ML20115J683
| ML20115J683 | |
| Person / Time | |
|---|---|
| Site: | 05200001 |
| Issue date: | 07/23/1996 |
| From: | Specker S GENERAL ELECTRIC CO. |
| To: | NRC OFFICE OF THE SECRETARY (SECY) |
| References | |
| FRN-61FR18099, RULE-PR-52 61FR18099-00001, 61FR18099-1, NUDOCS 9607240270 | |
| Download: ML20115J683 (45) | |
Text
{{#Wiki_filter:* Vomit 6"" USMPC Steven R. Specker GeneralDect m Company Vce President und GeneralManager 115 Curtner Avenue, SaGose. CA 95125 406 9251992, fx 408 925-2494 , July 23,1996 0FFICE i' "' " 7 3' 00CKETm, Bf Secretary of the Commission U.S. Nuclear Regulatory Commission DOCKET NLA48ER Washington, D.C. 20555 PROPOSED RULE N <b-Attention: Docketing and Sersice Branch
Subject:
Comments on the Supplementary Notice of Proposed Rulemaking for the U.S. Advanced Boiling Water Reactor; 61 Fed. Reg.18099 (April 24,1996); Docket No. 52-001
Dear Sir:
On April 24,1996, the NRC published a Supplementary Notice of Proposed Rule-making for design certification of the Advanced Boiling Water Reactor (ABWR) under 10 CFR Part 52. The following comments on this draft final rule are being provided by the applicant for design cer tification of the ABWR, GE Nuclear Energy (GE). , The NRC is nearing completion of a design approval and certification process which l began with GE's pioneering application for approval of the ABWR design in Septem- I ber of 1987. From the standpoint of technical accomplishment, GE participation in , the Part 52 standard design approval process has been an outstanding success. ! Specifically, the issuance of the design certification rule certifies and confirms the safety of the GE ABWR design. The NRC can also takejustifiable pride for its contribution to the safety success of the design standardization program to date. We are fully mindful of the substantial staff l resources devoted to design safety reviews and of the Commission's own continuing l policy guidance throughout this phase of the Part 52 process. What is now required is l completion of the Part 52 " compact," namely, adoption of a design certification rule I which gives regulatory sanction to what has been resolved during the lengthy and costly design approval phase, and which assures a regulatorv process that is hospitable ~ to future licensing use of certified designs by U.S. utilities. What we seek, in sum, is a ( process which gives practical application to the design stability and licensing i predictability objectives of Part 52 and of the Energy Policy Act of 1992, i I 9607240270 960723 PDR PR 52 61FR18099 PDR DS10
4 1 Secretary of the Commission ! July 23,1996 Page 2 Regrettably, a number of process provisions proposed for inclusion in the draft final . rule are at cross-purposes with those objectives. These provisions are discussed in our comments in Attachment A and, more extensively,in the industrymide comments submitted by the Nuclear Energy Insdtute, in the preparation of which GE participated. The dominant concern of these comments is the lack of design finality inherent in the identified draft rule provisions and their adverse impact on Part 52 design stability and licensmg predictability. We would emphasize in submitdng these comments, that the rule modifications recommended in no way diminish design safety; rather, they address process improvements that support the design stability and licensing predictability objectives of Part 52. In order to carry out those objectives and assure a licensing framework that will enable realization in the U.S. of the safety and economic benefits ofits advanced design, GE urges the Commission to modify the draft final rule as recommended in the attached comments and in companion comments submitted by the Nuclear Energy Institute. Based on those comments, GE is providing a markup of the ABWR draft final rule,idendfying the rule changes recommended. This markup is provided as Attachment B, with an annotadon explaining the basis for the markup. A clean version of the recommended rule is provided as Attachment C. We respectfully urge the Commission to give careful consideration to our comments ; and to the recommended changes in the draft final rule. I Sincerely, P S.R.Specker
/j .
i l i l
l l l . ATTACHMENT A j GE'S COMMENTS ON THE DRAFT FINAL DESIGN CERTIFICATION RULE FOR THE ADVANCED BOILING WATER REACTOR (ABWR) GE assisted the Nuclear Energy Institute (NEI) in preparing its comments on the draft final design certification rules for the ABWR and System 80+. GE is hereby incorporating by reference NEI's comprehensive comments on the draft final design certification rules. The purpose of this attachment is to provide a summary of GE's more important comments and concerns. The Proposed " Applicable Regulations" Are Unnecessary and Destabilizina q In SECY 90-106 and SECY 93-087, the NRC identified a number of positions on severe accidents and other technical issues that are not embodied in current NRC regulations in Part 50, and I applied these positions in its review of the ABWR. In the i proposed rule, the staff designated fourteen of these positions l as " applicable regulations" -- i.e., the staff wants to give these positions a status similar to the status of the Commission's regulations in Part 50 for the purpose of issuing the design certification, imposing backfits, renewing the design certification, and evaluating changes to the DCD. O',er strong industry objections to the proposed " applicable regulations" i voiced in meetings and in the comments on the proposed rule, the staff modified the standard for imposing compliance backfits with respect to the " applicable regulations" and made word changes to the " applicable regulations" in the draft final rule; none were expunged from the rule. GE believes these changes fall far short of resolving the industry's concerns, calling into question the viability of the entire Part 52 process. Therefore, GE continues i to strongly oppose the staff's inclusion of these additional l
" applicable regulations" in the design certification rule for the l ABWR.
l GE's reasons for opposing the proposed additional
" applicable regulations" were clearly documented in our comments on the proposed design certification rule, and are briefly summarized below. First, the additional " applicable regulations" are unnecessary. Specifically, each of the relevant positions embodied in the additional " applicable regulations" is covered (in whole or in part) by requirements in Tier 1, and is also covered in detail in Tier 2. Thus it is not necessary to adopt these additional " applicable regulations" in order to restrict future changes by applicants and licensees.
Second, the staff acknowledges that a principal reason they created this array of " applicable regulations" is to be able to 1
impose backfits on future applicants and licensees. See 60 Fed. Reg. 17907, 17910 (1995). The staff would not be able to justify the imposition of backfits to these positions under Section 52.63 (a) unless the Commission were to give these positions the status of regulations. Thus, the transformation of these positions into " applicable regulations" is specifically intended to enable the staff to circumvent the restrictions on backfits in 10 CFR S 52.63. Furthermore, the staff deliberately drafted the " applicable regulations" using " broadly stated" provisions, thus giving the staff more flexibility to impose backfits. Eeg SECY 92-287A. Such " broadly stated" provisions are susceptible to new interpretations over time such that the staff could then use the " applicable regulations" and the provisions in 10 CFR S 52.63 (a) to require applicants and licensees to make backfits to conform with the staff's new interpretations without any justification based on adequate protection. The draft final rule does represent an improvemcnt over the proposed rule, in that the draft final rule would permit compliance backfits under the " applicable regulations" only if the staff were to satisfy a cost-benefit standard. Nevertheless, this improvement does not cure one of the basic flaws in the very concept of " applicable regulations". As discussed in the paper submitted to Chairman Jackson by EPRI on May 1, 1996, the concept of " applicable regulations" is inconsistent with the Commission's long-standing policies on advanced reactors. Furthermore, the cost-benefit standard in the draft final rule, though an improvement over the standard in the proposed rule, is still destabilizing and contrary to the goal of Part 52 of design staoility. Finally, many of the " applicable regulations" pertain to severe accident issues. Incorporation of these provisions into the rule as " applicable regulations" would enable the staff to impose backfits on the design to make it comply with the staff's new interpretations of these severe accident positions, even if they bear no relationship to adequate protection of the public health and safety. This result is in direct contrafiction to the Commission's goal in promulgating Part 52 -- namely, to provide stability for a standard design and predictability to the regulatory process. As a separate matter, the industry noted in its comments on the proposed design certification rules that some of the additional " applicable regulations" pertained to operational issues and did not address the standard design, and therefore requested that these requirements be deleted from the final rule. However, in the draft final rule these requirements were not deleted but instead were transferred to Section 4 of the rule. These requirements should be deleted entirely from the final 2
rule. Specifically, these requirements are not appropriate as
" applicable regulations" in Section 5 of the rule, as r " operational requirements" in Section 4 of the rule, or as provisions in the DCD. Therefore, they should be removed entirely from the final design certification rule for the ABWR.
In summary, GE believes that the Commission need not and should not identify free-standing additional " applicable regulations" in the design certification rule for the ABWR. The primary purpose of the " applicable regulations" is to enable the staff to impose destabilizing backfits on applicants and ; licensees, which is contrary to one of the fundamental purposes 1 of Part 52. Therefore, GE urges the Commission to reject the staff's proposal on " applicable regulations." l The Draft Final Rule's Finality Provisions ; Erode the Certainty and Predictability i Envisioned by Part 52 As discussed in our comments on the proposed design . certification rules, the concept of " finality" is central to I design certification and critical to the stability and predictability of the Part 52 licensing p,rocess. By finality, we mean that matters resolved by the design certification rule, and under the change procedure it prescribes, will not be reopened in later regulatory proceedings and will have the backfit protections specified in 10 CFR Section 52.63 (a) . In this regard, 10 CFR S 52.63 (a) (4) states that "the commission shall treat as resolved those matters resolved in connection with the issuance or renewal of a design certification," and Section 52.63 (a) prohibits backfits by the NRC except as necessary for compliance with the NRC regulations in effect at the time of certification or to achieve adequate protection of the public health and safety. In response to the comments received on the proposed design certification rules, the NRC appropriately took action to broaden the scope of issues accorded finality in the draft final design certification rule for the ABWR. However, the introduction of new positions in the draft final rule and in the workshop on May 2, 1996 continue to erode the certainty and predictability envisioned by Part 52. The draft rinal rule provides no Section 52.63 backfit protection for NRC approved changes, such as changes to Tier 1, Tier 2*, Tier 2 changes involving Unreviewed Safety Questions (USQs) and the Technical Specifications, or changes to Tier 2 made in accordance with the 50.59-like process. Additionally, the draft final rule provides no finality to the DCD in a design certification renewal proceeding. To ensure the stability and certainty of the licensing process under Part 52, GE believes that the scope of issues accorded finality and 3
l l l l l Section 52.63 backfit protection should be expanded to cover these issues. Each is discussed more fully below. First, the draft final design certification rule for the ABWR states that facility-specific changes to Tier 1, Tier 2*, l changes to Tier 2 that involve an USQ, and changes to the 1 Technical' Specifications will not be accorded finality and backfit protection under Section 52.63 (a) .1/ These changes, we would emphasize, are sanctioned by the certification rules -- for valid facility-specific purposes if made in accordance with j prescribed change processes that require prior NRC approval and a public hearing opportunity. GE believes that there are two l overwhelming reasons such changes should have finality under Section 52.63. First, the staff's proposal would have the effect l of applying a different backfit standard to different components within the scope of the ABWR standard design, i.e., unchanged components would be subject to Section 52.63 whereas modified components would be subject to Section 50.109.1/ Such a complex system would be unmanageable and have a high potential for confusion. Second, the staff's proposal would have the unintended consequence of discouraging the industry from making changes that increase the safety or effectiveness of the design. Therefore, to prevent unnecessary uncertainty and instability, and to retain the benefits of Part 52, the Commission should modify the draft final design certification tule for the ABWR to l accord finality under Section 52.63 (a) to changes that were i approved by the NRC and subject to an opportunity for public hearing. i 1/ See Statement of Considerations Paragraphs II.A.1 and II .B.7; Rule Sections 6 (b) (3) and 8 (b) (6) (1) ; and statements by the NRC deputy general counsel at the NRC workshop on May 2, 1996 (Tr. 62-63). 1/ The Section 52.63 and 50.109 standards are materially different. Section 52.63(a) allows the Commission to impose backfits only when it determines "in a rulemaking that a modification is necessary either to bring the certification or the referencing plant into compliance with the ' Commission's regulations applicable and in effect at the time the certification was issued, or to assure adequate l protection of the public health and safety." In addition to these criteria, Section 50.109 (a) (3) also allows backfits in l those situations where an analysis shows that there is a i
" substantial increase in the overall protection of the l public health and safety or the common defense and security to be derived from the backfit and that the direct and indirect costs of implementation for that facility are justified in view of this increased protection."
4
i l i 1 l Second, Section 6 (b) (3) of the draft final rule ; appropriately states that changes made in accordance with the ! S 50.59-like process have Section 52.63 backfit protection. l However, during the workshop on May 2, 1996, the NRC deputy general counsel stated that it may not be appropriate to give i such protection-to S 50.59-like changes (Tr. 42-47). GE believes ! that it is important to provide Section 52:63 backfit protection , to changes made under the S 50.59-like process. Such changes I would not adversely affect the safety of the standard design as approved by the NRC and are plainly within the envelope of the i NRC's safety finding, as the Statement of Considerations explanation for Section 6 (b) (3) makes clear. As such, they are entitled to finality and protection under Section 52.63 against backfits. Therefore, the Commissic". should continue to include a section 6 (b) (3) in order to provide finality to S 50.59-like changes. Finally, the draft. final design certification rule provides no finality for the DCD in design certification renewal proceedings, stating that it "would not be appropriate" to do so. The NRC staff confirmed this position at the May 2, 1996 workshop stating that a de novo review of the standard design was required at the design certification renewal stage. (Tr. 52-55). For the following reasons, GE strongly opposes this position. As explained in detail in the NEI comments, the. requirement for a de novo review is contrary to the basic structure for design certification renewal in the Commission's regulations. When the standard design is unchanged from the time of the design I certification, a de novo review of-the design is unnecessary at the time of renewal because the Commission has already determined at the design certification stage that the standard design complies with the Atomic Energy Act and the Commission's regulations "in effect at the time the certification was issued," as required by Section 52.59. If modifications have been made to the original certified design, Section 52.59 provides that the NRC is to review the changes based upon the provision in the i Atomic Energy Act and the Commission's regulations in effect "at j the time of renewal." Finally, if substantial changes in the ! design have been made such that the request for renewal essentially constitutes a request for approval of a new standard ' design, Section 52.59 states that a an application for a design certification shall be filed in accordance with SS 52.45 and 52.47 of this part." only in this later case, would a de novo ! review of the design be appropriate. Without the presence of substantial changes, a de novo review would be a wasteful expenditure of industry and NRC resources, and would also undermine the Part 52 goals for early resolution of licensing issues and providing a stable and ' predictable regulatory process. Furthermore, if a de novo review were to be required for renewal of a design certification, there 5 l l
Y would be no practical value to seeking renewal rather than applying for a new certification. We believe that a different renewal course should be adopted, one which is fully consistent . with the finality premise of Section 52.63 (a) . Renewal review ; should focus on: e Updated data and information in the renewal application, as described in NEI comments on the matter of design certification renewal; and o Modifications in the design certification, if any are proposed by the renewal applicant or by the NRC, l consistent with Part 52 requirements as described above. ; Should the Commission decide to defer addressing the matter of renewal review as suggested by Mr. Russell at the July 15, l 1996 public meeting, we urge that it do so on a basis, and with , an explanation, that does not preclude future consideration of , the scope of issue finality in the renewal process. ) i t Section 4 (c) Would Allow Unrestricted Backfits in Violation of the Finality Provisions of Part 52 Section 4 (c) of the draft final rule states that the NRC l reserves the right to impose requirements for facility operation l on holders of licenses referencing the design certification. In l SECY-96-077, the Statement of Considerations'for the draft final rule, and in meetings with the industry, the NRC staff has stated l that Section 4 (c) would enable the staff to impose backfits on the DCD based upon operating experience.1/ As such, this provision is totally inconsistent with Section 52.63 and the l purpose of Part 52. ( When the Commission issued Part 52, it made.the determination that the NRC should not be able to impose backfits on the design certification except as necessary for adequate i protection of safety or compliance with NRC regulations in effect l at the time of certification. This policy decision is embodied in Section 52.63 (a) . Section 4 (c), in effect, eliminates the protection provided by Section 52.63. The NRC would be able to use Section 4 (c) to impose backfits on the provisions in the DCD l by linking the backfit to operational experience. As a result, Section 4 (c) , as written, totally undercuts the fundamental l' At the meeting on July 15, 1996, the NRC staff stated that it was not their intent to impose backfits on the design. This intent is not reflected in the language of Section
- 4 (c) .
6
r i
- i l purposes of Part 52 -- namely, design stability and early ' l resolution of licensing issues. ,
i Section 4 (c) should be clarified by stating that it pertains j to matters outside the scope of the standard design and that, to j j the extent the Commission imposes new requirements that affect l
- information in the design certification, the backfit restrictions ;
} in Section 52.63 and Section 8 of the rule shall apply, i : i l 4 The Technical soecifications should Have Finality i l in the proposed design certification rules, the NRC proposed i that a plant that references a design certification would have
- l. two sets of technical specifications associated with its license.
- The first set of technical specifications would be based on
! Chapter 16 of Tier 2 of the DCD and'would be applicable to the i standardized portion of the plant, and the second set would be j those technical specifications applicable to the site-specific ,. portion of the plant. The staff also stated that each set of j technical specifications would be subject to a different change l process. The industry found this arrangement to be unnecessarily
; complex and believed it would inevitably lead to confusion on the j part of both licensees and NRC personnel who would be responsible j for implementing and overseeing the technical specifications. As
! a result, the industry submitted comments stating that there i should only be one set of technical specifications, and that this ! set should be subject to just one change process. I i The Statement of Considerations for the draft final rule :
- agreed that there.should be one set of technica1' specifications
- l. subject to one process. However, contrary to the industry's j intent, the draft final rule states that the technical specifications in the DCD will not have finality. GE believes l the Commission should provide finality to the technical j specifications in the DCD.
l At the request of the NRC staff, GE spent considerable time i ) and resources preparing technical specifications for the ABWR. L Similarly, the NRC expended substantial effort reviewing the technical specifications, and the technical specifications were l
- explicitly approved in the NRC's Final Safety Evaluation Report ,
4 and the Final Design Approval. By definition, the technical snecifications are a " matter resolved" under Section 52.63 and are entitled to finality. It is contrary to both the purpose of Part 52 and administrative efficiency to subject these technical i specifications to re-review and re-litigation in license l application proceedings. GE is particularly concerned with the staff's comments . during the May 2, 1996 workshop that it does not want to provide l finality to the technical specifications because it wants to be 7 l l
able to impose changes to account for subsequent operating experience. This position is contrary to the Commission's policy decision in part 52 that matters approved during design certification should not be subject to re-review and re-litigation based upon subsequent operating experience, unless the stringent criteria in Section 52.63 are satisfied. Based on the above, GE supports NEI's proposal that the technical specifications in the DCD shall have finality and be used by a license applicant to develop a single, integrated set of technical specifications for submittal with license applications. This integrated set of technical specifications would include the technical specifications in Chapter 16 of Tier 2, including any proposed changes, and the supplementary site-specific technical specifications developed by the applicant. To the extent the integrated technical specifications conform to those in the DCD, they would have finality and would not be subject to re-review or re-litigation. Thus only proposed changes and the site-specific portion of the technical specifications would be subject to NRC review and a hearing as part of the COL proceeding. After the license is granted, the technical specifications in the DCD would no longer have any relevance to the license, and there would be a single set of technical specifications that would be controlled by the Section 50.90 license amendment process and subject to the backfit provisions in Section 50.109. Thus, NEI's proposal provides for finality of the approved technical specifications in the DCD and ensures creation of a single set of technical specifications subject to a single change process. This approach is consistent with the goals of early issue resolution, standardization, and licensing stability, and also creates a workable product for use by licensees and the NRC during operations of a plant. In summary, after requiring GE to prepare the technical specifications, and after approving the technical specifications, it would be totally inconsistent with Part 52 to deprive the technical specifications of finality. Both equity and the goals of Part 52 demand that the technical specifications be afforded finality -- similarly to the rest of the DCD. The Change Process As Applied to Severe Accidents Is Unnecessary, Inacorocriate, and Undulv Burdensome In our comments on the proposed design certification rules, GE strenuously objected to the change process as it relates to the severe accident information contained in Chapter 19 of the DCD. GE agreed with the industry that it was inappropriate to apply the change process to all of the evaluations in Chapter 19, and instead recommended that the change process with respect to 8
1 severe accidents be limited to the important features identified ,
'in Section 19.8 for the ABWR and Section 19.15 for the System ;
80+. Alternatively, if the NRC were to make all of Chapter 19 i subject to the S 50.59-like change process, the industry ; recommended that all of Chapter 19 be subject to the standards i applicable to severe accidents rather than the standards l applicable to design basis accidents. In issuing the draft final ~ ; rules, the staff rejected the industry's comments. The draft i final rules state that all of the evaluations of severe accidents i and beyond-design-basis-accidents in Chapter 19 will be subject to the standards applicable to design basis accidents, except for those evaluations in Section 19E for the ABWR and Section 19.11 ! for the System 80+. For these sections, a change would constitute an USQ only if there is a " substantial increase" in the probability or consequences of the accidents evaluated therein. Chapter 19 contains evaluations of severe accidents and other conditions of extremely low probability that are bey,ond the design basis. Under the staff's proposal in SECY-96-077,1 changes in Chapter 19 (except for changes in Section 19E for the ABWR) causing minor increases in probability or consequences for these accidents will constitute unreviewed safety questions and require license amendments and opportunities for public heating without a commensurate safety benefit. Given the extremely low probability of the severe accidents throughout Chapter 19, it is inappropriate to subject this information to the.same change process as design basis information. The staff's proposal is not necessary to protect safety because a small increase in probability or consequences of a severe accident would have no adverse impact on safety, and would not affect the NRC's safety finding. Furthermore, the staff's proposal would impose undue administrative burdens on the NRC and licensees because it would require a license amendment for such changes. Consequently, the Commission should modify Section 8 (b) (5) of the rule to apply the
" substantial increase" standard to all of Chapter 19.
The Rule Should Incorporate All Substantive Provisions From the DCD Introduction In our comments on the proposed design certification rule, we specifically requested the Commission to incorporate the substantive provisions of the DCD Introduction in the final design certification rule. GE's position was based on the 1/ During the meeting on July 15, 1996, senior NRC management appeared to agree with the industry that all of the severe accident and beyond-design-basis accidents evaluations in Chapter 19 should be subject to the " substantial increase" standards. 9
extensive eftort that had been expended by both GE and the staff in developing the DCD Introduction, and the fact that it had been reviewed and approved word-for-word by the staff and the Office of General Counsel (OGC) . In response, the staff modified the draft final rule to include some provisions from the DCD Introductions. However, in some cases, the wording of these provisions was modified from that provided in the DCD j Introduction. Further, there were other instances where the substantive provisions from the DCD Introduction were not incorporated at all in the draft final rule. GE is concerned that the staff's response does not address the fundamental point of our comments -- that the DCD Introduction contains substantive provisions for interpreting and controlling the DCD that should be given the force of a regulation. The failure of the staff to incorporate all of the substantive provisions from the DCD Introduction into the rule will create the potential for needless confusion and conflict in the future. Therefore, GE continues to urge the Commission to adopt the language in the DCD Introduction as jointly agreed upon by the industry, the staff and OGC in 1994, except where a language change is called for to be consistent with changed provisions in the final rules (i.e., provisions dealing with the finality status of proprietary and safeguards information, and with the time of ITAAC expiration for regulatory purposes). Based upon the staff's statements et the meeting on July 15, 1996, we understand that the staff now agrees to do so. The Commission Should Not Foreclose Referencing l Of the Desian Certification By Part 50 Applicants The industry's comments on the proposed rules stated that a Part 50 license applicant should be able to reference a design certification. The basis for this position was the explicit provisions in Part 52 which recognize the ability of a Part 50 applicant to reference a design certification. Additionally, the industry believes it is important to retain the Part 50 licensing option as a fall-back alternative in the event that the Part 52 process proves diffjcult or impossible to implement. Seg NEI comments on the proposed rules at Section X. Nevertheless, the draft final design certification rule appears to provide the Commission the option to remove altogether j l l a Part 50 applicant's ability to utilize the design
- certification. Such a position is contrary to the explicit l provisions in Part 52. As a result. GE requests that the i Commission reiterate that the design certification may be used by a Part 50 applicant, with only the manner of such usage to be ]
determined at a later time. Based upon the statements by the staff at the meeting on July 15, 1996, we understand that the staff agrees. l l 10 ! I l
( In Reconciling the Differences Between the Two Proposed l Rules, the NRC Staff Inappropriately Expanded Matters l Subiect to Tier 2* Chance Restrictions After First Full Power ! ~ In the industry comments'on the notice of proposed rulemaking, it was noted that NRC staff had treated the two designs inconsistently. Specifically, the DCD Introduction for the ABWR certified design continued the Tier 2* change restrictions after first full power for equipment seismic i qualification methods and for reactor core acceptance criteria, however, similar restrictions were not imposed in the DCD Introduction for the System 80+ certified design. As a result, j the_ industry comments requested that the final rule recognize l that'all Tier 2* change restrictions should expire at first full 1 power for both certified designs, and also requested NRC staff to modify the DCD Introduction for both certified designs to provide i for consistent treatment of the Tier 2* change restriction expiration period. Although the NRC staff claims to have resolved this discrepancy in the draft final rules for both certified designs, the inconsistencies remain. As noted above, the Tier 2* change restrictions will remain in effect after first full power for holders of a combined license for the ABWR certified design in the areas of fuel licensing acceptance criteria and control rod licensing acceptance criteria. Neither of these matters remain subject to Tier 2* change restrictions after-first full power for holders of a combined license for the System 80+ certified design. It is also unclear whether there is a difference, and if so what the difference entails, between the continuation of the Tier 2* change restrictions on control room human factors performance for the System 80+ certified design versus human factors engineering design and implementation process for the ABWR certified design. The proposed Statements of Consideration in SECY-96-077 that
- would accompany the promulgation of the design certification rulemaking for both System 80+ and ABWR, noted that
# NRC agrees with NEI that expiration of Tier 2* information for the two evolutionary designs should be concistent, unless there is a design-specific reason for the different treatment.
SECY-96-077, htt. 1, at 11 IABWR), and Att. 5, at 11 (System 80+). The discrepancy involving equipment seismic qualification methodology was resolved the by NRC staff by continuing the Tier 2* change restrictions after first full power for both certified designs. However, the NRC staff did not articulate any need for i such a continued restriction for either certified design. i l 11 l
i i i Furthermore, there.is no reason to retain the discrepancy regarding acceptance criteria for fuel and control rods. The existing controls on Tier 2 changes will ensure that, after initial start-up, any change in the criteria which adversely affects' safety will be subject to prior NRC approval. . In sum, as noted in industry's comments on the notice of proposed rulemaking, the continuation of the Tier 2* change restrictions after first full power should be consistent between the two certified designs, i g2, all such restrictions should
. expire.
GE Endorses NEI's Comments on Other Issues GE fully-supports and endorses NEI's comments on the draft final design certification rules, including its comments on topics not explicitly discussed above. In particular: e There is substantial merit in the industry proposal to ! allow design certification applicants to make Tier 2 I changes using the 50.59-type change process prior to submission of the first referencing license application. If the Commission decides to defer this matter, the Statement of Considerations should be i modified to reflect NRC openness to consideration of a j post-design certification change process and related 1 issues after issuance of the design certification rule.
- The Tier 2* provisions should expire at first full power. i I
e The Statement of Considerations should be reworded to clarify that only relevant and material quality assurance deficiencies may be considered in verifying l compliance with an ITAAC. Uonclusions The industry and NRC are nearing completion of the design approval and certification process for the ABWR design. This project has been a technical success in that the ABWR is the safest and most standardized design ever approved by the NRC. Unfortunately, a number of process provisions included in the draft final design certification rule for the ABWR are inconsistent with the basic objectives of Part 52. Specifically, deficiencies with respect to issue finality and needed backfit protections, as described herein, undermine the Part 52 goals of design stability and licensing predictability, thereby undermining the rule's value to potential customers. GE urges the Commission to modify the draft final rule as recommended in 12
1 t l l 1 1 these comments and in the companion comments submitted by the ; Nuclear Energy Institute, i 1 I 1 l i l I I I l l 13
4 9 F h ATTACHMENT B GE's SUGGESTED REVISIONS TO THE . LANGUAGE OF THE DRAFT FINAL DESIGN CERTIFICATION RULE FOR THE ABWR j This attachment provides GE's nuggested changes to the language of the draft final design certification rule for the ABWR. This attachment identifies GE's suggested additions and deletions. Each change has an associated ; footnote which explains GE's reasons for the change. I Attachment B l 1
~
t i Appendix A To Part 52--Design Certification Rule for the U.S. Advanced Boiling Water Reactor
- 1. Introduction.
-Appendix A constitutes the standard design certification for the U.S. Advanced Boiling Water Reactor (ABWR) design, in accordance with 10 CFR Part 52, Subpart B. The applicant . for certification of the U.S. ABWR design was GE Nuclear Energy. .
- 2. Definitions.
As used in this ps.rt: (a) Generic design control document (generic DCD) means the document that contains the generic Tier 1 and Tier 2 information that is incorporated by reference into this appendix. (b) Plant-specific DCD means the document, maintained by an applicant or licensee who references this design certification rule, consisting of the information in the generic DCD, as modified and supplemented by the plant-specific departures and exemptions made under Section 8 of this appendix. (c) Tier I means the portion of the design-related information contained in the generic DCD that is approved and certified by this j design certification rule (hereinafter Tier 1 information). -E-T-he i decign deceriptions, interfacc requirements, and cit: parc=ctcrc arc derived frc= Ticr 2 infer =ction.] Tie,r : information includes: (1) Definitions and general provisions; (2) [Decign) Certified desian2 descriptions;
. (3) Inspections, tests, analyses, and acceptance criteria (ITAAC);
_(4) Significant site parameters; and (5) Significant interface. requirements. The certified desian desemiotions. sianificant interface l' reauir eents. and sianificant s:.te carameters are derived from l 3 This language is replaced by language provided telow to conform with ) the provisions in the DCD Introduction. 333 dgI Comments, S VI. ' 2 This addition clarifies that Tier 1 includes only the certified
- design descriptions.
2 Attachment B l
r Tier 2 information, but may be more general than the provisions in Tier 2. Compliance with the more detailed Tier 2 material provides l a sufficient, but not the only acceptable, method for complying j with the more ceneral provisions in Tier 1 (including the ITAAC). Compliance methods differing from Tier 2 material must satisfy the chance process provisions specified in Section 8(b), and such dif ferences shall not negate a COL applicant's or holder's ceneral recuirement to reference Tier 2 when referencina Tier 1. i l The Desien Deecriptions in Tier 1 pertain oniv to the design of structures, systeu , and components of the ABWR standard plant and not to their operation, maintenance, and administration. In the event of an inconsistency between Tier 1 and Tier 2, Tier 1 shall covern. Design activities for structures, systems, and components outside the scope of the ABWR standard design may be l performed using site-specific design parameters.' l l l (d) Tier 2 means the portion of the design-related information contained in the generic DCD that is approved but not certified by this design certification rule (hereinafter Tier 2 information). [ Compliance with Ticr 2 ic required, but gencric changcc to and ) plant apccific departurcc frcm Tier 2 are governed by Ccction S of . thic appendix.] ' Tier 2 information includes: l l (1) Information required by 10 CFR 52.47 [, with the exception of technical opccificationc and conccptual decign information] ; (2) Information required for a final safety analysis report under 10 CFR 50.34; l l l (3) Supporting information on the inspections, tests, and analyses that will be performed to demonstrate that the acceptance criteria in the ITAAC have been met [; and) . Compliance with Tier 2 is a sufficient, but not necensarily the only, method for l comp 1vina with the ITAAC. The provisions and methods specified in , Tier 2 shall be followed unless a chance is made in the plant- l specific DCD in accordance with the chance processes specified in the design certification rule for the ABWR; * ! ['t) Combined licence (COL} action itemc (CCL licence 2 Thece additions reflect provisions in the DCD Introductic7 that have been approved by the NRC. These provisions are needed i? the NRC does not incorporate the DCD Introduction into the d wign certification rule. See NEI Comments, S VI. 4 This language was deleted because it is not consistent with the DCD Introduction. SLq NEI Comments, S VI. 8 This language was added to clarify the role of Tier 2 information in complying with the ITAAC, as provided in the DCD Introduction. See NEI Comments, S VI. 3 Attachment B i
1 l 1 l infer = tion)] (4) Combined Licence (COL) Information Items, which l identify certain matters that '.ch:11 bc addrecccd in the cite specific pcrtion of the final cafety analycic repcrt by an applicant who refcrcnccc thic appendix. Thecc ite=0 constitute infor=: tion requircm:nt but de not otherwice constitute cubstantiec rcquirc=cnts for judging the adcquacy of the infer =: tion cubmitted] need to be add:ressed by an acolicant or licannee referencina the desian certif:. cation rule for the ABWR. T2e ourpose of these COL License Information Items is to . dent:.fy t se tvoe of in:!ormation that must be addressec. in clant-soeci:!ic Desian co 2tro: Docn==nts (DCD) that reference t 2e des:.an certificat:.on rule for the ABWR. T 2ese COL License I 2 format:.on It- d ,o not estab: .ish reauirements: rat ser thov id entify an acconta sie set of in:!ormation, but not the oniv accepta 3:.e set of information, for ine:.usion in a clant-soecific DCD. An soclicant may d< sv'. ate from or a=Lt t 2ese COL License In:!ormation Itens, orovid.e6 that the deviation or a=ission is identif:.ed and iustif:.ed in the clant-soecific DCD. Af ter issuance of a construction cornit or license, the COL License Information Items have no furt:2er effect to that 1:.censeer instead, the correspondina provisions in the clant-soecif:.c DCD are acclicabler (5) Proposed technical aloecifications for the nortion of the cla:2t within the scope of t se staadari desian. These crocosed tec 2nical specifications are acol:. cab:.e to an anolicant 1or a ca=%:.ned license or operat:.no license referencina this d,esian cert:,ficat:.on rule, and shall be incoroorated in the tec:2nical spec:.f:. cat:.ons in the license, except as chanced oursuant to the orov:.s:.ons in Section 8 of t 2is desian cort:.f:.catior rule that acolv to chances to Tier 2 informat:.on . C 2anaes in t 2e crocosed technical soecificat:.ons by a license acol:. cant are subiect to NRC review and accrova: and a hearina as cart of the 1:. cense croceedina. After issuance of the c +1ned lic<ense or operatina lice:2se , the crocosed technical soec:.f:. cat:.ons :.n Tier 2 have no furt:2er effect as to that licensee, and the technical specifications in the license become effective. (61 References to the ABWR Standard Safety Analysis Report, which a sell not be construed as incorooratina these sections, or
- These changes and additions reflect the provisions in the DCD Introduction, modified to conform to final rule provisions, which ;
have been approved by the NRC. These provisions are necessary if ! the NRC does not incorporate the DCD Introduction by reference into l the design certification rule. 331 NEI Comments, $ VI. 7 This paragraph was added to indicate that the Chapter 16 technical Specifications will remain part of Tier 2 of the design i certification. g.gg NEI Comments, 5 II-4 Attachment B l
the information therein, in Tier 2. 8 1 (e) Tier 2
- means the portion of the Tier 2 informationfr designated ac cuch in the gencric 0C0, which is cubject tc the changc procco,r in Ocction O(b)(C) cf thic appendix. Thic designation expircc for ccmc] which cannot be chanced without prior NRC acoroval by letter or other written document. This information is identified in the DCD. The restrictions on chances
.li2, Tier 2' information -{purcuant to Ocction O (b) (S)] expire at first full power for a plant that references this desian certification rule. Thereaf ter, chances to the Tier 2' information shall be controlled in the same manner as chances to other Tier 2 inf ormation ."
(f) All other terms in this appendix have the meaning set out in 10 CFR 50.2, 10 CFR 52.3, or Section 11 of the Atomic Energy Act of 1954, as amended, as applicable.
- 3. Scope and contents of this design certification.
(a) [Ticr 1 and Ticr 2 in thc] 3,'h,g U . S . ABWR Design Control Document, GE Nuclear Energy, Revision [ arc approved for] is incorporated by reference. This incorporation by reference wy coproved by the Director of the Office of the Federal Register on
; Insert date of approval) in accordance with 5 U.S.C. 552 (a) and 1 CFR Part 51. Copies of the generic [OCO may bc chtaincd from
[Inscrt namc and addreco of applicant or Organization designated by thc applicant)) U.S. ABWR DCD may be purchased from National Technical Information Service, Sprinafield, VA 22161." Copies are also available for examination and copying at the NRC Public Document Room, 2120 L Street NW. (Lower Level) , Washington, DC 20555, and for examination at the NRC Library, 11545 Rockville Pike, Rockville, Maryland 20582-2738. (b) An applicant or licensee referencing this appendix, in accordance with Section 4 of this appendix, shall comply with the requirements of this appendix, including Tier 1 and Tier 2, except as otherwise provided in this appendix. (c) If there is a conflict between Tier 1 and Tier 2 of the 1
- These additions reflect the provisions in the DCD Introduction which have been approved by the NRC. These provisions are necessary if the NRC does not incorporate the DCD Introduction by reference into the design certification rule, gag NEI Comments, S VI.
l
' This addition clarifies that only NRC approval is required for I changes to Tier 2* and also indicates that all Tier 2* restrictions expire at first full power. See NEI Comments, S VII.
This change identifies the organization from which the DCD may be purchased. l 5 Attachment B l l I - 1 i
i DCD, then Tier 1 controls. (d) If there is a conflict between the generic DCD and either . the application for design certification for the U.S. ABWR design - or NUREG-1503, " Final Safety Evaluation Report related to the ! Certification of the Advanced Boiling Water Reactor Design," dated , July 1994 (FSER) and any supplements thereto, then the generic DCD i controls. l (e) [ Conceptual design information and gencric technical specificatienc, := cet fcrth in the generic DCD, are not part of ; thic appendin.] As provided in 10 CFR 52.47 f a) (1) (ix) , concentual desicma orovided for t 2ose nortions of the c:. ant outside tae scone I of She ABWR standard des:.an are not mart of the desian ! cert:.ficat:.on ru: .e for the ABWR standard dos:.on, and.do not impose_ i reau:.r===nts ano'..icable to a iconse, nor to an apol:. cation for a license, that references the c.esian certification ru:.or "
- 4. Applications and licenses referencing this design certification:
additional requirements and restrictions. (a) An applicant for a combined license that wishes to reference this Appendix shall, in addition to complying with the requirements of 10 CFR 52.77, 52.78, and 52.79, comply with the following requirements: (1) Incorporate by reference, as part of its application, this appendix; (2) Include, as part of its application: (i) A plant-specific DCD containing the same information and utilizing the same organization and numbering as the generic DCD for the U.S. ABWR design, as modified and supplemented by the , applicant's exemptions and departures; (ii) The reports on departures from and updates to the plant- , specific DCD required by Section 10 (b) of this Appendix; i (iii) Technical specifications for the plant that are required by ) S 50.36 and S 50.36a; i (iv) Information demonstrating compliance with the site parameters and interface requirements; (v) Information that addresses the COL (action itcmcl M,9,ggg3 Information Ita==, includine iustifications for any deviations from
" This change provides additional clarification regarding the use of i conceptual design information, as provided in the DCD Introduction. !
Egg NEI Comments, S VI. 6 Attachment B
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NEI Comments, 5 VI. I f l 7 Attachment B I i
'") Ccncidcrc the dominent failure .cdec, inccrpcratcc the risk insights, and prccervec the hcy accu =pticnc identificd in paragraph r , r , s
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l l ! (c) Facility operation is not.within the scope of this appendix,. and the Commission reserves the right to impose requirements for facility operation on holders of licenses referencing this appendix by rule, regulation, order, or license condition; crovided, l however, that to the extent the C-4 saio:2 :mooses new reauirements af fectina information in the des:.an cert:.f:aatior, it must satisfy the reauirements of 10 CFR Section 52.63 and Sect:.on 8 of the rule. 13 I (d) The Commission reserves the right to determine [=hether, and) in what manner this appendix may be referenced by an applicant l for a construction permit or operating license under 10 CFR Part
- 50.
l- ]' [ f n These provisions relate to the " applicable regulations," which ! should be deleted from the rule. 3.3% NEI Comments, 55 III and IV.E. - i j Id. I " This addition is necessary to conform with 10 CFR S 52.63. g.q.n NEI i Comments, 5 III. t i 8 Attachment B j f i i y g - --r,4 c-. -
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- 5. Applicable regulations.
(a) Except as indicated in [paragraphc' paracraoh (b) -{end j 4eH- of this section, the regulations that apply to the U.S. ABWR l design are in 10 CFR Parts 20, 50, 73, and 100 codified as of 1 l [ insert the date 30 days after the publication date) that are i I applicable and technically relevant, as described in the FSER and 1 any asrociated supplements. t (b) The U.S. ABWR design is exempt from portions of the i following regulations, as described in the FSER (index provided in Section 1.6 of the FSER) : 1 (1) Paragraph (f) (2) (iv) of 10 CFR 50.34 - Separate Plant L Safety Parameter Display Console; (2) Paragraph (f) (2) (viii) of 10 CFR 50.34 - Post-Accident Sampling for Boron, Chloride, and Dissolved Gases; (3) Paragraph (f) (3) (iv) of 10 CFR 50.34 - Dedicated Containment Penetration; and 1 (4) Paragraph VI (a) (2) of 10 CFR Part 100, Appendix A - Operating Basis Earthquake Design Consideration.
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- 6. Issue resolution for this design certification.
(a) The- Commission has determined that the structures, systems, components, and design features of the U.S. ABWR design comply with the provisions of the Atomic Energy Act of 1954, as amended, and the applicable regulations identified in Section 5 of this appendix, and.therefore, provide adequate protection to tne health and safety of the public. A conclusion that a matter is resolved includes the finding that additional or alternative structures, systems, components, design features, design criteria, testing, analyses, acceptance criteria, or justifications are not ; necessary for the U.S. ABWR design. (b) The Commission considers the following matters resolved wi. thin the meaning of 10 CFR 52.63 (a) (4) in subsequent proceedings for issuance of a combined license, amendment of a combined license, 4er+ renewal of a combined license, desian certification renewal proceedinas (as consistent with 5 6(e), infra)," proceedings held pursuant to 10 CFR 52.103, and enforcement
" This change deletes the " applicable regulations. " See NEI Comments, 5 IV.
" This change clarifies that finality is also accorded in design certification renewal proceedings, as consistent with 5 6 (e), infra.
' S.e.e NEI Comments, 5 I.D. i' l 12 Attachment B
1 proceedings Nhcrc thecc procccdingc] involvina plants that is reference this appendix: l (1) All nuclear safety issues associated with the information in the FSER and any associated supplements, the generic DCD : (including referenced information which the context indicates is l intended as requirements), and the rulemaking record for i certification of the U.S. ABWR design; i (2) All nuclear safety and safeguards issues associated with the information in proprietary and safeguards documents referenced ! and in context is intended as requirements in the generic DCD for ] the U.S. ABWR design; (3) [Except cc provided in Ocction 3 (b) (5) (vi) cf thic appendix, cll departurcc frcm Ticr 2 purcuent to end in complicacc with the chcnge procccccc in Ccction S (b) (5) of thic cppendix thct dc not rcquirc prior "RC cpproval,3 All chances to Tier 1, Tier 2* and Tier 2 made in accordance with the chance process in Section g
)
(4) All environmental issues concerning severe accident design ' alternatives associated with the information in the NRC's final environmental assessment for the U.S. ABWR design and Revision 1 of the Technical Support Document for the U.S. ABWR, dated December 1994, for plants referencing this appendix whose site parameters are within those specified in the Technical Support Document. If an exemption is soucht from a site parameter in the Technical Support Document, a severe accident desian alternative will continue to have finality in all subseauent proceedinos sbsent a showina that the exemotion has an adverse impact on the specific severe accident desian alternative evaluation. * (c) Except in accordance with the change processes in Section 8 of this appendix, the Commission may not require an applicant or licensee who references this appendix to: (1) Modify structures, systems, components, or design features as described in the generic DCD; 1 l
" This change clarifies that finality applies to plants, not l proceedings. Egg, NEI Conaents, 5 I.E. j 8 This change clarifies that changes to Tier 1, Tier 2* and Tier 2 are accorded finality if the changes are made in accordance with the change process. Egg NEI Comments, 5 I.
2o This addition clarifies that severe accident design alternatives (SAMDA) retain finality when an exemption has been issued for a technical support document site parameter absent a showing that the exemption has an adverse impact on the SAMDA. Egg NEI Comments, S I.F. 13 Attachment B l
(2) Provide additional or alternative structures, systems, components, or design features not discussed in the generic DCD; or (3) Provide additional or alternative design criteria, testing, analyses, acceptance criteria, or justification for structures, systems, components, or design features discussed in the generic DCD. (d) Persons who wish to review proprietary and safeguards information or other secondary references in the DCD for the U.S. ABWR design, in order to request or participate in the hearing required by 10 CFR 52.85 or the hearing provided under 10 CFR I I 52.103, or to request or participate in any other hearing relating to the certified design in which interested persons have adjudicatory hearing rights, shall first request access to such , information from GE Nuclear Energy. The request must state with l particulari ty: 1 (i) the nature of the proprietary or other information sought; i (ii) the reason why the information currently available to the public in the NRC's public document room is insufficient; (iii) the relevance of the requested information to the hearing issue (s) which the person proposes to raise; and (iv) a showing the requesting person has the capability to understand and utilize the requested informe. ion. (3) If a person claims that the information is necessary to prepare a request for hearing, the request must be filed no later than 15 days after publication in the Federal Register of the notice required either by 10 CFR 52.85 or 10 CFR 52.103. If GE Nuclear Energy declines to provide the information sought, GE Nuclear Energy shall send a written response within ten (10) days of receiving the request to the requesting person setting forth with particularity the reasons for its refusal. The person may then request the Commissicn (or presiding of ficer, if a proceeding has been established) to order disclosure. The person shall include copies of the original request (and any subsequent clarifying information provided by the requesting party to the applicant) and the applicant's response. The Commission and presiding officer shall base their decisions solely on the person's original request (including any clarifying information provided by the requesting person to GE Nuclear Energy), and GE Nuclear Energy's response. The Commission and presiding officer may order GE Nuclear Energy to provide access to some or all of the requested information, subject to an appropriate non-disclosure agreement. (e) An acolicant for desian certification renewal shall update 3;he application for design certification. The update shall consist of an amendment of Table 1.8-22 of Tier 2 for the ABWR to identify 14 Attachment B
relevant experience between the time of certification and the renewal application. For each relevant experience, the updated application shall explain whether the standard design adequately accounts for the new experience and, if not, whether the new experience indicates a need for a chance in the standard design in order to (1) provide adequate protection of the public health and , safety, (2) ensure compliance with NRC regulations in ef fect at the l time of the original certification, or (3) provide a substantial, cost iustified increase in safety under 10 CFR 52.59. The NRC review of the renewal application will be limited to the updated i data and information and any modifications proposed by the renewal l applicant. "
- 7. Duration of this design certification.
This design certification may be referenced for a period of 15 years from [ insert the date 30 days af ter the publication date) , except as provided for in 10 CFR 52.55 (b) and 52.57(b). This design certification remains valid for an applicant or licensee who references this appendix until the application is withdrawn or the license expires, including any period of [cxtended] operation under a renewed license.
- 8. Processes for changes and departures.
(a) Tier 1 information. (1) Generic changes to Tier 1 information are governed by the requirements in 10 CFR 52.63 (a) (1) . (2) Generic changes to Tier 1 information are applicable to all plants referencing the design certification as set forth in 10 CFR 52.63 (a) (2) . (3) Departures from Tier 1 information that are imposed by the Commission through plant-specific orders are governed by the requirements in 10 CFR 52. 63 (a) (3) . (4) Exemptions from Tier 1 information are governed by the requirements in 10 CFR 52.63 (b) (1) and S 52.97(b). (b) Tier 2 information. (1) Generic changes to Tier 2 information shall be governed by the same requirements in 10 CFR 52. 63 (a) (1) that govern generic changes to Tier 1. (2) Generic changes to Tier 2 information are applicable to a' This addition is made to clarify the scope of the renewal application and the staff's reva
- g.ge NEI Comments, 5 I.D.
15 Attachment B
all plants referencing the design certification as set forth in 10 CFR 52.63 (a) (2) . (3) The Commission may not impose new requirements on Tier 2 by plant-specific order while the design certification'is in ef fect under SS 52.55 or 52.61, unless: (i) A modification is necessary to secure compliance with the Commission's regulations applicable and in effect at the time the certification was issued [, as cet fcrth in Ocction 5 cf thic
'ppendin,] " or to assure adequate protection of the public health and safety or the common defense and security; and (ii) Special circumstances as defined in 10 CFR 50.12 (a) are present.
(4) An applicant or licensee who references the design certification may request an exemption from Tier 2 information. The Commission may grant such a request only if it determines that the exemption will comply with the requirements of 10 CFR 50.12 (a) . [The granting of such an ncmpticn must be cubject tc litigation in the c;=c =cnner Oc cther iccucc in the cc=bined licence hearing.]
- ssuance of the ex==" tion to a COL anolicant must be subiect to
.itication durin<w the comb:.ned license croceedino in the same ==nner as other .ssues material to that proceedina. Issuance of the ex==nt:.on to a licensee must be sub- ect to an occortunity for a hearina :'n the same manner as other 1:. cense amendments."
(5) (i) An applicant or licensee who references the design certification may depart from Tier 2 information, without prior NRC approval, unless the proposed departure involves a change to or departure from Tier 1 information, Tier 2* information,. or the technical specifications, or involves an unreviewed safety question as defined in paragraphs (b) (5) (ii) and (b) (5) (iii) of this section. When evaluating the proposed departure, an applicant or ~ licensee shall consider all matters described in the plant-specific DCD. (ii) A proposed departure , from Tier 2, [cther th:n enc affecting] except as to its effect on t:2e resolution of a severe accident or bevond (esian basis aceitent issue identified in [Ocction 10E] Chapter 19 of the plant-specific DCD, [ including attachv.cnt: E.'. through EE], [invcivcc) shall be deemed to involve an unreviewed safety question if: 22 - This change reflects the deletion of the additional " applicable regulations." 211 NEI Comments 5 IV. 22 This addition clarifies the hearing requirements associated with issuance of an exemption to Tier 2 information. Reg NEI Comments, 5 XI. 16 Attachment B
(A) The probability of occurrence or the consequences of an accident or malfunction of equipment important to safety previously evaluated in the plant-specific DCD may be increased; (B) A possibility for an accident or malfunction of a different type than any evaluated previously in the plant-specific DCD may be created; or (C) The margin of safety as defined in the basis for any technical specification is reduced. (iii) A proposed departure from Tier 2 affecting resolution of a severe accident or bevond desian basis accident issue .sdentified in [Scction 10E cf the plant specific DCD, including att ch=cnt: E.'. thecugh EE,) Chanter 19 of the clant-soecific DCD involves an unreviewed safety question if: (A) There is a substantial increase in the probability of a severe accident or bevond desian basis accident 2'such that a particular severe accident or bevond desian basis accident previously reviewed and determined to be not credible could become credible; or (B) There is a substantial increase in the consequences to the public of a particular severe accident or bevond desian basis accident previously reviewed. (iv) If a departure involves an unreviewed safety question as defined in paragraph (b) (5) of this section, it is governed by 10 CFR 50.90 and 50.92. (v) A departure from Tier 2 information that is made under paragraph (b) (5) of this section, or a decaTture from Tier 2*_ information that does not involve an imreviewet safety auestion, " does not require an exemption from this Appendix. (vi) A party to an adjudicatory proceeding for either the issuance, amendment, or renewal of a combined license -or for ' operation under 10 CFR 52.103 (a) , who believes that an applicant or licensee has not complied with paragraph (b) (5) of this Section ' when departing from Tier 2 information, may petition to admit into j the proceeding such a contention. In addition to ccupliance with the general requirements of 10 CFR 2.714 (b) (2) , the petition must ; I 24 This change clarifies that all of Chapter 19 should be subject to the " substantial increase" standard in the change process. p3a NEI l Comments, S V. 25 This change provides that an exemption is not required for departures from Tier 2* that do not involve a USQ. j,gg NEI Comments, S XI.C. 17 Attachment B i t - _ _ _ _ . m e -w, . . < - . - _ , - , c- ,. - - - - , - - ,, _ -. , . . , , - - , -
, w
1 4 demonstrate that the departure does not comply with paragraph (b) (5) of this Section. Further, the ostition must demonstrate M chanae bears directly on an asserted noncomoliance wit: 2 an ITAAC accootance criterion in the case of a Section 52.103 ore-operation =: hearina, or that the chance bears directly on the ===nd==nt reauest in the case of hearinas on a license ame:2dment." Any other party may file a response thereto. If, on tne basis of the petition and any response, the presiding officer determines that a sufficient showing has been made, the presiding officer shall certify the matter directly to- the Commission for determination of the admissibility of the contention. The Commission .may admit such a contention if it determines the petition raises a - genuine issue of material27 fact regarding compliance with paragraph (b) (5) of this section. (6) (i) An applicant.[fer: or holder of a combined license may not, before first. full power, depart from Tier 2* information, which is designated with italicized text or brackets and an-asterisk in the ceneric DCD, without prior NRC approval. Af ter the olant first achieves full power, Tier 2* determination exoires and
- 2as no further effect as to that licensee.
(ii) A decarture from Tier 2* information that does not involve an unreviewed safety auestion as def:.ned .n caraaraoh (b) (5) of this " section does not reauire an exemotion from this &ERSD$15 [The departurc will not be concidered ; rccclved iccuc, within the = caning Of Ocction C cf thic appendin and 10 CF" 52.C2 ( ) (0) . (ii) A hcider of a cc=hincd licence ::y not depart frc; the fcllcuing Ticr 2' = tters] [A requcct for ; departurc will be trc;ted ac ; rcqucct for a licence a:cndment under 10 CF" SS 50.00 c n d 5 0 . 9 2 .- 1 l (A) Squipment scicmic qualification =cthods. (") "iping dccign ccceptance critcria.
" This change clarifies that there must be a nexus between the asserted non-compliance and the subject of the proceeding. fit NEI Comments, 5 I.G. !
" This change clarifies that the alleged non-compliance must be I material. fit NEI Comments, 5 I.G. l 8 These changes reflect the expiration of Tier 2* information at first full power and clarify that departures from Tier 2* only require prior NRC approval; an exemption is not required for Tier 2* changes that do not involve an unreviewed safety question, fiq NEI Comments, 5 VII.
18 Attachment B
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l 19 Attachment B
. . . _ - . .-.. - . . _ ~ _ - - _ _ _
l l M (1) the f ailure to comply results in a cubstantial reduction in the protection of public hcalth and cafety or common dcfence and CCCurity, , I (2) the new requiremento provide a compencating incrcacc in protection not eneceding the Icvc1 cf protection originally embcdied in the additional applicabic regulation, and , s . (2) the direct and indirect cocts of implementation arc juctified j in vicu cf thic compencating increacc in protection.]29 ] l l
- (c) Other recuirements of this desian certification rule.
\ (1) Generic (rulemakina) chances to the provisions in this 4 Appendix are coverned by the recuirements of Subpart H of 10 CFR Part 2. j 4 (2) An applicant or licensee may request an exemption from the. J previsions in this Appendix in accordance with 10 CFR 50.12(a). " l i
- 9. Inspections, tests, analyses, and acceptance criteria (ITAAC). l (a) (1) An applicant or licensee who references the design j
certification shall perform and demonstrate conformance with the
- ITAAC before fuel load. With respect to activities subject to an ITAAC, an applicant for a COL may proceed at its own risk with design and procurement activities, and a licensee may proceed at its own risk with design, procurement, construction, and I
preoperational activities, even though the NRC may not have found
- that any particular ITAAC has been satisfied.
(2) The licensee shall notify the NRC that the required inspections, tests, and analyses in the ITAAC have been y successfully completed and that the corresponding acceptance criteria have been met. (3) In the event that an activity is subject to [an IT?J.C, and the applicant Or liccnocc has not dcmenctrated that the ITTJsC hac been caticfied, the applicant or licenccc may] and in noncompliani 3 i with an ITAAC, the applicant for or holder of a COL shall eiti.er take corrective actions to successfully complete that ITAAC-h-rcqucct an] or reauest and obtain NRC approval of a chanae in or
" This section is no longer required if the NRC deletes the
" applicable regulations." This section should be retained if the Commission adopts the " applicable regulations." See NEI Comments S IV.
" The addition of subsection (c) adds provisions specifying how changes can be made to the DCD Introduction. Egg NEI Comments, S VI.
20 Attachment B
1 1 l l exemption from the ITAAC in accordance with [Ccction S cf thic appendin and 10 CFR 52. 07 (b) , cr petition for rulc=ching to =cnd thic appendin by changing the requirc=cnt: cf-th: I T.'.'.C , under 10 CFR 2. 902 and 52. 07 (b) . Such rulc= king chcngcc tc the IT."'.C must =cct the rcquirc=cnt cf Ccction S (c) (1) cf thic cppendin] th}g desian certification rule for the ABWR.31 (b) (1) The NRC shall ensure that the required inspections, tests, and analyses in the ITAAC are performed. The NRC shall verify that the inspections, tests, and analyses referenced by the licensee have been successfully completed and, based solely thereon, find the prescribed acceptance criteria have been met. At appropriate intervals during construction, the NRC shall publish notices of the successful completion of ITAAC in the Federal Register. (2) In accordance with 10 CFR 52.99 and 52.103 (g) , the Commission shall find that the acceptance criteria in the ITAAC for the combined license are met before fuel load. (3) [*fter the Ccr=iccion hec :dc the finding required by 10 CFR 52.103 (g) , the IT'.".C dc not ccnctitute regulatcry requirc=cnte either for cubccquent plant =cdific: tion: during Operation, cr for renew:1 cf the cc=bincd licence. !!cwever, cubccquent =cdificatienc =uct.cc= ply with the Tier i :nd Ticr 2 design dcccriptienc in the plant cpecific DCC unlccc the licenccc hac cc= plied with th: pplicabic requirc=cnt: cf 10 CFR 52.07 and ccction S cf thic appendin.] After the Co==4ssion has made the findina reauired by 10 -CFR 52.103 (a) , ITAAC no lonaer const:.tute reaulatory reauirementss orovided that, as reaards specific ITAAC which are the sub- ect of a Section 103 (a) hearina, there exoiration shall occur upon f:.nal Ce-4 saion action in such croceedina. Iow< pver , subseauent modifications must comolv with the Tier 1 anc T:.er 2 desian descr:.o::.ons in the clant-soecific DCD unless the .icensee has cr- lied w:.th the acclicab:.e reauirements of Section 8 of this Annend:.x . "
- 10. Records and Reporting. ,
(a) Records. i (1) The applicant for this design certification rule shall ) maintain a copy of the generic DCD that includes all generic 3' This change clarifies that a COL applicant or holder may either ! request an exemption from an ITAAC requirement or obtain NRC approval to change NRC the ITAAC in accordance with the change process specified in the rule. Rulemaking is not required. 32 These changes are needed to conform with the provisions in the DCD Introduction. Sag,NEI Comments, S VI. l 21 Attachment B
changes to Tier I and Tier 2. The applicant shall maintain the proprietary and safeguards information referenced in the generic DCD for the period that this appendix may be referenced, as specified in Section 7 of this appendix. (2) i.n applicant or licensee who references this design certification shall maintain the plant-specific DCD to accurately reflect both generic changes to the generic DCD and plant-specific departures made pursuant to Section 8 of this appendix throughout the period of application and for the term of the license (including any period of renewal). (3) An applicant or licensee who references this design certification shall prepare and maintain written safety evaluations which provide the bases for the determinations required by Section 8(b) of this appendix. These evaluations must be retained throughout the period of application and for the term of the license (including any period of renewal). (b) Reporting. (1) An applicant or licensee who references this design certification rule shall submit a report to the NRC containing a brief description of any departures from the plant-specific DCD, including a summary of the safety evaluation of each. This report must be filed in accordance with the filing requirements applicable to reports in 10 CFR 50.4. (2) An applicant or licensee shall submit updates to its plant-specific DCD, which reflect the generic changes to the generic DCD and the plant-specific departures made pursuant to Section 8 of this appendix. These updates shall be filed in accordance with the filing requirements applicable to final safety analysis report updates in 10 CFR 50.4 and 50.71(e) . (3) The reports and updates required by Section 10 (b) (1) and (2) above must be submitted as follows: (i) On the date that an application for a combined license referencing this design certification rule is submitted, the application shall include the report and any updates to the plant-specific DCD. (ii) During the interval from the date of application to the date of issuance of a combined license, the report and any updates to the plant-specific DCD must be submitted annur . ly and may be submitted along with amendments to the application. (iii) During the interval from the date of issuance of a combined license to the date the Commission makes its findings under 10 CFR 52.103 (g) , the report must be submitted [ quarterly) 22 Attachment B
semi-annually.32 Updates to the plant-specific DCD must be submitted annually. (iv) After the Commission has made its finding under 10 CFR 52.103 (g) , reports and updates to the plant-specific DCD may be submitted annually or along with updates to the site-specific portion of the final safety analysis report for the facility at the intervals required by 10 CFR 50.71(e), or at shorter intervals as specified in the combined license. Dated at Rockville, Maryland, this day of , 1996. For the Nuclear Regulatory' Commission John C. Hoyle, Secretary of the Commission i l l l 1 l l l
" This chance reduces rne reporting burden by requiring reports only semi-annually.
23 Attachment B
l l ATTACHMENT C j 1 GE's PROPOSED DESIGN CERTIFICATION RULE FOR THE ABWR I l l Attachment C
Appendix A To Part 52--Design Certification Rule for the U.S. Advanced Boiling Water Reactor
- 1. Introduction.
Appendix A constitutes the standard design certification for the U.S. Advanced Boiling Water Reactor (ABWR) design, in accordance with 10 CFR Part 52, Subpart B. The applicant for certification of the U.S. ABWR design was GE Nuclear Energy.
- 2. Definitions.
As used in this part: (a) Generic design control document (generic DCD) means the document that contains the gen ric Tier 1 and Tier 2 information that is incorporated by refereace into this appendix. (b) Plant-specific DCD means the document, maintained by an applicant or licensee who references this design certification rule, consisting of the information in the generic DCD, as modified and supplemented by the plant-specific departures and exemptions made under Section 8 of this appendix. (c) Tier 2 means the portion of the design-related information contained in the generic DCD that is approved and certified by this design certification rule (hereinafter Tier 1 information). Tier 1 information includes: (1) Definitions and general provisions; (2) Certified design descriptions; (3) Inspections, tests, analyses, and acceptance criteria (ITAAC); (4) Significant site parameters; and , 1 (5) Significant interface requirements. The certified design descriptions, significant interface requirements, and significant site parameters are derived from Tier 2 information, but may be more general than the provisions in Tier 2. Compliance with the more detailed Tier 2 material provides a sufficient, but not the only acceptable, method for complying with the more general provisions in Tier 1 (including the ITAAC). Compliance methods differing from Tier 2 material must satisfy the change process provisions specified in Section 8 (b) , and such differences shall not negate a COL applicant's or holder's general requirement to reference Tier 2 when referencing Tier 1. Attachment C
l The Design Descriptions in Tier 1 pertain only to the design , of structures, systems, and components of the ABWR standard plant and not to their operation, maintenance, and administration. In the event of an inconsistency between Tier 1 and Tier 2, Tier 1 shall govern. Design activities for structures, systems, and components outside the scope of the ABWR standard design may be performed using site-specific design parameters. (d) Tier 2 means the portion of the design-related information contained in the generic DCD that is approved but not certified by this design certification rule (hereinafter Tier 2 information). Tier 2 information includes: l (1) Information required by 10 CFR 52.47; (2) Information required for a final safety analysis report under 10 CFR 50.34; (3) Supporting information on the inspections, tests, and analyses that will be performed to demonstrate that the acceptance criteria in the ITAAC have been met. Compliance with Tier 2 is a sufficient, but not necessarily the only, method for complying with the ITAAC. The provisions and methods specified in Tier 2 shall be followed unless a change is made in the plant-specific DCD in accordance with the change processes specified in the design certification rule for the ABWR; (4) Combined License (COL) Information Items, which identify l certain matters that need to be addressed by an applicant or licensee referencing the design certification rule for the ABWR.
- The purpose of these COL License Information Items is to identify the type of information that must be addressed in plant-specific l Design Control Documents (DCD) that reference the design certification rule for the ABWR. These COL License Information
, Items do not establish requirements; rather they identify an I acceptable set of information, but not the only acceptable set of information, for inclusion in a plant-specific DCD. An applicant l may deviate from or omit these COL License Information Items, provided that the deviation or omission is identified and I justified in the plant-specific DCD. After issuance of a construction permit or license, the COL License Information Items have no further effect to that licensee; instead, the corresponding provisions in the plant-specific DCD are applicable; (5) Proposed technical specifications for the portion of the plant within the scope of the standard design. These proposed technical specifications are applicable to an applicant for a combined license or operating license referencing this design certification rule, and shall be incorporated in the technical specifications in the license, except as changed pursuant to the provisions in Section 8 of this design certification rule that 3 Attachment C l
I I apply to changes to Tier 2 information. Changes in the proposed technical specifications by a licence applicant are subject to NRC review and approval and a hearing as part of the license i proceeding. After issuance of the combined license or operating i license, the proposed technical specifications in Tier 2 have no ! further effect as to that licensee, and the technical specifications in the license become effective. (6) References to the ABWR Standard Safety Analysis Report, , which shall not be construed as incorporating these sections, or i the information therein, in Tier 2. (e) Tier 2* means the portion of the Tier 2 information which cannot be changed without prior NRC approval by letter or other written document. This information is identified in the DCD. The restrictions on changes to Tier .C information expire at first full power for a plant that references this de. ign certification rule. Thereafter, changes to the Tier 2* information shall be controlled in the same manner as changes to other Tier 2 information. j (f) All other terms in this appendix have the meaning set out in 10 CFR 50.2, 10 CFR 52.3, or Section 11 of the Atomic Energy Act of 1954, as amended, as applicable.
- 3. Scope and contents of this design certification. l (a) The U.S. ABWR Design Control Document, GE Nuclear Energy, Revision is incorporated by reference. This incorporation by reference was approved by the Director of the Office of the Federal Register on [ Insert date of approval] in accordance with 5 U.S.C. 552 (a) and 1 CFR Part 51. Copies of the generic U.S. ABWR DCD may be purchased from National Technical Information Service, Springfield, VA 22161. Copies are also available for examination and copying at the NRC Public Document Room, 2120 L Street NW. (Lower Level), Washington, DC 20555, and for examination at the NRC Library, 11545 Rockville Pike, Rockville, Maryland 20582-2738.
(b) An applicant or licensee referencing this appendix, in accordance with Section 4 of this appendix, shall comply with the requirements of this appendix, including Tier 1 and Tier 2, except as otherwise provided in this appendix. (c) If there is a conflict between Tier 1 and Tier 2 of the DCD, then Tier 1 controls. (d) If there is a conflict between the generic DCD and either the application for design certification for the U.S. ABWR design or NUREG-1503, " Final Safety Evaluation Report related to the Certification of the Advanced Boiling Water Reactor Design," 4 Attachment C
A dated July 1994 (FSER) and any supplements thereto, then the j generic DCD controls. 3 (e) As provided in 10 CFR 52.47 (a) (1) (ix) , conceptual designs provided for those portions of the plant outside the scope of the ABWR standard design are not part of the design i certification rule for the ABWR standard design, and do not impose requirements applicable to a license, nor to an application for a license, that references the design j certification r'11e; j
- 4. Applications and licenses referencing this design 1
l- - certification: additional requirements and restrictions. 1 (a) An applicant for a combined license that wishes to reference this Appendix shall, in addition to complying with the requirements of 10 CPR 52.77, 52.78, and 52.79, comply with the. following requirements: l (1) Incorporate by reference, as part of its application,
- this appendix;
> (2) Include, as part of its application: (i) A plant-specific DCD containing the same information and utilizing the came organization.and numbering as the generic DCD l for the U.S. ABWR design, as modified and supplemented by the l applicant's exemptions and departures; l (ii) The reports on departures from and updates to the plant-spec! fir DCD required by Section 10(b) of this Appendix; (iii) Technical specifications for the plant that are required by S 50.36 and S 50.36a; (iv) Information demonstrating compliance with the site parameters and interface requirements; (v) Information that addresses the COL License Information Items, including justifications for any deviations from or omissions of the COL License Information Items; and i (vi) The information required oy 10 CFR 52.47 (a) that is not within the scope of this rule.
.i (3) Physically include, in the plant-specific DCD, the proprietary information and safeguards information referenced in l the U.S. ABWR DCD; and j (b) (not used.) l (c) Facility operation is not within the scope of this 5 Attachment C l
i l l I i appendix, and the Commission reserves the right to impose l requirements for facility operation on holders of licenses j referencing this appendix by rule, regulation, order, or license l condition; provided, however, that to the extent the Commission l imposes new requirements affecting information in the design certification, it must satisfy the requirements of 10 CFR Section 52.63 and Section 8 of the rule. (d) The Commission reserves the right to determine in what manner this appendix may be referenced by an applicant for a construction permit or operating license under 10 CFR Part 50.
- 5. Applicable regulations.
(a) Except as indicated in paragraph (b) of this section, the regulations that apply to the U.S. ABWR design are in 10 CFR Parts 20, 50, 73, and 100 codified as of [ insert the date 30 days after the publication date] that are applicable and technically relevant, as described in the FSER and any associated supplements. (b) The U.S. ABWR design is exempt from portions of the following regulations, as described in the FSER (index provided in Section 1.6 of the FSER) : (1) Paragraph (f) (2) (iv) of 10 CFR 50.34 - Separate Plant Safety Parameter Display Console; (2) Paragraph (f) (2) (viii) of 10 CFR 50.34 - Post-Accident Sampling for Boron, Chloride, and Dissolved Gases; (3) Paragraph (f) (3) (iv) of 10 CFR 50.34 - Dedicated Containment Penetration; and (4) Paragraph VI(a) (2) of 10 CFR Part 100, Appendix A - Operating Basis Earthquake Design Consideration.
- 6. Issue resolution for this design certification.
(a) The Commission has determined that the structures, systems, components, and design features of the U.S. ABWR design comply with the provisions of the Atomic Energy Act of 1954, as amended, and the applicable regulations identified in Section 5 of this appendix, and tnerefore, provide adequate protection to the health and safety of the public. A conclusion that a matter is resolved includes the finding that additional or alternative structures, systems, components, design features, design criteria, testing, analyses, acceptance criteria, or justifications are not necessary for the U.S. ABWR design. (b) The Commission considers the.following matters resolved within the meaning of 10 CFR 52.63 (a) (4) in subsequent 6 Attachment C
I i, 1 i proceedings for issuance of a combined license, amendment of a j combined license, renewal of a combined license, design l certification renewal proceedings (as consistent with S 6 (e) , infra), proceedings held pursuant to 10 CFR 52.103, and enforcement proceedings involving plants that reference this appendix: (1) All nuclear safety issues associated with the information in the FSER and any associated supplemente, the generic DCD (including referenced information which the context indicates is intended as requirements), and the rulemaking record
- for certification of the U.S. ABWR design; I l l (2) All nuclear safety and safeguards issues associated with the information in proprietary and safeguards documents referenced and in context is intended as requirements in the generic DCD for the U.S. ABWR design; l
(3) All' changes to Tier 1, Tier 2* and Tier 2 made in accordance with the change process in Section 8; l l (4) All environmental issues concerning severe accident ! design alternatives associated with the information in the NRC's i final environmental assessment for the U.S. ABWR design and Revision 1 of the Technical Support Document for the U.S. ABWR, dated December 1994, for plants referencing this appendix whose i i site parameters are within those specified in the Technical Support Document. If an exemption is sought from a site parameter in the Technical Support Document, a severe accident i design alternative will continue to have finality in all ! subsequent proceedings absent a showing that the exemption has an adverse impact on the specific severe accident design alternative evaluation. (c) Except in accordance with the change processes in Section 8 of this appendix, the Commission may not require an l applicant or licensee who references this appendix to: l. (1) Modify structures, systems, components, or design features as described in the generic DCD; (2) Provide additional or alternative structures, systems, components, or design features not discussed in the generic DCD; or (3) Provide additional or alternative design criteria, testing, analyses, acceptance criteria, or justification for structures, systems, components, or design features discussed in the generic DCD. (d) Perso-a who wish to review proprietary and safeguards t 7 Attachment C l l
l information or other secondary references in the DCD for the U.S. l ABWR design, in order to request or participate in the hearing l required by 10 CFR 52.85 or the hearing provided under 10 CFR 52.103, or to request or participate in any other hearing < relating to the certified design in which interested persons have l l ! adjudicatory hearing rights, shall first request access to such ! information from GE Nuclear Energy. The request must state with particulari ty: (i) the nature of the proprietary or other information sought; (ii) the reason why the information currently available to I the public in the NRC's public document room is insufficient; l l (iii) the relevance of the requested information to the hearing issue (s) which the person proposes to raise; and (iv) a showing the requesting person has the capability to understand and utilize the requested information. (3) If a person claims that the information is necessary to prepare a request for hearing, the request must be filed no later l than 15 days after publication in the Federal Register of the notice required either by 10 CFR 52.85 or 10 CFR 52.103. If GE Nuclear Energy declines to provide the information sought, GE Nuclear Energy shall send a written response within ten (10) days of receiving the request to the requesting person setting forth l with particularity the reasons for its refusal. The person may then request the Commission (or presiding officer, if a proceeding has been established) to order disclosure. The person shall include copies of the original request (and any subsequent i clarifying information provided by the requesting party to the applicant) and the applicant's response. The commission and I t presiding officer shall base their decisions solely on the l l person's original request (including any clarifying information ) l provided by the requesting person to GE Nuclear Energy), and GE Nuclear Energy's response. The Commission and presiding officer may order GE Nuclear Energy to provide access to some or all of the requested information, subject to an appropriate non-disclosure agreement. (e) An applicant for design certification renewal shall update the application for design certification. The update shall consist of an amendment of Table 1.8-22 of Tier 2 for the ABWR to identify relevant experience between the time of certification and the renewal application. For each relevant experience, the updated application shall explain whether the standard design adequately accounta for the new experience and, i if not, whether the new experience indicates a need for a change in the standard design in order to (1) provide adequate protection of the public health and safety, (2) ensure compliance 8 Attachment C
I i with NRC regulations in effect at the time of the original ct etification, or (3) provide a substantial, cost justified increase in safety under 10 CFR 52.59. The NRC review of the renewal application will be limited to the updated data and l information and any modifications proposed by the renewal applicant.
- 7. Duration of this design certification.
This design certification may be referenced for a period of l 15 years from [ insert the date 30 days af ter the publication date), except as provided for in 10 CFR 52.55(b) and 52.57(b). l This design certification remains valid for an applicant or l licensee who references this appendix until the application is withdrawn or the license expires, including any period of operation under a renewed license. ;
- 8. Processes for changes and departures. j (a) Tier 1 information.
(1) Generic changes to Tier 1 information are governed by the requirements in 10 CFR 52.63 (a) (1) . (2) Generic changes to Tier 1 information are applicable to all plants referencing the design certification as set forth in ) 10 CFR 52. 63 (a) (2) . (3) Departures from Tier 1 information that are imposed by . the Commission through plant-specific orders are governed by the l requirements in 10 CFR 52.63 (a) (3) . I (4) Exemptions from Tier 1 information are governed by the j requirements in 10 CFR 52.63 (b) (1) and S 52.97(b). 1 (b) Tier 2 information. (1) Generic changes to Tier 2 information shall be governed by .the same requirements in 10 CFR 52.63 (a) (1) that govern generic changes to Tier 1. (2) Generic changes to Tier 2 information are applicable to all plants referencing the design certification as set forth in 10 CFR 52.63 (a) (2) . (3) The Commission may not impose new requirements on Tier 2 by plant-specific order while the design certification is in effect under SS 52.55 or 52.61, unless: (i) A modification is necessary to secure compliance with the Commission's regulations applicable and in effect at the time the certification was issued or to assure adequate protection of 9 Attachment C l I I
i l I l C i r the public health and safety or the common defense and security; { i and ; (ii) Special circumstances as defined in '10 CFR 50.12 (a) are ! present. (4) An applicant or licensee who references the design [ certification may request an exemption from Tier 2 information. The Commission may grant such a request only if it determines ! that the, exemption will comply with the requirements of 10 CFR r 50,12 (a) . Issuance of the exemption to a COL applicant must be subject to litigation during the combined license proceeding in the same manner as other issues material to that proceeding. >
' Issuance of the exemption to_a licensee must be subject to an !'
opportunity for n hearing in the same manner as other license amendments. ; (5) (i) An applicant or licensee who references the design certification mey depart from Tier 2 information, without prior NRC approval, un 9ss-the proposed departure involves a change to or departure from Tier 1 information, Tier 2* information, or the technical specifications, or involves an unreviewed safety question as defined in paragraphs (b) (5) (ii) and (b) (5) (iii) of this section. When evaluating the proposed departure, an applicant or licensee shall consider all matters described in the. 4 plant-specific DCD. , f (ii) A proposed departure from Tier 2, except as to its effect on the resolution of a severe accident or beyond design I basis accident issue identified in Chapter 19 of the plant-specific DCD, shall be deemed to involve an unreviewed safety question if: (A) The probability of occurrence or the consequences of an l accident or malfunction of equipment important to safety j previously evaluated in the plant-specific DCD may be increased; (B) A possibility for an accident or malfunction of a different type than any evaluated previously in the plant-specific DCD may be created; or (C) The margin of safety as defined in the basis for any technical specification is reduced. (iii) A proposed departure from Tier 2 affecting resolution of a severe accident or beyond design basis accident issue i identified in Chapter 19 of the plant-specific DCD involves an unreviewed safety question-if: ! (A) There is a substantial increase in the probability of a sevcre' accident or beyond design basis accident such that a j particular severe accident or beyond design basis accident 10 Attachment C T F - +,-r-=-
o 1 previously reviewed and determined to be not credible could become credible; or (B) There is a substantial increase in the consequences to the public of a particular severe accident or beyond design basis accident previously reviewed. (iv) If a departure involves an unreviewed safety question as defined in paragraph (b) (5) of this section, it is governed by 10 CFR 50.90 and 50.92. (v) A departure from Tier 2 information that is made under I paragraph (b) (5) (v) of this section, or a departure from Tier 2* information that does not involve an unreviewed safety question, ! does not require an exemption from this Appendix. (vi) A party to an adjudicatory proceeding for either the issuance, amendment, or renewal of a combined license or for operation under 10 CFR 52.103(a), who believes that an applicant or licensee has not complied with paragraph (b) (5) of this Section when departing from Tier 2 information, may petition to admit into the proceeding such a contention. In addition to l compliance with the general requirements of 10 CFR 2.714 (b) (2) , l the petition must demonstrate that the departure does not comply with paragraph (b) (5) of this Section. Further, the petition must demonstrate that the change bears directly on an asserted noncompliance with an ITAAC acceptance criterion in the case of a Section 52.103 pre-operational hearing, or that the change bears 1 directly on the amendment request in the case of hearings on a i license amendment. Any other party may file a response thereto. ' If, on the basis of the petition and any response, the presiding officer determines that a sufficient showing has been made, the
)
l presiding officer shall certify the matter directly to the l Commission for determination of the admissibility of the l contention. The Commission may admit such a contention if it ) determines the petition raises a genuine issue of material fact ; l regarding compliance with paragraph (b) (5) of this Section. ' (6) (i) An applicant or holder of a combined license may not, before first full power, depart from Tier 2* information, which is designated with italicized text or brackets and an asterisk in the generic DCD, without prior NRC approval. After the plant first achieves full power, Tier 2* designation expires and has no further effect as to that licensee. l (ii) A departure from Tier 2* information that does not involve an unreviewed safety question as defined in paragraph , (b) (5) of this section does not require an exemption from this ! Appendix. (c) Other requirements of this design certification rule. 11 Attachment C 1
i f l l l (1) Generic (rulemaking) changes to the provisions in this j Appendix are governed by the requirements of Subpart H of 10 CFR Part 2. l (2) An applicant or licensee may request an exemption from the provisions in this Appendix or the DCD Introduction in accordance with 10 CFR 50.12 (a) .
- 9. Inspections, tests, analyses, and acceptance criteria l (ITAAC).
(a) (1) An applicant or licensee who references the design certification shall perform and demonstrate conformance with the ITAAC before fuel load. With respect to activities subject to an ITAAC, an applicant for a COL may proceed at its own risk with design and procurement activities, and a licensee may proceed at its own risk with design, procurement, construction, and preoperational activities, even though the NRC may not have found that any particular ITAAC has been satisfied. (2) The licensee shall notify the NRC that the required inspections, tests, and analyses in the ITAAC have been successfully completed and that the corresponding acceptance criteria have been met. (3) In the event that an activity is subject to and in noncompliance with an ITAAC, the applicant for or holder of a COL shall either take corrective actions to successfully complete i that ITAAC or request and obtain NRC approval of a change in or exemption from the ITAAC in accordance with the design certification rule for the ABWR. (b) (1) The NRC shall ensure that the required inspections, tests, and analyses in the ITAAC are performed. The NRC shall , verify that the inspections, tests, and analyses referenced by l l the licensee have been successfully completed and, based solely l thereon, find the prescribed acceptance criteria have been met. i At appropriate intervals during construction, the NRC shall l publish notices of the successful completion of ITAAC in the ! Federal Register. (2) In accordance with 10 CFR 52.99 and 52.103(g), the Commission shall find that the acceptance criteria in the ITAAC for the combined license are met before fuel load. (3) After the Commission has made the finding required by 10 ( l l CFR 52.103 (g) , ITAAC no longer constitute regulatory I' l requirements; provided that, as regards specific ITAAC which are ! the subject of a section 103 (a) hearing, there expiration shall , occur upon final Commission action in such proceeding. However, l subsequent modifications must comply with the Tier 1 and Tier 2 design descriptions in the plant-specific DCD unless the licensee 12 Attachment C
( l l 1 has complied with the applicable requirements of Section 8 of this Appendix. l 10. Records and Reporting. 1 (a) Records. ' (1) The applicant'for this design certification rule shall_ maintain a copy of the generic DCD that includes all generic changes to Tier 1 and Tier 2. The applicant shall maintain the proprietary and safeguards information referenced in the generic , DCD for the period that this appendix may be referenced, as j specified in Section 7 of this appendix. (2) An applicant or licensee who references this design certification shall maintain the plant-specific DCD to accurately
- reflect both generic changes to the generic DCD and plant-l specific departures made pursuant to Section 8 of this appendix l throughout the period of application and for the term of the license (including any period of renewal).
(3) An applicant or licensee who references this design ! certification shall prepare and maintain written safety evaluations which provide the bases for the determinations required by Section 8 (b) of this appendix. These evaluations must be retained throughout the period of application and for the term of the' license (including any period of renewal). (b) Reporting. (1) An applicant or licensee who references this design certification rule shall submit a report to the NRC containing a brief description of any departures from the plant-specific DCD, including a summary of the safety evaluation of each. This report must be filed in accordance with the filing requirements ' applicable to reports in 10 CFR 50.4. (2) An applicant or licensee shall submit updates to its plant-specific DCD, which reflect the generic changes to the generic DCD and the plant-specific departures made pursuant to l Section 8 of this appendix. These updates shall be filed in ! accordance with the filing requirements applicable to final safety analysis report updates in 10 CFR 50.4 and 50.71(e). f . (3) The reports and updates required by Section 10 (b) (1) and l
. (2) above must be submitted as follows: .,
l 1 l (i) on the date that an application for a combined license I referencing this design certification rule is submitted, the j application shall include the report and any updates to the ) i
- plant-specific DCD.
i
! 13 Attachment C i
m._ _. . . _ _ . _ . _ . . . _ _ _ . _ _ . . _ . . _ _ _ _ . _ _ _ _ . _ . _ . . . _ . . _ . _ _ _ . _ . _ _ _ _ . _ . . _ . l . i s (ii) During the interval from the date of application to the ! I date of issuance of a combined license, the report and any updates to the plant-specific DCD must be submitted annually and j may be submitted along with amendments to the application. (iii) During the interval from the date of issuance of a ! l combined license to the date the Commission makes its findings ! under 10 CFR 52.103 (g) , the report must be' submitted semi- l annually. Updates to the plant-specific DCD must be submitted annually. J (iv) After the Commission has made its finding under 10 CFR I 52.103 (g) , reports and updates to the plant-specific DCD may be !' submitted annually or along with updates to the site-specific portion of the final safety analysis. report for the facility at i the intervals required by 10 CFR 50.71(e), or at shorter 4 intervals as specified in the combined license. Dated at Rockville, Maryland, this day of , 1996. For the Nuclear Regulatory Commission l John C. Hoyle, 1 Secretary of the Commission ; i l i l 1 1 l l Attachment C j 14 i l
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