ML20236L851

Nuclear Power Plant Standardization, 10CFR50 Policy Statement.Nrc Will Be Issuing Revised Policy Statement to Encourage Use of Std Plant Designs & Provide Info Re Certification of Plant Designs

ML20236L851
Person / Time
Issue date:	09/09/1987
From:	Chilk S NRC OFFICE OF THE SECRETARY (SECY)
To:
References
FRN-52FR32060, FRN-52FR34884, FRN-53FR32060, RULE-PR-50, RULE-PR-52 NUDOCS 8711110085
Download: ML20236L851 (14)

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N E 11 f,; :43 NUCLEAR REGULATORY COMMISSION v

10 CFR Part 50 NUCLEAR POER PLANT STANDARDIZATION.

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1:t AGENCY:

Nuclear Regulatory Commission a

ACTION:

Policy Statement.

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SUMMARY

The Nuclear Regulatory Commission is issuing a revised policy statement on the standardization of nuclear power plant designs. The. policy.

statement encourages. the use of standard plant designs and.provides inform tion concerning the certifica$ ion of plant designs that are essentially ccmplete in scope and level of ~ detail. The Commission is also developing proposed regulations on standardization and. licensing reform. The intent of these i

- actions ~are :to improve the licensing process and to reduce the complexity.and uncertainty in the regulatory process for standardized plants.

DATE:

September 15, 1987.

Workshop to be held October 20, 1987.

ADDRESSES:

Submit comments to: The Secretary of the Commission, U.S. Nuclear

.Reguletory Commission, Washingtens DC 20555, Attention: Docketing and Service Branch. A put,lic workshop will be held on October 20, 1987, in the Cabinet Room of'the Hyatt Regency Rethesda, One Bethesda Metro Center, Betheasda, l

Maryland.

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1 FOR FURTHEP.'.INFORMATION CONTACT: tierry N. Wilson, Office of Nuclear Regulatory '

-l Research, U.S. Nuclear Regulatory Comrnission, Washington, DC 20555f, telephone (301)492-4727.

1 SUPPLEMENTARY'INFORMATION

-1 Workshop

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The NRC staff will conduct a workshop to inform the public of staff

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efforts to develop-an implementing rulemaking on standardization and to provide

- h forum for public discussion of the revised policy statement and relevant issues that need to be addressed in the rulemaking package.

The workshop will l

' he' held on October 20, 1987 at the Hyatt Regency'Bethesda, One Bethesda Metro Center, Bethesda, Maryland '20814 in the Cabinet Room. The workshop will start j

q at 9:C0 a.m.

The'NRC staff will present an overview of the revised policy statement and the. proposed rulemaking' package at the.

workshop. Those members of the public who wish to make a presentation at the workshop should notify the contact listed aboue so that they can be added to the agenda.

Anyone who wishes to add further comments to the record or who cannot attend the workshop should send written comments to the Secreta y of the Commission no later than October 30, 1987.

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4 Background

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-.its The Nuclear Regulatory Commission. believes that. standardization of nuclear d

-Lpower plant designs' is an important initiative that can'significantly enhance

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the. safety, reif ability and availability of. nuclear. plants.

The Commission j

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J intends;tn improve the licensing process for standardized nuclear power plants and to reduce complexity and uncertainty in the regulatory process. Appendices c

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'M, N.and/0. to Title 10, Part 50 of the Code of Federal Regulations (10 CFR 50):

t establish various options and procedures,for the approval of standardized plant' designs. A provision 3for Cennission approval of a reference design in a: rule-:

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. making proceeding is included in Appendix 0. -This has.been termed Reference l

System Design Certification and is the focus of the Comission's standardize-l

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tion policy. This policy 'stotement revises the Standardization Policy State-i ment of 1978 (August 31, 1978; 43.FR 33954)..

al The purpose of this policy statement is'to encourage standardization and i

'to provide information concerning the Commission's efforts to develop a regulatory framework for the certification of plant designs which:

Are essentially complete in both scope and level of detail; J

Cover plant design, construction, and quality assurance programs; j

j Satisfy regulatory requirements before construction begins; and j

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Can be referenced for individual-plant applications..

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. Use.of' cert'ified reference designs' in future license applications-should.

j 3 enhance plant' safety,. increase the efficiency of.the NRC Lreview process,L.and

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reduce complexity and' uncertainty in the regulatory process'.. A regulatory 1

. framework which 'provides for: certification of reference' designs by means of.

rulemaking will alleviate.the need to reconsirier design issues in' individual licensing, proceedings lon:. future : license > applications which reference the certi,

fie'd" designs. LAreas included within the scope of'the reference system design certification rulemaking would require no further review by the: staff, the Advisory Committee on' Reactor Safeguards.'(ACRS), or..the. hearing boards.

l The Consissions' primary objectives in issuing 'a' policy ~ statement on

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l nuclea'r powerfplant standardization are threefold:

<a iloLencourage the use of standard piant designs-in future license 1

applications.in order to enhance' plant safety, improve the efficiency 1

and reduce the complexity and uncertainty'of the regulatory process;,

1 To identify the issues that are-important to the implementation of-i standardization and to state the Commission's intent to develop l

proposed rules to address these issues more fully; and 1

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-To express the Commission's; intent to make resources available on'a priority basis to facilitate the reference system' design

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' certification' process.for essentially complete nuclear power plant designs. and for. the licensing reviews ;of applications referencing.

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.these certified designs.

i Experience has. shown that the "one-of-a-kind ' approach to reactor. design, 1

construction, and operation has led to an operating reactor population of great variability and diversity, even among reactors from the same vendor. This variability is introduced when utilities and designers incorporate custom j

features into their designs; when varying construction practices are used;' and when plants are operated and maintained by different organizations.

This variability has introduced significant differences in the licensing and

' operation of'these plants,'in the transfer of experience from one reactor to 1

another in technical -specifications, in operating procedures, and in back-

. fitting considerations.

The Commission believes that the use of certified standardized designs can benefit the public health and safety by concentrating resources on specific design approaches without stifling ingenuity; by stimulating standardized pro-i grams of construction practice, quality assurance, and personnel training; and j

j by fostering more effective maintenance and improved operation.

Standardization I

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should result in significant economies of scale in learning and sharing operat-1 1

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ing experience, in maintaining qualified vendor support, and in maintaining an l

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adequate inventory of long lead-time, high cost spare parts that can be shared l

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by a' number of units.. These concepts are embodied in foreign experience with

. the,staridardization tof nuclear power plant design,. construction, and operation.-

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Standardization,is exp,N.ted to' further improve the safety performance of future plants. Standardization will allow for a more expeditious and efficient review

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process and'a more thorough understanding of the' designs by the industry and

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the NRC staff.

In strongly endorsing the concept of standardization, the i

a Comission acknowledges that there can be drawbacks.

The most significant is j

that specific. problems may potentially affect a large numbers of reactors.

However,?on balance, the Comission believes' that the enhanced safety of reactor. operation should far outweigh any disadvantages.

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'Comissicn policy for plant safety is articulated in its Policy Statement on Safety Goals (August 4, 1986; 51 FR 28044, August 21, 1986; 51 FR 30028).

The Standardization: Policy also is' consistent with the standardized plant i

provisions of the Comission's complementary Severe Accident Policy Statement (August 8,1985;50FR32138). Many of the desirable safety characteristics listed in the Advanced Reactor Policy Statement (July 8, 1986; 51 FR 24643) are j

equally desirabie for evolutionary light water reactor standardized designs.

l The Commission believes that Congress should promote nuclear safety by pursuing legislative initiatives to further encourage the standardization con-cept. The proposed fiuclear Power Plant Standardization and Licensing Act of

1987, which the Cumission forwarded to Congress in January of this year, in-cludes the.following three legislative proposals:

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Issuance of a' comb'ined con'struction 'pennit-and operating license; j

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! Issuance of a sit'e pemit prior.to submission of an application' for a f

c$nstruction perm'it:or: combined construction' permit and operating.

a license; j

Issuance of a facility design approval (Reference System Design Certification) prior to submission of an application for a construction pennit or a combined construction permit and operating

license, 1

The Commission believes that these legislative changes are important to I;

. achieving the full benefits of standardization. The one-step' licensing process j

. would give licensees greater assurance thot if the-facility'is constructed in

-accordance'with the terms of the applicati.on/ permit, it will be permitted to operate ~once construction is complete. The issuance:of site permits and 3

facility. design approvals, in advance of specific applications for their use.,

I would allow subsequent facility applications to reference the permits and/or i

approvals without further regulatory action unless there is a substantial reason not to do so. This process would also facilitate early identification and resolution of site and design issues after affording an opportunity for 1

public participation.

y The Commission centinues to believe that nuclear standardization and il

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licensing' legislation should be enacted. The Cobrnission recognizes, however,

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that much of its legislative proposal with respect to standardization c'ould be accomplished'under its existing statutory authority, In addition, there is a J

Q need for regulations to implement, the Comission's.standardizatica' policy more j

effectively..For these reasons, the Commission is developing proposed regula--

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.tions that will address licensing reform and standardization. With regard to-

-standardization', the proposed rules will provide a regulatory framework for j

Comission certification of standard designs-by rulemaking, as ' set'

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paragraph 7 of Appendix 0 to 10 CFR Part 50. The proposed rules will address

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the following subjects:

relationship of the new regulatory framework to the.

existing provisions of. Appendices M, N, and 0 to Part' 50; filing requirements;'

j centents of applications; design certification and renewal fees; design certi-

.fication rulemaking procedures; referral of applications to the Advisory j

Comittee.on Reactor-Safeguards (ACRS); duration and renewal of design certi-

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.fications;. changes to certified standard designs; and' provisions for plant-

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i specific variances. The Commission's general. approach to standard design

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-certification under its existing rules is outlined in this policy statement.

-l The issues.important~ to execution of the Commission's standardization policy will te addressed more fully in the proposed rules.

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STATEMENT OF POLICY

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-ON NUCLEAR POWER PLANT STANDARDIZATION

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The purpose of this standardization policy is to prov.ide' the regulatory

-i framework for reference system design certification of nuclear power plant

~ designs which are essentially complete in both scope and level of detail; cover plant design, construction, and quality assurance programs; satisfy regulatory l

. requirements before construction begins; and can be referenced in individual l

plant applications.

I The reference system designs, at least initially, are expected to be' u

evolutions of existing proven LWR designs.

Detailed infonnation consisting of design and procurement specifications, performance requirements, and acceptance and. inspection requirements will be substituted for name plate data.

For those, systems, structures and component designs which represent significant deviations from previously-approved LWR designs, prototype testing and/or empirical information may also be required. Advanced design concepts should be developed according to the guidelines of the Advanced Reactor Policy Sta tement. When an advanced design concept is sufficiently mature, e.g.,

through comprehensive, prototypical testing, an application for design certi-i fication could be made, i

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'In the reference system design certificates' process, the final decision will be made by the Commission itself following review by the ACRS, the issuance' of a final design approval by the staff, and the completion of a rule-l making proceeding. The reference system concept means that an entire nuclear power _ plant. design or a major portion of the design is acceptable for incor-poration by reference in indiv.idual license applications. The design certifi-cation concept focuses on the certification 'of a reference system design through rulemaking, as provided for by Appendix 0 to 10 CFR Part 50. The rules 1

being developed to implement this policy will address the criteria and procedures' for issuance and renewal of design certifications, as well as the l

duration of the certification and renewals. The certified design must be used and relied upon by the staff, the ACRS, the hearing boards and the Commission in their consideration of applications that reference the certified design.

The issue of relitigation of issues considered and decided in the design certi-l fication rulemaking will be addressed in the proposed rules.

l The Commission believes that several benefits will be realized in this process which will not only enhance safety, but should also contribute added stability and predictability to the regulatory process.

The rulemaking will certify the acceptability of the design. The certified design will be refer-enced in the application for a Construction Permit or Operating License. The l

rulemaking to obtain the design certification will cover the criteria necessary for design and construction of a plant; the quality assurance program; and 1

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.whatever tests, analyses, and inspection criteria are necessary to assure that the plant is built within the certified design specifications.

The Commission expects to implement the following policies with regard to design certification review. An applicant for a design certification must 1

first obtain a Final Design Approval (FDA) pursuant.to Appendix 0 to Part 50.

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If the applicant intends to seek a design certification, the FDA application i

must indicate that intent. As set forth in Appendix 0, the FDA application must include information on scope and design detail which is essentially l

1 equivalent to that required by 10 CFR 50.34(b), as well as any other informa-tion customarily required by the staff to perform a Final Safety Analysis Report review.

In addition, it must address the following four licensing criteria for new plant designs set forth in the Commission's Severe Accident Policy Statement:

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(1) Demonstration of compliance with the requirements of the current Commission regulations, including the Three Mile Island requirements for new plants as reflected in the construction permit rule, 10 CFR 50.34(f);

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(2) Demonstration of technical resolution of all applicable Unresolved Safety Issues and the medium-and high-priority Generic Safety Issues, including a special focus on ensuring the reliability of decay heat remcval systems and the reliability of both AC and DC electrical supply systems; 1

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-(3)- Completion of a probabilistic risk assessment (PRA) and consideration

-i of the severe accident vulnerabilities that the PRA exposes, along with the insights-that it may add.to-the. assurance that there is no undue risk to public health and safety; and i

(4) Completion _of staff. review of the design with a conclusion of safety

. acceptability using an approach that stresses deterministic-l[

engineering analysis and-judgment complemented by PRA.

H The design certification application should also propose, for staff review and approval, the. tests,' analyses, inspections and acceptance criteria that are considered necessary to provide reasonable assurance that a p'l' ant which refer-

ences the certified design is t'uilt and operated'within the specifications pf the final design. Additional information beyond that required for an FDA may be necessary to support the design certification rulemaking.

Further de-1 tailed guidance in this area will be developed by the staff, if necessary, as a result of experience with the first few FDA/ design certification reviews.

i Features of the design which can only be determi.ned when a specific site is chosen generally are not included in the design approval or certification.

Rather, the designer defines a set of site enveloping parneters (seismic events, rainfall, flood, etc.) which are used in the design of the plant.

These parameters usually are selected to envelop a large portion of the potential sites in the U.S.

Once the design is certified by the Commission, 3

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- conformance of. actual sites with the established site envelope must be q

demonstrated by the applicant:and verified by the staff at' the' time an actual-

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' plant application'is reviewed.. Other features of the design wh'ich are.

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. dependent on the site (i.e., cooling water supply, emergency preparedness' j

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. plans, etc.) are also reviewed for. acceptability and compatibility with the j

pre-approved / certified ~desigr$ at the time of an actual application.

f Currently, NRC-initiated changes to the design, certification rule will not-be required unless the Commission. determines that these modific6tions are in 1

accord with the backfit rule specified in 10 CFR 50.109. The subject of I

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r modifications to be required after the design certification is granted, as well as amendments lat the. request of the design certification holder and variances 1

at the request of a utility, will be addressed in the proposed rules.

In developing those rules, the Commission will consider the appropriateness'of employing the backfitting standard set forth in the proposed standardization-

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and licensing refonn legislation. The Commission expects that backfits to the, j

- de' sign certification rule would be applied uniformly to all plants referencing the certified design.

Similarly, amendments to the design certification rule' initiated by the holder of the design certification would also be applied uniformly to all plants referencing the standard design.

In addition, j

procedures will be developed to allow for plant-specific variances in limited circumstances at the request of the facility licensee.

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[- m All! applications for licenses and' approvals for standard designs are at 70 -

present subject to the fees and the fee recovery rat'es identified:in :10 CFR a,

P. art 170; :The Commission has authorized a revision of 10 CFR 170 to include a' "new provision 1for' the reference ~ system design certification.-process. This 1

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j revision.would. permit the' phased recovery of design certification' costs through"

collection of fees from the hbider of the. design certification, as the ' design

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/is'refsrenced.- If 'the' design is' not referenced' or if all the costs are not.

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re' cover'ed within ten years, -the' holder of the design certification will be V'

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, responsible for any amounts, still due at' the end of the: ten year period..

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.Although the Commission-strongly encourages _the use of certified designs

, a for;the' entire 'plarit in all future license ' applications, the r'egulations'also L

1 allow for other standardization' options including the duplicate plant, the-replicate plant, and the manufacturing license concepts. While these options c

may'be usedlin the interim, they are discouraged for the longer term. The l

. Commission also recognizes that review, approval and certification of major j

portions of complete ~ plents may be useful in the interim. However, applica-tions for. essentially complete designs.are preferred and will be given priority k

in allocation.of resources to support review and approval.

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Dated at Washington, DC, this day of a d W, 1987.

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For the Nuclear Pegulatory Commission l

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Samuel J. Chil,

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Secretary of the Consnission I

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