to document compliance
with, the provisions of this part.
(b) After the renewed license is issued, the FSAR update required by
10
[[Page 101]]
CFR 50.71(e) must include any systems, structures, and components newly
identified that would have been subject to an aging management review or
evaluation of time-limited aging analyses in accordance with Sec. 54.21.
This FSAR update must describe how the effects of aging will be managed
such that the intended function(s) in Sec. 54.4(b) will be effectively
maintained during the period of extended operation.
Sec. 54.41 Violations.
(a) The Commission may obtain an injunction or other court order to
prevent a violation of the provisions of the following acts--
(1) The Atomic Energy Act of 1954, as amended.
(2) Title II of the Energy Reorganization Act of 1974, as amended or
(3) A regulation or order issued pursuant to those acts.
(b) The Commission may obtain a court order for the payment of a
civil penalty imposed under Section 234 of the Atomic Energy Act--
(1) For violations of the following--
(i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of
the Atomic Energy Act of 1954, as amended;
(ii) Section 206 of the Energy Reorganization Act;
(iii) Any rule, regulation, or order issued pursuant to the sections
specified in paragraph (b)(1)(i) of this section;
(iv) Any term, condition, or limitation of any license issued under
the sections specified in paragraph (b)(1)(i) of this section.
(2) For any violation for which a license may be revoked under
Section 186 of the Atomic Energy Act of 1954, as amended.
Sec. 54.43 Criminal penalties.
(a) Section 223 of the Atomic Energy Act of 1954, as amended,
provides for criminal sanctions for willful violations of, attempted
violation of, or conspiracy to violate, any regulation issued under
sections 161b, 161i, or 161o of the Act. For purposes of section 223,
all the regulations in part 54 are issued under one or more of sections
161b, 161i, or 161o, except for the sections listed in paragraph (b) of
this section.
(b) The regulations in part 54 that are not issued under Sections
161b, 161i, or 161o for the purposes of Section 223 are as follows:
Secs. 54.1, 54.3, 54.4, 54.5, 54.7, 54.9, 54.11, 54.15, 54.17, 54.19,
54.21, 54.22, 54.23, 54.25, 54.27, 54.29, 54.31, 54.41, and 54.43.
PART 55--OPERATORS' LICENSES--Table of Contents
Subpart A--General Provisions
Sec.
55.1 Purpose.
55.2 Scope.
55.3 License requirements.
55.4 Definitions.
55.5 Communications.
55.6 Interpretations.
55.7 Additional requirements.
55.8 Information collection requirements: OMB approval.
55.9 Completeness and accuracy of information.
Subpart B--Exemptions
55.11 Specific exemptions.
55.13 General exemptions.
Subpart C--Medical Requirements
55.21 Medical examination.
55.23 Certification.
55.25 Incapacitation because of disability or illness.
55.27 Documentation.
Subpart D--Applications
55.31 How to apply.
55.33 Disposition of an initial application.
55.35 Re-applications.
Subpart E--Written Examinations and Operating Tests
55.40 Implementation.
55.41 Written examination: Operators.
55.43 Written examination: Senior operators.
55.45 Operating tests.
55.47 Waiver of examination and test requirements.
55.49 Integrity of examinations and tests.
Subpart F--Licenses
55.51 Issuance of licenses.
55.53 Conditions of licenses.
55.55 Expiration.
55.57 Renewal of licenses.
55.59 Requalification.
[[Page 102]]
Subpart G--Modification and Revocation of Licenses
55.61 Modification and revocation of licenses.
Subpart H--Enforcement
55.71 Violations.
55.73 Criminal penalties.
Authority: Secs. 107, 161, 182, 68 Stat. 939, 948, 953, as amended,
sec. 234, 83 Stat. 444, as amended (42 U.S.C. 2137, 2201, 2232, 2282);
secs. 201, as amended, 202, 88 Stat. 1242, as amended, 1244 (42 U.S.C.
5841, 5842).
Sections 55.41, 55.43, 55.45, and 55.59 also issued under sec. 306,
Pub. L. 97-425, 96 Stat. 2262 (42 U.S.C. 10226). Section 55.61 also
issued under secs. 186, 187, 68 Stat. 955 (42 U.S.C. 2236, 2237).
Source: 52 FR 9460, Mar. 25, 1987, unless otherwise noted.
Subpart A--General Provisions
Sec. 55.1 Purpose.
The regulations in this part:
(a) Establish procedures and criteria for the issuance of licenses
to operators and senior operators of utilization facilities licensed
pursuant to the Atomic Energy Act of 1954, as amended, or section 202 of
the Energy Reorganization Act of 1974, as amended, and part 50 of this
chapter,
(b) Provide for the terms and conditions upon which the Commission
will issue or modify these licenses, and
(c) Provide for the terms and conditions to maintain and renew these
licenses.
Sec. 55.2 Scope.
The regulations in this part apply to--
(a) Any individual who manipulates the controls of any utilization
facility licensed pursuant to part 50 of this chapter, and
(b) Any individual designated by a facility licensee to be
responsible for directing any licensed activity of a licensed operator.
(c) Any facility license.
[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994]
Sec. 55.3 License requirements.
A person must be authorized by a license issued by the Commission to
perform the function of an operator or a senior operator as defined in
this part.
Sec. 55.4 Definitions.
As used in this part:
Act means the Atomic Energy Act of 1954, including any amendments to
the Act.
Actively performing the functions of an operator or senior operator
means that an individual has a position on the shift crew that requires
the individual to be licensed as defined in the facility's technical
specifications, and that the individual carries out and is responsible
for the duties covered by that position.
Commission means the Nuclear Regulatory Commission or its duly
authorized representatives.
Controls when used with respect to a nuclear reactor means apparatus
and mechanisms the manipulation of which directly affects the reactivity
or power level of the reactor.
Facility means any utilization facility as defined in part 50 of
this chapter. In cases for which a license is issued for operation of
two or more facilities, facility means all facilities identified in the
license.
Facility licensee means an applicant for or holder of a license for
a facility.
Licensee means an individual licensed operator or senior operator.
Operator means any individual licensed under this part to manipulate
a control of a facility.
Performance testing means testing conducted to verify a simulation
facility's performance as compared to actual or predicted reference
plant performance.
Physician means an individual licensed by a State or territory of
the United States, the District of Columbia or the Commonwealth of
Puerto Rico to dispense drugs in the practice of medicine.
Plant-referenced simulator means a simulator modeling the systems of
the reference plant with which the operator interfaces in the control
room, including operating consoles, and which permits use of the
reference plant's procedures. A plant-referenced simulator demonstrates
expected plant response to operator input, and to normal, transient, and
accident conditions
[[Page 103]]
to which the simulator has been designed to respond.
Reference plant means the specific nuclear power plant from which a
simulation facility's control room configuration, system control
arrangement, and design data are derived.
Senior operator means any individual licensed under this part to
manipulate the controls of a facility and to direct the licensed
activities of licensed operators.
Simulation facility means one or more of the following components,
alone or in combination, used for the partial conduct of operating tests
for operators, senior operators, and candidates:
(1) The plant,
(2) A plant-referenced simulator,
(3) Another simulation device.
Systems approach to training means a training program that includes
the following five elements:
(1) Systematic analysis of the jobs to be performed.
(2) Learning objectives derived from the analysis which describe
desired performance after training.
(3) Training design and implementation based on the learning
objectives.
(4) Evaluation of trainee mastery of the objectives during training.
(5) Evaluation and revision of the training based on the performance
of trained personnel in the job setting.
United States, when used in a geographical sense, includes Puerto
Rico and all territories and possessions of the United States.
Sec. 55.5 Communications.
(a) Except as provided under a regional licensing program identified
in paragraph (b) of this section, an applicant or licensee or facility
licensee shall submit any communication or report concerning the
regulations in this part and shall submit any application filed under
these regulations to the Commission as follows:
(1) By mail addressed to--Director of Nuclear Reactor Regulation,
U.S. Nuclear Regulatory Commission, Washington, DC 20555, or
(2) By delivery in person to the Commission's offices at 2120 L
Street NW., Washington, DC, or at 11555 Rockville Pike, Rockville, MD.
(b)(1) Except for test and research reactor facilities, the Director
of Nuclear Reactor Regulation has delegated to the Regional
Administrators of Regions I, II, III, and IV authority and
responsibility pursuant to the regulations in this part for the issuance
and renewal of licenses for operators and senior operators of nuclear
power reactors licensed under 10 CFR part 50 and located in these
regions.
(2) Any application for a license or license renewal filed under the
regulations in this part involving a nuclear power reactor licensed
under 10 CFR part 50 and any related inquiry, communication,
information, or report must be submitted by mail or in person to the
Regional Administrator. The Regional Administrator or the
Administrator's designee will transmit to the Director of Nuclear
Reactor Regulation any matter that is not within the scope of the
Regional Administrator's delegated authority.
(i) If the nuclear power reactor is located in Region I, submission
must be made to the Regional Administrator, Region I, U.S. Nuclear
Regulatory Commission, 475 Allendale Road, King of Prussia, PA 19406.
(ii) If the nuclear power reactor is located in Region II,
submission must be made to the Regional Administrator, Region II, U.S.
Nuclear Regulatory Commission, 101 Marietta Street, suite 2900, Atlanta,
GA 30323.
(iii) If the nuclear power reactor is located in Region III,
submission must be made to the Regional Administrator, Region III, U.S.
Nuclear Regulatory Commission, 801 Warrenville Road, Lisle, IL 60532-
4351.
(iv) If the nuclear power reactor is located in Region IV,
submission must be made to the Regional Administrator, Region IV, U.S.
Nuclear Regulatory Commission, 611 Ryan Plaza Drive, suite 1000,
Arlington, TX 76011.
(3)(i) Any application for a license or license renewal filed under
the regulations in this part involving a test and research reactor
facility licensed under 10 CFR part 50 and any related inquiry,
communication, information, or report must be submitted by mail or in
person to the Division of Licensee Performance and Quality Evaluation at
the
[[Page 104]]
U.S. Nuclear Regulatory Commission Headquarters in Washington, DC.
(ii) For all test and research reactor facilities located in Regions
I, II, III, and IV, submissions must be made to the Director, Division
of Licensee Performance and Quality Evaluation, U.S. Nuclear Regulatory
Commission, Washington, DC 20555. Attention: Operator Licensing Branch.
[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 6139, Mar. 1, 1988; 53
FR 43421, Oct. 27, 1988; 55 FR 41335, Oct. 11, 1990; 59 FR 17466, Apr.
13, 1994; 61 FR 9902, Mar. 12, 1996]
Sec. 55.6 Interpretations.
Except as specifically authorized by the Commission in writing, no
interpretation of the meaning of the regulations in this part by any
officer or employee of the Commission other than a written
interpretation by the General Counsel will be recognized to be binding
upon the Commission.
Sec. 55.7 Additional requirements.
The Commission may, by rule, regulation, or order, impose upon any
licensee such requirements, in addition to those established in the
regulations in this part, as it deems appropriate or necessary to
protect health and to minimize danger to life or property.
Sec. 55.8 Information collection requirements: OMB approval.
(a) The Nuclear Regulatory Commission has submitted the information
collection requirements contained in this part to the Office of
Management and Budget (OMB) for approval as required by the Paperwork
Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number. OMB
has approved the information collection requirements contained in this
part under control number 3150-0018.
(b) The approved information collection requirements contained in
this part appear in Secs. 55.31, 55.45, 55.53, and 55.59.
(c) This part contains information collection requirements in
addition to those approved under the control number specified in
paragraph (a) of this section. These information collection requirements
and the control numbers under which they are approved are as follows:
(1) In Secs. 55.23, 55.25, 55.27, 55.31, NRC Form 396 is approved
under control number 3150-0024.
(2) In Secs. 55.31, 55.35, 55.47, and 55.57, NRC Form 398 is
approved under control number 3150-0090.
(3) In Sec. 55.45, NRC Form 474 is approved under control number
3150-0138.
(4) In Secs. 55.40, 55.41, 55.43, 55.45, and 55.59, clearance is
approved under control number 3150-0101.
[62 FR 52188, Oct. 6, 1997, as amended at 64 FR 19878, Apr. 23, 1999]
Sec. 55.9 Completeness and accuracy of information.
Information provided to the Commission by an applicant for a license
or by a licensee or information required by statute or by the
Commission's regulations, orders, or license conditions to be maintained
by the applicant or the licensee shall be complete and accurate in all
material respects.
[52 FR 49372, Dec. 31, 1987]
Subpart B--Exemptions
Sec. 55.11 Specific exemptions.
The Commission may, upon application by an interested person, or
upon its own initiative, grant such exemptions from the requirements of
the regulations in this part as it determines are authorized by law and
will not endanger life or property and are otherwise in the public
interest.
Sec. 55.13 General exemptions.
The regulations in this part do not require a license for an
individual who--
(a) Under the direction and in the presence of a licensed operator
or senior operator, manipulates the controls of--
(1) A research or training reactor as part of the individual's
training as a student, or
(2) A facility as a part of the individual's training in a facility
licensee's training program as approved by the Commission to qualify for
an operator license under this part.
[[Page 105]]
(b) Under the direction and in the presence of a licensed senior
operator, manipulates the controls of a facility to load or unload the
fuel into, out of, or within the reactor vessel.
Subpart C--Medical Requirements
Sec. 55.21 Medical examination.
An applicant for a license shall have a medical examination by a
physician. A licensee shall have a medical examination by a physician
every two years. The physician shall determine that the applicant or
licensee meets the requirements of Sec. 55.33(a)(1).
Sec. 55.23 Certification.
To certify the medical fitness of the applicant, an authorized
representative of the facility licensee shall complete and sign Form
NRC-396, ``Certification of Medical Examination by Facility Licensee,''
available from Records and Reports Management Branch, Division of
Information Support Services, U.S. Nuclear Regulatory Commission,
Washington, DC 20555.
(a) Form NRC-396 must certify that a physician has conducted the
medical examination of the applicant as required in Sec. 55.21.
(b) When the certification requests a conditional license based on
medical evidence, the medical evidence must be submitted on NRC Form 396
to the Commission and the Commission then makes a determination in
accordance with Sec. 55.33.
[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988]
Sec. 55.25 Incapacitation because of disability or illness.
If, during the term of the license, the licensee develops a
permanent physical or mental condition that causes the licensee to fail
to meet the requirements of Sec. 55.21 of this part, the facility
licensee shall notify the Commission, within 30 days of learning of the
diagnosis, in accordance with Sec. 50.74(c). For conditions for which a
conditional license (as described in Sec. 55.33(b) of this part) is
requested, the facility licensee shall provide medical certification on
Form NRC 396 to the Commission (as described in Sec. 55.23 of this
part).
[60 FR 13617, Mar. 14, 1995]
Sec. 55.27 Documentation.
The facility licensee shall document and maintain the results of
medical qualifications data, test results, and each operator's or senior
operator's medical history for the current license period and provide
the documentation to the Commission upon request. The facility licensee
shall retain this documentation while an individual performs the
functions of an operator or senior operator.
Subpart D--Applications
Sec. 55.31 How to apply.
(a) The applicant shall:
(1) Complete Form NRC-398, ``Personal Qualification Statement--
Licensee,'' available from Records and Reports Management Branch,
Division of Information Support Services, U.S. Nuclear Regulatory
Commission, Washington, DC 20555;
(2) File an original and two copies of Form NRC-398, together with
the information required in paragraphs (a)(3), (4), (5) and (6) of this
section, with the appropriate Regional Administrator;
(3) Submit a written request from an authorized representative of
the facility licensee by which the applicant will be employed that the
written examination and operating test be administered to the applicant;
(4) Provide evidence that the applicant has successfully completed
the facility licensee's requirements to be licensed as an operator or
senior operator and of the facility licensee's need for an operator or a
senior operator to perform assigned duties. An authorized representative
of the facility licensee shall certify this evidence on Form NRC-398.
This certification must include details of the applicant's
qualifications, and details on courses of instruction administered by
the facility licensee, and describe the nature of the training received
at the facility, and the startup and shutdown experience received. In
lieu of these details, the Commission may accept certification that the
applicant has successfully
[[Page 106]]
completed a Commission-approved training program that is based on a
systems approach to training and that uses a simulation facility
acceptable to the Commission under Sec. 55.45(b) of this part;
(5) Provide evidence that the applicant, as a trainee, has
successfully manipulated the controls of the facility for which a
license is sought. At a minimum, five significant control manipulations
must be performed which affect reactivity or power level. For a facility
that has not completed preoperational testing and initial startup test
program as described in its Final Safety Analysis Report, as amended and
approved by the Commission, the Commission may accept evidence of
satisfactory performance of simulated control manipulations as part of a
Commission-approved training program by a trainee on a simulation
facility acceptable to the Commission under Sec. 55.45(b) of this part.
For a facility which has (i) completed preoperational testing as
described in its Final Safety Analysis Report, as amended and approved
by the Commission, and (ii) is in an extended shutdown which precludes
manipulation of the control of the facility in the control room, the
Commission may process the application and may administer the written
examination and operating test required by Secs. 55.41 or 55.43 and
55.45 of this part, but may not issue the license until the required
evidence of control manipulations is supplied. For licensed operators
applying for a senior operator license, certification that the operator
has successfully operated the controls of the facility as a licensed
operator shall be accepted; and
(6) Provide certification by the facility licensee of medical
condition and general health on Form NRC-396, to comply with
Secs. 55.21, 55.23 and 55.33(a)(1).
(b) The Commission may at any time after the application has been
filed, and before the license has expired, require futher information
under oath or affirmation in order to enable it to determine whether to
grant or deny the application or whether to revoke, modify, or suspend
the license.
(c) An applicant whose application has been denied because of a
medical condition or general health may submit a further medical report
at any time as a supplement to the application.
(d) Each application and statement must contain complete and
accurate disclosure as to all matters required to be disclosed. The
applicant shall sign statements required by paragraphs (a) (1) and (2)
of this section.
[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988]
Sec. 55.33 Disposition of an initial application.
(a) Requirements for the approval of an initial application. The
Commission will approve an initial application for a license pursuant to
the regulations in this part, if it finds that--
(1) Health. The applicants medical condition and general health will
not adversely affect the performance of assigned operator job duties or
cause operational errors endangering public health and safety. The
Commission will base its finding upon the certification by the facility
licensee as detailed in Sec. 55.23.
(2) Written examination and operating test. The applicant has passed
the requisite written examination and operating test in accordance with
Secs. 55.41 and 55.45 or 55.43 and 55.45. These examinations and tests
determine whether the applicant for an operator's license has learned to
operate a facility competently and safely, and additionally, in the case
of a senior operator, whether the applicant has learned to direct the
licensed activities of licensed operators competently and safely.
(b) Conditional license. If an applicant's general medical condition
does not meet the minimum standards under Sec. 55.33(a)(1) of this part,
the Commission may approve the application and include conditions in the
license to accommodate the medical defect. The Commission will consider
the recommendations and supporting evidence of the facility licensee and
of the examining physician (provided on Form NRC-396) in arriving at its
decision.
Sec. 55.35 Re-applications.
(a) An applicant whose application for a license has been denied
because of
[[Page 107]]
failure to pass the written examination or operating test, or both, may
file a new application two months after the date of denial. The
application must be submitted on Form NRC-398 and include a statement
signed by an authorized representative of the facility licensee by whom
the applicant will be employed that states in detail the extent of the
applicant's additional training since the denial and certifies that the
applicant is ready for re-examination. An applicant may file a third
application six months after the date of denial of the second
application, and may file further successive applications two years
after the date of denial of each prior application. The applicant shall
submit each successive application on Form NRC-398 and include a
statement of additional training.
(b) An applicant who has passed either the written examination or
operating test and failed the other may request in a new application on
Form NRC-398 to be excused from re-examination on the portions of the
examination or test which the applicant has passed. The Commission may
in its discretion grant the request, if it determines that sufficient
justification is presented.
Subpart E--Written Examinations and Operating Tests
Sec. 55.40 Implementation.
(a) The Commission shall use the criteria in NUREG-1021, ``Operator
Licensing Examination Standards for Power Reactors,'' \1\ in effect six
months before the examination date to prepare the written examinations
required by Secs. 55.41 and 55.43 and the operating tests required by
Sec. 55.45. The Commission shall also use the criteria in NUREG-1021 to
evaluate the written examinations and operating tests prepared by power
reactor facility licensees pursuant to paragraph (b) of this section.
---------------------------------------------------------------------------
\1\ Copies of NUREGs may be purchased from the Superintendent of
Documents, U.S. Government Printing Office, P.O. Box 38082, Washington,
DC 20402-9328. Copies are also available from the National Technical
Information Service, 5285 Port Royal Road, Springfield, VA 22161. A copy
is available for inspection and/or copying in the NRC Public Document
Room, 2120 L Street, NW (Lower Level), Washington, DC.
---------------------------------------------------------------------------
(b) Power reactor facility licensees may prepare, proctor, and grade
the written examinations required by Secs. 55.41 and 55.43 and may
prepare the operating tests required by Sec. 55.45, subject to the
following conditions:
(1) Power reactor facility licensees shall prepare the required
examinations and tests in accordance with the criteria in NUREG-1021 as
described in paragraph (a) of this section;
(2) Pursuant to Sec. 55.49, power reactor facility licensees shall
establish, implement, and maintain procedures to control examination
security and integrity;
(3) An authorized representative of the power reactor facility
licensee shall approve the required examinations and tests before they
are submitted to the Commission for review and approval; and
(4) Power reactor facility licensees must receive Commission
approval of their proposed written examinations and operating tests.
(c) In lieu of paragraph (b) of this section and upon written
request from a power reactor facility licensee pursuant to
Sec. 55.31(a)(3), the Commission shall, for that facility licensee,
prepare, proctor, and grade, the written examinations required by
Secs. 55.41 and 55.43 and the operating tests required by Sec. 55.45. In
addition, the Commission may exercise its discretion and reject a power
reactor facility licensee's determination to elect paragraph (b) of this
section, in which case the Commission shall prepare, proctor, and grade
the required written examinations and operating tests for that facility
licensee.
(d) The Commission shall prepare, proctor, and grade the written
examinations required by Secs. 55.41 and 55.43 and the operating tests
required by Sec. 55.45 for non-power reactor facility licensees.
[64 FR 19878, Apr. 23, 1999]
Sec. 55.41 Written examination: Operators.
(a) Content. The written examination for an operator will contain a
representative selection of questions on the knowledge, skills, and
abilities needed to perform licensed operator
[[Page 108]]
duties. The knowledge, skills, and abilities will be identified, in
part, from learning objectives derived from a systematic analysis of
licensed operator duties performed by each facility licensee and
contained in its training program and from information in the Final
Safety Analysis Report, system description manuals and operating
procedures, facility license and license amendments, Licensee Event
Reports, and other materials requested from the facility licensee by the
Commission.
(b) The written examination for an operator for a facility will
include a representative sample from among the following 14 items, to
the extent applicable to the facility.
(1) Fundamentals of reactor theory, including fission process,
neutron multiplication, source effects, control rod effects, criticality
indications, reactivity coefficients, and poison effects.
(2) General design features of the core, including core structure,
fuel elements, control rods, core instrumentation, and coolant flow.
(3) Mechanical components and design features of the reactor primary
system.
(4) Secondary coolant and auxiliary systems that affect the
facility.
(5) Facility operating characteristics during steady state and
transient conditions, including coolant chemistry, causes and effects of
temperature, pressure and reactivity changes, effects of load changes,
and operating limitations and reasons for these operating
characteristics.
(6) Design, components, and functions of reactivity control
mechanisms and instrumentation.
(7) Design, components, and functions of control and safety systems,
including instrumentation, signals, interlocks, failure modes, and
automatic and manual features.
(8) Components, capacity, and functions of emergency systems.
(9) Shielding, isolation, and containment design features, including
access limitations.
(10) Administrative, normal, abnormal, and emergency operating
procedures for the facility.
(11) Purpose and operation of radiation monitoring systems,
including alarms and survey equipment.
(12) Radiological safety principles and procedures.
(13) Procedures and equipment available for handling and disposal of
radioactive materials and effluents.
(14) Principles of heat transfer thermodynamics and fluid mechanics.
Sec. 55.43 Written examination: Senior operators.
(a) Content. The written examination for a senior operator will
contain a representative selection of questions on the knowledge,
skills, and abilities needed to perform licensed senior operator duties.
The knowledge, skills, and abilities will be identified, in part, from
learning objectives derived from a systematic analysis of licensed
senior operator duties performed by each facility licensee and contained
in its training program and from information in the Final Safety
Analysis Report, system description manuals and operating procedures,
facility license and license amendments, Licensee Event Reports, and
other materials requested from the facility licensee by the Commission.
(b) The written examination for a senior operator for a facility
will include a representative sample from among the following seven
items and the 14 items specified in Sec. 55.41 of this part, to the
extent applicable to the facility:
(1) Conditions and limitations in the facility license.
(2) Facility operating limitations in the technical specifications
and their bases.
(3) Facility licensee procedures required to obtain authority for
design and operating changes in the facility.
(4) Radiation hazards that may arise during normal and abnormal
situations, including maintenance activities and various contamination
conditions.
(5) Assessment of facility conditions and selection of appropriate
procedures during normal, abnormal, and emergency situations.
(6) Procedures and limitations involved in initial core loading,
alterations in core configuration, control rod programming, and
determination of various internal and external effects on core
reactivity.
[[Page 109]]
(7) Fuel handling facilities and procedures.
Sec. 55.45 Operating tests.
(a) Content. The operating tests administered to applicants for
operator and senior operator licenses in accordance with paragraph
(b)(1) of this section are generally similar in scope. The content will
be identified, in part, from learning objectives derived from a
systematic analysis of licensed operator or senior operator duties
performed by each facility licensee and contained in its training
program and from information in the Final Safety Analysis Report, system
description manuals and operating procedures, facility license and
license amendments, Licensee Event Reports, and other materials
requested from the facility licensee by the Commission. The operating
test, to the extent applicable, requires the applicant to demonstrate an
understanding of and the ability to perform the actions necessary to
accomplish a representative sample from among the following 13 items.
(1) Perform pre-startup procedures for the facility, including
operating of those controls associated with plant equipment that could
affect reactivity.
(2) Manipulate the console controls as required to operate the
facility between shutdown and designated power levels.
(3) Identify annunciators and condition-indicating signals and
perform appropriate remedial actions where appropriate.
(4) Identify the instrumentation systems and the significance of
facility instrument readings.
(5) Observe and safely control the operating behavior
characteristics of the facility.
(6) Perform control manipulations required to obtain desired
operating results during normal, abnormal, and emergency situations.
(7) Safely operate the facility's heat removal systems, including
primary coolant, emergency coolant, and decay heat removal systems, and
identify the relations of the proper operation of these systems to the
operation of the facility.
(8) Safely operate the facility's auxiliary and emergency systems,
including operation of those controls associated with plant equipment
that could affect reactivity or the release of radioactive materials to
the environment.
(9) Demonstrate or describe the use and function of the facility's
radiation monitoring systems, including fixed radiation monitors and
alarms, portable survey instruments, and personnel monitoring equipment.
(10) Demonstrate knowledge of significant radiation hazards,
including permissible levels in excess of those authorized, and ability
to perform other procedures to reduce excessive levels of radiation and
to guard against personnel exposure.
(11) Demonstrate knowledge of the emergency plan for the facility,
including, as appropriate, the operator's or senior operator's
responsibility to decide whether the plan should be executed and the
duties under the plan assigned.
(12) Demonstrate the knowledge and ability as appropriate to the
assigned position to assume the responsibilities associated with the
safe operation of the facility.
(13) Demonstrate the applicant's ability to function within the
control room team as appropriate to the assigned position, in such a way
that the facility licensee's procedures are adhered to and that the
limitations in its license and amendments are not violated.
(b) Implementation--(1) Administration. The operating test will be
administered in a plant walkthrough and in either--
(i) A simulation facility which the Commission has approved for use
after application has been made by the facility licensee, or
(ii) A simulation facility consisting solely of a plant-referenced
simulator which has been certified to the Commission by the facility
licensee.
(2) Schedule for facility licensees. (i) Within one year after the
effective date of this part, each facility licensee which proposes to
use a simulation facility pursuant to paragraph (b)(1)(i) of this
section, except test and research reactors, shall submit a plan by which
its simulation facility will be developed and by which an application
will be submitted for its use.
(ii) Those facility licensees which propose to conform with
paragraph
[[Page 110]]
(b)(1)(i) of this section, not later than 42 months after the effective
date of this rule, shall submit an application for use of this
simulation facility to the Commission, in accordance with paragraph
(b)(4)(i) of this section.
(iii) Those facility licensees which propose to conform with
paragraph (b)(1)(ii) of this section, not later than 46 months after the
effective date of this rule, shall submit a certification for use of
this simulation facility to the Commission on Form NRC-474, ``Simulation
Facility Certification,'' available from Records and Reports Management
Branch, Division of Information Support Services, U.S. Nuclear
Regulatory Commission, Washington, DC 20555, in accordance with
paragraph (b)(5)(i) of this section.
(iv) The simulation facility portion of the operating test will not
be administered on other than a certified or an approved simulation
facility after May 26, 1991.
(3) Schedule for facility applicants. (i) For facility licensee
applications after the effective date of this rule, except test and
research reactors, the applicant shall submit a plan which identifies
whether its simulation facility will conform with paragraph (b)(1)(i) or
(b)(1)(ii) of this section at the time of application.
(ii) Those applicants which propose to conform with paragraph
(b)(1)(i) of this section, not later than 180 days before the date when
the applicant proposes that the Commission conduct operating tests,
shall submit an application for use of its simulation facility to the
NRC, in accordance with paragraph (b)(4)(i) of this section.
(iii) Those applicants which propose to conform with paragraph
(b)(1)(ii) of this section, not later than 60 days before the date when
the applicant proposes that NRC conduct operating tests, shall submit a
certification for use of its simulation facility to the Commission on
Form NRC-474, in accordance with paragraph (b)(5)(i) of this section.
(4) Application for and approval of simulation facilities. Those
facility licensees which propose, in accordance with paragraph (b)(1)(i)
of this section, to use a simulation facility that is other than solely
a plant-referenced simulator as defined in Sec. 55.4 shall--
(i) In accordance with the plan submitted pursuant to paragraph
(b)(2)(i) or (b)(3)(i) of this section, as applicable submit an
application for approval of the simulation facility to the Commission,
in accordance with the schedule in paragraph (b)(2)(ii) or (b)(3)(ii) of
this section, as appropriate. This application must include:
(A) A statement that the simulation facility meets the plan
submitted to the Commission pursuant to paragraph (b)(2)(i) or (b)(3)(i)
of this section, as applicable;
(B) A description of the components of the simulation facility which
are intended to be used for each part of the operating test; and
(C) A description of the performance tests as part of the
application, and the results of such tests.
(ii) The Commission will approve a simulation facility if it finds
that the simulation facility and its proposed use are suitable for the
conduct of operating tests for the facility licensee's reference plant,
in accordance with paragraph (a) of this section.
(iii) Submit, every four years on the anniversary of the
application, a report to the Commission which identifies any uncorrected
performance test failures, and submit a schedule for correction of these
performance test failures, if any.
(iv) Retain the results of the performance test conducted until four
years after the submittal of the application under paragraph (b)(4)(i),
each report pursuant to paragraph (b)(4)(iii), or any reapplication
under paragraph (b)(4)(iv) of this section, as appropriate.
(v) If the Commission determines, based upon the results of
performance testing, that an approved simulation facility does not meet
the requirements of this part, the simulation facility may not be used
to conduct operating tests.
(vi) If the Commission determines, pursuant to paragraph (b)(4)(v)
of this section, that an approved simulation facility does not meet the
requirements of this part, the facility licensee may again submit an
application for
[[Page 111]]
approval. This application must include a description of corrective
actions taken, including results of completed performance testing as
required for approval.
(vii) Any application or report submitted pursuant to paragraphs
(b)(4)(i), (b)(4)(iii) and (b)(4)(vi) of this section must include a
description of the performance testing completed for the simulation
facility, and must include a description of performance tests, if
different, to be conducted on the simulation facility during the
subsequent four-year period, and a schedule for the conduct of
approximately 25 percent of the performance tests per year for the
subsequent four years.
(5) Certification of simulation facilities. Those facility licensees
which propose, in accordance with paragraph (b)(1)(ii) of this section,
to use a simulation facility consisting solely of a plant-referenced
simulator as defined in Sec. 55.4, shall--
(i) Submit a certification to the Commission that the simulation
facility meets the Commission's regulations. The facility licensee shall
provide this certification on Form NRC-474 in accordance with the
schedule in paragraph (b)(2)(iii) or (b)(3)(iii) of this section, as
applicable.
(ii) Submit, every four years on the anniversary of the
certification, a report to the Commission which identifies any
uncorrected performance test failures, and submit a schedule for
correction of such performance test failures, if any.
(iii) Retain the results of the performance test conducted until
four years after the submittal of certification under paragraph
(b)(5)(i), each report pursuant to paragraph (b)(5)(ii), or
recertification under paragraph (b)(5)(v) of this section, as
applicable.
(iv) If the Commission determines, based upon the results of
performance testing, that a certified simulation facility does not meet
the requirements of this part, the simulation facility may not be used
to conduct operating tests.
(v) If the Commission determines, pursuant to paragraph (b)(5)(iv)
of this section, that a certified simulation facility does not meet the
requirements of this part, the facility licensee may submit a
recertification to the Commission on Form NRC-474. This recertification
must include a description of corrective actions taken, including
results of completed performance testing as required for
recertification.
(vi) Any certification report, or recertification submitted pursuant
to paragraph (b)(5)(i), (b)(5)(ii) or (b)(5)(v) of this section must
include a description of performance testing completed for the
simulation facility, and must include a description of the performance
tests, if different, to be conducted on the simulation facility during
the subsequent four-year period, and a schedule for the conduct of
approximately 25 percent of the performance tests per year for the
subsequent four years.
[52 FR 9460, Mar. 25, 1987, as amended at 53 FR 43421, Oct. 27, 1988; 62
FR 59276, Nov. 3, 1997]
Sec. 55.47 Waiver of examination and test requirements.
(a) On application, the Commission may waive any or all of the
requirements for a written examination and operating test, if it finds
that the applicant--
(1) Has had extensive actual operating experience at a comparable
facility, as determined by the Commission, within two years before the
date of application;
(2) Has discharged his or her responsibilities competently and
safely and is capable of continuing to do so; and
(3) Has learned the operating procedures for and is qualified to
operate competently and safely the facility designated in the
application.
(b) The Commission may accept as proof of the applicant's past
performance a certification of an authorized representative of the
facility licensee or of a holder of an authorization by which the
applicant was previously employed. The certification must contain a
description of the applicant's operating experience, including an
approximate number of hours the applicant operated the controls of the
facility, the duties performed, and the extent of the applicant's
responsibility.
[[Page 112]]
(c) The Commission may accept as proof of the applicant's current
qualifications a certification of an authorized representative of the
facility licensee or of a holder of an authorization where the
applicant's services will be utilized.
Sec. 55.49 Integrity of examinations and tests.
Applicants, licensees, and facility licensees shall not engage in
any activity that compromises the integrity of any application, test, or
examination required by this part. The integrity of a test or
examination is considered compromised if any activity, regardless of
intent, affected, or, but for detection, would have affected the
equitable and consistent administration of the test or examination. This
includes activities related to the preparation and certification of
license applications and all activities related to the preparation,
administration, and grading of the tests and examinations required by
this part.
[64 FR 19878, Apr. 23, 1999]
Subpart F--Licenses
Sec. 55.51 Issuance of licenses.
Operator and senior operator licenses. If the Commission determines
that an applicant for an operator license or a senior operator license
meets the requirements of the Act and its regulations, it will issue a
license in the form and containing any conditions and limitations it
considers appropriate and necessary.
Sec. 55.53 Conditions of licenses.
Each license contains and is subject to the following conditions
whether stated in the license or not:
(a) Neither the license nor any right under the license may be
assigned or otherwise transferred.
(b) The license is limited to the facility for which it is issued.
(c) The license is limited to those controls of the facility
specified in the license.
(d) The license is subject to, and the licensee shall observe, all
applicable rules, regulations, and orders of the Commission.
(e) If a licensee has not been actively performing the functions of
an operator or senior operator, the licensee may not resume activities
authorized by a license issued under this part except as permitted by
paragraph (f) of this section. To maintain active status, the licensee
shall actively perform the functions of an operator or senior operator
on a minimum of seven 8-hour or five 12-hour shifts per calendar
quarter. For test and research reactors, the licensee shall actively
perform the functions of an operator or senior operator for a minimum of
four hours per calendar quarter.
(f) If paragraph (e) of this section is not met, before resumption
of functions authorized by a license issued under this part, an
authorized representative of the facility licensee shall certify the
following:
(1) That the qualifications and status of the licensee are current
and valid; and
(2) That the licensee has completed a minimum of 40 hours of shift
functions under the direction of an operator or senior operator as
appropriate and in the position to which the individual will be
assigned. The 40 hours must have included a complete tour of the plant
and all required shift turnover procedures. For senior operators limited
to fuel handling under paragraph (c) of this section, one shift must
have been completed. For test and research reactors, a minimum of six
hours must have been completed.
(g) The licensee shall notify the Commission within 30 days about a
conviction for a felony.
(h) The licensee shall complete a requalification program as
described by Sec. 55.59.
(i) The licensee shall have a biennial medical examination.
(j) The licensee shall not consume or ingest alcoholic beverages
within the protected area of power reactors, or the controlled access
area of non-power reactors. The licensee shall not use, possess, or sell
any illegal drugs. The licensee shall not perform activities authorized
by a license issued under this part while under the influence of alcohol
or any prescription, over-the-counter, or illegal substance that could
adversely affect his or her ability to
[[Page 113]]
safely and competently perform his or her licensed duties. For the
purpose of this paragraph, with respect to alcoholic beverages and
drugs, the term ``under the influence'' means the licensee exceeded, as
evidenced by a confirmed positive test, the lower of the cutoff levels
for drugs or alcohol contained in 10 CFR part 26, appendix A, of this
chapter, or as established by the facility licensee. The term ``under
the influence'' also means the licensee could be mentally or physically
impaired as a result of substance use including prescription and over-
the-counter drugs, as determined under the provisions, policies, and
procedures established by the facility licensee for its fitness-for-duty
program, in such a manner as to adversely affect his or her ability to
safely and competently perform licensed duties.
(k) Each licensee at power reactors shall participate in the drug
and alcohol testing programs established pursuant to 10 CFR part 26.
Each licensee at non-power reactors shall participate in any drug and
alcohol testing program that may be established for that non-power
facility.
(l) The licensee shall comply with any other conditions that the
Commission may impose to protect health or to minimize danger to life or
property.
[52 FR 9460, Mar. 25, 1987, as amended at 56 FR 32070, July 15, 1991]
Sec. 55.55 Expiration.
(a) Each operator license and senior operator license expires six
years after the date of issuance, upon termination of employment with
the facility licensee, or upon determination by the facility licensee
that the licensed individual no longer needs to maintain a license.
(b) If a licensee files an application for renewal or an upgrade of
an existing license on Form NRC-398 at least 30 days before the
expiration of the existing license, it does not expire until disposition
of the application for renewal or for an upgraded license has been
finally determined by the Commission. Filing by mail or telegram will be
deemed to be complete at the time the application is deposited in the
mail or with a telegraph company.
Sec. 55.57 Renewal of licenses.
(a) The applicant for renewal of a license shall--
(1) Complete and sign Form NRC-398 and include the number of the
license for which renewal is sought.
(2) File an original and two copies of Form NRC-398 with the
appropriate Regional Administrator specified in Sec. 55.5(b).
(3) Provide written evidence of the applicant's experience under the
existing license and the approximate number of hours that the licensee
has operated the facility.
(4) Provide a statement by an authorized representative of the
facility licensee that during the effective term of the current license
the applicant has satisfactorily completed the requalification program
for the facility for which operator or senior operator license renewal
is sought.
(5) Provide evidence that the applicant has discharged the license
responsibilities competently and safely. The Commission may accept as
evidence of the applicant's having met this requirement a certificate of
an authorized representative of the facility licensee or holder of an
authorization by which the licensee has been employed.
(6) Provide certification by the facility licensee of medical
condition and general health on Form NRC-396, to comply with
Secs. 55.21, 55.23 and 55.27.
(b) The license will be renewed if the Commission finds that--
(1) The medical condition and the general health of the licensee
continue to be such as not to cause operational errors that endanger
public health and safety. The Commission will base this finding upon the
certification by the facility licensee as described in Sec. 55.23.
(2) The licensee--
(i) Is capable of continuing to competently and safely assume
licensed duties;
(ii) Has successfully completed a requalification program that has
been approved by the Commission as required by Sec. 55.59; and
(iii) Has passed the requalification examinations and annual
operating tests as required by Sec. 55.59.
[[Page 114]]
(3) There is a continued need for a licensee to operate or for a
senior operator to direct operators at the facility designated in the
application.
(4) The past performance of the licensee has been satisfactory to
the Commission. In making its finding, the Commission will include in
its evaluation information such as notices of violations or letters of
reprimand in the licensee's docket.
[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994]
Sec. 55.59 Requalification.
(a) Requalification requirements. Each licensee shall--
(1) Successfully complete a requalification program developed by the
facility licensee that has been approved by the Commission. This program
shall be conducted for a continuous period not to exceed 24 months in
duration.
(2) Pass a comprehensive requalification written examination and an
annual operating test.
(i) The written examination will sample the items specified in
Secs. 55.41 and 55.43 of this part, to the extent applicable to the
facility, the licensee, and any limitation of the license under
Sec. 55.53(c) of this part.
(ii) The operating test will require the operator or senior operator
to demonstrate an understanding of and the ability to perform the
actions necessary to accomplish a comprehensive sample of items
specified in Sec. 55.45(a) (2) through (13) inclusive to the extent
applicable to the facility.
(iii) In lieu of the Commission accepting a certification by the
facility licensee that the licensee has passed written examinations and
operating tests administered by the facility licensee within its
Commission-approved program developed by using a systems approach to
training under paragraph (c) of this section, the Commission may
administer a comprehensive requalification written examination and an
annual operating test.
(b) Additional training. If the requirements of paragraphs (a) (1)
and (2) of this section are not met, the Commission may require the
licensee to complete additional training and to submit evidence to the
Commission of successful completion of this training before returning to
licensed duties.
(c) Requalification program requirements. A facility licensee shall
have a requalification program reviewed and approved by the Commission
and shall, upon request consistent with the Commission's inspection
program needs, submit to the Commission a copy of its comprehensive
requalification written examinations or annual operating tests. The
requalification program must meet the requirements of paragraphs (c) (1)
through (7) of this section. In lieu of paragraphs (c) (2), (3), and (4)
of this section, the Commission may approve a program developed by using
a systems approach to training.
(1) Schedule. The requalification program must be conducted for a
continuous period not to exceed two years, and upon conclusion must be
promptly followed, pursuant to a continuous schedule, by successive
requalification programs.
(2) Lectures. The requalification program must include preplanned
lectures on a regular and continuing basis throughout the license period
in those areas where operator and senior operator written examinations
and facility operating experience indicate that emphasis in scope and
depth of coverage is needed in the following subjects:
(i) Theory and principles of operation.
(ii) General and specific plant operating characteristics.
(iii) Plant instrumentation and control systems.
(iv) Plant protection systems.
(v) Engineered safety systems.
(vi) Normal, abnormal, and emergency operating procedures.
(vii) Radiation control and safety.
(viii) Technical specifications.
(ix) Applicable portions of title 10, chapter I, Code of Federal
Regulations.
(3) On-the-job training. The requalification program must include
on-the-job training so that--
(i) Each licensed operator of a utilization facility manipulates the
plant controls and each licensed senior operator either manipulates the
controls or directs the activities of individuals during plant control
manipulations during the term of the licensed operator's or senior
operator's license. For
[[Page 115]]
reactor operators and senior operators, these manipulations must consist
of the following control manipulations and plant evolutions if they are
applicable to the plant design. Items described in paragraphs (c)(3)(i)
(A) through (L) of this section must be performed annually; all other
items must be performed on a two-year cycle. However, the
requalification programs must contain a commitment that each individual
shall perform or participate in a combination of reactivity control
manipulations based on the availability of plant equipment and systems.
Those control manipulations which are not performed at the plant may be
performed on a simulator. The use of the Technical Specifications should
be maximized during the simulator control manipulations. Senior operator
licensees are credited with these activities if they direct control
manipulations as they are performed.
(A) Plant or reactor startups to include a range that reactivity
feedback from nuclear heat addition is noticeable and heatup rate is
established.
(B) Plant shutdown.
(C) Manual control of steam generators or feedwater or both during
startup and shutdown.
(D) Boration or dilution during power operation.
(E) Significant (10 percent) power changes in manual rod
control or recirculation flow.
(F) Reactor power change of 10 percent or greater where load change
is performed with load limit control or where flux, temperature, or
speed control is on manual (for HTGR).
(G) Loss of coolant, including--
(1) Significant PWR steam generator leaks
(2) Inside and outside primary containment
(3) Large and small, including lead-rate determination
(4) Saturated reactor coolant response (PWR).
(H) Loss of instrument air (if simulated plant specific).
(I) Loss of electrical power (or degraded power sources).
(J) Loss of core coolant flow/natural circulation.
(K) Loss of feedwater (normal and emergency).
(L) Loss of service water, if required for safety.
(M) Loss of shutdown cooling.
(N) Loss of component cooling system or cooling to an individual
component.
(O) Loss of normal feedwater or normal feedwater system failure.
(P) Loss of condenser vacuum.
(Q) Loss of protective system channel.
(R) Mispositioned control rod or rods (or rod drops).
(S) Inability to drive control rods.
(T) Conditions requiring use of emergency boration or standby liquid
control system.
(U) Fuel cladding failure or high activity in reactor coolant or
offgas.
(V) Turbine or generator trip.
(W) Malfunction of an automatic control system that affects
reactivity.
(X) Malfunction of reactor coolant pressure/volume control system.
(Y) Reactor trip.
(Z) Main steam line break (inside or outside containment).
(AA) A nuclear instrumentation failure.
(ii) Each licensed operator and senior operator has demonstrated
satisfactory understanding of the operation of the apparatus and
mechanisms associated with the control manipulations in paragraph
(c)(3)(i) of this section, and knows the operating procedures in each
area for which the operator or senior operator is licensed.
(iii) Each licensed operator and senior operator is cognizant of
facility design changes, procedure changes, and facility license
changes.
(iv) Each licensed operator and senior operator reviews the contents
of all abnormal and emergency procedures on a regularly scheduled basis.
(v) A simulator may be used in meeting the requirements of
paragraphs (c) (3)(i) and (3)(ii) of this section, if it reproduces the
general operating characteristics of the facility involved and the
arrangement of the instrumentation and controls of the simulator is
similar to that of the facility involved. If the simulator or simulation
device is used to administer operating tests for a facility, as provided
in Sec. 55.45(b)(1), the device approved to meet the requirements of
Sec. 55.45(b)(1) must be used for
[[Page 116]]
credit to be given for meeting the requirements of paragraphs (c)(3)(i)
(G through AA) of this section.
(4) Evaluation. The requalification program must include--
(i) Comprehensive requalification written examinations and annual
operating tests which determine areas in which retraining is needed to
upgrade licensed operator and senior operator knowledge.
(ii) Written examinations which determine licensed operators' and
senior operators' knowledge of subjects covered in the requalification
program and provide a basis for evaluating their knowledge of abnormal
and emergency procedures.
(iii) Systematic observation and evaluation of the performance and
competency of licensed operators and senior operators by supervisors
and/or training staff members, including evaluation of actions taken or
to be taken during actual or simulated abnormal and emergency
procedures.
(iv) Simulation of emergency or abnormal conditions that may be
accomplished by using the control panel of the facility involved or by
using a simulator. Where the control panel of the facility is used for
simulation, the actions taken or to be taken for the emergency or
abnormal condition shall be discussed; actual manipulation of the plant
controls is not required. If a simulator is used in meeting the
requirements of paragraph (c)(4)(iii) of this section, it shall
accurately reproduce the operating characteristics of the facility
involved and the arrangement of the instrumentation and controls of the
simulator shall closely parallel that of the facility involved. After
the provisions of Sec. 55.45(b) have been implemented at a facility, the
certified or approved simulation facility must be used to comply with
this paragraph.
(v) Provisions for each licensed operator and senior operator to
participate in an accelerated requalification program where performance
evaluations conducted pursuant to paragraphs (c)(4) (i) through (iv) of
this section clearly indicated the need.
(5) Records. The requalification program documentation must include
the following:
(i) The facility licensee shall maintain records documenting the
participation of each licensed operator and senior operator in the
requalification program. The records must contain copies of written
examinations administered, the answers given by the licensee, and the
results of evaluations and documentation of operating tests and of any
additional training administered in areas in which an operator or senior
operator has exhibited deficiencies. The facility licensee shall retain
these records until the operator's or senior operator's license is
renewed.
(ii) Each record required by this part must be legible throughout
the retention period specified by each Commission regulation. The record
may be the original or a reproduced copy or a microform provided that
the copy or microform is authenticated by authorized personnel and that
the microform is capable of producing a clear copy throughout the
required retention period.
(iii) If there is a conflict between the Commission's regulations in
this part, and any license condition, or other written Commission
approval or authorization pertaining to the retention period for the
same type of record, the retention period specified for these records by
the regulations in this part apply unless the Commission, pursuant to
Sec. 55.11, grants a specific exemption from this record retention
requirement.
(6) Alternative training programs. The requirements of this section
may be met by requalification programs conducted by persons other than
the facility licensee if the requalification programs are similar to the
program described in paragraphs (c) (1) through (5) of this section and
the alternative program has been approved by the Commission.
(7) Applicability to research and test reactor facilities. To
accommodate specialized modes of operation and differences in control,
equipment, and operator skills and knowledge, the requalification
program for each licensed operator and senior operator of a research
reactor or test reactor facility must conform generally but need not be
identical to the requalification program outlined in paragraphs (c) (1)
[[Page 117]]
through (6) of this section. Significant deviations from the
requirements of paragraphs (c) (1) through (6) of this section will be
permitted only if supported by written justification and approved by the
Commission.
[52 FR 9460, Mar. 25, 1987, as amended at 59 FR 5938, Feb. 9, 1994]
Subpart G--Modification and Revocation of Licenses
Sec. 55.61 Modification and revocation of licenses.
(a) The terms and conditions of all licenses are subject to
amendment, revision, or modification by reason of rules, regulations, or
orders issued in accordance with the Act or any amendments thereto.
(b) Any license may be revoked, suspended, or modified, in whole or
in part:
(1) For any material false statement in the application or in any
statement of fact required under section 182 of the Act,
(2) Because of conditions revealed by the application or statement
of fact or any report, record, inspection or other means that would
warrant the Commission to refuse to grant a license on an original
application,
(3) For willful violation of, or failure to observe any of the terms
and conditions of the Act, or the license, or of any rule, regulation,
or order of the Commission, or
(4) For any conduct determined by the Commission to be a hazard to
safe operation of the facility.
(5) For the sale, use or possession of illegal drugs, or refusal to
participate in the facility drug and alcohol testing program, or a
confirmed positive test for drugs, drug metabolites, or alcohol in
violation of the conditions and cutoff levels established by
Sec. 55.53(j) or the consumption of alcoholic beverages within the
protected area of power reactors or the controlled access area of non-
power reactors, or a determination of unfitness for scheduled work as a
result of the consumption of alcoholic beverages.
[52 FR 9460, Mar. 25, 1987, as amended at 56 FR 32070, July 15, 1991]
Subpart H--Enforcement
Sec. 55.71 Violations.
(a) The Commission may obtain an injunction or other court order to
prevent a violation of the provisions of--
(1) The Atomic Energy Act of 1954, as amended;
(2) Title II of the Energy Reorganization Act of 1974, as amended;
or
(3) A regulation or order issued pursuant to those Acts.
(b) The Commission may obtain a court order for the payment of a
civil penalty imposed under section 234 of the Atomic Energy Act:
(1) For violations of--
(i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of
the Atomic Energy Act of 1954, as amended;
(ii) Section 206 of the Energy Reorganization Act;
(iii) Any rule, regulation, or order issued pursuant to the sections
specified in paragraph (b)(1)(i) of this section;
(iv) Any term, condition, or limitation of any license issued under
the sections specified in paragraph (b)(1)(i) of this section.
(2) For any violation for which a license may be revoked under
section 186 of the Atomic Energy Act of 1954, as amended.
[57 FR 55076, Nov. 24, 1992]
Sec. 55.73 Criminal penalties.
(a) Section 223 of the Atomic Energy Act of 1954, as amended,
provides for criminal sanctions for willful violation of, attempted
violation of, or conspiracy of violate, any regulation issued under
sections 161b, 161i, or 161o of the Act. For purposes of section 223,
all the regulations in part 55 are issued under one or more of sections
161b, 161i, or 161o, except for the sections listed in paragraph (b) of
this section.
(b) The regulations in part 55 that are not issued under sections
161b, 161i, or 161o for the purposes of section 223 are as follows:
Secs. 55.1, 55.2, 55.4, 55.5, 55.6, 55.7, 55.8, 55.11. 55.13, 55.31,
55.33, 55.35, 55.41, 55.43, 55.47, 55.51, 55.55, 55.57, 55.61, 55.71,
and 55.73.
[57 FR 55076, Nov. 24, 1992]
[[Page 118]]
PART 60--DISPOSAL OF HIGH-LEVEL RADIOACTIVE WASTES IN GEOLOGIC REPOSITORIES--Table of Contents
Subpart A--General Provisions
Sec.
60.1 Purpose and scope.
60.2 Definitions.
60.3 License required.
60.4 Communications and records.
60.5 Interpretations.
60.6 Exemptions.
60.7 License not required for certain preliminary activities.
60.8 Information collection requirements: Approval.
60.9 Employee protection.
60.10 Completeness and accuracy of information.
60.11 Deliberate misconduct.
Subpart B--Licenses
Preapplication Review
60.15 Site characterization.
60.16 Site characterization plan required.
60.17 Contents of site characterization plan.
60.18 Review of site characterization activities.
License Applications
60.21 Content of application.
60.22 Filing and distribution of application.
60.23 Elimination of repetition.
60.24 Updating of application and environmental impact statement.
Construction Authorization
60.31 Construction authorization.
60.32 Conditions of construction authorization.
60.33 Amendment of construction authorization.
License Issuance and Amendment
60.41 Standards for issuance of a license.
60.42 Conditions of license.
60.43 License specification.
60.44 Changes, tests, and experiments.
60.45 Amendment of license.
60.46 Particular activities requiring license amendment.
Permanent Closure
60.51 License amendment for permanent closure.
60.52 Termination of license.
Subpart C--Participation by State Governments and Affected Indian Tribes
60.61 Provision of information.
60.62 Site review.
60.63 Participation in license reviews.
60.64 Notice to States.
60.65 Representation.
Subpart D--Records, Reports, Tests, and Inspections
60.71 Records and reports.
60.72 Construction records.
60.73 Reports of deficiencies.
60.74 Tests.
60.75 Inspections.
60.78 Material control and accounting records and reports.
Subpart E--Technical Criteria
60.101 Purpose and nature of findings.
60.102 Concepts.
Performance Objectives
60.111 Performance of the geologic repository operations area through
permanent closure.
60.112 Overall system performance objective for the geologic repository
after permanent closure.
60.113 Performance of particular barriers after permanent closure.
Land Ownership and Control
60.121 Requirements for ownership and control interests in land.
Siting Criteria
60.122 Siting criteria.
Design Criteria for the Geologic Repository Operations Area
60.130 General considerations.
60.131 General design criteria for the geologic repository operations
area.
60.132 Additional design criteria for surface facilities in the
geologic repository operations area.
60.133 Additional design criteria for the underground facility.
60.134 Design of seals for shafts and boreholes.
Design Criteria for the Waste Package
60.135 Criteria for the waste package and its components.
Preclosure Controlled Area
60.136 Preclosure controlled area.
Performance Confirmation Requirements
60.137 General requirements for performance confirmation.
Subpart F--Performance Confirmation Program
60.140 General requirements.
60.141 Confirmation of geotechnical and design parameters.
[[Page 119]]
60.142 Design testing.
60.143 Monitoring and testing waste packages.
Subpart G--Quality Assurance
60.150 Scope.
60.151 Applicability.
60.152 Implementation.
Subpart H--Training and Certification of Personnel
60.160 General requirements.
60.161 Training and certification program.
60.162 Physical requirements.
Subpart I--Emergency Planning Criteria [Reserved]
Subpart J--Violations
60.181 Violations.
60.183 Criminal penalties.
Authority: Secs. 51, 53, 62, 63, 65, 81, 161, 182, 183, 68 Stat.
929, 930, 932, 933, 935, 948, 953, 954, as amended (42 U.S.C. 2071,
2073, 2092, 2093, 2095, 2111, 2201, 2232, 2233); secs. 202, 206, 88
Stat. 1244, 1246 (42 U.S.C. 5842, 5846); secs. 10 and 14, Pub. L. 95-
601, 92 Stat. 2951 (42 U.S.C. 2021a and 5851); sec. 102, Pub. L. 91-190,
83 Stat. 853 (42 U.S.C. 4332); secs. 114, 121, Pub. L. 97-425, 96 Stat.
2213g, 2228, as amended (42 U.S.C. 10134, 10141), and Pub. L. 102-486,
sec. 2902, 106 Stat. 3123 (42 U.S.C. 5851).
Source: 46 FR 13980, Feb. 25, 1981, unless otherwise noted.
Subpart A--General Provisions
Sec. 60.1 Purpose and scope.
This part prescribes rules governing the licensing of the U.S.
Department of Energy to receive and possess source, special nuclear, and
byproduct material at a geologic repository operations area sited,
constructed, or operated in accordance with the Nuclear Waste Policy Act
of 1982. This part does not apply to any activity licensed under another
part of this chapter. This part also gives notice to all persons who
knowingly provide to any licensee, applicant, contractor, or
subcontractor, components, equipment, materials, or other goods or
services, that relate to a licensee's or applicant's activities subject
to this part, that they may be individually subject to NRC enforcement
action for violation of Sec. 60.11.
[63 FR 1898, Jan. 13, 1998]
Sec. 60.2 Definitions.
As used in this part:
Accessible environment means:
(1) The atmosphere;
(2) The land surface;
(3) Surface water;
(4) Oceans; and
(5) The portion of the lithosphere that is outside the postclosure
controlled area.
Affected Indian Tribe means any Indian Tribe (1) within whose
reservation boundaries a repository for high-level radioactive waste or
spent fuel is proposed to be located; or (2) whose Federally defined
possessory or usage rights to other lands outside of the reservation's
boundaries arising out of Congressionally ratified treaties or other
Federal law may be substantially and adversely affected by the locating
of such a facility; Provided, That the Secretary of the Interior finds,
upon the petition of the appropriate governmental officials of the
Tribe, that such effects are both substantial and adverse to the Tribe.
Anticipated processes and events means those natural processes and
events that are reasonably likely to occur during the period the
intended performance objective must be achieved. To the extent
reasonable in the light of the geologic record, it shall be assumed that
those processes operating in the geologic setting during the Quaternary
Period continue to operate but with the perturbations caused by the
presence of emplaced radioactive waste superimposed thereon.
Barrier means any material or structure that prevents or
substantially delays movement of water or radionuclides.
Candidate area means a geologic and hydrologic system within which a
geologic repository may be located.
Commencement of construction means clearing of land, surface or
subsurface excavation, or other substantial action that would adversely
affect the environment of a site, but does not include changes desirable
for the temporary use of the land for public recreational uses, site
characterization activities, other preconstruction monitoring and
investigation necessary to establish background information related to
the
[[Page 120]]
suitability of a site or to the protection of environmental values, or
procurement or manufacture of components of the geologic repository
operations area.
Commission means the Nuclear Regulatory Commission or its duly
authorized representatives.
Containment means the confinement of radioactive waste within a
designated boundary.
Controlled area means a surface location, to be marked by suitable
monuments, extending horizontally no more than 10 kilometers in any
direction from the outer boundary of the underground facility, and the
underlying subsurface, which area has been committed to use as a
geologic repository and from which incompatible activities would be
restricted following permanent closure.
Design bases means that information that identifies the specific
functions to be performed by a structure, system, or component of a
facility and the specific values or ranges of values chosen for
controlling parameters as reference bounds for design. These values may
be restraints derived from generally accepted ``state-of-the-art''
practices for achieving functional goals or requirements derived from
analysis (based on calculation or experiments) of the effects of a
postulated event under which a structure, system, or component must meet
its functional goals. The values for controlling parameters for external
events include:
(1) Estimates of severe natural events to be used for deriving
design bases that will be based on consideration of historical data on
the associated parameters, physical data, or analysis of upper limits of
the physical processes involved; and
(2) Estimates of severe external man-induced events, to be used for
deriving design bases, that will be based on analysis of human activity
in the region, taking into account the site characteristics and the
risks associated with the event.
Design basis events means:
(1)(i) Those natural and human-induced events that are reasonably
likely to occur regularly, moderately frequently, or one or more times
before permanent closure of the geologic repository operations area; and
(ii) Other natural and man-induced events that are considered
unlikely, but sufficiently credible to warrant consideration, taking
into account the potential for significant radiological impacts on
public health and safety.
(2) The events described in paragraph (1)(i) of this definition are
referred to as ``Category 1'' design basis events. The events described
in paragraph (1)(ii) of this definition are referred to as ``Category
2'' design basis events.
Director means the Director of the Nuclear Regulatory Commission's
Office of Nuclear Material Safety and Safeguards.
Disposal means the isolation of radioactive wastes from the
accessible environment.
Disturbed zone means that portion of the postclosure controlled
area, the physical or chemical properties of which have changed as a
result of underground facility construction or as a result of heat
generated by the emplaced radioactive wastes, such that the resultant
change of properties may have a significant effect on the performance of
the geologic repository.
DOE means the U.S. Department of Energy or its duly authorized
representatives.
Engineered barrier system means the waste packages and the
underground facility.
Geologic repository means a system which is intended to be used for,
or may be used for, the disposal of radioactive wastes in excavated
geologic media. A geologic repository includes: (1) The geologic
repository operations area, and (2) the portion of the geologic setting
that provides isolation of the radioactive waste.
Geologic repository operations area means a high-level radioactive
waste facility that is part of a geologic repository, including both
surface and subsurface areas, where waste handling activities are
conducted.
Geologic setting means the geologic, hydrologic, and geochemical
systems of the region in which a geologic repository operations area is
or may be located.
Groundwater means all water which occurs below the land surface.
[[Page 121]]
High-level radioactive waste or HLW means: (1) Irradiated reactor
fuel, (2) liquid wastes resulting from the operation of the first cycle
solvent extraction system, or equivalent, and the concentrated wastes
from subsequent extraction cycles, or equivalent, in a facility for
reprocessing irradiated reactor fuel, and (3) solids into which such
liquid wastes have been converted.
HLW facility means a facility subject to the licensing and related
regulatory authority of the Commission pursuant to Sections 202(3) and
202(4) of the Energy Reorganization Act of 1974 (88 Stat.
1244).1
---------------------------------------------------------------------------
\1\ These are DOE ``facilities used primarily for the receipt and
storage of high-level radioactive wastes resulting from activities
licensed under such Act [the Atomic Energy Act]'' and ``Retrievable
Surface Storage Facilities and other facilities authorized for the
express purpose of subsequent long-term storage of high-level
radioactive wastes generated by [DOE], which are not used for, or are
part of, research and development activities.''
---------------------------------------------------------------------------
Host rock means the geologic medium in which the waste is emplaced.
Important to safety, with reference to structures, systems, and
components, means those engineered features of the repository whose
function is:
(1) To provide reasonable assurance that high-level waste can be
received, handled, packaged, stored, emplaced, and retrieved without
exceeding the requirements of Sec. 60.111(a) for Category 1 design basis
events; or
(2) To prevent or mitigate Category 2 design basis events that could
result in doses equal to or greater than the values specified in
Sec. 60.136 to any individual located on or beyond any point on the
boundary of the preclosure controlled area.
Isolation means inhibiting the transport of radioactive material so
that amounts and concentrations of this material entering the accessible
environment will be kept within prescribed limits.
NRC Public Document Room means the facility at 2120 L Street, NW.,
Washington, DC where certain public records of the NRC that were made
available for public inspection in paper or microfiche prior to the
implementation of the NRC Agencywide Documents Access and Management
System, commonly referred to as ADAMS, will remain available for public
inspection. It is also the place where computer terminals are available
to access the Electronic Reading Room component of ADAMS on the NRC Web
site, http://www.nrc.gov, where copies can be made or ordered as set
forth in Sec. 9.35 of this chapter. The facility is staffed with
reference librarians to assist the public in identifying and locating
documents and in using the NRC Web site and ADAMS. The NRC Public
Document Room is open from 7:45 am to 4:15 pm, Monday through Friday,
except on Federal holidays. Reference service and access to documents
may also be requested by telephone (202-634-3273 or 800-397-4209)
between 8:30 am and 4:15 pm, or by e-mail ([email protected]), fax (202-634-
3343), or letter (NRC Public Document Room, LL-6, Washington, DC 20555-
0001).
NRC Web site, http://www.nrc.gov is the Internet uniform resource
locator name for the Internet address of the Web site where NRC will
ordinarily make available its public records for inspection.
Permanent closure means final backfilling of the underground
facility and the sealing of shafts and boreholes.
Performance confirmation means the program of tests, experiments,
and analyses which is conducted to evaluate the accuracy and adequacy of
the information used to determine with reasonable assurance that the
performance objectives for the period after permanent closure will be
met.
Postclosure controlled area means a surface location, to be marked
by suitable monuments, extending horizontally no more than 10 kilometers
in any direction from the outer boundary of the underground facility,
and the underlying subsurface, which area has been committed to use as a
geologic repository and from which incompatible activities would be
restricted following permanent closure.
Preclosure controlled area means that surface area surrounding the
geologic repository operations area for which the licensee exercises
authority over
[[Page 122]]
its use, in accordance with the provisions of this part, until permanent
closure has been completed.
Radioactive waste or waste means HLW and other radioactive materials
other than HLW that are received for emplacement in a geologic
repository.
Restricted area means an area, access to which is limited by the
licensee for the purpose of protecting individuals against undue risks
from exposure to radiation and radioactive materials. Restricted area
does not include areas used as residential quarters, but separate rooms
in a residential building may be set aside as a restricted area.
Retrieval means the act of intentionally removing radioactive waste
from the underground location at which the waste had been previously
emplaced for disposal.
Saturated zone means that part of the earth's crust beneath the
regional water table in which all voids, large and small, are ideally
filled with water under pressure greater than atmospheric.
Site means the location of the preclosure controlled area, or of the
postclosure controlled area, or both.
Site characterization means the program of exploration and research,
both in the laboratory and in the field, undertaken to establish the
geologic conditions and the ranges of those parameters of a particular
site relevant to the procedures under this part. Site characterization
includes borings, surface excavations, excavation of exploratory shafts,
limited subsurface lateral excavations and borings, and in situ testing
at depth needed to determine the suitability of the site for a geologic
repository, but does not include preliminary borings and geophysical
testing needed to decide whether site characterization should be
undertaken.
Unanticipated processes and events means those processes and events
affecting the geologic setting that are judged not to be reasonably
likely to occur during the period the intended performance objective
must be achieved, but which are nevertheless sufficiently credible to
warrant consideration. Unanticipated processes and events may be either
natural processes or events or processes and events initiated by human
activities other than those activities licensed under this part.
Processes and events initiated by human activities may only be found to
be sufficiently credible to warrant consideration if it is assumed that:
(1) The monuments provided for by this part are sufficiently permanent
to serve their intended purpose; (2) the value to future generations of
potential resources within the site can be assessed adequately under the
applicable provisions of this part; (3) an understanding of the nature
of radioactivity, and an appreciation of its hazards, have been retained
in some functioning institutions; (4) institutions are able to assess
risk and to take remedial action at a level of social organization and
technological competence equivalent to, or superior to, that which was
applied in initiating the processes or events concerned; and (5)
relevant records are preserved, and remain accessible, for several
hundred years after permanent closure.
Underground facility means the underground structure, including
openings and backfill materials, but excluding shafts, boreholes, and
their seals.
Unrestricted area means an area, access to which is neither limited
nor controlled by the licensee.
Unsaturated zone means the zone between the land surface and the
regional water table. Generally, fluid pressure in this zone is less
than atmospheric pressure, and some of the voids may contain air or
other gases at atmospheric pressure. Beneath flooded areas or in perched
water bodies the fluid pressure locally may be greater than atmospheric.
Waste form means the radioactive waste materials and any
encapsulating or stabilizing matrix.
Waste package means the waste form and any containers, shielding,
packing and other absorbent materials immediately surrounding an
individual waste container.
Water table means that surface in a groundwater body at which the
water pressure is atmospheric.
[48 FR 28217, June 21, 1983, as amended at 50 FR 29647, July 22, 1985;
51 FR 27162, July 30, 1986; 53 FR 43421, Oct. 27, 1988; 61 FR 64267,
Dec. 4, 1996; 64 FR 48953, Sept. 9, 1999]
[[Page 123]]
Sec. 60.3 License required.
(a) DOE shall not receive or possess source, special nuclear, or
byproduct material at a geologic repository operations area except as
authorized by a license issued by the Commission pursuant to this part.
(b) DOE shall not commence construction of a geologic repository
operations area unless it has filed an application with the Commission
and has obtained construction authorization as provided in this part.
Failure to comply with this requirement shall be grounds for denial of a
license.
Sec. 60.4 Communications and records.
(a) Except where otherwise specified, all communications and reports
concerning the regulations in this part and applications filed under
them should be addressed to the Director of Nuclear Material Safety and
Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555.
Communications reports, and applications may be delivered in person at
the Commission's offices at 2120 L Street NW., Washington DC, or 11555
Rockville Pike, Rockville, MD.
(b) Each record required by this part must be legible throughout the
retention period specified by each Commission regulation. The record may
be the original or a reproduced copy or a microform provided that the
copy or microform is authenticated by authorized personnel and that the
microform is capable of producing a clear copy throughout the required
retention period. The record may also be stored in electronic media with
the capability for producing legible, accurate, and complete records
during the required retention period. Records such as letters, drawings,
specifications, must include all pertinent information such as stamps,
initials, and signatures. The licensee shall maintain adequate
safeguards against tampering with and loss of records.
[53 FR 19251, May 27, 1988, as amended at 53 FR 43421, Oct. 27, 1988]
Sec. 60.5 Interpretations.
Except as specifically authorized by the Commission, in writing, no
interpretation of the meaning of the regulations in this part by any
officer or employee of the Commission other than a written
interpretation by the General Counsel will be considered binding upon
the Commission.
Sec. 60.6 Exemptions.
The Commission may, upon application by DOE, any interested person,
or upon its own initiative, grant such exemptions from the requirements
of the regulations in this part as it determines are authorized by law,
will not endanger life or property or the common defense and security,
and are otherwise in the public interest.
Sec. 60.7 License not required for certain preliminary activities.
The requirement for a license set forth in Sec. 60.3(a) of this part
is not applicable to the extent that DOE receives and possesses source,
special nuclear, and byproduct material at a geologic repository:
(a) For purposes of site characterization; or
(b) For use, during site characterization or construction, as
components of radiographic, radiation monitoring, or similar equipment
or instrumentation.
Sec. 60.8 Information collection requirements: Approval.
(a) The Nuclear Regulatory Commission has submitted the information
collection requirements contained in this part to the Office of
Management and Budget (OMB) for approval as required by the Paperwork
reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or
sponsor, and a person is not required to respond to, a collection of
information unless it displays a currently valid OMB control number. OMB
has approved the information collection requirements contained in this
part under control number 3150-0127.
(b) The approved information collection requirements contained in
this part appear in Secs. 60.62, 60.63, and 60.65.
[61 FR 64268, Dec. 4, 1996, as amended at 62 FR 52188, Oct. 6, 1997]
[[Page 124]]
Sec. 60.9 Employee protection.
(a) Discrimination by a Commission licensee, an applicant for a
Commission license, or a contractor or subcontractor of a Commission
licensee or applicant against an employee for engaging in certain
protected activities is prohibited. Discrimination includes discharge
and other actions that relate to compensation, terms, conditions, or
privileges of employment. The protected activities are established in
section 211 of the Energy Reorganization Act of 1974, as amended, and in
general are related to the administration or enforcement of a
requirement imposed under the Atomic Energy Act or the Energy
Reorganization Act.
(1) The protected activities include but are not limited to:
(i) Providing the Commission or his or her employer information
about alleged violations of either of the statutes named in paragraph
(a) introductory text of this section or possible violations of
requirements imposed under either of those statutes;
(ii) Refusing to engage in any practice made unlawful under either
of the statutes named in paragraph (a) introductory text or under these
requirements if the employee has identified the alleged illegality to
the employer;
(iii) Requesting the Commission to institute action against his or
her employer for the administration or enforcement of these
requirements;
(iv) Testifying in any Commission proceeding, or before Congress, or
at any Federal or State proceeding regarding any provision (or proposed
provision) of either of the statutes named in paragraph (a) introductory
text.
(v) Assisting or participating in, or is about to assist or
participate in, these activities.
(2) These activities are protected even if no formal proceeding is
actually initiated as a result of the employee assistance or
participation.
(3) This section has no application to any employee alleging
discrimination prohibited by this section who, acting without direction
from his or her employer (or the employer's agent), deliberately causes
a violation of any requirement of the Energy Reorganization Act of 1974,
as amended, or the Atomic Energy Act of 1954, as amended.
(b) Any employee who believes that he or she has been discharged or
otherwise discriminated against by any person for engaging in protected
activities specified in paragraph (a)(1) of this section may seek a
remedy for the discharge or discrimination through an administrative
proceeding in the Department of Labor. The administrative proceeding
must be initiated within 180 days after an alleged violation occurs. The
employee may do this by filing a complaint alleging the violation with
the Department of Labor, Employment Standards Administration, Wage and
Hour Division. The Department of Labor may order reinstatement, back
pay, and compensatory damages.
(c) A violation of paragraph (a), (e), or (f) of this section by a
Commission licensee, an applicant for a Commission license, or a
contractor or subcontractor of a Commission licensee or applicant may be
grounds for--
(1) Denial, revocation, or suspension of the license.
(2) Imposition of a civil penalty on the licensee or applicant.
(3) Other enforcement action.
(d) Actions taken by an employer, or others, which adversely affect
an employee may be predicated upon nondiscriminatory grounds. The
prohibition applies when the adverse action occurs because the employee
has engaged in protected activities. An employee's engagement in
protected activities does not automatically render him or her immune
from discharge or discipline for legitimate reasons or from adverse
action dictated by nonprohibited considerations.
(e)(1) Each licensee and each applicant for a license shall
prominently post the revision of NRC Form 3, ``Notice to Employees,''
referenced in 10 CFR 19.11(c). This form must be posted at locations
sufficient to permit employees protected by this section to observe a
copy on the way to or from their place of work. Premises must be posted
not later than 30 days after an application is docketed and remain
posted while the application is pending before the Commission, during
the term of the license, and for 30 days following license termination.
[[Page 125]]
(2) Copies of NRC Form 3 may be obtained by writing to the Regional
Administrator of the appropriate U.S. Nuclear Regulatory Commission
Regional Office listed in Appendix D to Part 20 of this chapter or by
calling the NRC Information and Records Management Branch at 301-415-
7230.
(f) No agreement affecting the compensation, terms, conditions, or
privileges of employment, including an agreement to settle a complaint
filed by an employee with the Department of Labor pursuant to section
211 of the Energy Reorganization Act of 1974, as amended, may contain
any provision which would prohibit, restrict, or otherwise discourage an
employee from participating in protected activity as defined in
paragraph (a)(1) of this section including, but not limited to,
providing information to the NRC or to his or her employer on potential
violations or other matters within NRC's regulatory responsibilities.
[58 FR 52411, Oct. 8, 1993, as amended at 60 FR 24552, May 9, 1995; 61
FR 6765, Feb. 22, 1996]
Sec. 60.10 Completeness and accuracy of information.
(a) Information provided to the Commission by an applicant for a
license or by a licensee or information required by statute or by the
Commission's regulations, orders, or license conditions to be maintained
by the applicant or the licensee shall be complete and accurate in all
material respects.
(b) Each applicant or licensee shall notify the Commission of
information identified by the applicant or licensee as having for the
regulated activity a significant implication for public health and
safety or common defense and security. An applicant or licensee violates
this paragraph only if the applicant or licensee fails to notify the
Commission of information that the applicant or licensee has identified
as having a significant implication for public health and safety or
common defense and security. Notification shall be provided to the
Administrator of the appropriate Regional Office within two working days
of identifying the information. This requirement is not applicable to
information which is already required to be provided to the Commission
by other reporting or updating requirements.
[52 FR 49372, Dec. 31, 1987]
Sec. 60.11 Deliberate misconduct.
(a) Any licensee, applicant for a license, employee of a licensee or
applicant; or any contractor (including a supplier or consultant),
subcontractor, employee of a contractor or subcontractor of any licensee
or applicant for a license who knowingly provides to any licensee,
applicant, contractor, or subcontractor, any components, equipment,
materials, or other goods or services that relate to a licensee's or
applicant's activities in this part, may not:
(1) Engage in deliberate misconduct that causes or would have
caused, if not detected, a licensee or applicant to be in violation of
any rule, regulation, or order; or any term, condition, or limitation of
any license issued by the Commission; or
(2) Deliberately submit to the NRC, a licensee, an applicant, or a
licensee's or applicant's contractor or subcontractor, information that
the person submitting the information knows to be incomplete or
inaccurate in some respect material to the NRC.
(b) A person who violates paragraph (a)(1) or (a)(2) of this section
may be subject to enforcement action in accordance with the procedures
in 10 CFR part 2, subpart B.
(c) For the purposes of paragraph (a)(1) of this section, deliberate
misconduct by a person means an intentional act or omission that the
person knows:
(1) Would cause a licensee or applicant to be in violation of any
rule, regulation, or order; or any term, condition, or limitation, of
any license issued by the Commission; or
(2) Constitutes a violation of a requirement, procedure,
instruction, contract, purchase order, or policy of a licensee,
applicant, contractor, or subcontractor.
[63 FR 1898, Jan. 13, 1998]
[[Page 126]]
Subpart B--Licenses
Preapplication Review
Sec. 60.15 Site characterization.
(a) Prior to submittal of an application for a license to be issued
under this part DOE shall conduct a program of site characterization
with respect to the site to be described in such application.
(b) Unless the Commission determines with respect to the site
described in the application that it is not necessary, site
characterization shall include a program of in situ exploration and
testing at the depths that wastes would be emplaced.
(c) The program of site characterization shall be conducted in
accordance with the following:
(1) Investigations to obtain the required information shall be
conducted in such a manner as to limit adverse effects on the long-term
performance of the geologic repository to the extent practical.
(2) The number of exploratory boreholes and shafts shall be limited
to the extent practical consistent with obtaining the information needed
for site characterization.
(3) To the extent practical, exploratory boreholes and shafts in the
geologic repository operations area shall be located where shafts are
planned for underground facility construction and operation or where
large unexcavated pillars are planned.
(4) Subsurface exploratory drilling, excavation, and in situ testing
before and during construction shall be planned and coordinated with
geologic repository operations area design and construction.
[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28219, June 21, 1983.
Redesignated and amended at 51 FR 27162, July 30, 1986; 54 FR 27871,
July 3, 1989]
Sec. 60.16 Site characterization plan required.
Before proceeding to sink shafts at any area which has been approved
by the President for site characterization, DOE shall submit to the
Director, for review and comment, a site characterization plan for such
area. DOE shall defer the sinking of such shafts until such time as
there has been an opportunity for Commission comments thereon to have
been solicited and considered by DOE.
[51 FR 27162, July 30, 1986]
Sec. 60.17 Contents of site characterization plan.
The site characterization plan shall contain--
(a) A general plan for site characterization activities to be
conducted at the area to be characterized, which general plan shall
include:
(1) A description of such area, including information on quality
assurance programs that have been applied to the collection, recording,
and retention of information used in preparing such description.
(2) A description of such site characterization activities,
including the following--
(i) The extent of planned excavations;
(ii) Plans for any onsite testing with radioactive material,
including radioactive tracers, or nonradioactive material;
(iii) Plans for any investigation activities that may affect the
capability of such area to isolate high-level radioactive waste;
(iv) Plans to control any adverse impacts from such site
characterization activities that are important to safety or that are
important to waste isolation; and
(v) Plans to apply quality assurance to data collection, recording,
and retention.
(3) Plans for the decontamination and decommissioning of such area,
and for the mitigation of any significant adverse environmental impacts
caused by site characterization activities, if such area is determined
unsuitable for application for a construction authorization for a
geologic repository operations area;
(4) Criteria, developed pursuant to section 112(a) of the Nuclear
Waste Policy Act of 1982, to be used to determine the suitability of
such area for the location of a geologic repository; and
(5) Any other information which the Commission, by rule or order,
requires.
(b) A description of the possible waste form or waste package for
the
[[Page 127]]
high-level radioactive waste to be emplaced in such geologic repository,
a description (to the extent practicable) of the relationship between
such waste form or waste package and the host rock at such area, and a
description of the activities being conducted by DOE with respect to
such possible waste form or waste package or their relationship; and
(c) A conceptual design for the geologic repository operations area
that takes into account likely site-specific requirements.
[51 FR 27163, July 30, 1986]
Sec. 60.18 Review of site characterization activities.\2\
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\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.
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(a) The Director shall cause to be published in the Federal Register
a notice that a site characterization plan has been received from DOE
and that a staff review of such plan has begun. The notice shall
identify the area to be characterized and the NRC staff members to be
consulted for further information.
(b) The Director shall make a copy of the site characterization plan
available at the Public Document Room. The Director shall also transmit
copies of the published notice of receipt to the Governor and
legislature of the State in which the area to be characterized is
located and to the governing body of any affected Indian Tribe. The
Director shall provide an opportunity, with respect to any area to be
characterized, for the State in which such area is located and for
affected Indian Tribes to present their views on the site
characterization plan and their suggestions with respect to comments
thereon which may be made by NRC. In addition, the Director shall make
NRC staff available to consult with States and affected Indian Tribes as
provided in Subpart C of this part.
(c) The Director shall review the site characterization plan and
prepare a site characterization analysis with respect to such plan. In
the preparation of such site characterization analysis, the Director may
invite and consider the views of interested persons on DOE's site
characterization plan and may review and consider comments made in
connection with public hearings held by DOE.
(d) The Director shall provide to DOE the site characterization
analysis together with such additional comments as may be warranted.
These comments shall include either a statement that the Director has no
objection to the DOE's site characterization program, if such a
statement is appropriate, or specific objections with respect to DOE's
program for characterization of the area concerned. In addition, the
Director may make specific recommendations pertinent to DOE's site
characterization program.
(e) If DOE's planned site characterization activities include onsite
testing with radioactive material, including radioactive tracers, the
Director's comments shall include a determination regarding whether or
not the Commission concurs that the proposed use of such radioactive
material is necessary to provide data for the preparation of the
environmental reports required by law and for an application to be
submitted under Sec. 60.22 of this part.
(f) The Director shall publish in the Federal Register a notice of
availability of the site characterization analysis and a request for
public comment within a reasonable period, as specified (not less than
90 days). The notice along with copies of the site characterization
analysis shall be available at the NRC Web site, http://www.nrc.gov, and
copies of any comments received will also be made available there.
(g) During the conduct of site characterization activities, DOE
shall report not less than once every six months to the Commission on
the nature and extent of such activities and the information that has
been developed, and on the progress of waste form and waste
[[Page 128]]
package research and development. The semiannual reports shall include
the results of site characterization studies, the identification of new
issues, plans for additional studies to resolve new issues, elimination
of planned studies no longer necessary, identification of decision
points reached and modifications to schedules where appropriate. DOE
shall also report its progress in developing the design of a geologic
repository operations area appropriate for the area being characterized,
noting when key design parameters or features which depend upon the
results of site characterization will be established. Other topics
related to site characterization shall also be covered if requested by
the Director.
(h) During the conduct of site characterization activities, NRC
staff shall be permitted to visit and inspect the locations at which
such activities are carried out and to observe excavations, borings, and
in situ tests as they are done.
(i) The Director may comment at any time in writing to DOE,
expressing current views on any aspect of site characterization. In
particular, such comments shall be made whenever the Director, upon
review of comments invited on the site characterization analysis or upon
review of DOE's semiannual reports, determines that there are
substantial new grounds for making recommendations or stating objections
to DOE's site characterization program. The Director shall invite public
comment on any comments which the Director makes to DOE upon review of
the DOE semiannual reports or on any other comments which the Director
makes to DOE on site characterization.
(j) The Director shall transmit copies of the site characterization
analysis and all comments to DOE made by the Director under this section
to the Governor and legislature of the State in which the area to be
characterized is located and to the governing body of any affected
Indian Tribe. When transmitting the site characterization analysis under
this paragraph, the Director shall invite the addressees to review and
comment thereon.
(k) All correspondence between DOE and the NRC under this section,
including the reports described in paragraph (g), shall be placed in the
Public Document Room.
(l) The activities described in paragraphs (a) through (k) of this
section constitute informal conference between a prospective applicant
and the staff, as described in Sec. 2.101(a)(1) of this chapter, and are
not part of a proceeding under the Atomic Energy Act of 1954, as
amended. Accordingly, neither the issuance of a site characterization
analysis nor any other comments of the Director made under this section
constitutes a commitment to issue any authorization or license or in any
way affect the authority of the Commission, the Atomic Safety and
Licensing Appeal Board, Atomic Safety and Licensing Boards, other
presiding officers, or the Director, in any such proceeding.
[51 FR 27163, July 30, 1986, as amended at 64 FR 48954, Sept. 9, 1999]
License Applications
Sec. 60.21 Content of application.
(a) An application shall consist of general information and a Safety
Analysis Report. An environmental impact statement shall be prepared in
accordance with the Nuclear Waste Policy Act of 1982, as amended, and
shall accompany the application. Any Restricted Data or National
Security Information shall be separated from unclassified information.
(b) The general information shall include:
(1) A general description of the proposed geologic repository
identifying the location of the geologic repository operations area, the
general character of the proposed activities, and the basis for the
exercise of licensing authority by the Commission.
(2) Proposed schedules for construction, receipt of waste, and
emplacement of wastes at the proposed geologic repository operations
area.
(3) A detailed plan to provide physical protection of high-level
radioactive waste in accordance with Sec. 73.51 of this chapter. This
plan must include the design for physical protection, the licensee's
safeguards contingency plan,
[[Page 129]]
and security organization personnel training and qualification plan. The
plan must list tests, inspections, audits, and other means to be used to
demonstrate compliance with such requirements.
(4) A description of the program to meet the requirements of
Sec. 60.78.
(5) A description of site characterization work actually conducted
by DOE at all sites considered in the application and, as appropriate,
explanations of why such work differed from the description of the site
characterization program described in the Site Characterization Report
for each site.
(c) The Safety Analysis Report shall include:
(1) A description and assessment of the site at which the proposed
geologic repository operations area is to be located with appropriate
attention to those features of the site that might affect geologic
repository operations area design and performance. The description of
the site shall identify the location of the geologic repository
operations area with respect to the boundary of the accessible
environment.
(i) The description of the site shall also include the following
information regarding subsurface conditions. This description shall, in
all cases, include this information with respect to the postclosure
controlled area. In addition, where subsurface conditions outside the
postclosure controlled area may affect isolation within the postclosure
controlled area, the description shall include information with respect
to subsurface conditions outside the postclosure controlled area to the
extent the information is relevant and material. The detailed
information referred to in this paragraph shall include:
(A) The orientation, distribution, aperture in-filling and origin of
fractures, discontinuities, and heterogeneities;
(B) The presence and characteristics of other potential pathways
such as solution features, breccia pipes, or other potentially permeable
features;
(C) The geomechanical properties and conditions, including pore
pressure and ambient stress conditions;
(D) The hydrogeologic properties and conditions;
(E) The geochemical properties; and
(F) The anticipated response of the geomechanical, hydrogeologic,
and geochemical systems to the maximum design thermal loading, given the
pattern of fractures and other discontinuities and the heat transfer
properties of the rock mass and groundwater.
(ii) The assessment shall contain:
(A) An analysis of the geology, geophysics, hydrogeology,
geochemistry, climatology, and meteorology of the site,
(B) Analyses to determine the degree to which each of the favorable
and potentially adverse conditions, if present, has been characterized,
and the extent to which it contributes to or detracts from isolation.
For the purpose of determining the presence of the potentially adverse
conditions, investigations shall extend from the surface to a depth
sufficient to determine critical pathways for radionuclide migration
from the underground facility to the accessible environment. Potentially
adverse conditions shall be investigated outside of the postclosure
controlled area if they affect isolation within the postclosure
controlled area.
(C) An evaluation of the performance of the proposed geologic
repository for the period after permanent closure, assuming anticipated
processes and events, giving the rates and quantities of releases of
radionuclides to the accessible environment as a function of time; and a
similar evaluation which assumes the occurrence of unanticipated
processes and events.
(D) The effectiveness of engineered and natural barriers, including
barriers that may not be themselves a part of the geologic repository
operations area, against the release of radioactive material to the
environment. The analysis shall also include a comparative evaluation of
alternatives to the major design features that are important to waste
isolation, with particular attention to the alternatives that would
provide longer radionuclide containment and isolation.
(E) An analysis of the performance of the major design structures,
systems, and components, both surface and subsurface, to identify those
that are important to safety. For the purposes of this analysis, it
shall be assumed that
[[Page 130]]
operations at the geologic repository operations area will be carried
out at the maximum capacity and rate of receipt of radioactive waste
stated in the application.
(F) An explanation of measures used to support the models used to
perform the assessments required in paragraphs (A) through (D). Analyses
and models that will be used to predict future conditions and changes in
the geologic setting shall be supported by using an appropriate
combination of such methods as field tests, in situ tests, laboratory
tests which are representative of field conditions, monitoring data, and
natural analog studies.
(2) A description and discussion of the design, both surface and
subsurface, of the geologic repository operations area including: (i)
the principal design criteria and their relationship to any general
performance objectives promulgated by the Commission, (ii) the design
bases and the relation of the design bases to the principal design
criteria, (iii) information relative to materials of construction
(including geologic media, general arrangement, and approximate
dimensions), and (iv) codes and standards that DOE proposes to apply to
the design and construction of the geologic repository operations area.
(3) A description and analysis of the design and performance
requirements for structures, systems, and components of the geologic
repository that are important to safety. The analysis must include a
demonstration that--
(i) The requirements of Sec. 60.111(a) will be met, assuming
occurrence of Category 1 design basis events; and
(ii) The requirements of Sec. 60.136 will be met, assuming
occurrence of Category 2 design basis events.
(4) A description of the quality assurance program to be applied to
the structures, systems, and components important to safety and to the
engineered and natural barriers important to waste isolation.
(5) A description of the kind, amount, and specifications of the
radioactive material proposed to be received and possessed at the
geologic repository operations area.
(6) An identification and justification for the selection of those
variables, conditions, or other items which are determined to be
probable subjects of license specifications. Special attention shall be
given to those items that may significantly influence the final design.
(7) A description of the program for control and monitoring of
radioactive effluents and occupational radiation exposures to maintain
such effluents and exposures in accordance with the requirements of part
20 of this chapter.
(8) A description of the controls that the applicant will apply to
restrict access and to regulate land use at the site and adjacent areas,
including a conceptual design of monuments which would be used to
identify the postclosure controlled area after permanent closure.
(9) Plans for coping with radiological emergencies at any time prior
to permanent closure and decontamination or dismantlement of surface
facilities.
(10) A description of the program to be used to maintain the records
described in Secs. 60.71 and 60.72.
(11) A description of design considerations that are intended to
facilitate permanent closure and decontamination or dismantlement of
surface facilities.
(12) A description of plans for retrieval and alternate storage of
the radioactive wastes should the geologic repository prove to be
unsuitable for disposal of radioactive wastes.
(13) An identification and evaluation of the natural resources of
the geologic setting, including estimates as to undiscovered deposits,
the exploitation of which could affect the ability of the geologic
repository to isolate radioactive wastes. Undiscovered deposits of
resources characteristic of the area shall be estimated by reasonable
inference based on geological and geophysical evidence. This evaluation
of resources, including undiscoverd deposits, shall be conducted for the
site and for areas of similar size that are representative of and are
within the geologic setting. For natural resources with current markets
the resources shall be assessed, with estimates provided of both gross
and net value. The estimate of net value shall take into account current
development, extraction and marketing costs. For natural
[[Page 131]]
resources without current markets, but which would be marketable given
credible projected changes in economic or technological factors, the
resources shall be described by physical factors such as tonnage or
other amount, grade, and quality.
(14) An identification of those structures, systems, and components
of the geologic repository, both surface and subsurface, which require
research and development to confirm the adequacy of design. For
structures, systems, and components important to safety and for the
engineered and natural barriers important to waste isolation, DOE shall
provide a detailed description of the programs designed to resolve
safety questions, including a schedule indicating when these questions
would be resolved.
(15) The following information concerning activities at the geologic
repository operations area:
(i) The organizational structure of DOE as it pertains to
construction and operation of the geologic repository operations area
including a description of any delegations of authority and assignments
of responsibilities, whether in the form of regulations, administrative
directives, contract provisions, or otherwise.
(ii) Identification of key positions which are assigned
responsibility for safety at and operation of the geologic repository
operations area.
(iii) Personnel qualifications and training requirements.
(iv) Plans for startup activities and startup testing.
(v) Plans for conduct of normal activities, including maintenance,
surveillance, and periodic testing of structures, systems, and
components of the geologic repository operation area.
(vi) Plans for permanent closure and plans for the decontamination
or dismantlement of surface facilities.
(vii) Plans for any uses of the geologic repository operations area
for purposes other than disposal of radioactive wastes, with an analysis
of the effects, if any, that such uses may have upon the operation of
the structures, systems, and components important to safety and the
engineered and natural barriers important to waste isolation.
[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28219, June 21, 1983;
54 FR 27871, July 3, 1989; 61 FR 64268, Dec. 4, 1996; 63 FR 26961, May
15, 1998]
Sec. 60.22 Filing and distribution of application.
(a) An application for a license to receive and possess source,
special nuclear, or byproduct material at a geologic repository
operations area at a site which has been characterized, and any
amendments thereto, and an accompanying environmental impact statement
and any supplements, shall be signed by the Secretary of Energy or the
Secretary's authorized representative and shall be filed in triplicate
with the Director.
(b) Each portion of such application and any amendments, and each
environmental impact statement and any supplements, shall be accompanied
by 30 additional copies. Another 120 copies shall be retained by DOE for
distribution in accordance with written instructions from the Director
or the Director's designee.
(c) DOE shall, upon notification of the appointment of an Atomic
Safety and Licensing Board, update the application, eliminating all
superseded information, and supplement the environmental impact
statement if necessary, and serve the updated application and
environmental impact statement (as it may have been supplemented) as
directed by the Board. At that time DOE shall also serve one such copy
of the application and environmental impact statement on the Atomic
Safety and Licensing Appeal Panel. Any subsequent amendments to the
application or supplements to the environmental impact statement shall
be served in the same manner.
(d) At the time of filing of an application and any amendments
thereto, one copy shall be made available in an appropriate location
near the proposed geologic repository operations area (which shall be a
public document room, if one has been established) for inspection by the
public and updated as amendments to the application are made. The
environmental impact
[[Page 132]]
statement and any supplements thereto shall be made available in the
same manner. An updated copy of the application, and the environmental
impact statement and supplements, shall be produced at any public
hearing held by the Commission on the application, for use by any party
to the proceeding.
(e) The DOE shall certify that the updated copies of the
application, and the environmental impact statement as it may have been
supplemented, as referred to in paragraphs (c) and (d) of this section,
contain the current contents of such documents submitted in accordance
with the requirements of this part.
[54 FR 27871, July 3, 1989]
Sec. 60.23 Elimination of repetition.
In its application, environmental report, or Site Characterization
Report, the DOE may incorporate by reference information contained in
previous applications, statements, or reports filed with the Commission:
Provided, That such references are clear and specific and that copies of
the information so incorporated are available in the public document
room located near the site of the proposed geologic repository.
Sec. 60.24 Updating of application and environmental impact statement.
(a) The application shall be as complete as possible in the light of
information that is reasonably available at the time of docketing.
(b) The DOE shall update its application in a timely manner so as to
permit the Commission to review, prior to issuance of a license:
(1) Additional geologic, geophysical, geochemical, hydrologic,
meteorologic and other data obtained during construction.
(2) Conformance of construction of structures, systems, and
components with the design.
(3) Results of research programs carried out to confirm the adequacy
of designs.
(4) Other information bearing on the Commission's issuance of a
license that was not available at the time a construction authorization
was issued.
(c) The DOE shall supplement its environmental impact statement in a
timely manner so as to take into account the environmental impacts of
any substantial changes in its proposed actions or any significant new
circumstances or information relevant to environmental concerns and
bearing on the proposed action or its impacts.
[46 FR 13980, Feb. 25, 1981, as amended at 54 FR 27872, July 3, 1989]
Construction Authorization
Sec. 60.31 Construction authorization.
Upon review and consideration of an application and environmental
impact statement submitted under this part, the Commission may authorize
construction if it determines:
(a) Safety. That there is reasonable assurance that the types and
amounts of radioactive materials described in the application can be
received, possessed, and disposed of in a geologic repository operations
area of the design proposed without unreasonable risk to the health and
safety of the public. In arriving at this determination, the Commission
shall consider whether:
(1) DOE has described the proposed geologic repository including but
not limited to: (i) The geologic, geophysical, geochemical and
hydrologic characteristics of the site; (ii) the kinds and quantities of
radioactive waste to be received, possessed, stored, and disposed of in
the geologic repository operations area; (iii) the principal
architectural and engineering criteria for the design of the geologic
repository operations area; (iv) construction procedures which may
affect the capability of the geologic repository to serve its intended
function; and (v) features or components incorporated in the design for
the protection of the health and safety of the public.
(2) The site and design comply with the performance objectives and
criteria contained in Subpart E of this part.
(3) The DOE's quality assurance program complies with the
requirements of Subpart G of this part.
(4) The DOE's personnel training program complies with the criteria
contained in Subpart H of this part.
(5) The DOE's emergency plan complies with the criteria contained in
Subpart I of this part.
(6) The DOE's proposed operating procedures to protect health and to
[[Page 133]]
minimize danger to life or property are adequate.
(b) Common defense and security. That there is reasonable assurance
that the activities proposed in the application will not be inimical to
the common defense and security.
(c) Environmental. That, after weighing the environmental, economic,
technical and other benefits against environmental costs and considering
available alternatives, the action called for is issuance of the
construction authorization, with any appropriate conditions to protect
environmental values.
[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28220, June 21, 1983;
54 FR 27872, July 3, 1989; 63 FR 26961, May 15, 1998]
Sec. 60.32 Conditions of construction authorization.
(a) A construction authorization shall include such conditions as
the Commission finds to be necessary to protect the health and safety of
the public, the common defense and security, or environmental values.
(b) The Commission will incorporate in the construction
authorization provisions requiring DOE to furnish periodic or special
reports regarding: (1) Progress of construction, (2) any data about the
site obtained during construction which are not within the predicted
limits upon which the facility design was based, (3) any deficiencies in
design and construction which, if uncorrected, could adversely affect
safety at any future time, and (4) results of research and development
programs being conducted to resolve safety questions.
(c) The construction authorization will include restrictions on
subsequent changes to the features of the geologic repository and the
procedures authorized. The restrictions that may be imposed under this
paragraph can include measures to prevent adverse effects on the
geologic setting as well as measures related to the design and
construction of the geologic repository operations area. These
restrictions will fall into three categories of descending importance to
public health and safety as follows: (1) Those features and procedures
which may not be changed without: (i) 60 days prior notice to the
Commission (ii) 30 days notice of opportunity for a prior hearing, and
(iii) prior Commission approval; (2) those features and procedures which
may not be changed without (i) 60 days prior notice to the Commission,
and (ii) prior Commission approval; and (3) those features and
procedures which may not be changed without 60 days notice to the
Commission. Features and procedures falling in paragraph (c)(3) of this
section may not be changed without prior Commission approval if the
Commission, after having received the required notice, so orders.
(d) A construction authorization shall be subject to the limitation
that a license to receive and possess source, special nuclear, or
byproduct material at the geologic repository operations area shall not
be issued by the Commission until (1) the DOE has updated its
application as specified in Sec. 60.24, and (2) the Commission has made
the findings stated in Sec. 60.41.
[46 FR 13980, Feb. 25, 1981, as amended at 48 FR 28221, June 21, 1983]
Sec. 60.33 Amendment of construction authorization.
(a) An application for amendment of a construction authorization
shall be filed with the Commission fully describing any changes desired
and following as far as applicable the format prescribed in Sec. 60.21.
(b) In determining whether an amendment of a construction
authorization will be approved, the Commission will be guided by the
considerations which govern the issuance of the initial construction
authorization, to the extent applicable.
License Issuance and Amendment