ML003776943
| ML003776943 | |
| Person / Time | |
|---|---|
| Site: | WM-00011 |
| Issue date: | 12/31/2000 |
| From: | Office of Nuclear Regulatory Research |
| To: | |
| Jackson, C P | |
| References | |
| +r, DG-3020 | |
| Download: ML003776943 (9) | |
Text
1CopiesareavailableontheNRC'swebsite<
WWW.NRC.GOV>intheReferenceLibrarythroughRulemaking,andforinspectionorcopyingforafeefromtheNRCPublicDocumentat11555RockvillePike,Rockville,MD 20852;thePDR'smailingaddressisMailStop01-F-13,Washington,DC20555;telephone(301-415-4737)or (800)397-4209;fax(301)415-3548;email<
PDR@NRC.GOV>.Thisregulatoryguideisbeingissuedindraftformtoinvolvethepublicintheearlystagesofthedevelopmentofaregulatorypositioninthisarea.It hasnotreceivedcompletestaffrevieworapprovalanddoesnotrepresentanofficialNRCstaffposition.Publiccommentsarebeingsolicitedonthisdraftguide(includinganyimplementationschedule)anditsassociatedregulatoryanalysisorvalue/impactstatement.Commentsshouldbeaccompaniedbyappropriatesupportingdata.WrittencommentsmaybesubmittedtotheRulesandDirectives Branch,OfficeofAdministration,U.S.NuclearRegulatoryCommission,Washington,DC20555-0001.Commentsmaybesubmittedelectronicallyor downloadedthroughtheNRC'sinteractivewebsiteat<WWW.NRC.GOV>throughRulemaking.CopiesofcommentsreceivedmaybeexaminedattheNRCPublicDocumentRoom,11555RockvillePike,Rockville,MD.CommentswillbemosthelpfulifreceivedbyJanuary22,2001.Requestsforsinglecopiesofdraftoractiveregulatoryguides(whichmaybereproduced)orforplacementonanautomaticdistributionlistforsingl ecopiesoffuturedraftguidesinspecificdivisionsshouldbemadetotheU.S.NuclearRegulatoryCommission,Washington,DC20555,Attention:
ReproductionandDistributionServicesSection,orbyfaxto(301)415-2289;orbyemailtoDISTRIBUTION@NRC.GOV.ElectroniccopiesofthisdraftguideareavailablethroughNRC'sinteractivewebsite(seeabove),ontheNRC'swebsite<www.nrc.gov>intheReferenceLibraryunderRegulatoryGuides,andinNRC'sPublicElectronicReadingRoomatthesamewebsite,underAccessionNumberML003776943.U.S.NUCLEARREGULATORYCOMMISSIONDecember2000OFFICEOFNUCLEARREGULATORYRESEARCHDivision1DraftDG-3020DRAFTREGULATORYGUIDEContact:C.P.Jackson(301)415-2947DRAFTREGULATORYGUIDEDG-3020GUIDANCEFORIMPLEMENTATIONOF10CFR72.48,CHANGES,TESTS,ANDEXPERIMENTSA.INTRODUCTIONIn10CFRPart72,"LicensingRequirementsfortheIndependentStorageofSpentNuclearFuelandHigh-LevelRadioactiveWaste,"Section72.48,"Changes,TestsandExperiments,"contains requirementsfortheprocessbywhichlicenseesandcertificateholdersmaymakechangestotheir facilities,independentspentfuelstorageinstallations(ISFSIs),spentfuelstoragecaskdesigns,or monitoredretrievalstorageinstallations(MRSs)andproceduresasdescribedinthefinalsafety analysisreport(asupdated),withoutpriorNRCapproval,undercertainconditions.Thisregulationwas originallypromulgatedin1980as10CFR72.35,"Changes,Tests,andExperiments."Itwas subsequentlydesignatedas10CFR72.48andwasrecentlyrevised(October4,1999,64FR53582).
Therecentrevisiontotherulemadecomparablechangesto10CFR50.59,"Changes,Tests,and Experiments,"thataddressesthechangeprocessforreactorlicensees.AsaresultoflessonslearnedfromoperatingexperienceandotherinitiativesrelatedtocontrolofconformanceofreactorandISFSIfacilitieswiththeirfinalsafetyanalysisreport(FSAR)descriptions, theNRCdeterminedthatadditionalactionwasnecessarytoprovideclarityandconsistencyin implementationoftherule.TheNRCstaffrecommendedspecificactionsinSECY-97-205,"Integration andEvaluationofResultsfromRecentLessons-LearnedReviews,"
1datedSeptember10,1997.InastaffrequirementsmemorandumdatedMarch24,1998, 1theCommissiondirectedthestafftoinitiaterulemakingtorevisetherequirementsof10CFR50.59and10CFR72.48toclarifytherequirements andtoallowchangesinvolvingonly"minimalincreases"inprobabilityorconsequencestobemade withoutpriorNRCapproval.
2CopiesofAppendixBtoNEI96-07areavailablethroughNRC'swebsite,<
WWW.NRC.GOV>throughRulemaking,andthroughNRC'sElectronicReadingRoomatthesamesite,underAccessionnumber ML003773698.CopiesareavailableforinspectionorcopyingforafeefromtheNRCPublicDocumentRoom, telephone(301-415-4737)or(800)397-4209,fax(301)415-3548,email<PDR@NRC.GOV>.
2OnOctober4,1999,theNRCissuedarevisionto10CFR72.48thatbecomeseffectiveonApril5,2001.ThetextofthisrevisedruleiscontainedinAppendixAtothis regulatoryguideforconvenience.RegulatoryguidesareissuedtodescribetothepublicmethodsacceptabletotheNRCstaffforimplementingspecificpartsoftheNRC'sregulations,toexplaintechniquesusedby thestaffinevaluatingspecificproblemsorpostulatedaccidents,andtoprovideguidanceto applicants.Regulatoryguidesarenotsubstitutesforregulations,andcompliancewith regulatoryguidesisnotrequired.Regulatoryguidesareissuedindraftformforpublic commenttoinvolvethepublicindevelopingtheregulatorypositions.Draftregulatoryguides havenotreceivedcompletestaffreview;theythereforedonotrepresentofficialNRCstaff positions.Theinformationcollectionscontainedinthisdraftregulatoryguidearecoveredbytherequirementsof10CFRPart72,whichwereapprovedbytheOfficeofManagementand Budget,approvalnumber3150-0132.Ifameansusedtoimposeaninformationcollectiondoes notdisplayacurrentlyvalidOMBcontrolnumber,theNRCmaynotconductorsponsor,anda personisnotrequiredtorespondto,theinformationcollection.B.DISCUSSIONOBJECTIVETheobjectivesof10CFR72.48aretoensurethatlicenseesandholdersofCertificatesofCompliance(CoC)(1)evaluateproposedchangestotheirfacilitiesorcask designfortheireffectsonthelicensingbasisoftheISFSI,caskdesign,orMRS,asdescribed intheFSAR,and(2)obtainpriorNRCapprovalforchangesthatmeetspecifiedcriteriaas havingapotentialimpactuponthebasisforissuanceofthelicenseorcertificateof compliance.Thisregulatoryguide,throughitsendorsementofaguidancedocumentfor licensees,providesguidanceoncomplyingwiththerevisedrequirementsof10CFR72.48.DEVELOPMENTOFINDUSTRYGUIDELINE,AppendixBtoNEI96-07Followingpublicationoftherevisedrule,theNuclearEnergyInstitute(NEI)submittedaguidancedocument,NEI96-07,"Guidelinesfor10CFR50.59Evaluations,"forthe implementationof10CFR50.59andrequestedNRCendorsementthrougharegulatory guide.TheNRCendorsedRevision1ofNEI-96-07inRegulatoryGuide1.187,whichwas issuedinNovember2000.OnJune15,2000,NEIsubmittedtotheNRCAppendixB, "Guidelinesfor10CFR72.48Implementation,"toNEI96-07.TheNRCprovidedwritten commentsonthedocumenttoNEIonAugust18,2000,andNEIprovidedtotheNRC revisionsdatedSeptember28,2000,andNovember6,2000.
2(TheNovember9,2000,letterfromNEIthatforwardedAppendixBalsocontainsalistofthechangesfromtheSeptember 28,2000,version.)NEIdevelopedthisguidancedocumentbymodifyingappropriate languageandsectionsinRevision1ofNEI96-07toapplytoPart72licenseesandcertificate holders.Thus,asignificantportionofAppendixBincludestextthatisidenticaltothatin 3Revision1ofNEI96-07,whichhasbeenendorsedbytheNRCinRegulatoryGuide1.187.TheguidancecontainedinAppendixBtoNEI96-07isalsogenerallyapplicableto10CFR 50.59evaluationsperformedbyreactorlicensees.C.REGULATORYPOSITION1.APPENDIXBTONEI96-07AppendixB,"Guidelinesfor10CFR72.48Evaluations,"
2datedNovember6,2000,toNEI96-07providesmethodsthatareacceptabletotheNRCstaffforcomplyingwiththe provisionsof10CFR72.48,withtheclarificationsnotedbelow.1.1DepartureFromaMethodofEvaluationDescribedintheFSARInAppendixBinSectionB3.4intheparagraph,"Conservativevs.Non-ConservativeEvaluationResults,"NEIincludesanexampleofachangeinanelementofamethodof evaluationthatchangestheresultofacaskpeakpressureanalysisfrom45to48psig.TheNRCstafffindsthattheconclusionthatthisisaconservativechangemightnotbecorrectinallcases.Thevalidationofanewmethodelementmustshowthatthenewelementisconservativenotonlyattheolddesignpoint,butalsowillbeconservativeatthenewdesign point.Thelicenseeshouldassesstheeffectofthenewmethodelementontheoverall methodasthedesignpointmovesfromtheoldtothenew.Atrendingorsensitivityanalysis mightbenecessaryinsomecases.TheNRCstaffsuggeststhatNEIexpandtheguidanceinthissectionandinSectionB4.3.8.InSectionB4.3.8,NEIlistsexamplesinwhichtheNRC,initsreviewofanFSAR,didnotspecificallyapproveamethodologyeitherthroughreviewofareferencedtopicalreportor byastatementofendorsementinthestaff'ssafetyevaluationreport(SER).Thesecond exampledealswiththeNRCnotendorsingamethodologydescribedintheFSAR.NEI concludesthatfutureuseoftheunendorsedmethodologyinthisexamplewouldnot"resultin adeparturefromamethodofevaluationdescribedintheFSAR,"andthiswouldmeanthatno priorNRCapprovalwouldbeneededtodoso.TheNRCstaffsuggeststhatNEIrevisethis exampletoremovethediscussionofamethodologythatisnotendorsedbytheNRC.This exampleisnotrelevanttoNRCpracticenoritsrecordofapprovingdesigns.TheNRCdoes notapproveadesignontheonehandandconcurrentlystatethatitdoesnotendorsea methodreferencedintheFSARthatsupportsthedesign.TheNRCsuggeststhatNEIrevise thisexampletodiscussacaseinwhichtheNRCstaffinitsSERissilentonendorsingthe methodologydescribedintheFSARandstatesthatithasperformedanindependent confirmatoryanalysisusingitsownmethodology.Insucharevisedexample,useofthe methodologydescribedintheFSARtosupportasubsequentdesignchangewouldnot requireNRCapproval.ItshouldbenotedthattheNRCstaff,inreviewingdrycaskstoragedesigns,historicallyhasnotendorsedmethodologiesreferencedinFSARs.Insteadithasmade statementsinitsSERs,followingtheguidanceintheStandardReviewPlan,thatthedesign hasbeenfoundtobeacceptableineachreviewdisciplinearea.If,however,vendorsor licenseeschoosetosubmitmethodologiestotheNRCforreviewandapprovalaspartof applicationsfordesignapprovalorasseparatetopicalreports,thestaffwilldocumentNRC endorsementorapprovalinappropriateSERs.Suchendorsementorapprovalwillenable 3Availableelectronicallyathttp://WWW.NRC.GOV/OPA/reports/cask.htm#licensing
.4vendorsandlicenseestousethe10CFR72.48processthatdealswithapprovedmethodologies.1.2DesignBasisLimitforaFissionProductBarrierSectionB4.3.7listsexamplesoftypicalfissionproductbarrierdesignbasislimits,withanexampleinwhichthedesignusesamethodologyforcriticalitycontrolthatcreditspartial burnupoffueltobestoredinacaskdesign.TheNRCstaffproposesrevisingthisdiscussion tonotethatpartialburnupcreditmaybeutilizedasincurrentNRCInterimStaffGuidance, ISG-8,"LimitedBurnupCredit,"
3orinNUREG-1536,"StandardReviewPlanforDryCaskStorageSystems."
3ThischangeisneededbecausetheapplicationofburnupcreditincaskdesignsisanevolvingtechnicalissuebasedonworkbyboththeindustryandtheNRC.2.OTHERDOCUMENTSREFERENCEDINAPPENDIXBTONEI96-07AppendixBtoNEI96-07referencesotherdocuments,butNRC'sendorsementofAppendixBshouldnotbeconsideredanendorsementofanyreferenceddocuments.3.USEOFEXAMPLESINAPPENDIXBTONEI96-07AppendixBtoNEI96-07includesexamplestosupplementtheguidance.WhileappropriateforillustratingandreinforcingtheguidanceinAppendixB,NRC'sendorsementof AppendixBshouldnotbeconsideredadeterminationthattheexamplesareapplicableforall licenseesandCoCholders.Alicenseeorcertificateholdershouldensurethatanexampleis applicabletoitsparticularcircumstancesbeforeimplementingtheguidanceasdescribedin anexample.4.GUIDANCEFORSITE-SPECIFICISFSILICENSERENEWALTheguidanceinAppendixBandinthisregulatoryguideisapplicabletoinformationaddedtotheFSARforsummarydescriptionsoftheprograms,activitiesformanagingthe effectsofaging,andevaluationoftime-limitedaginganalysesthatwillsupportthebasesfor site-specificISFSIlicenserenewal.Ifnecessary,thestaffmayprovidefurtherguidanceor examplesforusewithrespecttosuchprogramsandevaluationsatalaterdate.5.USEOFOTHERMETHODSLicenseesandcertificateholdersmayusemethodsotherthanthoseproposedinAppendixBtoNEI96-07,asclarifiedbythisregulatoryguide,tomeettherequirementsof10 CFR72.48.TheNRCwilldeterminetheacceptabilityofothermethodsonacase-by-case
basis.
5D.IMPLEMENTATIONThepurposeofthissectionistoprovideinformationtolicensees,certificateholders,andapplicantsregardingtheNRCstaff'splansforusingthisregulatoryguide.Thisdraftregulatoryguidehasbeenreleasedtoencouragepublicparticipationinitsdevelopment.Exceptinthosecasesinwhichalicenseeorcertificateholderproposesan acceptablealternativemethodforcomplyingwiththespecifiedportionsoftheNRC's regulations,themethodtobedescribedinthefinalversionofthisguide,reflectingpublic comments,willbeusedintheevaluationoflicenseeorcertificateholdercompliancewiththe requirementsof10CFR72.48.
6APPENDIXATEXTOF10CFR72.48§72.48Changes,Tests,andExperiments.(a)Definitionsforthepurposesofthissection:
(1)Changemeansamodificationoradditionto,orremovalfrom,thefacilityorspentfuelstoragecaskdesignorproceduresthataffectsadesignfunction,methodofperformingor controllingthefunction,oranevaluationthatdemonstratesthatintendedfunctionswillbe accomplished.(2)DeparturefromamethodofevaluationdescribedintheFSAR(asupdated)usedinestablishingthedesignbasesorinthesafetyanalysesmeans:(i)changinganyoftheelementsofthemethoddescribedintheFSAR(asupdated)unlesstheresultsoftheanalysisare conservativeoressentiallythesame;or(ii)changingfromamethoddescribedintheFSARto anothermethodunlessthatmethodhasbeenapprovedbyNRCfortheintendedapplication.(3)Facilitymeanseitheranindependentspentfuelstorageinstallation(ISFSI)oraMonitoredRetrievableStoragefacility(MRS).(4)ThefacilityorspentfuelstoragecaskdesignasdescribedintheFinalSafetyAnalysisReport(FSAR)(asupdated)means:(i)Thestructures,systems,andcomponents(SSC)thataredescribedintheFSAR(asupdated),(ii)ThedesignandperformancerequirementsforsuchSSCsdescribedintheFSAR(asupdated),and(iii)TheevaluationsormethodsofevaluationincludedintheFSAR(asupdated)forsuchSSCswhichdemonstratethattheirintendedfunction(s)willbeaccomplished.(5)FinalSafetyAnalysisReport(asupdated)means:(i)Forspecificlicensees,theSafetyAnalysisReportforafacilitysubmittedandupdatedinaccordancewith§72.70;(ii)Forgenerallicensees,theSafetyAnalysisReportforaspentfuelstoragecaskdesign,asamendedandsupplemented;and(iii)Forcertificateholders,theSafetyAnalysisReportforaspentfuelstoragecaskdesignsubmittedandupdatedinaccordancewith§72.248.(6)ProceduresasdescribedintheFinalSafetyAnalysisReport(asupdated)meansthoseproceduresthatcontaininformationdescribedintheFSAR(asupdated)suchashow SSCsareoperatedandcontrolled(includingassumedoperatoractionsandresponsetimes).(7)TestsorexperimentsnotdescribedintheFinalSafetyAnalysisReport(asupdated)meansanyactivitywhereanySSCisutilizedorcontrolledinamannerwhichiseither:(i)OutsidethereferenceboundsofthedesignbasesasdescribedintheFSAR(asupdated)or(ii)InconsistentwiththeanalysesordescriptionsintheFSAR(asupdated).
(b)Thissectionappliesto:
(1)Eachholderofageneralorspecificlicenseissuedunderthispart,and (2)EachholderofaCertificateofCompliance(CoC)issuedunderthispart.
(c)(1)AlicenseeorcertificateholdermaymakechangesinthefacilityorspentfuelstoragecaskdesignasdescribedintheFSAR(asupdated),makechangesintheprocedures asdescribedintheFSAR(asupdated),andconducttestsorexperimentsnotdescribedinthe FSAR(asupdated),withoutobtainingeither:(i)Alicenseamendmentpursuantto§72.56(for specificlicensees)or(ii)ACoCamendmentsubmittedbythecertificateholderpursuantto
§72.244(forgenerallicenseesandcertificateholders)if:(A)Achangetothetechnicalspecificationsincorporatedinthespecificlicenseisnotrequired;or 7(B)Achangeintheterms,conditions,orspecificationsincorporatedintheCoCisnotrequired;and(C)Thechange,test,orexperimentdoesnotmeetanyofthecriteriainparagraph(c)(2)ofthissection.(2)Aspecificlicenseeshallobtainalicenseamendmentpursuantto§72.56,acertificateholdershallobtainaCoCamendmentpursuantto§72.244,andagenerallicensee shallrequestthatthecertificateholderobtainaCoCamendmentpursuantto§72.244,prior toimplementingaproposedchange,test,orexperimentifthechange,test,orexperiment would:(i)ResultinmorethanaminimalincreaseinthefrequencyofoccurrenceofanaccidentpreviouslyevaluatedintheFSAR(asupdated);(ii)Resultinmorethanaminimalincreaseinthelikelihoodofoccurrenceofamalfunctionofasystem,structure,orcomponent(SSC)importanttosafetypreviously evaluatedintheFSAR(asupdated);(iii)ResultinmorethanaminimalincreaseintheconsequencesofanaccidentpreviouslyevaluatedintheFSAR;(iv)ResultinmorethanaminimalincreaseintheconsequencesofamalfunctionofanSSCimportanttosafetypreviouslyevaluatedintheFSAR(asupdated);(v)CreateapossibilityforanaccidentofadifferenttypethananypreviouslyevaluatedintheFSAR(asupdated);(vi)CreateapossibilityforamalfunctionofanSSCimportanttosafetywithadifferentresultthananypreviouslyevaluatedintheFSAR(asupdated);(vii)ResultinadesignbasislimitforafissionproductbarrierbeingexceededoralteredasdescribedintheFSAR(asupdated);or(viii)ResultinadeparturefromamethodofevaluationdescribedintheFSAR(asupdated)usedinestablishingthedesignbasesorinthesafetyanalyses.(3)Inimplementingthisparagraph,theFSAR(asupdated)isconsideredtoincludeFSARchangesresultingfromevaluationsperformedpursuanttothissectionandanalyses performedpursuantto§§72.56or72.244sincethelastupdateoftheFSARpursuantto
§72.70,or§72.248ofthispart.(4)Theprovisionsinthissectiondonotapplytochangestothefacilityorprocedureswhentheapplicableregulationsestablishmorespecificcriteriaforaccomplishingsuch changes.(d)(1)Thelicenseeandcertificateholdershallmaintainrecordsofchangesinthefacilityorspentfuelstoragecaskdesign,ofchangesinprocedures,andoftestsand experimentsmadepursuanttoparagraph(c)ofthissection.Theserecordsmustincludea writtenevaluationwhichprovidesthebasesforthedeterminationthatthechange,test,or experimentdoesnotrequirealicenseorCoCamendmentpursuanttoparagraph(c)(2)ofthis
section.(2)Thelicenseeandcertificateholdershallsubmit,asspecifiedin§72.4,areportcontainingabriefdescriptionofanychanges,tests,andexperiments,includingasummaryof theevaluationofeach.Areportshallbesubmittedatintervalsnottoexceed24months.(3)Therecordsofchangesinthefacilityorspentfuelstoragecaskdesignshallbemaintaineduntil:(i)Spentfuelisnolongerstoredinthefacilityorthespentfuelstoragecaskdesignisnolongerbeingused,or(ii)TheCommissionterminatesthelicenseorCoCissuedpursuanttothispart.
(4)Therecordsofchangesinproceduresandoftestsandexperimentsshallbemaintainedforaperiodof5years.
8(5)TheholderofaspentfuelstoragecaskdesignCoC,whopermanentlyceasesoperation,shallprovidetherecordsofchangestothenewcertificateholderortothe Commission,asappropriate,inaccordancewith§72.234(d)(3).(6)(i)Agenerallicenseeshallprovideacopyoftherecordforanychangestoaspentfuelstoragecaskdesigntotheapplicablecertificateholderwithin60daysofimplementingthe change.(ii)Aspecificlicenseeusingaspentfuelstoragecaskdesign,approvedpursuanttosubpartLofthispart,shallprovideacopyoftherecordforanychangestoaspentfuel storagecaskdesigntotheapplicablecertificateholderwithin60daysofimplementingthe change.(iii)Acertificateholdershallprovideacopyoftherecordforanychangestoaspentfuelstoragecaskdesigntoanygeneralorspecificlicenseeusingthecaskdesignwithin60 daysofimplementingthechange.
VALUE/IMPACTSTATEMENTAseparateValue/ImpactStatementwasnotpreparedforthisregulatoryguide.TheValue/ImpactStatementthatwaspreparedaspartoftheRegulatoryAnalysisforthe rulemakinginMay1999isstillapplicable.CopiesoftheRegulatoryAnalysisareavailablefor inspectionorcopyingforafeeintheNRC'sPublicDocumentRoomat11555RockvillePike, Rockville,MD,Washington,DC,aspartofSECY-99-130,datedMay12,1999.ThePDRmay bereachedbytelephoneat(301)415-4737orfaxat(301)415-3548.ADAMSAccessionNumberofDG-3020:ML003776943ADAMSAccessionNumberofAppendixBtoNEI96-07: