Regulatory Guide 3.72
| ML010710153 | |
| Person / Time | |
|---|---|
| Issue date: | 03/31/2001 |
| From: | Office of Nuclear Regulatory Research |
| To: | |
| Jackson C P (301)415-2947 | |
| References | |
| DG-3020 RG-3.072 | |
| Download: ML010710153 (7) | |
RegulatoryguidesareissuedtodescribeandmakeavailabletothepublicsuchinformationasmethodsacceptabletotheNRCstaffforimplementingspecificpartsoftheNRC'sregulations,techniquesusedbythestaffinevaluatingspecificproblemsorpostulatedaccidents,anddataneededbytheNRCstaffinitsreviewofapplicationsforpermitsandlicenses.Regulatoryguidesarenotsubstitutesforregulations,andcompliancewiththemisnotrequired.MethodsandsolutionsdifferentfromthosesetoutintheguideswillbeacceptableiftheyprovideabasisforthefindingsrequisitetotheissuanceorcontinuanceofapermitorlicensebytheCommission.Thisguidewasissuedafterconsiderationofcommentsreceivedfromthepublic.Commentsandsuggestionsforimprovementsintheseguidesareencouragedatalltimes,andguideswillberevised,asappropriate,toaccommodatecommentsandtoreflectnewinformationorexperience.WrittencommentsmaybesubmittedtotheRulesandDirectivesBranch,ADM,U.S.NuclearRegulatoryCommission,Washington,DC20555-0001.Regulatoryguidesareissuedintenbroaddivisions:1,PowerReactors;2,ResearchandTestReactors;3,FuelsandMaterialsFacilities;4,EnvironmentalandSiting;5,MaterialsandPlantProtection;6,Products;7,Transportation;8,OccupationalHealth;9,AntitrustandFinancialReview;and10,General.Singlecopiesofregulatoryguides(whichmaybereproduced)maybeobtainedfreeofchargebywritingtheDistributionServicesSection,U.S.NuclearRegulatoryCommission,Washington,DC20555-0001,orbyfaxto(301)415-2289,orbyemailtoDISTRIBUTION@NRC.GOV.ElectroniccopiesofthisguideareavailableontheinternetatNRC'shomepageat<WWW.NRC.GOV>intheReferenceLibraryunderRegulatoryGuides.ThisguideisalsointheElectronicReadingRoomatNRC'shomepage,alongwithotherrecentlyissuedguides,AccessionNumberML010710153.U.S.NUCLEARREGULATORYCOMMISSIONMarch2001REGULATORYGUIDEOFFICEOFNUCLEARREGULATORYRESEARCHREGULATORYGUIDE3.72(DraftwasissuedasDG-3020)GUIDANCEFO
R. IMPLEMENTATION
OF10CFR72.48,CHANGES,TESTS,ANDEXPERIMENTS
A. INTRODUCTION
In10CFRPart72,"LicensingRequirementsfortheIndependentStorageofSpentNuclearFuelandHigh-LevelRadioactiveWaste,"Section72.48,"Changes,Tests,andExperiments,"contains requirementsfortheprocessbywhichlicenseesandcertificateholdersmaymakechangestotheir independentspentfuelstorageinstallations(ISFSIs),spentfuelstoragecaskdesigns,ormonitored retrievalstorageinstallations(MRSs)andproceduresasdescribedinthefinalsafetyanalysisreport(as updated),withoutpriorNRCapproval,undercertainconditions.Thisregulationwasoriginally promulgatedin1980as10CFR72.35,"Changes,Tests,andExperiments."Itwassubsequently designatedas10CFR72.48andwasrecentlyrevised(October4,1999,64FR53582).Thisrecent revisiontotherulemadechangescomparableto10CFR50.59,"Changes,Tests,andExperiments,"
whichaddressesthechangeprocessforreactorlicensees.AsaresultoflessonslearnedfromoperatingexperienceandotherinitiativesrelatedtocontrolofconformanceofreactorandISFSIfacilitieswiththeirfinalsafetyanalysisreport(FSAR)descriptions,the NRCdeterminedthatadditionalactionwasnecessarytoprovideclarityandconsistencyinimplementation oftherule.TheNRCstaffrecommendedspecificactionsinSECY-97-205,"IntegrationandEvaluationof
1CopiesareavailableontheNRC'swebsite<WWW.NRC.GOV>intheReferenceLibrarythroughtheCommission'sActivities,andforinspectionorcopyingforafeefromtheNRCPublicDocumentRoomat11555RockvillePike,Rockville,MD20852;thePDR'smailingaddressisMailStop01-F-13,Washington,DC20555;telephone(301-415-4737)or(800)397-
4209;fax(301)415-3548;email<PDR@NRC.GOV>.2CopiesareavailableforinspectionorcopyingforafeefromtheNRCPublicDocumentRoomat11555RockvillePike(firstfloor),Rockville,MD;thePDR'smailingaddressisUSNRCPDR,Washington,DC20555;telephone(301)415-4737or1-(800)397-4209;fax(301)415-3548;e-mail<PDR@NRC.GOV>.2ResultsfromRecentLessons-LearnedReviews,"1datedSeptember10,1997.InastaffrequirementsmemorandumdatedMarch24,1998,1theCommissiondirectedthestafftoinitiaterulemakingtorevisetherequirementsof10CFR50.59and10CFR72.48toclarifytherequirementsandto allowchangesinvolvingonly"minimalincreases"inprobabilityorconsequencestobemade withoutpriorNRCapproval.OnOctober4,1999,theNRCissuedarevisionto10CFR72.48thatbecomeseffectiveonApril5,2001.ThetextofthisrevisedruleiscontainedinAppendixAtothisregulatoryguidefor convenience.Theinformationcollectionscontainedinthisregulatoryguidearecoveredbytherequirementsof10CFRPart72,whichwereapprovedbytheOfficeofManagementandBudget, approvalnumber3150-0132.Ifameansusedtoimposeaninformationcollectiondoesnotdisplay acurrentlyvalidOMBcontrolnumber,theNRCmaynotconductorsponsor,andapersonisnot requiredtorespondto,theinformationcollection.
B. DISCUSSION
OBJECTIVETheobjectivesof10CFR72.48aretoensurethatlicenseesandholdersofCertificatesofCompliance(CoC)(1)evaluateproposedchangestotheirfacilitiesorcaskdesignfortheireffects onthelicensingbasisoftheISFSI,caskdesign,orMRS,asdescribedintheFSAR,and(2)obtain priorNRCapprovalforchangesthatmeetspecifiedcriteriaashavingapotentialimpactuponthe basisforissuanceofthelicenseorCoC.Thisregulatoryguide,throughitsendorsementofa guidancedocumentforlicenseesandCoCholders,providesguidanceoncomplyingwiththerevised requirementsof10CFR72.48.DEVELOPMENTOFINDUSTRYGUIDELINE,AppendixBtoNEI96-07Followingpublicationoftherevisedrule,theNuclearEnergyInstitute(NEI)submittedaguidancedocument,NEI96-07,"Guidelinesfor10CFR50.59Evaluations,"fortheimplementation of10CFR50.59andrequestedNRCendorsementthrougharegulatoryguide.TheNRCendorsed Revision1ofNEI-96-07inRegulatoryGuide1.187,"GuidanceforImplementationof10CFR
50.59,Changes,Tests,andExperiments,"whichwasissuedinNovember2000.OnJune15,2000,NEIsubmittedtotheNRCAppendixB,"Guidelinesfor10CFR72.48Implementation,"toNEI96-07.2NEIdevelopedthisAppendixBbymodifyingappropriate
3ElectroniccopiesareavailableinNRC'sPublicElectronicReadingRoom,whichcanbeaccessedthroughtheNRC'swebsite,<WWW.NRC.GOV>.TheAccessionNumberofAppendixBtoNEI96-07isML010670023;theAccessionNumberofNEI96-07isML003771157.CopiesarealsoavailableforinspectionorcopyingforafeefromtheNRCPublicDocumentRoomat
11555RockvillePike,Rockville,MD;thePDR'smailingaddressisUSNRCPDR,Washington,DC20555;telephone(301)415-
4737or1-(800)397-4209;fax(301)415-3548;e-mail<PDR@NRC.GOV>.3languageandsectionsinRevision1ofNEI96-07toapplytoPart72licenseesandcertificateholders.Thus,asignificantportionofAppendixBincludestextthatisidenticaltothatinRevision
1ofNEI96-07,whichhasbeenendorsedbytheNRCinRegulatoryGuide1.18
7. TheNRC
providedwrittencommentsonthedocumenttoNEIonAugust18,2000,andNEIprovidedtothe NRCrevisionsdatedSeptember28,2000,andNovember6,2000.2TheNovember9,2000,letterfromNEIthatforwardedtheNovember6,2000,versionofAppendixBtoNEI96-07also containedalistofthechangesfromtheSeptember28,2000,version.2InDecember2000,theNRCissuedforpubliccommentDraftRegulatoryGuideDG-3020,"GuidanceforImplementationof10CFR72.48,Changes,Tests,andExperiments,"which proposedendorsementofAppendixBtoNEI96-07withanumberofclarifications.OnJanuary22,
2001,NEIsubmittedproposedchangestoAppendixBtoNEI96-07toresolvetheDraftRegulatory Guideclarifications.OnMarch5,2001,NEIsubmittedarevisedversionofAppendixB3toNEI96-07.C.REGULATORYPOSITION1.APPENDIXBTONEI96-07AppendixB,"Guidelinesfor10CFR72.48Implementation,"3datedMarch5,2001,toNEI96-07providesmethodsthatareacceptabletotheNRCstaffforcomplyingwiththeprovisionsof
10CFR72.48.2.OTHERDOCUMENTSREFERENCEDINAPPENDIXBTONEI96-07AppendixBtoNEI96-07referencesotherdocuments,butNRC'sendorsementofAppendixBshouldnotbeconsideredanendorsementofanyofthereferenceddocuments.3.USEOFEXAMPLESINAPPENDIXBTONEI96-07AppendixBtoNEI96-07includesexamplestosupplementtheguidance.WhileappropriateforillustratingandreinforcingtheguidanceinAppendixB,NRC'sendorsementofAppendixB
shouldnotbeconsideredadeterminationthattheexamplesareapplicableforalllicenseesandCoC
holders.Alicenseeorcertificateholdershouldensurethatanexampleisapplicabletoitsparticular circumstancesbeforeimplementingtheguidanceasdescribedinanexample.
44.GUIDANCEFORSITE-SPECIFICISFSILICENSERENEWALForISFSIlicenseeswhoobtainsite-specificlicenserenewal,theguidanceinAppendixBandinthisregulatoryguideisapplicabletoinformationaddedtotheFSARforsummary descriptionsoftheprograms,activitiesformanagingtheeffectsofaging,andevaluationoftime- limitedaginganalysesthatwillsupportthebasesforsite-specificISFSIlicenserenewal.If necessary,thestaffmayprovidefurtherguidanceorexamplesforusewithrespecttosuchprograms andevaluationsatalaterdate.5.USEOFOTHERMETHODSLicenseesandcertificateholdersmayusemethodsotherthanthoseproposedinAppendixBtoNEI96-07tomeettherequirementsof10CFR72.48.TheNRCwilldeterminetheacceptability ofothermethodsonacase-by-casebasis.
D. IMPLEMENTATION
Thepurposeofthissectionistoprovideinformationtolicensees,certificateholders,andapplicantsregardingtheNRCstaff'splansforusingthisregulatoryguide.ExceptinthosecasesinwhichalicenseeorcertificateholderproposesanacceptablealternativemethodforcomplyingwiththespecifiedportionsoftheNRC'sregulations,themethods describedinthisguidewillbeusedintheevaluationoflicenseeorcertificateholdercompliance withtherequirementsof10CFR72.48.
5APPENDIXATEXTOF10CFR72.48§72.48Changes,Tests,andExperiments.(a)Definitionsforthepurposesofthissection:
(1)Changemeansamodificationoradditionto,orremovalfrom,thefacilityorspentfuelstoragecaskdesignorproceduresthataffectsadesignfunction,methodofperformingorcontrollingthefunction,or anevaluationthatdemonstratesthatintendedfunctionswillbeaccomplished.(2)DeparturefromamethodofevaluationdescribedintheFSAR(asupdated)usedinestablishingthedesignbasesorinthesafetyanalysesmeans:(i)changinganyoftheelementsofthemethoddescribedintheFSAR(asupdated)unlesstheresultsoftheanalysisareconservativeoressentiallythesame;or(ii)
changingfromamethoddescribedintheFSARtoanothermethodunlessthatmethodhasbeenapprovedby NRCfortheintendedapplication.(3)Facilitymeanseitheranindependentspentfuelstorageinstallation(ISFSI)oraMonitoredRetrievableStoragefacility(MRS).(4)ThefacilityorspentfuelstoragecaskdesignasdescribedintheFinalSafetyAnalysisReport(FSAR)(asupdated)means:(i)Thestructures,systems,andcomponents(SSC)thataredescribedintheFSAR(asupdated),
(ii)ThedesignandperformancerequirementsforsuchSSCsdescribedintheFSAR(asupdated),and(iii)TheevaluationsormethodsofevaluationincludedintheFSAR(asupdated)forsuchSSCswhichdemonstratethattheirintendedfunction(s)willbeaccomplished.(5)FinalSafetyAnalysisReport(asupdated)means:(i)Forspecificlicensees,theSafetyAnalysisReportforafacilitysubmittedandupdatedinaccordancewith§72.70;(ii)Forgenerallicensees,theSafetyAnalysisReportforaspentfuelstoragecaskdesign,asamendedandsupplemented;and(iii)Forcertificateholders,theSafetyAnalysisReportforaspentfuelstoragecaskdesignsubmittedandupdatedinaccordancewith§72.248.(6)ProceduresasdescribedintheFinalSafetyAnalysisReport(asupdated)meansthoseproceduresthatcontaininformationdescribedintheFSAR(asupdated)suchashowSSCsareoperatedand controlled(includingassumedoperatoractionsandresponsetimes).(7)TestsorexperimentsnotdescribedintheFinalSafetyAnalysisReport(asupdated)meansanyactivitywhereanySSCisutilizedorcontrolledinamannerwhichiseither:(i)OutsidethereferenceboundsofthedesignbasesasdescribedintheFSAR(asupdated)or (ii)InconsistentwiththeanalysesordescriptionsintheFSAR(asupdated).
(b)Thissectionappliesto:
(1)Eachholderofageneralorspecificlicenseissuedunderthispart,and
(2)EachholderofaCertificateofCompliance(CoC)issuedunderthispart.
(c)(1)AlicenseeorcertificateholdermaymakechangesinthefacilityorspentfuelstoragecaskdesignasdescribedintheFSAR(asupdated),makechangesintheproceduresasdescribedintheFSAR(as updated),andconducttestsorexperimentsnotdescribedintheFSAR(asupdated),withoutobtainingeither:
(i)Alicenseamendmentpursuantto§72.56(forspecificlicensees)or(ii)ACoCamendmentsubmittedby thecertificateholderpursuantto§72.244(forgenerallicenseesandcertificateholders)if:(A)Achangetothetechnicalspecificationsincorporatedinthespecificlicenseisnotrequired;or (B)Achangeintheterms,conditions,orspecificationsincorporatedintheCoCisnotrequired;and (C)Thechange,test,orexperimentdoesnotmeetanyofthecriteriainparagraph(c)(2)ofthissection.
6(2)Aspecificlicenseeshallobtainalicenseamendmentpursuantto§72.56,acertificateholdershallobtainaCoCamendmentpursuantto§72.244,andagenerallicenseeshallrequestthatthecertificate holderobtainaCoCamendmentpursuantto§72.244,priortoimplementingaproposedchange,test,or experimentifthechange,test,orexperimentwould:(i)ResultinmorethanaminimalincreaseinthefrequencyofoccurrenceofanaccidentpreviouslyevaluatedintheFSAR(asupdated);(ii)Resultinmorethanaminimalincreaseinthelikelihoodofoccurrenceofamalfunctionofasystem,structure,orcomponent(SSC)importanttosafetypreviouslyevaluatedintheFSAR(asupdated);(iii)ResultinmorethanaminimalincreaseintheconsequencesofanaccidentpreviouslyevaluatedintheFSAR(asupdated);(iv)ResultinmorethanaminimalincreaseintheconsequencesofamalfunctionofanSSCimportanttosafetypreviouslyevaluatedintheFSAR(asupdated);(v)CreateapossibilityforanaccidentofadifferenttypethananypreviouslyevaluatedintheFSAR(asupdated);(vi)CreateapossibilityforamalfunctionofanSSCimportanttosafetywithadifferentresultthananypreviouslyevaluatedintheFSAR(asupdated);(vii)ResultinadesignbasislimitforafissionproductbarrierasdescribedintheFSAR(asupdated)beingexceededoraltered;or(viii)ResultinadeparturefromamethodofevaluationdescribedintheFSAR(asupdated)usedinestablishingthedesignbasesorinthesafetyanalyses.(3)Inimplementingthisparagraph,theFSAR(asupdated)isconsideredtoincludeFSARchangesresultingfromevaluationsperformedpursuanttothissectionandanalysesperformedpursuantto§§72.56 or72.244sincethelastupdateoftheFSARpursuantto§72.70,or§72.248ofthispart.(4)Theprovisionsinthissectiondonotapplytochangestothefacilityorprocedureswhentheapplicableregulationsestablishmorespecificcriteriaforaccomplishingsuchchanges.(d)(1)Thelicenseeandcertificateholdershallmaintainrecordsofchangesinthefacilityorspentfuelstoragecaskdesign,ofchangesinprocedures,andoftestsandexperimentsmadepursuanttoparagraph (c)ofthissection.Theserecordsmustincludeawrittenevaluationwhichprovidesthebasesforthe determinationthatthechange,test,orexperimentdoesnotrequirealicenseorCoCamendmentpursuantto paragraph(c)(2)ofthissection.(2)Thelicenseeandcertificateholdershallsubmit,asspecifiedin§72.4,areportcontainingabriefdescriptionofanychanges,tests,andexperiments,includingasummaryoftheevaluationofeach.Areport shallbesubmittedatintervalsnottoexceed24months.(3)Therecordsofchangesinthefacilityorspentfuelstoragecaskdesignshallbemaintaineduntil:
(i)Spentfuelisnolongerstoredinthefacilityorthespentfuelstoragecaskdesignisnolongerbeingused,or(ii)TheCommissionterminatesthelicenseorCoCissuedpursuanttothispart.
(4)Therecordsofchangesinproceduresandoftestsandexperimentsshallbemaintainedforaperiodof5years.(5)TheholderofaspentfuelstoragecaskdesignCoC,whopermanentlyceasesoperation,shallprovidetherecordsofchangestothenewcertificateholderortotheCommission,asappropriate,in accordancewith§72.234(d)(3).(6)(i)Agenerallicenseeshallprovideacopyoftherecordforanychangestoaspentfuelstoragecaskdesigntotheapplicablecertificateholderwithin60daysofimplementingthechange.(ii)Aspecificlicenseeusingaspentfuelstoragecaskdesign,approvedpursuanttosubpartLofthispart,shallprovideacopyoftherecordforanychangestoaspentfuelstoragecaskdesigntotheapplicable certificateholderwithin60daysofimplementingthechange.(iii)Acertificateholdershallprovideacopyoftherecordforanychangestoaspentfuelstoragecaskdesigntoanygeneralorspecificlicenseeusingthecaskdesignwithin60daysofimplementingthe change.
VALUE/IMPACTSTATEMENTAseparateValue/ImpactStatementwasnotpreparedforthisregulatoryguide.TheValue/ImpactStatementthatwaspreparedaspartoftheRegulatoryAnalysisfortherulemakingin May1999isstillapplicable.CopiesoftheRegulatoryAnalysisareavailableforinspectionor copyingforafeeintheNRC'sPublicDocumentRoomat11555RockvillePike,Rockville,MD,
Washington,DC,aspartofSECY-99-130,datedMay12,1999.ThePDRmaybereachedby telephoneat(301)415-4737orfaxat(301)415-3548.ADAMSAccessionNumberofRegulatoryGuide3.72:ML010710153ADAMSAccessionNumberofAppendixBtoNEI96-07: