ML20153C757
| ML20153C757 | |
| Person / Time | |
|---|---|
| Issue date: | 05/06/1998 |
| From: | Halman E NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Cool D NRC OFFICE OF NUCLEAR MATERIAL SAFETY & SAFEGUARDS (NMSS) |
| Shared Package | |
| ML20153C648 | List: |
| References | |
| FRN-63FR39526, RULE-PR-72 AF93-1-008, AF93-1-8, NUDOCS 9809240193 | |
| Download: ML20153C757 (65) | |
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UNITED STATES g
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NUCLEAR REGULATORY COMMISSION 2
WASHINGTON, D.C. 206SHm01
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May 6, 1998 MEMORANDUM TO:
Donald A. Cool, Director Division of Industrial and Medical Nuclear Safety Office of Nuclear Material Safety and Safeguards FROM:
Edward L. Halman, Di Office of Administrati
SUBJECT:
OFFICE CONCURRENCE ON PROPOSED RULE ENTITLED
" REQUIREMENTS FOR HOLDERS OF, AND APPLICANTS FOR, CERTIFICATES OF COMPLIANCE AND THEIR CONTRACTORS AND SUBCONTRACTORS
- The Office of Administration has reviewed and concurs in the proposed rule and accompanying documents that would enhance the Commission's ability to take enforcement action against holders of certificates of compliance when requirements are violated. We have attao.c l a marked copy of the proposed rule package that includes editorial and format correctic,,s.
These corrections are necessary to meet the publication requirements of the Office of the Federal Register.
If you have any questions regarding this review, please have a member of your staff contact David L. Meyer, Chief, Rules and Directives Branch at 415-7162 (DLM1) or Alzonia Shepard at 415-6864 (AWS1).
Attachment.
As stated 9809240193 980921 PDR PR 72 63FR39526 PDR 9 8092 w9 J93 s
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EQB; The Commissioners FROM L. Joseph Callan Executive Director for Operations
SUBJECT:
PROPOSED RULE: EXPAND APPLICABILITY OF PART 72 TO HOLDERS OF, AND APPLICANTS FOR, CERTIFICATES OF COMPLIANCE AND THEIR CONTRACTORS AND SUBCONTRACTORS PURPOSE:
To obtain Commission approval for publication of the proposed rule for public comment.
BACKGRCUND:
The Commission's regulations at 10 CFR Part 72 were originally designed to provide specific licenses for the storage of spent nuclear fuel in an independent spent fuel storage installation (ISFSI) (45 FR 74693; November 12,1980). Later, these were amended to include the storage of high-level waste (HLW) at a monitored retrieval storage (MRS) installation. In 1990, the Commission amended Part 72 to include a process for approving the design of spent fuel storage casks by issuance of a certificate of compliance (Subpart L) and for granting a general s
!! cense to reactor licensees (Subpart K) to use NRC_-aporoved <==km for stnray$ pent JygU nuclear fuel (55 FR 29184 AuwuM 1C_1990). In the past, the NRC has experienced L
performance problems bytolders of and applicants for a certificate of compliance under Part 72 in the areas of design, design control, and quality control. When the NRC identifies a failure to comply with Part 72 requirements by these persons, the enforcement sanctions available under the current NRC Enforcement Policy are limited to administrative actions unless the particular requirements are explicitly applicable to certificate holders and applicants.
CONTACT: Anthony DiPalo, NMSS/lMNS NOTE: TO BE MADE PUBLICLY (301) 415-6191 AVAILABLE WHEN THE FINAL SRM IS MADE AVAILABLE Phillip Brochman, NMSS/SFPO (301) 415-8592
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The Commissioners 2
The NRC Enforcement Policy and its implementing program have been established to support the NRC's overall safety mission in protecting public health and safety and the environment.
Consistent with this purpose, enforcement actions are intended to be used: (1) as a deterrent to emphasize the importance of compliance with requirements, and (2) to encourage prompt identification and prompt, comprehensive correction of the violations. Enforcement sanctions consist of Notices of Violation (NOV), civil penalties, and orders of various types. In addition to the formal enforcement actions, the NRC also uses related administrative actions such as Notices of Nonconformance (NON), Confirmatory Action Letters, and Demande for Information to supplement the NRC's enforcement program. The NRC expects licensees and vendors (i.e.,
holders of, and applicants for a certificate of compliance) to adhere to any obligations and commitments resulting from these actions and will not hesitate to issue appropriate orders to ensure that these obligations and commitments are met.
The Commission approved the staff's rulemaking plan for this rulemaking (SECY-97-214, dated September 24,1997) in a Staff Requirements Memorandum dated November 4,1997.
DISCUSSION in promulgating Subpart L, the staff intended that selected Part 72 provisions would apply to cask certificate holders and applicants for a cask certificate of compliance (CoC). For example, 6 72.234(b) requires that, as a condiion for approval of a certificate of compliance, "(d]esign, fabrication, testing, and maintenance of spent fuel storage casks be conducted under a quality l
assurance program that meets the requirements of subpart G of this part." However, the I
quality assurance requirements in Subpart G do not refer to certificate holders. but ontv to licensees and applicants for licenses. f:wther., Some enbpart L regulations apply
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bplicitly only to "the applicant," (e.g., $ 72.232) r to "the cask vendor," (
ex are written in the passive voice so that it is no ear who is responsible for meeting the S U,, c requirement, (e.g., $ 72.236). Although certificates of compliance are legally binding documents, certificate holders or applicants for a CoC and their contractors and subcontractors have not clearly been brought within the scope of Part 72 requirements. Because the term certificate holder and applicant for a certifir % of compliance do not appear in Part 72, the NRC has not had a clear basis to cite thet v Tons for violations of Part 72 requirements in the same way it treats licensees. Presently..nen the NRC has identified a failure to comp:y with Part 72 requirements by these persons it has issued an administrative action in the form of v
a NON rather than enforcement action in the form of an NOV.
j While it may appear that a ON and a NOV are sim
,r, the staff believes that the issuance of ap'NOV is preferred because: (1) the issuance of ON does not effectively convey to both the person violating the requirement and the public that a violation of a legally binding requirement has occurred; (2) the use of graduated severity levels associated with a/NOV allows the NRC to effectively convey to both the person violating the requirement and the public a clearer perspective on the safety and regulatory significance of the violation; and (3) the issuance of a NOV may be considered legally sufficient evidence that a potential risk to p lic y
l health and safety could exist as a result of failing to comply with Part 72 requirements, is evidence could then be used to support the issuance of further enforcement sanctions such as orders.
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The Commissioners 3
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Over the last 2 years)he staff has observed problems with he performance of several certificate holders and their contractors and subcontractors These problems have occurred in l
design, design control, and corrective actions areas (3 wbd are typically covered under the j
quality assurance program. In FY 1996, the staff identified numerous instances of certificate p
i f olders a t eir contractors and subcontractors failing to comply with requirements and issued h
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notices o ormance. The staff has concluded that use of the additional enforcement
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sanctions which are available in the NRC Enforcement Policy are necessary to more effectively _
address the performance declines which have occurred in the' spent fuel storage industry)
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Consequently, the staff would revise Part 72 to explicitly make certificate holders and applicants for a CoC subject to those requirements and thereby allow the use of enforcement sanctions V
against these rsoJ3s, rather than administrative sanctions. The staff believes that these amendments dVe the effect of allowing both the public and those persons designing and building s nt fuel storage casks to clearly understand the expectations which have been placed on them.
l The staff also identified changes in addition to those described in an appendix to the rulemaking se changes include: (1) certificate holders and applicants would be plan (SECY-97-214)k initions of " certificate holder" and " certificate of compliance" are added, added to S 72.10; (2 the definitions of " design bases" and " structures, systems, and components important to safety" are revisp to include " spent fuel storaae cask," and the definition of "dmnho b l
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l 72.236 would be revised and(~cdd be reissued as being sublec'Ito the criminal pen provisionsp36.161b, i, and of the Atomic Energy Act,and $ 72.86(b)f" Criminal Penalties,"
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[would be revised as a conforming change; (4) the new Subpart L reporting requirement in g)
S 72.242 includes an event notification report requirement, as well as the records and reports get requirements taken from 9 72.80; and (5) no revision would be made to S 72.84(b)(1)(iv) because this rulemaking is not asserting civil penalty authority. The staff intends that new Q 72.242 clarify the responsibilities of a certificate holder or applicant for a CoC to maintain records or make reports which are already required by other legally binding requirements (i.e.,
l NRC rules, regulations, and orders).
RECOMMENDATION:
l That the Commission:
- 1. Approve publication in the FEDERAL REGISTER of the attached notice of proposed rulemaking, (attachment 1) allowing 75 days for public comment.
- 2. In order to satisfy the requirements of the Regulatory Flexibility Act,5 U.S.C. 605 (B), certify that this rule, if promulgated, will not have significant economic impact on a substantial number of small entities. This certification is included in the attached Federal Register notice.
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The Commissioners 4
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- 3. NOTE:
- a. The appropriate Congressional Committees will be informed (Attachment 2);
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- b. A press release will be issued by the Office of Public Affairs when the proposed rulemaking is filed with the Office of the Federal Register (Attachment 3);
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- c. The Chief Counsel for Advocacy of the Small Business Administration will be informed L
of the certification regarding economic impact on small entities and the reasons for it,
l as required by the Regulatory Flexibility Act;
- d. The proposed rule contains new or amended information collection requirements subject to thL Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.).
COORDINATION:
The Office of the General Counsel has no legal objection to the proposed rule. The Office of the Chief Financial Officer has reviewed the Commission paper for resource impacts and has l
no objections. The Office of the Chief Information Officer has reviewed the Commission paper for information technology and information implications and concurs in it.
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L. Joseph Callan Executive Director for Operations Attachments:
- 1. Federal Register Notice
- 2. Congressional Letters
- 3. Press Release l-
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The Commissioners 4
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- c. The Chief Counsel for Advocacy of the Small Business Administration will be informed l
of the certification regarding economic impact on small entities and the reasons for it,
as required by the Regulatory Flexibility Act; i
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- d. The proposed rule contains new or amended information collection requirements subject to the Papenvork Reduction Act of 1995 (44 U.S.C. 3501, et seq.).
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COORDINATION:
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The Office of the General Counsel has no legal objection to the proposed rule. The Office of l
the Chief Financial Officer has reviewed the Commission paper for resource impacts and has no objections. The Office of the Chief information Officer has reviewed the Commission paper for information technology and information implications and concurs in it.
l L. Joseph Callan I
Executive Director for Operations Attachments:
- 1. Federal Register Notice
- 2. Congressional Letters
- 3. Press Release Distribution: (o:\\dipalo\\part72kp?2.td)
EDO WITS 9600160 NRC f/c PUBLIC INMS r/f NMSS r/f NMSS D/r/f EDO r/f CPoland PTressler IMOB r/f LRiani CGallager PBrochman l
Proofed by:
Divison:
Date:
To receive a copy of this document. indicate in the box: "C" = Copy without attachment / enclosure "E* = Copy with attachment / enclosure
- N* = No copy.
- See proveus concurrence OFC INMS IMOB E
INMs.lMOB E
D SFPO E
TECH ED E
D:lNMS NAME TDiPalo*
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19 8 OFFICIAL RECORD COPY
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ATTACHMENT 1 FRN
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NUCLEAR REGULATORY COMMISSION 10 CFR Part 72 RIN:7 AG3 S
in'in en }s W Y::.; cf."est NHo Holders of, and Applicants for, Certificates of f 5; p.d t,yy" t
Compliance and Their Contractors and Subcontractors AGENCY: Nuclear Regulatory Commission.
ACTION: Proposed ule.
SUMMARY
- The Nuclear Regulatory Commission (NRC) is proposing to amend its I;dv4t Ah regulations to expand the applicability of CFR, it 72 to holders of, and applicants for, V
Certificates of Compliance and their con rectors and subcontractors. This amendment f
enhance the Commission's ability to take enforcement action against these persons when 7hr h/ cal of this w h n H h e*Yhedse legally binding requirements are violated. T',:.,.;": r!!:r * "f t:;=:t : htter m;;fic to t'.::e ;::: : ;nd 1; ;990 er the safety and regulatory significance associated with theos violationsT
- DATES: The comment period expires (insert 75 days from date of publication). Comments received after this date will be considered if it is practical to do so, but the Commission is able y
to assure consideration only for comments received onfor before this date.
ADDRESSES: Comments may be sent to: Secretary, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. Attn: Rulemakings and Adjudications Staff. Hand deliver
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l comments to 11555 Rockville Pike, Rockville, MD, between 7:45 am and 4:15 pm on Federal l
workdays.
You may also provide comments via the NRC's interactive rulemaking web site through l
the NRC's home page (http://www.nrc. gov). This site provides the availability to upload j
comments as files (any format) if your web browser supports that function. For information
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about the interactive rulemaking site, contact Ms. Carol Gallagher, (301) 415-6215; e-mail CAG@nrc. gov.
l Certain documents related to this rulemaking, including comments received by the NRC, l
may be examined at the NRC Public Document Room,2120 L Street NW., (Lower Level),
l Washington, DC. These same locuments also may be viewed and downloaded electronically via the interactive rulemaking website established by NRC for this rulemakin0 i
l FOR FURTHER INFORMATION CONTACT: Tony DiPalo, telephone (301) 415-6191, e-mail, ajd@nrc. gov, or Philip Brochman, telephone (301) 415-8592, e-mail, pgb@nrc. gov, of the Office of Nuclear Materials Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001, l
l SUPPLEMENTARY INFORMATION:
Background
emb&/W The Commission's regulations at 10 CFR Part 72 were originaltyp,M to provide specific licenses for the storage of spent nuclear fuel in an independent spent fuel storage installation (ISFSI) (45 FR 7469 November 12,1980). Later, Part 72 was amended to include l
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1 the storage of high-level waste (HLW) at a monitored retrieval storage (MRS) installation. In
' 1990, the Commission amended Part 72 to include a process for approving the design of spent fuel storage casks by issuance of a certificate of compliance (Subpart L) and for granting a L
general license to reactor licensees (Subpart K) to use NRC-approved casks for storage of
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spent nuclear fuel (55 FR 29181;Augd1990). In the past, the Commission has not performance problems with holders of, and applicants for, a certificate of compliance under Part l
- 72. When the NRC identifies a failure to comply with Part 72 requirements by these persons, the enforcement sanctions available under the current NRC Enforcement Policy have been limited to administrative actions.
The NRC Enforcement Policy' and its implementing program have been established to support the NRC's overall safety mission in protecting public health and safety and the environment. Consistent with this purpose, enforcement actions are intended to be used:
as a deterrent to emphasize the importance of compliance with requirements, andf to encourage prompt identification and prompt, comprehensive correction of the violations.
Enforcement sanctions consist of Notices of Violation (NOV), civil penalties, and orders of various types. In addition to % formal enforcement actions, the NRC also uses related l
. administrative actions such as Notices of Nonconformance (NON;, Confirmatory Action Let;ers, and Demands for Information to supplement the NRC's enforcement program. The NRC l
expects licensees and holders of and applicants for a certificate of compliance to adhere to any obligations and commitments resulting from these actions and will not hesitate to issue appropriate orders to ensure that these obligations and commitments are met. The nature and 3
1 NUREG-1600, " General Statement of Policy and Procedures for NRC Enforcement Actions," July 1995 (60 FR 34381 dated June 30,1995).
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extent of the enforcement action is intended to reflect the seriousness of the violation involved.
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A NOV is a written notice setting forth one or more violations of a legally binding requirement.
Discussion in promulgating Subpart L, the Commission intended that selected Part 72' provisions would apply to cask certificate holders and applicants for a cask certificate of compliance (CoC). For example, $ 72.234(b) requires that, as a condition for approval of a certificate of compliance, "(d]esign, fabrication, testing, and maintenance of spent fuel storage casks be conducted under a quality assurance program that meets the requirements of subpart G of this part." However, the quality assurance requirements in Subpart G do not refer to certificate holders, but only to licensees and applicants for licenses. Further, some ubpart L regulations apply explicitly only to "the applicant," (e.g., S 72.232) or to "the cask vendor," (e.g.,
( Som' & /dese /movision 9 72.234(d)(1)g et are written in the passive voice so that it is not clear who is responsible for meeting the requirement, (e.g., @ 72.236). Although certificates of compliance fp.t-?Lt{,6 w Av/4/JMA,}d pt & /k A/ W Vh 9
binding documents ertificate holders or applicants for fa C'oC and their contractors and subcontractor h:;; not & iy b:;npreu within th ::cpe of red 72'. iwunenicido.
Because the termhrtificate holder and applicant for a certificate of compliance do not ap V
in Part 72, the NRC has not had asis to cite these persons for violati ef Part 72 j
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requirements in-thw 5&nie way s licensees riseenth When the NRC has identified a 0&
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failure to comply with Part 72 requirements by these persons it has issued ap NON rather than b*
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,pd f NOV.
Pue a ma a
and NOV similar, the Co mission hat' theissuance of a NOV because: (1) the issuance of NON does not effectively f
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l convey to both the person violating the requirement and the public that a violation of a legally y
binding requirement has occurred; (2) the use of graduated severity levels associated with a l
j NOV allows the NRC to effectively convey to both the person violating the requirement and the I
public a clearer perspective on the safety and regulatory significance of the violation; and (3)
I the issuance of a NOV may be considered legally sufficient evidence that a potential risk to public health and afety could exist as a result of failing to comply with Part 72 l
requirement is evidence could then be used to support the issuance of further enforcement sanctions such as orders.
Over the last 2 yea he Commission has obsented problems with the performance of several certificate holders and their contractors and subcontractors. These problems have p ob).ms in f h e a* M occurred in dssign, design control, and corrective actions area are typically covered under the quality assurance program. In FY 1996, the NRC staff identified numerous instances of certificate holders and t eir contractors and subcontractors failing to comply with
&&n requirements and issue NONs. The Commission has concluded that use of the additional enforcement sanctions which are available in the NRC Enforcement Policy are required to address the performance declines which have occurred in the spent fuel storage industry.
Consequently, the Commission would revise Part 72 to explicitly make certificate holders and applicants for a CoC subject to those requirements and thereby allow the use of enforcement sanctions against these persons, rather than administrative sanctions. The Commission believes that these amendments will have the effect of allowing both the public and those persons designing and building spent fuel storage casks to cle.arly understand the expectations which have been placed on them.
The proposed rulemaking will primarily focus on amending regulations in Subpart G to l
explicitly include certificate holders, applicants for a CoC, and their contractors and 5
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subcontractopiin Subpart L tM;; r;;
S uld be expanded to explicitly include certificate holders and applicants for a CoC. Fder in W is proposed rulemaking ohu wouldkevise $$ 72.232, 72.234, and 72.236 to clarify who is responeAle for ensuring that these requirements are met. Terms such as cask user, cask model, cask vendor, representative of a l
cask user are not defined and would be replaced with defined terms. Additionally, changes would also be made to,9 72.10 " Employee Protection" and 6 72.11, " Completeness and 1
Accuracy of Information" to include certificate holders and applicants for a certificate.
Section 72.3 would be revised to (1) incorporate definitions for " certificate holder," " certificate of compliance," and " spent fuel storage cask," (2) revise the definitions for " design bases" and
" structures, systems, and components important to safety" to include the term " spent fuel storage cask," and (3) revise the definition for " design capacity" to be consistent with the Commission's policy on the use of metric units. Section 72.236 would be revised and would be seeriins i
reissued as being subject to the criminal penalty provisions of Qh61b, i, and o of the Atomic Energy Act and 9 72.86(b), " Criminal Penalties," would be revised to delete mention of 9 72.236 as a conforming change.
Lastly, a new 6 72.242 would be added t in ubpart L to identify recordkeeping and -
reporting requirements for certificate holders and applicants for a CoC. Paragraphs (a), (b),
and (c) would require the certificate holder or applicant for a CoC to maintain any records or make any reports which are required by the conditions of a CoC or by the rules, regulations, and orders of the Commission. The Commission intends that these paragraphs clarify the responsibilities of a certificate holder or applicant for a CoC to maintain records or make reports which are already required by other legally binding requirements (i.e., NRC rules, regulations, and orders). Paragraph (d) would require that a certificate holder submit a written report to the NRC within 30 days when the certificate holder identifies a deficiency in the design or 6
s fabrication of a spent fuel storage cask which has been delivered to a licensee. This requirement would apply when the deficiency affects the ability of structures, systems, and components which are important to safety to perform their function. This requirement is intended to address instances where the deficiency does not rise to the level of a " substantial safety hazard" which 10 CFR Part 21 requires certificate holders and applicants to report to the NRC. The Commission believes that by requiring this information, it will be in a position to more effectively evaluate the scope of any potential impacts on public health and safety from cask deficiencies and to ensure that a licensee (who is responsible for evaluating and resolving the problem) completes those actions in a timely manner. The Commission believes that this regulation need only apply to casks which have been delivered to licensees (i.e., they are out of l
j the control of the certificate holder), because any deficiencies identified in casks which the certificate holder still has custody over would be resolved in accordance with the certificate holder's quality assurance program and Part 21 program requirements to identify and correct nonconforming conditions and conditions adverse to quality. The Commission also believes that the magnitude of these potential deficiencies does not warrant an immediate verbal notification to the NRC, but that the written notification will suffice. Overall, this new section i
would be similar to the requirements imposed on licensee's in $9 72.75 and 72.80.
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.o Discussion of Proposed Amendments by Section l
l Subpart A - General Provisions l
I 9 72.2 Scope.
L The term spent fuelstorage cask would be added to paragraph (b) of this section. This is a conforming amendment.-
L 9 72.3 Definitions.
Definitions for spent fuelstorage cask, certificate holder, and certificate of compliance would be added to this section. The term spent fuelstorage cask would be added to existing definition for design bases and structures, systems, and components important to safety. The definition for design capacitywould be revised to be consistent with the Commission's policy on use of metric units.
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. $ 72.10 Employee protection, and 6 72.11 Completeness and accuracy of information.
U The terms certificate holder and applicants for a COC would be added l
l-L Subpart D - Records, Reports, inspections, and Enforcement
$ 72.86 riminal penalties.
A Paragraph (b) currently includes those sections under which criminal sanctions are not lI
/k (t*hdN4 h issued This paragraph would be revised to delet 6 72.236, because this section has been revised to make certificate holders and applicants subject to the criminal penalty 8
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provisions of $$ 161b, I, and o of the Atomic Energy Act. Similarly, certificate holders and applicants who fail to comply with the new $ 72.242 would also be subject to criminal penalties.
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Therefore, $ 72.242 will not be included in 6 72.86(b).
Subpart G - Quality Assurance l
$$ 72.140 through 72.176 The. terms " certificate holder" and " applicants for a CoC" would be added, as appropriate, to these sections to explicitly define responsibilities associated with quality l
assurance requirements. In 1990, when the Commission added Subparts K and L to Part 72 to i
provide a process for approving the design of a spent fuel storage cask, which would be used under a general license, the Commission's intent was that certificate holders and applicants for l
a CoC follow the quality assurance regulations of Part 72. Section 72.234(b) required that activities relating to the design, fabrication, testing, and maintenance of spent fuel storage casks must be conducted under a quality assurance program that meets the requirements of i
Subpart G of Part 72. However, thh 1990 amendments to Part 72 did not amend Subpart G to include certificate holders and applicants for a CoC. In addition, other changes would be made to individual sections of Subpart G as described below.
g in 9 72.140).ww wouiu va ouvau i aragraphs (a) and (b(to clarify the responsibilities of a certificate holder and a licensee with respect to who is responsible for paragraph (c)#d N h/
ensuring that the quality assurance program is properly implemented. pI
'-.;;;;; w;u!d M edded to provide milestones for a licensee and a certificate holder when the NRC must approve their quality assurance program. in p;;;;;;
fe notification l'
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( )F requirement.would be revised to require that the NRC be notified in accordance with the standard notification requirements contained in 9 72.4.
To provide clarity, 72.142 would be rearranged. The new paragraph (a) would be revised to indicate that all of the persons associated with quality assurance activities for an ISFSI or a spent fuel storage cask (i.e., the licensee, certificate holder, applicants, and their j
contractors and subcontractors) are responsible for implementation of the quality assurance
- program, in 5 72.144 paragraphs (a) and (b), S 72.154 paragraph (b), 9 72.162, and S 72.168 l
paragraph (a ) the term spent fuel storage cask would be added to the tris ISFSI and MRS.
Subpart L - Approval of spent fuel storage casks S 72.232 Inspection and tests.
A This section would be amended by revising paragraphs (a), (b), and (c) to replace the term " applicant" with " certificate holder and applicant for a CoC." Paragraph (a) would also include a new requirement to permit the inspection of records related to fabrication and testing.
A requirement to permit inspection of records, premises, and activities related to the design of a casik)a;(ais'ohbeen added. The Commission believes that this is not a new requirement, but a clarification which makes explicit the Commission's authority to obtain access to necessary records, remises, and facilities. This requirement is comparable to the existing requirements JO (
in Parts 30,40,50gnd 7g eguiaWons Typically, certificate l
holders and applicants are already providing this access. The requirement to permit access to records, premises, and facilities also applies to contractors and subcontractors.
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$ 72.234 Conditions of approval.
This section would be revised to clarify who is responsible for accomplishing these requirements. The term " cask vendor" would be replaced with " certificate holder." The term i
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" cask user" would be replaced with "a general licensee using a cask." enerallicenseeSas been used because a site-specific licensee cannot utilize the provisions of Subparts K and L. In l
addition, the acronym "CoC"is used in place of the term " Certificate of Compliance" where
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appropriate.
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$ 72.23% Specific requirements for spent fuel storage cask approval.
l This section would be revised to clarify who is responsible for accomplishing these requirements. A new sentence has been added at the beginning of this section which indicates i
who has responsibility for ensuring that each of the requirements contained in paragraphs (a) through (m) are met. This section(woul fa so'be reissued as being subject to the criminal t
penalty provisions of $$ 161b, i, and o of the Atomic Energy Act. Applicants, for a CoC would not be required to ensure that the requirements of paragraphs (j) and (k) were met because these requirements apply to activities which can only occur after a cask has been fabricated; and an applicant cannot begin fabrication of a cask until a CoC has been issued andMan l
l applicant has become a certificate holder (see $ 72.234(c)).
l 5 72.240 Conditions for spent fuel storage cask reapproval.
l The terms " user of a cask" would be replaced by "a general licensee using a cask" and the term " cask model" would be replaced by " design of a spent fuel storage cask." The term t
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" representative of a cask user" would be replaced with " the representative of a general 4
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4 licensee using a cask." In addition, the acronym "CoC"is used in place of the term " Certificate of Compliance"where appropriate.
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$ 72. 4f orheeping and Reports.
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This new section identifies the recordkeeping responsibilities for certificate holders and applicants for a CoC and reporting requirements for certificate holders. The Commission believes that this language is necessary to ensure that certificate holders and applicants for a CoC will maintain records required by regulations or condition of CoC for subsequent review by the Commission. This would include records of design changes, nonconformances, quality assurance audits, and corrective actions. Violations of this section would be subject to the rec //sn criminal p[enalty provisions of ${
161b,i, and o of the Atomic Energy Act. Paragraphs (a),(b) l 0 }$13 secWon and (c)gare similar to the recordkeeping requirements impossd on licensees in S 72.80(a), (c),
L and (d). A new requirement would be established in paragraph (d) for certificate holders to notify the NRC when they identify design or fabrication deficiencies, in structures, systems, and i
components which are important to safety, for casks which have been delivered to licensees.
This requirement is intended to inform the NRC of significant deficiencies which may affect f M isting casks and thereby po'entially affect public health and safety. This requirement is p
ex similar to the event reporting requirement imposed on licensees in $ 72.75.
s Environmental Impact: Categorical Exclusion s
The NRC has determined that this proposed rule is the type of action described as a categorical exclusion in 10 CFR 51.22(c)(2) and (3). Therefore, neither an environmental impact statement nor an environmental assessment has been prepared for this proposed rule, t
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I Paperwork Reduction Act Statement t
This proposed rule contains a new or amended information collection requirement subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501, et seq.). However, the burden from this proposed rule is insignificant as compared to the existing information collection burden of Part 72.' The section added by this amendment (9 72.242) will add new burdens for recorheeping and reporting requirements. The staff estimates this burden as six hcurs eanually. Therefore, the Commission believes that this burden is insignificant by comparison with Part 72's overall burden which is in excess of 21,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br />. Existing requirements were approved by the Office of Management and Budget, appraval numbers 3150-0017,3150-0151, 3150-0127, 3150-0135, 3150-0009, 3150-0132, 3150-0036, and 3150-0032. The amendments of the proposed rule currently fall under the existing approval numbers unless OMB decides otherwise. Therefore, under the Paperwork Reduction Act of 1995)a new plearance submittal is not required.
Public Protection Notification Zf n in1Sansh rs/b'Wh /m & 'NUh * """N/
(( ve/4/ Of/d eenho/ /Nedu.n J/he NRC may not conduct or sponsor, and a person is not required to respond to, sw /4 c.
collection ofinformatio 4
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Criminal Penalties
( /C f)
For the purposes of Se 223 of the Atomic Energy Act (AEA), the Commission is issuing the proposed rule to amend tN y ;t 71. 72.10,72.11,72.140
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Ik through 72.176,72.232,72.234,72.236, and 72.242, under one or more of sections 161b,161i, V) or 161o of the AEA. Willful violations of the rule would be subject to criminal enforcement.
Compatibility of Agreement State Regulations gb
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f Under the " Policy Statement on Adequacy and Compat' of Agreement State a,u/ mb/sha in ik &/w/ A9'/l" Programs" approved by the Commission on June 30,1997j(62 FR 46517), this rule is classifie
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R fr/H7 as compatibility Category "NRd57 Compatibility is not required for Category "NRC" regulations.
'l Tnese are program elements that address areas of regulation that cannot be relinquished to l
Agreement States pursuant to the Atomic Energy Act or provisions of Title 10 of the Code of Federal Regulations. However, an Agreement State may inform its licensus of certain of these j
NRC provisions through a mechanism that is appropriate under the State's administrative procedure laws as long as the State adopts these provisions solely for the purposes of notification, and does not exercise any regulatory authority pursuant to them.
Regulatory Analysis E
Statement of the Problem The Commission's regulations at 10 CFR Part 72 were originally designed to provide Aneg.4 p 4u m a w U specific licen for the storage of spent nuclear fuel in an independent spent fuel storage m-installation (ISFSI) (45 FR 74693, November 12,1980). Later, these were amended to include g
the storage of high-level waste (HLW) at a monitored retrieval storage (MRS) installation. In 1990, the Commission amended Part 72 to include a process for approving the design of spent fuel storage casks by issuance of a certificate of compliance (Subpart L) and for granting a 14
)
general license to reactor licensees (Subpart K) to use NRC-approved casks for storage of Juh /&p spent nuclear fuel (55 FR 29181kr 1990). In the past, the Commission experienced performance problems with holders of and applicants for a certificate of compliance under Part 72. In FY 1996, the NRC issued 15 NONs to certificate holders and their subcontractors indicating a pattem of poor performance in the areas of design, design controls, and corrective action.
When the NRC identifies a failure to comply with Part 72 requirements by these persons, the NRC has issued Notices of Nonconformance (NON). The issuance of a N
does not effectively convey that a violation of a legally binding requirement has occurred.
8m 'l' the current regulations do not clearly impose requirements on these persons, the NRC has not
. taken enforcement action such as a Notice of Violation (NOV) against certificate holders and applicants and their contractors and subcontractors.
Some Part 72 provisions for cask storage of spent fuel, (e.g., the quality assurance requirements) were intended to apply to cask certificate holders and applicants for cask certificates of compliance, as well as to holders of licenses and applicants for a license to store spent nuclear fuel at an ISFSI. However, some of the Part 72 requirements intended to apply to certificate holders and applicants do not clearly bring these persons within the scope of the
- requirement. For this reason, the NRC has not had a clear basis to cite certificate holders and applicants for violations of those Part 72 requirements.
Puroose of the Rulemakina The purpose of this rulemaking is to expand the applicability of Part 72 to holders of, and applicants for, certificates of compliance and their contractors and subcontractors. This would allow the taff to take enforcement action in the form of NOVs rather than administrative 15 s
action in the form of a NON when requirements am violated.
uance of a V has several advantages: (1) the issuance of a NON does not effectively convey to both the person 4
violating the requirement and the pub!ic that a violation of a legally binding requirement has f
occurred; (2) the use of graduated severity levels associated with af NOV allows the NRC to effectively convey to both the person violating the requirement and the public a clearer J
perspective on the safety and regulatory significance of the violation; and (3) the issuance of a NOV may be considered legally sufficient evidence that a potential risk to public health and safety could exist as a result of failing to comply with Part 72 requirements and this evidence can then be used to support the issuance of further enforcement sanctions such as orders.
Current Reaulatorv Framework and Prooosed Changes in promulgating Subpart L, the Commission intended that selected Part 72 provisions i
would apply to cask certificate holders and applicants for a certificate of compliance (CoC).
For example,9 72.234(b) requires thatias a condition for approval of a certificate of i
compliance, "[d]esign, fabrication, testing, and maintenance of spent fuel storage casks be i
conducted under a quality assurance program that meets the requirements of subpart G of this part." However, the quality assurance requvements in Subpart G do not refer to certificate holders, but only to licensees and applicants for licenses. Fueer., ome of the Subpart L regulations apply explicitly only to "the applicant," (e.g., 9 72.232), or to "the cask vendor," (e.g.,
c-Sorn 9 72.234(d)(1)hedare written in the passive voice so that it is not clear who is responsible for meeting the requirement, (e.g., 9 72.236). Because of these regulatory deficiencies, certificate holders or applicants for a CoC and their contractors and subcontractors have not clearly been 2 -
brought within the scope of Part 72's requirements, and the NRC has nu ud a clear basis to cite these persons for violations of Part 72 requirements. Presently, when the NRC has l.
16
identified a failure to comply with Part 72 requirements by these persons it has issued an administrative action under the NRC's Enforcement Policy.
The NRC Enforcement Policy and its implementing program have been established to
~
support the NRC's overall safety mission in protecting public health and safety and the environment. Consistent with this purpose, enforcement actions are intended to be used:
(1) as a deterrent to emphasize the importance of compliance with requirements, and (2) to encourage prompt identification and prompt, comprehensive correction of the violations.
Enforcement sanctions consist of Notices of Violation (NOV), civil penalties, and orders of various types. In addition to the formal enforcement actions, the NRC also uses related administrative actions such as Notices of Nonconformance (NON), Confirmatory Action Letters, and Demands for Information to supplement the NRC's enforcement program. The NRC expects licensees and holders of and applicants for a certificate of compliance to adhere to any obligations and commitments resulting from these actions and will not hesitate to issue appropriate orders to ensure that these obligations and commitments are met. The nature and extent of the enforcement action is intended to reflect the seriousness of the violation involved.
j NOV is a written notice setting forth one or more violations of a legally binding requirement.
j i
While it may appear that NON and a NOV are similar, the Commission believes that the issuance of NOV is preferred because: (1) the issuance of a NON does not effectively convey to both the person violating the requirement and the public that a violation of a legally binding requirement has occurred; (2) the use of graduated severity levels associated with aV NOV allows the NRC to effectively convey to both the person violating the requirement and the public a clearer perspective on the safety and regulatory significance of the violation; and (3) the issuance of a NOV may be considered legally sufficient evidence that a potential risk to public health and safety could exist as a result of failing to comply with Part 72 17
1 requirement is evidence could then be used to support the issuance of further enforcement sanctions such as orders.
The proposed rule ill primarily focus on amending regulations in Subparts G and L to explicitly ake certificate holders /applicantsqubject to those requirements.
Some ubpartDeputations applyWiilicitfy~bnfy~to "th[ahlicant," e.g., 9 72.232, or to t
"the cask ndor," e.g., 9 72.234(d) or are w sive v ce so that it is no who is respons r meeting the requirement, e.g., 9 72.236 This proposed rule %
would revise tH Efr xpl requirements on certificate holders and applicants air contractors hnd subcontractors. Additionai, h,ms contained in Subpart L such as cask user, cask model, cask vendor and representative of a cask user are n
not defined and would be replaced with defined terms. Changes would be made to, 6 72.10, " Employee Protection" and S 72.11, " Completeness and Accuracy of Information" to include certificate holders and applicants for a CoC. Section 72.3 would be revised to
. (1) incorporate definitions for " certificate holder," " certificate of compliance," and " spent fuel storage cask," (2) to revise the definitions for " design bases" and " structures, systems, and components important to safety" to include the term " spent fuel storage cask," and (3) to revise the definition for " design capacity" to be consistent with the Commission's policy on the use of metric units. Section 72.236 would be revised and would be reissued as being subject to the sec th A criminal penalty provisions of Bib, i, and o of the Atomic Energy Act and S 72.86(b),
" Criminal Penalties," would be revised to delete mention of 9 72.236 as a conforming change.
Section 72.232 would be revised to include a new requirement to permit the inspection of records related to fabrication and testing. A requirement to permit inspection of records, premises, and activities related to the design of a spent fuel storage cask has also Men added.
Lastly, a new $ 72.242 would be added to Subpart L to cover recordkeeping and reporting 18 r-r -
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I requirements for certificate holders and applicants for a CoC. This new section would be similar to the requirements imposed on licensee's in 99 72.75 and 72.80.
Alternatives The regulatory analysis supporting this proposed rule considered three attematives one j
of which was to take no action.
Alternative 1* Revise Part 72 to expand and clarify the applicability of certain provisions to certificate holders, applicants for a CoC, and their contractors and subcontractors.
The Commission believes that problems in the areas of quality assurance, quality control, and design control exist, are significant, and primarily attributable to a lack of
. clarity and understanding by certificate holders and applicants for a CoC of their obligations to j
comply with Part 72 requirements. As a consequence, the Commission believes that this lack d
of clarity and understarkng c% i;;;;;;th-has impacted the safety and quality of the i
performance of spant fuel storage casks during design, fabrication, and testing. In the past, the Commission has been unable to take enforcement action against these persons when they failed to comply with the regulations, because they have not been clearly subject to the requirements of Part 72.
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o Alternative 1 dat w the NRC to take enforcement actions against these persons, as necessary, by allowing the issuance of a when they fail to comply with the requirements
.of Part 72. Presently the NRC issues ah NON in these instances. ? "- 4 mey err- $:t er TON id.
ommission believes that the issuance of a V is i
preferred because: (1) the issuance of a N does not effectively convey to both the person violating the requirement and the public that a violation of a legally binding requirement has occurred; (2) the use of graduated severity levels associated with a V allows the NRC to 19
4 effectively convey to both the person violating the requirement and the public a clearer
.l perspective on the safety and regulatory significance of the violation; and (3) the issuance of a NOV may be considered legally sufficient evidence that a potential risk to public health and safety could exist as a result of failing to comply with Part 72 requirements s evidence could
/
be used to support the issuance of further enforcement sanctions such as r>rders.
The Commission believes that the changes to Part 72 will enable the NRC to make
'more effective use of the Enforcement Policy against the designers, fabricators, and testers of oh spent fuel storage casks a his will lead to an overall improvement in the safety and quality of spent fuel storage casks.
' Alternative $ Revise Part 72 to expand and clarify the applicability of certain provisions to i
9
. certificate holders and applicants for a CoC.
The difference between alternatives 1 and 2 is that the latter does not include contractors and subcontractors in clarifying the responsibilities for compliance with Part 72.
/he Commission believe tjowever, that the need to be able take enforcement action to the i
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level of contractors and subcontractors is a important because these persons actually accomplish the manufacturing and testing of spent fuel storage casks. These contractors and subcontractors have typically established quality assurance programs as a consequence of their contracts with the certificate holder.. Altemative 2 would not impose the obligation to j
implement these requirements by regulation rather than contract on contractors and subcontractors. Therefore, the NRC would not be able to take enforcement actions against f
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-these persons under this attemative, but would be orce to cont nue o use a m n s ra ve actions. The NRC believes that by taking enforcement actions against these people it will be 4
able to enhance the protection of public health and safety. Consequently, attemative 2 was rejected.
20
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4 Altemative 3 No action.
l This alternative was rejected, even though staff resources for rulemaking would have been conserved. Under this attemative it is expected that the difficulties the NRC has
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experienced in the past will continue.
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1600 Licensees. Certificate Holders. Contractors and Subcontractors. NRC. and the C
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No licen ould be affected by these changes to Part 72.
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All of thelcurrent certificate holders and applicants for a CoC would be affected by these
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h The NRC has estimated that each certificate holder or applicant for a CoC, on average,
- g44 has three contractors and subcontractors, Consequently, the NRC estimates a total of 60 i
contractors and subcontractors would be affected by these changes to Part 72.
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Imnacts on the NRC In most instances, the on the NRC is small because there is no significant l
difference in expenditure of staff resources associated with the issuance of a OV versus a[
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a NON. However, in the case'of escalated enforcement actions the burden on the NRC can
~ increase significantly. Escalated enforcement actions are expected to occur infrequently, on the Public Me The of this rulemaking is to enable the NRC to provide a clearer perception of the safety and regulatory significance of the issues associated with a violation and any potential risks to the public.
Decision Rationale For Preferred Altemative Altemative 1 is the preferred choice. The major benefit of this alternative is to allow the
- NRC to take more effective enforcement actions against certificate holders, applicants for a CoC, and their contractors and subcontractors under the current NRC Enforcement Policy.
. This would include providing a clear perception to both the person violating the regulation, as j
well as the public, of the regulatory and safety significance and consequences of the violation.
Because certificate holders, applicants for a CoC, and their contractors and subcontracto been meeting the requirements of Part 72, as either a condition of a certificate of compliance or as a condition of a contract between a certificate holder and their contractors and subcontractors, the burdens imposed by this amendment are not increased.
The new section added by this amendment ( 72.242) will add new burdens for record)eeping u
and reporting requirements. The staff estimates this burden associated with the new $ 72.242
}c b5 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> annually. Therefore, the Commission believes that this burden is insignificant by comparison with Part 72's overall burden which is in excess of 21,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br />.
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Backfit Analysis The.NRC staff has determined that the backfit rule,10 CFR 72.62, does not apply to this proposed rule because these amendments do not involve any provisions that would impose backfits as described in 10 CFR 72.62(a). Therefore, a backfit analysis is not required.
Regulatory Flexibility Certification V
in accordance with the Regulatory Flexibility Act of 1980, 5 U.S.C. 605(b), the Commission certifies that this proposed rule no have a significant economic impact on a i
twId ff substantial number of small entities. The proposed rulegamendp,egulations to expand the applicability of 10 CFR Part 72 to holders of, and applicants for, Certificates of Compliance wId (CoC) and their contractors and subcontractors. This requirement enhance the 1
Commission's ability to take enforcement action in the form of Notices of Violation rather than administrative action in the form of Notices of Nonconformance when legally binding requirements are violated. The proposed rule does impose new requirements on a significant number of small entities (i.e., the contractors and subcontractors associated with certificate holders and applicants for a CoC). These requirements would involve actions such as compliance with quality assurance program requirements in Subpart G of Part 72. However, these entebes are already implementing tiie actions required by Subpart G as a condition of their contracts with the certificate holder or applicant for a CoC. Therefore, the NRC believes l
that this amendment will not have a significant economic impact on these small entities.
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List of Subjects in 10 CFR Part 72 40 CFR i.u iz ^
Criminal penalties, Manpower training programs, Nuclear materials, Occupational safety I
G and health, Reporting and recorOeeping requirements, Security measures, Spent fuel.
For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended; the Energy Reorganization Act of 1974, as amended; and 5 U.S.C.
d52 an]553J the NRC is proposing to adopt the following amendments to 10 CFR Part 72.
PART 72 - LICENSING REQUIREMENTS FOR THE INDEPENDENT STORAGE OF SPENT NUCLEAR FUEL AND HIGH-LEVEL RADIOACTIVE WASTE
- 1. The authority citation for Part 72 is revised to read as follows:
Authority: Secs. 51,53,57,62,63,65,69,81,161,182,183,184,186,187,189,68 Stat. 929, 930, 932, 933, 934, 935, 948, 953, 954, 955, as amended, sec. 234,83 Stat. 444, as amended (42 U.S.C. 2071, 2073, 2077, 2092, 2093, 2095, 2099, 2111, 2201, 2232, 2233, 2234,2236,2237,2238,2282); sec. 274, Pub. L.86-373,73 Stat. 688, as amended (42 U.S.C.
2021); sec. 201, as amended,202,206,88 Stat.1242, as amended, 1244,1246 (42 U.S.C.
5841, 5842, 5846); Pub. L.95-601, sec.10,92 Stat. 2951 as amended by Pub. L. 102-486, sec. 7902,106 Stat. 3123 (42 U.S.C. 5851); sec.102, Pub. L.91-190,83 Stat. 853 (42 U.S.C.
4332); Secs 131,132,133,135,137,141, Pub. L.97-425, % Stat. M29,2230,2232,2241, 24
i sec.148, Pub. L.100-203,101 Stat.1330-235 (42 U.S.C.10151,10152,10153,10155,10157, 10161,10168).
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l Sectica 72.44(g) also issued under secs.142(b) and 148(c), (d). s b. L.100-203,101 u
i Stat.1330-232,1330-236 (42 U.S.C.10162(b),10168(c), (d)). Section 72.46 also issued under sec.189,68 Stat. 955 (42 U.S.C. 2239); sec.134, Pub. L.97-425,96 Stat. 2230 (42 U.S.C.
l l
10154). Section 72.96(d) also issued under sec.145(g), Pub. L.100-203,101 Stat.1330-235 l
l (42 U.S.C.10165(g)). Subpart J also issued under secs. 2(2),2(15),2(19),117(a),141(h), Pub.
L.97-425, 96 Stat. 2202, 2203, 2204, 2222, 2224 (42 U.S.C.10101,10137(a),10161(h)).
l l
Subparts K and L are also issued under sec.133,98 Stat. 2230 (42 U.S.C.10153) and sec.
I 218(a),96 Stat. 2252 (42 U.S.C.10198).
i 4
dd2. (b) is revised to read as follows:
2.
9 72.2 Scope.
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.g (b) The regulations in this part pertaining to an independent spent fuel storage l
installation (ISFSI) anc a e ant fuel storage cask apply to all persons in the United States, including persons in Agreement States. The regulations in this part pertaining to a monitored retrievable storage installation (MRS) apply only to DOE.
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4 Certirumfe holder means a person who has been issued a Certificate of Compliance by the Commission for a spent fuel storage cask design.
Certificate of Compliance er CoC means the certificate issued by the Commisslon that approves the design of a spent fuel storage cask in accordance with the provisions of Subpart L of this part.
y Design bases means that information that identifies the specific functions to be performed by a structure, system, or component of a facility or of a spent fuel storago cask and l
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 l'
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 extemal 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 l
' characteristics and the risks associated with the event.
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b Design capacity means the quantity of spent fuel or high-level radioactive waste, the maximum bumup of the spent fuel in MWD /MTU, the terabequerel (curie) content of the waste, and the total heat generation in Watts (btu / hour) that the storage installation is designed to accommodate.
g Spent fuel storace cask or cask means all the components and systems associated with the container in which spent fuel or other radioactive materials associated with spent fuel are stored in an ISFSI.
f J
Structures. systems. and components important to safety,means those features of the ISFSI, MRS, and spent fuel storage cask whose function is -
l (1) To maintain the conditions required to store spent fuel or high-level radioactive waste safely J
(2) To prevent damage to the spent fuel or the high-level radioactive waste container during handling and storagehr (3) To provide reasonable assurance that spent fuel or high-level radioactive waste can be received, handled, packaged, stored, and retrieved without undue risk to the health and safety of the public.
- 4. Section 72.9 is revised to read as follows:
$ 72.
formation collection requirements: OMB approval.
e Nuclear Regdato Commission has sub information collection requirements con ined in this part to the ice of Management and Bu MB) for
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.t-sa roved th f rmation ction r irements contained '
is part under control (b) The approved information collection requirements contained in this part appear in g 72.7q72.11,72.16,72.13 2.22 through 72.34,72.42,72.44,72.48 through 72.56,72.62,72.70 through 72.82,72.90,72.92,72.94,72.98,72.100,72.102,72.104,72.108,72.120, 72.126, 72.140 'through 72.176, 72.180 through 72.186, 72.192, 72.206, 72.212, 72.216, 72.218,
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,/ F/'I 72.230 through 72.236,- 72.240, and 72.242..
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/2.1 revise to read as follows:
$ 72.10 Employee protection.
(a) Discrimination by a Commission licensee or certificate holder, an applicant for a Commission license or a CoC, or a contractor or subcontractor of a Commission licensee, a certificate holder, or an 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 i
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.
(
(c) A violation of paragraphs (a), (e), or (f) of this section by a Commission licensee or l
certificate holder, an applicant for a Commission licensee or a CoC, or a contractor or l
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subcontractor of a Commission licensee, a certificate holder, or an applicant may be grounds for. -
(1) Denial, revocation, or suspension of the license or the CoC.
4 (e)(1) Each licensee, certificate holder, and applicant for a license or CoC 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 or CoC, and for 30 days following license or CoC termination.
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- 6. Section 72.11 is revised to read as follows:
f 72.11 Completeness and accuracy ofinformation.
l (a) Information provided to the Commission by a licensee, certificate holder, or an l
l applicant for a license or CoC; or information required by statute or by the Commission's regulations, orders, license or CoC conditions, to be maintained by the licensee or certificate holder, shall be complete and accurate in all material respects.
(b) Each licensee, certificate holder, or applicant for a license or CoC shall notify the Commission of information identified by the licensee, certificate holder, or applicant for a license or CoC as having for the regulated activity a significant implication for public health and safety or common defense and security. A licensee, certificate holder, or an applicant for a license or 29 l
CoC violates this paragraph only if the licensee, certificate holder, or applicant for a license or CoC fails to notify the Commission of information that the licensee, certificate holder, or applicant for a licensee or CoC has identified as having a significant implication for public health 4.
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.
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72.86(b) is revised to read as follows:
7.
f 72.86 Criminal penalties.
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(b) The regulations in this part 72 that are not issued under sections 161t' Sii, or 161o for the purposes of section 223 are as follows: $$72.1,72.2,72.3,72.4,72.5,7.,72.8,72.9, 72.16,72.18,72.20,72.22,72.24,72.26,72.28,72.32,72.34,72.40,72.46,72.56,72.58, 72.60,72.62,72.84,72.86,72.90,72.96,72.108,72.120,72.122,72.124,72.126,72.128, 72.130,72.182,72.194,72.200,72.202,72.204,72.206,72.210,72.214,72.220,72.230, 72.238, and 72.240.
- 8. Section 72.140 is revised to read as follows:
$ 72.145Quality assurance requirements.
$5 (a) Purpose. This Subpart describes quality assurance requirements apply to design, j
purchase, fabrication, handling, shipping, storing, cleaning, assembly, inspection, testing, operation, maintenance, repair, modification of structures, systems, and components, and 30 e
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decommissioning that are important to safety. As used in this Subpart, " quality assurance" comprises all those planned and systematic actions necessary to provide adequate confidence that a structure, system, or component will perform satisfactorily in service. Quality assurance includes quality control, which comprises those quality assurance actions related to control of the physical characteristics and quality of the material or component to predetermined requirements. The certificate holder is responsible for the quality assurance requirements as they apply to the design, fabrication, and testing of a spent fuel storage cask, including the oversight of subcontractors, until possession of the spent fuel storage cask is transferred to the licensee. The licensee is also simultaneously responsible for these quality assurance requirements via the oversight of contractors and subcontractors, including the certificate
- holder.
2 (b) Establishment of program. Each licensee and certificate holder shall establish, maintain, and execute a quality assurance program satidying each of the applicable criteria of this Subpart, and satisfying any specific provisions which are applicable to the licensee's and certificate holder's activities. The licensee and certificate holder shall execute the applicable criteria in a graded approach to an extent that is commensurate with the importance to safety.
The quality assurance program must cover the activities identified in this Subpart throughout the life of the activity. For licensees, this includes activities from the site selection through decommissioning and termination of the license. For certificate holders this includes ' activities from development of the spent fuel storage cask design through termination of the CoC.
2 - While the terms licensee and certificate holder are used in the criteria in this Subpart, the requirements are applicable to other persons (i.e., applicants for a license or CoC and their
- contractors and subcontractors) relating to whatever design, construction, fabrication, assembly, and testing is accomplished with respect to structures, systems, and components prior to the time a license or CoC is issued.
31 u
I (c) Approval of program:
(1) The licensee shall obtain Commission approval of its quality assurance program prior to receipt of spent fuel at the ISFSI or spent fuel and high-level radioactive waste at the MRS.
4 (2) The certificate holder shall obtain Commission approval of its quality assurance program prior to commencing fabrication or testing of a spent fuel storage cask.
(3) Each licensee or certificate holder shall file a description of its quality assurance program, including a discussion of which requirements of this Subpart are applicable and how they will be satisfied, in accordance with 2A.
(d) Previously approved programs. A Commission-approved quality assurance program which satisfies the applicable criteria ofhpendix B to part 50 of this chapter and which is established, maintained, and executed with regard to an ISFSI will be accepted as satisfying 4
Jn M I the requirements of paragraph (b) of this section. Prior to use, the licensee shall notify the Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 2055, of its intent to apply its previously approvedhndix B pqram to ISFSI activities. The licensee shall identify the program by date of submittal to the Commission, docket number, and date of Commission approval.
- g. Section 72.142 is revised to read as follows:
5 72.142 Quality assurance organization.
(a) The licensee and certificate holder shall be responsible for the establishment and execution of the quality assurance program. The licensee and certificate holder may delegate to others, such as contractors, agents, or consultants, the work of establishing and executing the quality assurance program, the licensee and the certificate holder shall retain responsibility for 32
__. _....~._._ -. _ _ _ _.. _ _. _ _. _ _ _ _ _ _.. _. _. _ _ _
't u
i the program. The licensee and certificate holder shall clearly establish and delineate in writing the authority and duties of perscns and organizations performing activities affecting the functions of structures, systems and components which are important to safety. These activities include performing the functions associated with attaining quality objectives and the quality assurance functions.
l l
(b) The quality assurance functions are
~
(1) Assuring that an appropriate quality assurance program is established and effectively executed; and (2) Verifying, by procedures such as checking, auditing, and inspection, that activities affecting the functions that are important'to safety have been correctly performed. The persons and organizations performing quality assurance functions have sufficient authority and organizational freedom to identify quality problems; to initiate, recommend, or provide solutions; and to verify implementation of solutions.
(c) The persons and organizations performing quality assurance functions shall report to a management level that ensures that the required authority and organizational freedom,
.)
including sufficient indeperidence from cost and schedule considerations when these 1
considerations are opposed to safety considerations, are provided. Because of the many variables involved, such as the number of personnel, the type of activity being performed, and the location or locations where activities are perforrr7et, the organizational structure for executing the quality assurance program may take various formsprovided that the persons and
! organizations assigned the quality assurance functions have the required authority and
. organizational freedom. Irrespective of the organizational structure, the individual (s) assigned the responsibility for assuring effective execution of any portion of the quality assurance 33 e
l
4 program at any location where activities subject to this section are being performed must have direct access to the levels of management necessary to perform this function.
- 10. Section 72.144 is revised to read as follows:
/
$ 72.144 Quality assurance program.
(a) The licensee and certificate holder shall establish, at the earliest practicable time 1
consistent with the schedule for accomplishing the activities, a quality assurance program which complies with the requirements of this Subpart. The licensee and certificate holder shall document the quality assurance program by written procedures or instructions and shall carry out the program in accordance with these procedures throughout the period during which the ISFSI or MRS is licensed or the spent fuel storage cask is certified. The licensee and certificate holder shallidentify the structures, systems, and components to be covered by the quality assurance program, the major organizations participating in the program, and the designated functions of these organizations.
(b) The licensee and certificate holder, through their quality assurance program (s), shall provide control over activities affecting the quality of the identified structures, systems, and components to an extent commen:, urate with the importance to safety, and as necessary to ensure conformance to the approved design of each ISFSI, MRS, or spent fuel storage cask.
The licensee and certificate holder shall ensure that activities affecting quality are accomplished l
under suitably controlled conditions. Controlled conditions include the use of appropriate equipment; suitable environmental conditions for accomplishing the activity, such as adequate cleanliness; and assurance that all prerequisites for the given activity have been satisfied. The licensee and certificate holder shall take into account the need for special controls, processes, 34 l
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.o l
test equipment, tools and skills to attain the required quality and the need for verification of quality by inspection and test.
j (c) The licensee and certificate holder shall base the requirements and procedures of
- their_ quality assurance program (s) on the following considerations conceming the complexity and proposed use of the structures, systems, or components:
j (1) The impact of malfunction or failure of the item on safety;.
(2) The design and fabrication complexity or uniqueness of the item; (3) The need for special controls and surveillance over processes and equipment; (4) The degree to which functional compliance can be demonstrated by inspection or test; and l
(5) The quality history and degree of standardization of the item.
(d) The licensee and certificate holder shall provide for indoctrination and training of personnel performing activities affecting quality as necessary to ensure that suitable proficiency is' achieved and maintained.
(e) The licensee and certificate holder shall review the status and adequacy of the quality assurance program at established intervals. Management of other organizations participating in the quality assurance program shall regularly review the status and adequacy of that part of the quality assurance program which they are executing.
i
- 11. Section 72.146 is revised to read as follows:
V r
-I 72.144 bign control.
iL
. (a) The licensee and certificate holder shall establish measures to ensure that applicable
' regulatory requirements and the design basis, as specified in the license or CoC application for 35
l those structures, systems, and components to which this section applies, are correctly l
translated into specifications, drawings, procedures, and instructions. These measures must L
include provisions to ensure that appropriate quality standards are specified and inclut d in f
design documents and that deviations from standards are controlled. Measures must be t
established for the selection and review for suitability of application of matedals, parts, equipment, and processes that are essential to the functions of the structures, systems, and I
l components which are important to safety.
]
l (b) The licensee and certificate holder shall establish measures for the identification and control of design interfaces and for coordination among participating design organizations.
These measures must include the establishment of written procedures among participating design organizations for the review, approval, release, distribution, and revision of documents involving design interfaces. The design control measures must provide for verifying or checking l'
i the adequacy of design, by methods such as design reviews, alternate or simplified '
)
l
.ca cu a ona me o s, or y a su ait ble testing program. For the verifying or checking process,.
l l ti l
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the licensee and certificate holder shall designate individuals or groups other than those who were responsible for the original design, but who may be from the same organization. Where a test program is used to verify the adequacy of a specific design feature in lieu of other verifying or checking processes, the licensee and certificate holder shall include suitable qualification testing of a prototype or sample unit under the most adverse design conditions. The licensee and certificate holder shall apply design control measures to items such as the following:
l -
criticality ohysics, radiation, shielding, stress, thermal, hydraulic, and accident analyses; compatibility of materials; accessibility for inservice inspection, maintenance, and repair; features to facilitate decontamination; and delineation of acceptance criteria for inspections and I
i-tests.
4
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(c) The licensee and certificate holder shall subject design changes, including field changes, to design control measures commensurate with those applied to the original design.
Changes in the conditions specified in the license or CoC require prior NRC approval.
t
- 12. Section 72.148 is revised to read as follows:
{ 72.1 rocurement document control.
The licensee and certificate holder shall establish measures to assure that applicable i
j
. regulatory requirements, design bases, and other requirements which are necessary to assure adequate quality are included or referenced in the documents for procurement of material, i
l
' equipment, and services, whether purchased by the licensee or certificate holder or by its contractors or subcontractors. To the extent necessary, the licensee and certificate holder shall require contractors or subcontractors to provide a quality assurance program consistent with the applicable provisions of this Subpart.
[
l 13 Section 72.150 is revised to read as follows:
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$ 72.150 Instructions, procedures, and drawings.
i The licensee and certificate holder shall prescribe activities affecting quality by documented instructions, procedures, or drawings of a type appropriate to the circumstances l
and shall require that these instructions, procedures, and drawings be followed. The instructions, procedures, and drawings must include appropriate quantitative or qualitative acceptance criteria for determining that important activities have been satisfactorily i
accomplished.
37 l
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- 14. Section 72.152 is revised to read as follows:
A h
[
$ 72.152. Document control.
i The licensee and certificate holder shall establish measures documents such as instructions, procedures, and drawings, including chan i
all activities affecting quality. These measures must assure that docume are reviewed for adequacy, approved for release by authorized personnel, and d used at the location where the prescribed activity is performed. These measures m that changes to documents are reviewed and approved.
l
- 15. Section 72.154 is revised to read as follows:
l 1
A i
l 72.154 Control of purchased material, equipment, and services.
(a) The licensee and certificate holder shall establish measures to e i
purchased material, equipment and services, whather purchased directly or through l
i and subcontractors, conform to the procurement documents. These measures must i provisions, as appropnate, for source evaluation and selection, objective eviden fumished by the contractor or subcontractor inspection at the contra t c or or subcontractor source, and examination of products upon delivery.
(b) The licensee and certificate holder shall have available documentary evidence th material and equipment conform to the procurement specifications prior to installation o the material and equipment. The licensee and certificate holder shall retain or have av this documentary evidence for the life of ISFSI, MRS, or spent fuel storage cask. The I
38
=-.
S and certificate holder shall ensure that the evidence is sufficient to identify the specific requirements met by the purchased material and equipment.
(c) The licensee and certificate holder or a designee of either shall assess the l
effectiveness of the control of quality by contractors and subcontractors at intervals consistent l
l with the importance, complexity, and quantity of the product or services.
l l
166 Section 72.156 is revised to read as follows:
k
$ 72.1 Identification and control of materials, parts, and components.
l The licensee and certificate holder shall establish measures for the identification and control of materials, parts, and components. These measures must ensure that identification of the item is maintained by heat number, part number, serial number, or other appropriate i
means, either on the item or on records traceable to the item as required, throughout fabrication, installation, and use of the item. These identification and control measures must be designed to prevent the use of incorrect or defective materials, parts, and components.
12 Section 72.158 is revised to read as follows:
A i 72.15 ontrol of special processes.
The licensee and certificate holder shall establish measures to ensure that special processes, including welding, heat treating, and nondestructive testing, are controlled and I
accomplished by qualified personnel using qualified procedures in accordance with applicable codes, standards, specifications, criteria, and other special requirements.
39
~. - -.
j 1
.18. Section 72.160 is revised to read as follows:
k j
j
$ 72.160 Licensec and certificate holder inspection.
The licensee and certificate holder shall establish and execute a program for inspection of activities affecting quality by or for the organization performing the activity to verify 1
conformance with the documented instructions, procedures, and drawings for accomplishing l
the activity. The inspection must be performed by individuals other than those who performed
]
the activity being inspected. Examinations, measurements, or tests of material or products processed must be performed for each work operation where necessary to assure q;ality. If
. direct inspection of processed material or products cannot be carried out, indirect control by I
monitoring processing methoos, equipment, and personnel must be provided. Both inspection and process monitoring must be provided when quality controlis inadequate without both if l
mandatory inspection hold points, which require witnessing or inspecting by the licensee's l
designated representative and beyond which work should not proceed without the consent of its designated representative, are required, the specific hold points must be indicated in appropriate documents.
19 Section 72.162 is revised to read as follows:
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$ 72.162 est control.
l The licensee and certificate holder shall establish a test program to ensure that all testing required to demonstrate that the structures, systems, and components will perform satisfactorily in service is identified and performed in accordance with written test procedures l
I that incorporate the requirements of this part and the requirements and acceptance limits f
40 I
1 j
contained in the ISFSI, MRS, or spent fuel storage cask license or CoC. The test procedures 1
must include provisions for assuring that all prerequisites for the given test are met, that adequate test instrumentation is available and used, and that the test is performed under suitable environmental conditions. The licensee and certificate holder shall document and evaluate the test results to ensure that test requirements have been satisfied.
- 20. Section 72.164 is revised to read as follows:
A W
l 72.16/ Control of measuring and test equipment.
The licensee and certificate helder shall establish measures to ensure that tools, gauges, instruments, and other measuring and testing devices used in activities affecting quality are properly controlled, calibrated, and adjusted at specified periods to maintain accuracy within necessary limits.
2t Section 72.166 is revised to read as follows:
k f
f 72.166 liand;ing, storage, and shipping control.
The licensee and certificate holder shall establish measures to control, in accordance with work and inspection instructions, the handling, storage, shipping, cleaning, and preservation of materials and equipment to prevent damage or deterioration. When necessary for particular products, special protective environments, such as inert gas atmosphere, and specific moisture content and temperature levels must be specified and provided.
l l-41
- 22. Section 72.168 is revised to read as follows:
A i 72.168 spection, test, and operating status.
(a) The licensee and certificate holder shall establish measures to indicate, by the use of markings such as stamps, tags, labels, routing cards, or other suitable means, the status of inspections and tests performed upon individual items of the ISFSI, MRS, or spent fuel storage cask. These measures must provide for the identification of items which have satisfactorily passed required inspections and tests where necessary to preclude inadvertent bypassing of the inspections and tests.
(b) The licensee shall establish measures to identify the operating status of structures, 4
systems, and components of the ISFSI or MRS, such as tagging valves and switches, t.
prevent inadvertent operation.
- 23. Section 72.170 is revised to read as follows:
1 P
i 72.170 Nonconforming materials, parts, or components.
~
The licensee and certificate holder shall establish measures to control materia's, parts, or components that do not conform to the licensee's and certificate holder's requirements in order to prevent their inadvertent use or installation. These measures must include, as appropriate, procedures for identification, documentation, segregation, disposition, and notification to affected orgarnzations. Nonconforming items must be reviewed and accepted, rejected, repaired, or reworked in accordance with documented procedures.
42
24, Section 72.172 is revised to read as follows:
A f
( 72.172 Corrective action.
The licensee and certificate holder shall establish measures to ensure that conditions adverse to quality, such as failures, malfunctions, deficiencies, deviations, defective material and equipment, and nonconformances, are promptly identified and corrected. In the case of a significant conditiorg%dah& "lity, the measures must ensure that the cause of adverse to qua condition is determined and corrective action is taken to preclude repetition. The identification of i
the significant condition adverse to quality, the cause of the condition, and the corrective action taken must be documented and reported to appropriate levels of management.
- 25. Section 72.174 is revised to read as follows:
A i 72.17 2uality assurance records.
The licensee and certificate holder shall maintain sufficient records to furnish evidence of activities affecting quality. The records must include the following: design records, records of use and the results of reviews, inspections, tests, audits, monitoring of work performance,'and materials analyses. The records must include closely related data such as qualifications of personnel, procedures, and equipment. Inspection and test records must, at a minimum.
ident;fy the inspector or data recorder, the type of observation, the results, the acceptability, and the action taken in connection with any noted deficiencies. Records must be identifiable and retnevable. Records pertaining to the design, fabrication, erection, testing, maintenance, and use of structures, systems, and components important to safety shall be maintained by or under the control of the licensee or certificate holder until the Commission terminates the license or CoC.
43 l
- 26. Section 72.176 is revised to read as follows:
$ 72.176 Audits.
The licensee and certificate holder shall carry out a comprehensive system of planned and periodic audits to verify compliance with all aspects of the quality assurance program and to determine the effectiveness of the program.The audits must be performed in accordance with written procedures or checklists by appropriately trained personnel not having direct responsibilities in the areas being audited. Audited results must be documented and reviewed by management having responsibility in the area audited. Follow-up action, including re-audit of
. deficient areas, must be taken where indicated.
- 27. Section 72.232 is revised to read as follows:
k
$ 72.232 Inspection and tests.
(a) The certificate holder and applicant for a CoC shall permit, and make provisions for, 1
the Commission to inspect the records, premises, and facilities at which a spent fuel storage cask is designed, fabricated, and tested.
l (b) The certificate holder and applicant for a CoC shall perform, and make provisions t
that permit the Commission to perform, tests that the Commission deems necessary or appropriate for the administration of the regulations in this part.
l (c) The certificate holder and applicant for a CoC shall submit a notification under 9 72.4 l
l at least 45 days prior to starting fabrication of the first spent fuel storage cask under a Certificate of Compliance.
1
- 28. Section 72.234 is revised to read as follows:
4
$ 72.23dConditions of approval.
(a) The certificate holder and applicant for a CoC shall ensure that the design, j
fabrication, testing, and maintenance of a spent fuel storage cask comply with the requirements in $ 72.236.
(b) The certificate holder and applicant for a CoC shall ensure that the design, fabrication, testing, and maintenance of spent fuel storage casks be conducted under a quality assurance program that meets the requirements of subpart G this part.
(c) The certificate holder and applicant for a CoC shall ensure that the fabrication of ko0 ab casks under a CoC no prior to receipt of the CoC for the spent fuel storage cask.
g (d)(1) The certificate holder shall ensure that a record is established and maintained for each cask fabricated under the CoC.
(2) This record must include:
(i) The NRC CoC number; (ii) The cask model number, I
(iii) The cask identification number; (iv) Date fabrication was started; (v) Date fabrication was completed; (vi) Certification that the cask was designed, fabricated, tested, and repaired in accordance with a quality assurance program accepted by NRC; (vii) Certification that inspections required by 9 72.236(j) were performed and found satisfactory; and i
(viii) The name and address of the general licensee using the cask.
l 45
l (3) The original of this record must be supplied to the general licensee using the cask. A l
l current copy of a composite record of all casks manufactured under a CoC, showing the l
j' information in paragraph (d)(2) of this section must be initiated and maintained by the certificate l
holder for each model cask. If the certificate holder permanently ceases production of casks l
l under a CoC, this composite record must be sent to the Commission using instructions in
$ 72.4.
Ib d ensus (e) The certificate holder and the general licensee using the cask shall the composite record required by paragraph (d) of this sectio available to the Commission for inspection.
. (f) The certificate holder shall ensure that written procedures and appropriate tests are established prior to use of the casks. A copy of these procedures and tests must be provided to each generallicensee using the cask.
l 2g.- Section 72.236 is revised to read as follows:
h
$ 72.236 Specific requirements for spent fuel storage cask approval.
f The certificate holder and applicant for a CoC shall ensure that the requirements of paragraphs (a) through (i), (I), and (m) of this section are met. The certificate holder shall also ensure that the requirements of paragraphs (j) and (k) of this section are met.
(a) Specifications must be provided for the spent fuel to be stored in the cask, such as, but not limited to, type of spent fuel (i.e., BWR, PWR, both), maximum allowable enrichment of i
the fuel prior to any irradiation, burn-up (i.e., megawatt-days /MTU), minimum acceptable cooling time of the spent fuel prior to storage in the cask, maximum heat designed to be 46 i
l
dissipated, maximum spent fuel loading limit, condidon of the spent fuel (i.e., intact assembly or consolidated fuel rods), the inerting atmosphere requirements.
(b) Design bases and design criteria must be provided for structures, systems, and components important to safety.
(c) The cask must be designed and fabricated so that the spent fuel is maintained in a subcritical condition under credible conditions.
4 (d) Radiation shielding and confinement features must be provided sufficient to meet the requirements in $$ 72.104 and 72.106.
(e) The cask must be designed to provide redundant sealing of confinement systems.
i (f) The cask must be designed to provide adequate heat removal capacity without active cooling systems.
(g) The cask must be designed to store the spent fuel safely for a minimum of 20 years and permit maintenance as required.
(h) The cask must be compatible with wet or dry spent fuel loading and unloading facilities.
(i) The cask must be designed to facilitate decontamination to the extent practicable.
(j) The cask must be inspected to ascertain that there are no cracks, pinholes, 2
uncontrolled voids, or other defects that could significantly reduce its confinement effectiveness.
(k) The cask must be conspicuously and durably marked with6 t
(1) A model number; (2) A unique identification number, and (3) An empty weight.
(1) The cask and its systems important to safety must be evaluated, by appropriate tests
' - or by other means acceptable to the Commission, to demonstrate that they will reasonably 47
-.. -.. -.. -. - -. ~. _. - - - -. - -
maintain confinement of radioactive material under normal, off-normal, and credible accident conditions.
(m) To the extent practicable in the design of storage casks, consideration should be given to compatibility with removal of the stored spent fuel from a reactor site, transportation, I
~ and ultimate disposition by the Department of Energy.
L
- 30. Section 72.240 is revised to read as follows:
$ 72.2 onditions for spent fuel storage cask reapproval.
(a) The certificate holder, a general licensee using a spent fuel storage cask, or the representative of a general licensee using a spent fuel storage cask must apply for reapproval of the design of a spent fuel storage cask.
(b) The application for reapproval of the design of a spent fuel storage cask must be submitted not less than 30' days prior to the expiration date of the CoC. When the applicant has submitted a timely application for reapproval, the existing CoC will not expire until the application for reapproval has been finally determined by the Commission. The application must l
. be accompanied by a safety analysis report (SAR). The new SAR may reference the SAR l
' originally submitted for the approved spent fuel storage cask.
(c) The design of a spent fuel storage cask will be reapproved if the conditions in
' $ 72.238 are met, and the application includes a demonstration that the storage of spent fuel has not, in fact, significantly adversely affected structures, systems, and components important to safety.
r 4
l i
48 i-l
- 31. Section 72.242 is added to read as follows:
5 72.242 ocordkeeping and reports.
Proclaa l
(a) Each certificate holder or applicant shall maintain any records and>nske any reports y
that may be required by the conditions of the CoC or by the rules, regulations. and orders of the Commission in effectuating the purposes of the Act.
l (b) Records that are required by the regulations in this part or by conditions of the CoC must be maintained for the period specified by the appropriate regulation or the CoC conditions.
If a retention period is not specified, the records must be maintained until the Commission terminates the CoC.
p (c) Any record that r st be maintained p"==nt thi part may be either the original or a reproduced copy by any state of the art method provided that any reproduced copy is duly authenticated by authorized personnel and is capable of producing a clear and legible copy after storage for the period specified by Commission regulations.
(d) Each certificate holder shall submit written reports to the NRC within 30 days of discovery of a design or fabrication deficiency, for any spent fuel storage cask which has been AMk delivered to a licensee, affects the ability of structures, systems, and components important to safety to perform their function. These written reports must be sent to the NRC in accordance with the requirements of 6 72.4. These reports must include the following:
(1) A brief abstract describing the deficiency, including all component or system failures i
that contributed to the deficiency and significant corrective action taken or planned to prevent l
l recurrence; (2) A clear, specific, narrative description of what occurred so that knowledgeable readers with the design of the spent fuel storage cask, but not familiar with the 49 l
l
r i
4 details of a particular cask, can understand the deficiency, narrative description must I
include the following specific information as appropriate for the particular event:
l
( ) Dates and approximate times of discovery; l
,The cause of each component or system failure, if known, L
The failure mode, mechanism, and effect of each failed component, if known; I A list of systems or secondary functions that were also affected for failures of components with multiple functions;
( ) The method of discovery of each component or system failure; f) The manufacturer and model number (or other identification) of each component that failed durir)g the event;
$(pThe model and serial numbers of the affected casks;
- 'k
( ) The licensees that have affected casks; (3) An assessment of the safety consequences and implications of the deficiency. This assessment must include the availability of other systems or components that could have performed the same function as the components and systems that were affected[
(4) A description of any corrective actions planned as a result of the deficiency, including those to reduce the probability of similar occurrences in the future; (5) Reference to any previous similar deficiencies at the same facility that are known to the certificate holder; g6t /
v l
l 50 l
(6) The name and telephone number of a person within the certificate holder's organization who is knowledgeable about the deficiency and can provide additional information; Dated' at Rockville, Maryland, this Day of
,1998.
For the Nuclear Regulatory Commission l
John C. Hoyle, Secretary of the Commission.
1 1
51
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ATTACHMENT 2 CONGRESSIONAL LETTERS i
p ***:vq UNITED STATES p:
j NUCLEAR REGULATORY COMMISSION WASHINGTON, D.C. 20666 4 001
%,.....,o The Honorable James M. Inhofe, Chairman Subcommittee on Clean Air, Wetlands, Private l
Property and Nuclear Safety Committee on Environment and Public Works United States Senate Washington, DC 20510
Dear Mr. Chairman:
Enclosed for the information of the Subcommittee is a copy of a Federal Reaister notice conceming a proposed amendment to 10 CFR Part 72.
The Nuclear Regulatory Commission (NRC) is proposing to amend its regulations to expand the l
applicability of Part 72 to holders of certificates of compliance (i.e., a document issued by the NRC which approves the design of spent fuel storage casks), applicants for the certificates, and their contractors and subcontractors. Although these persons are already subject to certain provisions of Part 72, they are not yet explicitly subject to other provisions ink.nded to apply to them. As a result, the NRC has refrained from issuing Notices of Violations (NOVs)in instances when these persons failed to comply with the regulations. Instead, the NRC has issued a Notice of Nonconformance (NNC).
The proposed amendment, if adopted, would enhance the Commission's ability to take enforcement actions against certificate holders, applicants for certificates, and their contractors and subcontractors in the form of an NOV when these persons fail to comply with the regulations. This would allow the NRC to more effectively and efficiently carry out its responsibilities to protect public health and safety and the environment.
The Commission is issuing the proposed amendment for public comment.
l l'
Sincerely, Dennis K. Rathbun, Director Office of Congressinnal Affairs l
Enclosure:
Federal Register Notice cc:
Senator Bob Graham l
The Honorable James M. Inhofe, Chairman Subcommittee on Clean Air, Wetlands, Private Property and Nuclear Safety,
Committee on Environment and Public Works United States Senate Washington, DC 20510
Dear Mr. Chairman:
Enclosed for the information of the Subcommittee is a copy of a Federal Reoister notice concerning a proposed amendment to 10 CFR Part 72.
The Nuclear Regulatory Commission (NRC) is proposing to amend its regulations to expand the applicability of Part 72 to holders of certificates of compliance (i.e., a document issued by the NRC which approves the design of spent fuel storage casks), applicants for the certificates, and their contractors and subcontractors. Although these persons are already subject to certain provisiens of Part 72, they are not yet explicitly subject to other provisions intended to apply to them. As a result, the NRC has refrained from issuing Notices of Violations (NOVs) in instances when these persons failed to comply with the regulations. Instead, the NRC has issued a Notice of Nonconformance (NNC).
The proposed amendment, if adopted, would enhance the Commission's ability to take enforcement actions against certificate holders, applicants for certificates, and their contractors and subcontractors in the form of an NOV when these persons fail to comply with the regulations. This would allow the NRC to more effectively and efficiently carry out its responsibilities to protect public health and safety and the environment.
The Commission is issuing the proposed amendment for public comment.
Sincerely, Dennis K. Rathbun, Director Office of Congressional Affairs
Enclosure:
Federal Register Notice cc:
Senator Bob Graham Distribution: 0:Viipalo\\congitrs.ino RGcrdon/RF IMNS/RF NMSS/RF Central File To recewe a copy of this document, indicate in the box "C" = copy without attachmenuendosure. "B" = copy with attachment / enclosure. "N"
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The Honorable Dan Schaefer, Chairman Subcommittee on Eriergy and Power
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Committee on Commerce United States House of Representatives Washington, DC 20515
Dear Mr. Chairman:
Enclosed for the information of the Subcommittee is a copy of a Federal Reaister notice conceming a proposed amendment to 10 CFR Part 72.
The Nuclear Regulatory Commission (NRC) is proposing to amend its regulations to expand the applicability of Part 72 to holders of certificates of compliance (i.e., a document issued by the NRC which approves the design of spent fuel storage casks), applicants for the certificates, and their contractors and subcontractors. Although these persons are already subject to certain provisions of Part 72, they are not yet explicitly subject to other provisions intended to apply to them. As a result, the NRC has refrained from issuing Notices of Violations (NOVs)in instances when these persons failed to comply with the regulations. Instead, the NRC has issued a Notice of Nonconformance (NNC).
The proposed amendment, if adopted, would enhance the Commission's ability to take enforcement actions against certificate holders, applicants for certificates, and their contractors and subcontractors in the form of an NOV when these persons fail to comply with the regulations. This would allow the NRC to more effectively and efficiently carry out its responsibilities to protect public health and safety and the environment.
The Commission is issuing the proposed amendment for public comment.
Sincerely, Dennis K. Rathbun, Director Office of Congressional Affairs
Enclosure:
Federal Register Notice cc: Representative Ralph Hall l
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w The Honorable Dan Scha' efer, Chairman Subcommittee on Energy and Power Committee on Commerce United States House of Representatives Washington, DC 20515
Dear Mr. Chairman:
Enclosed for the information of the Subcommittee is a copy of a Federal Reoister notice concerning a proposed amendment to 10 CFR Part 72.
The Nuclear Regulatory Commission (NRC) is proposing to amend its regulations to expand the applicability of Part 72 to holders of certificates of compliance (i.e., a document issued by the NRC which approves the design of spent fuel storage casks), applicants for the certificates, and their contractors and subcontractors. Although these persons are already subject to certain provisions of Part 72, they are not yet explicitly subject to other provisions intended to apply to them. As a result, the NRC has refrained from issuing Notices of Violations (NOVs) in instances when these persons failed to comply with the regulations. Instead, the NRC has issued a Notice of Nonconformance (NNC).
l The proposed amendment, if adopted, would enhance the Commission's ability to take enforcement actions against certificate holders, applicants for certificates, and their contractors and subcontractors in the form of an NOV when these persons fail to comply with the regulations. This would allow the NRC to more effectively and efficiently carry out its responsibilities to protect public health and safety and the environment.
The Commission is issuing the proposed amendment for public comment.
Sincerely, Dennis K. Rathbun, Director Office of Congressional Affairs
Enclosure:
Federal Register Notice cc: Representative Ralph Hall Distribution: OMipalo\\congitrs.sha RGordon/RF IMNS/RF NMSS/RF Central File To recerve a copy of this document indcate in the box "C" = copy weout ati.J,n e.i/ci=%; ore "B" = copy we attachment /erdosure "N" a No con OFFICE' IMOB/IMNS TECH E0 IMOB/1MNS D/tMNS/NMSS NAME-ADiPalo rg DKraus JPccone DCool DATE-
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ATTACHMENT 3 i
PRESS RELEASE
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NRC Amending Requirements Governing PART 72 Holders of and Applicants for Certificates of Compliance including their Contractors and Subcontractors The Nuclear Regulatory Commission (NRC) is amending its regulations to expand the applicability of 10 CFR Part 72 to holders of, and applicants for, certificates of compliance and their contractors and subcontractors. Because some of the Part 72 requirements intended to apply to these persons do not clearly bring them within the scope of these requirements, the NRC has not had a clear basis to cite these entities for violation of Part 72 requirements. These amendments will enhance the Commissions ability to take enforcement action in the form of a Notice of Violation (NOV) when legally binding requirements are violated.
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