Risk-Informed, Technology-Inclusive Regulatory Framework for Advanced Reactors

1. Each applicant for a construction permit is required by Sec. 50.34(a) or Sec. 53.1309(a)(4) of this chapter to include in the preliminary safety analysis report a discussion of preliminary plans for coping with emergencies. Each applicant for an operating license is required by Sec. 50.34(b) or Sec. 53.1416 of this chapter to include in the application plans for coping with emergencies. Each applicant for an early site permit under subpart A of part 52 or under subpart H of part 53 of this chapter may submit plans for coping with emergencies under Sec. 52.17 or Sec. 53.1146 of this chapter. * * * * *

7. For a fueled manufactured reactor licensed under part 53 of this chapter, the date for initiating the removal of the features to prevent criticality required under Sec. 53.620(d)(1) is equivalent to the initial loading of fuel in this appendix. * * * * *

III. The Final Safety Analysis Report; Site Safety Analysis Report

The final safety analysis report or the site safety analysis report for an early site permit that includes complete and integrated emergency plans under Sec. 52.17(b)(2)(ii) or Sec. 53.1146(b)(2)(ii) of this chapter shall contain the plans for coping with emergencies. The plans shall be an expression of the overall concept of operation; they shall describe the essential elements of advance planning that have been considered and the provisions that have been made to cope with emergency situations. The plans shall incorporate information about the emergency response roles of supporting organizations and offsite agencies. That information shall be sufficient to provide assurance of coordination among the supporting groups and with the licensee. The site safety analysis report for an early site permit which proposes major features must address the relevant provisions of 10 CFR 50.47 and 10 CFR part 50, appendix E, within the scope of emergency preparedness matters addressed in the major features. * * * * *

1. The applicant's emergency plans shall contain, but not necessarily be limited to, information needed to demonstrate compliance with the elements in this section IV., i.e., organization for coping with radiological emergencies, assessment actions, activation of emergency organization, notification procedures, emergency facilities and equipment, training, maintaining emergency preparedness, recovery, and onsite protective actions during hostile action. In addition, the emergency response plans submitted by an applicant for a nuclear power reactor operating license under 10 CFR part 50 or 10 CFR part 53, or for an early site permit (as applicable) or combined license under 10 CFR part 52 or 10 CFR part 53, shall contain information needed to demonstrate compliance with the standards described in Sec. 50.47(b), and they will be evaluated against those standards.

2. This nuclear power reactor license applicant shall also provide an analysis of the time required to evacuate various sectors and distances within the plume exposure pathway EPZ for transient and permanent populations, using the most recent U.S. Census Bureau data as of the date the applicant submits its application to the NRC.

3. Nuclear power reactor licensees shall use NRC approved evacuation time estimates (ETEs) and updates to the ETEs in the formulation of protective action recommendations and shall provide the ETEs and ETE updates to State and local

governmental authorities for use in developing offsite protective action strategies.

4. Within 365 days of the date of the availability of the most recent decennial census data from the U.S. Census Bureau, nuclear power reactor licensees shall develop an ETE analysis using this decennial data and submit it under Sec. 50.4 or Sec. 53.040 of this chapter to the NRC. These licensees shall submit this ETE analysis to the NRC at least 180 days before using it to form protective action recommendations and providing it to State and local governmental authorities for use in developing offsite protective action strategies.

5. During the years between decennial censuses, nuclear power reactor licensees shall estimate EPZ permanent resident population changes once a year, but no later than 365 days from the date of the previous estimate, using the most recent U.S. Census Bureau annual resident population estimate and State/local government population data, if available. These licensees shall maintain these estimates so that they are available for NRC inspection during the period between decennial censuses and shall submit these estimates to the NRC with any updated ETE analysis.

6. If at any time during the decennial period, the EPZ permanent resident population increases such that it causes the longest ETE value for the 2-mile zone or 5-mile zone, including all affected Emergency Response Planning Areas, or for the entire 10-mile EPZ to increase by 25 percent or 30 minutes, whichever is less, from the nuclear power reactor licensee's currently NRC-approved or updated ETE, the licensee shall update the ETE analysis to reflect the impact of that population increase. The licensee shall submit the updated ETE analysis to the NRC under Sec. 50.4 or Sec. 53.040 of this chapter no later than 365 days after the licensee's determination that the criteria for updating the ETE have been met and at least 180 days before using it to form protective action recommendations and providing it to State and local governmental authorities for use in developing offsite protective action strategies.

7. After an applicant for a combined license under part 52 or part 53 of this chapter receives its license, the licensee shall conduct at least one review of any changes in the population of its EPZ at least 365 days prior to its scheduled fuel load. The licensee shall estimate EPZ permanent resident population changes using the most recent U.S. Census Bureau annual resident population estimate and State/local government population data, if available. If the EPZ permanent resident population increases such that it causes the longest ETE value for the 2-mile zone or 5-mile zone, including all affected Emergency Response Planning Areas, or for the entire 10- mile EPZ, to increase by 25 percent or 30 minutes, whichever is less, from the licensee's currently approved ETE, the licensee shall update the ETE analysis to reflect the impact of that population increase. The licensee shall submit the updated ETE analysis to the NRC for review under Sec. 50.4 or Sec. 53.040 of this chapter no later than 365 days before the licensee's scheduled fuel load.

The organization for coping with radiological emergencies shall be described, including definition of authorities, responsibilities, and duties of individuals assigned to the licensee's emergency organization and the means for notification of such individuals in the event of an emergency. Specifically, the following shall be included:

1. A description of the normal plant operating organization.

2. A description of the onsite emergency response organization (ERO) with a detailed discussion of:

a. Authorities, responsibilities, and duties of the individual(s) who will take charge during an emergency;

b. Plant staff emergency assignments;

c. Authorities, responsibilities, and duties of an onsite emergency coordinator who shall be in charge of the exchange of information with offsite authorities responsible for coordinating and implementing offsite emergency measures.

3. A description, by position and function to be performed, of the licensee's headquarters personnel who will be sent to the plant site to augment the onsite emergency organization.

4. Identification, by position and function to be performed, of persons within the licensee organization who will be responsible for making offsite dose projections, and a description of how these projections will be made and the results transmitted to State and local authorities, NRC, and other appropriate governmental entities.

5. Identification, by position and function to be performed, of other employees of the licensee with special qualifications for coping with emergency conditions that may arise. Other persons with special qualifications, such as consultants, who are not employees of the licensee and who may be called upon for assistance for emergencies shall also be identified. The special qualifications of these persons shall be described.

6. A description of the local offsite services to be provided in support of the licensee's emergency organization.

7. Identification of, and a description of the assistance expected from, appropriate State, local, and Federal agencies with responsibilities for coping with emergencies, including hostile action at the site. For purposes of this appendix, “hostile action” is defined as an act directed toward a nuclear power plant or its personnel that includes the use of violent force to destroy equipment, take hostages, and/or intimidate the licensee to achieve an end. This includes attack by air, land, or water using guns, explosives, projectiles, vehicles, or other devices used to deliver destructive force.

8. Identification of the State and/or local officials responsible for planning for, ordering, and controlling appropriate protective actions, including evacuations when necessary.

9. For nuclear power reactor licensees, a detailed analysis demonstrating that on-shift personnel assigned emergency plan implementation functions are not assigned responsibilities that would prevent the timely performance of their assigned functions as specified in the emergency plan.

1. The entire spectrum of emergency conditions that involve the alerting or activating of progressively larger segments of the total emergency organization shall be described. The communication steps to be taken to alert or activate emergency personnel under each class of emergency shall be described. Emergency action levels (based not only on onsite and offsite radiation monitoring information but also on readings from a number of sensors that indicate a potential emergency, such as the pressure in containment and the response of the Emergency Core Cooling System) for notification of offsite agencies shall be described. The existence, but not the details, of a message authentication scheme shall be noted for such agencies. The emergency classes defined shall include: (1) Notification of unusual events, (2) alert, (3) site area emergency, and (4) general emergency. These classes are further discussed in NUREG-0654/FEMA-REP-1.

2. Nuclear power reactor licensees shall establish and maintain the capability to assess, classify, and declare an emergency condition within 15 minutes after the availability of indications to plant operators that an emergency action level has been exceeded and shall promptly declare the emergency condition as soon as possible following identification of the appropriate emergency classification level. Licensees shall not construe these criteria as a grace period to attempt to restore plant conditions to avoid declaring an emergency action due

to an emergency action level that has been exceeded. Licensees shall not construe these criteria as preventing implementation of response actions deemed by the licensee to be necessary to protect public health and safety provided that any delay in declaration does not deny the State and local authorities the opportunity to implement measures necessary to protect the public health and safety.

1. Administrative and physical means for notifying local, State, and Federal officials and agencies and agreements reached with these officials and agencies for the prompt notification of the public and for public evacuation or other protective measures, should they become necessary, shall be described. This description shall include identification of the appropriate officials, by title and agency, of the State and local government agencies within the EPZs.

2. Provisions shall be described for yearly dissemination to the public within the plume exposure pathway EPZ of basic emergency planning information, such as the methods and times required for public notification and the protective actions planned if an accident occurs, general information as to the nature and effects of radiation, and a listing of local broadcast stations that will be used for dissemination of information during an emergency. Signs or other measures shall also be used to disseminate to any transient population within the plume exposure pathway EPZ appropriate information that would be helpful if an accident occurs.

3. A licensee shall have the capability to notify responsible State and local governmental agencies within 15 minutes after declaring an emergency. The licensee shall demonstrate that the appropriate governmental authorities have the capability to make a public alerting and notification decision promptly on being informed by the licensee of an emergency condition. Prior to initial operation greater than 5 percent of rated thermal power of the first reactor at a site, each nuclear power reactor licensee shall demonstrate that administrative and physical means have been established for alerting and providing prompt instructions to the public within the plume exposure pathway EPZ. The design objective of the prompt public alert and notification system shall be to have the capability to essentially complete the initial alerting and initiate notification of the public within the plume exposure pathway EPZ within about 15 minutes. The use of this alerting and notification capability will range from immediate alerting and notification of the public (within 15 minutes of the time that State and local officials are notified that a situation exists requiring urgent action) to the more likely events where there is substantial time available for the appropriate governmental authorities to make a judgment whether or not to activate the public alert and notification system. The alerting and notification capability shall additionally include administrative and physical means for a backup method of public alerting and notification capable of being used in the event the primary method of alerting and notification is unavailable during an emergency to alert or notify all or portions of the plume exposure pathway EPZ population. The backup method shall have the capability to alert and notify the public within the plume exposure pathway EPZ, but does not need to meet the 15-minute design objective for the primary prompt public alert and notification system. When there is a decision to activate the alert and notification system, the appropriate governmental authorities will determine whether to activate the entire alert and notification system simultaneously or in a graduated or staged manner. The responsibility for activating such a public alert and notification system shall remain with the appropriate governmental authorities.

Adequate provisions shall be made and described for emergency facilities and equipment, including:

1. Equipment at the site for personnel monitoring;

2. Equipment for determining the magnitude of and for continuously assessing the impact of the release of radioactive materials to the environment;

3. Facilities and supplies at the site for decontamination of onsite individuals;

4. Facilities and medical supplies at the site for appropriate emergency first aid treatment;

5. Arrangements for medical service providers qualified to handle radiological emergencies onsite;

6. Arrangements for transportation of contaminated injured individuals from the site to specifically identified treatment facilities outside the site boundary;

7. Arrangements for treatment of individuals injured in support of licensed activities on the site at treatment facilities outside the site boundary;

8. a. (i) A licensee onsite technical support center and an emergency operations facility from which effective direction can be given and effective control can be exercised during an emergency;

(ii) For nuclear power reactor licensees, a licensee onsite operational support center;

b. For a nuclear power reactor licensee's emergency operations facility required by paragraph 8.a of this section, either a facility located between 10 miles and 25 miles of the nuclear power reactor site(s), or a primary facility located less than 10 miles from the nuclear power reactor site(s) and a backup facility located between 10 miles and 25 miles of the nuclear power reactor site(s). An emergency operations facility may serve more than one nuclear power reactor site. A licensee desiring to locate an emergency operations facility more than 25 miles from a nuclear power reactor site shall request prior Commission approval by submitting an application for an amendment to its license. For an emergency operations facility located more than 25 miles from a nuclear power reactor site, provisions must be made for locating NRC and offsite responders closer to the nuclear power reactor site so that NRC and offsite responders can interact face-to-face with emergency response personnel entering and leaving the nuclear power reactor site. Provisions for locating NRC and offsite responders closer to a nuclear power reactor site that is more than 25 miles from the emergency operations facility must include the following:

(1) Space for members of an NRC site team and Federal, State, and local responders;

(2) Additional space for conducting briefings with emergency response personnel;

(3) Communication with other licensee and offsite emergency response facilities;

(4) Access to plant data and radiological information; and

(5) Access to copying equipment and office supplies;

c. For a nuclear power reactor licensee's emergency operations facility required by paragraph 8.a of this section, a facility having the following capabilities:

(1) The capability for obtaining and displaying plant data and radiological information for each reactor at a nuclear power reactor site and for each nuclear power reactor site that the facility serves;

(2) The capability to analyze plant technical information and provide technical briefings on event conditions and prognosis to licensee and offsite response organizations for each reactor at a nuclear power reactor site and for each nuclear power reactor site that the facility serves; and

(3) The capability to support response to events occurring simultaneously at more than one nuclear power reactor site if the emergency operations facility serves more than one site; and

d. For nuclear power reactor licensees, an alternative facility (or facilities) that would be accessible even if the site is under threat of or experiencing hostile action, to function as a staging area for augmentation of emergency response staff and collectively having the following characteristics: the capability for communication with the emergency operations facility, control room, and plant security; the capability to perform offsite notifications; and the capability for engineering assessment activities, including damage control team planning and preparation, for use when onsite emergency facilities cannot be safely accessed during hostile action. The requirements in this paragraph 8.d must be implemented no later than December 23, 2014, with the exception of the capability for staging emergency response organization personnel at the alternative facility (or facilities) and the capability for communications with the emergency operations facility, control room, and plant security, which must be implemented no later than June 20, 2012.

e. A licensee shall not be subject to the requirements of paragraph 8.b of this section for an existing emergency operations facility approved as of December 23, 2011;

9. At least one onsite and one offsite communications system; each system shall have a backup power source. All communication plans shall have arrangements for emergencies, including titles and alternates for those in charge at both ends of the communication links and the primary and backup means of communication. Where consistent with the function of the governmental agency, these arrangements will include:

a. Provision for communications with contiguous State/local governments within the plume exposure pathway EPZ. Such communications shall be tested monthly.

b. Provision for communications with Federal emergency response organizations. Such communications systems shall be tested annually.

c. Provision for communications among the nuclear power reactor control room, the onsite technical support center, and the emergency operations facility; and among the nuclear facility, the principal State and local emergency operations centers, and the field assessment teams. Such communications systems shall be tested annually.

d. Provisions for communications by the licensee with NRC Headquarters and the appropriate NRC Regional Office Operations Center from the nuclear power reactor control room, the onsite technical support center, and the emergency operations facility. Such communications shall be tested monthly.

1. The program to provide for: (a) The training of employees and exercising, by periodic drills, of emergency plans to ensure that employees of the licensee are familiar with their specific emergency response duties, and (b) The participation in the training and drills by other persons whose assistance may be needed in the event of a radiological emergency shall be described. This shall include a description of specialized initial training and periodic retraining programs to be provided to each of the following categories of emergency personnel:

i. Directors and/or coordinators of the plant emergency organization;

ii. Personnel responsible for accident assessment, including control room shift personnel;

iii. Radiological monitoring teams;

iv. Fire control teams (fire brigades);

v. Repair and damage control teams;

vi. First aid and rescue teams;

vii. Medical support personnel;

viii. Licensee's headquarters support personnel;

ix. Security personnel.

In addition, a radiological orientation training program shall be made available to local services personnel; e.g., local emergency services/Civil Defense, local law enforcement personnel, local news media persons.

2. The plan shall describe provisions for the conduct of emergency preparedness exercises as follows: Exercises shall test the adequacy of timing and content of implementing procedures and methods, test emergency equipment and communications networks, test the public alert and notification system, and ensure that emergency organization personnel are familiar with their duties.\3\

a. A full participation \4\ exercise which tests as much of the licensee, State, and local emergency plans as is reasonably achievable without mandatory public participation shall be conducted for each site at which a power reactor is located. Nuclear power reactor licensees shall submit exercise scenarios under Sec. 50.4 or Sec. 53.040 of this chapter at least 60 days before use in a full participation exercise required by this paragraph 2.a.

(i) For an operating license issued under part 50 or part 53 of this chapter, this exercise must be conducted within 2 years before the issuance of the first operating license for full power (one authorizing operation above 5 percent of rated thermal power) of the first reactor and shall include participation by each State and local government within the plume exposure pathway EPZ and each state within the ingestion exposure pathway EPZ. If the full participation exercise is conducted more than 1 year prior to issuance of an operating licensee for full power, an exercise which tests the licensee's onsite emergency plans must be conducted within 1 year before issuance of an operating license for full power. This exercise need not have State or local government participation.

(ii) For a combined license issued under part 52 or part 53 of this chapter, this exercise must be conducted within 2 years of the scheduled date for initial loading of fuel. If the first full participation exercise is conducted more than 1 year before the scheduled date for initial loading of fuel, an exercise which tests the licensee's onsite emergency plans must be conducted within 1 year before the scheduled date for initial loading of fuel. This exercise need not have State or local government participation. If FEMA identifies one or more deficiencies in the state of offsite emergency preparedness as the result of the first full participation exercise, or if the Commission finds that the state of emergency preparedness does not provide reasonable assurance that adequate protective measures can and will be taken in the event of a radiological emergency, the provisions of Sec. 50.54(gg) apply.

(iii) For a combined license issued under part 52 or part 53 of this chapter, if the applicant currently has an operating reactor at the site, an exercise, either full or partial participation,\5\ shall be conducted for each subsequent reactor constructed on the site. This exercise may be incorporated in the exercise requirements of Sections IV.F.2.b. and c. in this appendix. If FEMA identifies one or more deficiencies in the state of offsite emergency preparedness as the result of this exercise for the new reactor, or if the Commission finds that the state of emergency preparedness does not provide reasonable assurance that adequate protective measures can and will be taken in the event of a radiological emergency, the provisions of Sec. 50.54(gg) apply.

b. Each licensee at each site shall conduct a subsequent exercise of its onsite emergency plan every 2 years. Nuclear power reactor licensees shall submit exercise scenarios under Sec. 50.4 or Sec. 53.040 of this chapter at least 60 days before use in an exercise required by this paragraph 2.b. The exercise may be included in the full participation biennial exercise required by paragraph 2.c. of this section. In addition, the licensee shall take actions necessary to ensure that adequate emergency response capabilities are maintained during the interval between biennial exercises by conducting drills, including at least one drill involving a combination of some of the principal functional areas of the licensee's onsite emergency response capabilities. The principal functional areas of emergency response include activities such as management and coordination of emergency response, accident assessment, event classification, notification of offsite authorities, assessment of the onsite and offsite impact of radiological releases, protective action recommendation development, protective action decision making, plant system repair and mitigative action implementation. During these drills, activation of all of the licensee's emergency response facilities (Technical Support Center (TSC), Operations Support Center (OSC), and the Emergency Operations Facility (EOF)) would not be necessary, licensees would have the opportunity to consider accident management strategies, supervised instruction would be permitted, operating staff in all participating facilities would have the opportunity to resolve problems (success paths) rather than have controllers intervene, and the drills may focus on the onsite exercise training objectives.

c. Offsite plans for each site shall be exercised biennially with full participation by each offsite authority having a role under the radiological response plan. Where the offsite authority has a role under a radiological response plan for more than one site, it shall fully participate in one exercise every 2 years and shall, at least, partially participate in other offsite plan exercises in this period. If two different licensees each have licensed facilities located either on the same site or on adjacent, contiguous sites, and share most of the elements defining co-located licensees,\6\ then each licensee shall:

(1) Conduct an exercise biennially of its onsite emergency plan;

(2) Participate quadrennially in an offsite biennial full or partial participation exercise;

(3) Conduct emergency preparedness activities and interactions in the years between its participation in the offsite full or partial participation exercise with offsite authorities, to test and maintain interface among the affected State and local authorities and the licensee. Co-located licensees shall also participate in emergency preparedness activities and interaction with offsite authorities for the period between exercises;

(4) Conduct a hostile action exercise of its onsite emergency plan in each exercise cycle; and

(5) Participate in an offsite biennial full or partial participation hostile action exercise in alternating exercise cycles.

d. Each State with responsibility for nuclear power reactor emergency preparedness should fully participate in the ingestion pathway portion of exercises at least once every exercise cycle. In States with more than one nuclear power reactor plume exposure pathway EPZ, the State should rotate this participation from site to site. Each State with responsibility for nuclear power reactor emergency preparedness should fully participate in a hostile action exercise at least once every cycle. States with more than one nuclear power reactor plume exposure pathway EPZ should rotate this participation from site to site.

e. Licensees shall enable any State or local government located within the plume exposure pathway EPZ to participate in the licensee's drills when requested by such State or local government.

f. Remedial exercises will be required if the emergency plan is not satisfactorily tested during the biennial exercise, such that NRC, in consultation with FEMA, cannot (1) find reasonable assurance that adequate protective measures can and will be taken in the event of a radiological emergency or (2) determine that the Emergency Response Organization (ERO) has maintained key skills specific to emergency response. The extent of State and local participation in remedial exercises must be sufficient to show that appropriate corrective measures have been taken regarding the elements of the plan not properly tested in the previous exercises.

g. All exercises, drills, and training that provide performance opportunities to develop, maintain, or demonstrate key skills must provide for formal critiques in order to identify weak or deficient areas that need correction. Any weaknesses or deficiencies that are identified in a critique of exercises, drills, or training must be corrected.

h. The participation of State and local governments in an emergency exercise is not required to the extent that the applicant has identified those governments as refusing to participate further in emergency planning activities, pursuant to Sec. 50.47(c)(1). In such cases, an exercise shall be held with the applicant or licensee and such governmental entities as elect to participate in the emergency planning process.

i. Licensees shall use drill and exercise scenarios that provide reasonable assurance that anticipatory responses will not result from preconditioning of participants. Such scenarios for nuclear power reactor licensees must include a wide spectrum of radiological releases and events, including hostile action. Exercise and drill scenarios as appropriate must emphasize coordination among onsite and offsite response organizations.

j. (i) The exercises conducted under paragraph 2 of this section by nuclear power reactor licensees must provide the opportunity for the ERO to demonstrate proficiency in the key skills necessary to implement the principal functional areas of emergency response identified in paragraph 2.b of this section.

(ii) Each exercise must provide the opportunity for the ERO to demonstrate key skills specific to emergency response duties in the control room, TSC, OSC, EOF, and joint information center.

(iii) In each 8-calendar-year exercise cycle, nuclear power reactor licensees shall vary the content of scenarios during exercises conducted under paragraph 2 of this section to provide the opportunity for the ERO to demonstrate proficiency in the key skills necessary to respond to the following scenario elements:

(1) Hostile action directed at the plant site;

(2) No radiological release or an unplanned minimal radiological release that does not require public protective actions;

(3) An initial classification of, or rapid escalation to, a Site Area Emergency or General Emergency;

(4) Implementation of strategies, procedures, and guidance under Sec. 50.155(b)(2) for applicants and licensees under parts 50 and 52 of this chapter; and

(5) Integration of offsite resources with onsite response.

(iv) The licensee shall maintain a record of exercises conducted during each 8-year exercise cycle that documents the content of scenarios used to comply with the requirements of section IV.F.2.j of this appendix.

(v) Each licensee shall conduct a hostile action exercise for each of its sites no later than December 31, 2015.

(vi) The first 8-year exercise cycle for a site will begin in the calendar year in which the first hostile action exercise is conducted. For a site licensed under 10 CFR part 52 or 10 CFR part 53 using 10 CFR 50.47 and this appendix, the first 8-year exercise cycle begins in the calendar year of the initial exercise required by section IV.F.2.a of this appendix.

No less than 180 days before the scheduled issuance of an operating license for a nuclear power reactor or a license to possess nuclear material, or the scheduled date for initial loading of fuel for a combined license under part 52 or part 53 of this chapter, the applicant's or licensee's detailed implementing procedures for its emergency plan shall be submitted to the Commission as specified in Sec. 50.4 or Sec. 53.040. * * * * *

\3\ Use of site specific simulators or computers is acceptable for any exercise.

\4\ Full participation when used in conjunction with emergency preparedness exercises for a particular site means appropriate offsite local and State authorities and licensee personnel physically and actively take part in testing their integrated capability to adequately assess and respond to an accident at a commercial nuclear power plant. Full participation includes testing major observable portions of the onsite and offsite emergency plans and mobilization of State, local and licensee personnel and other resources in sufficient numbers to verify the capability to respond to the accident scenario.

\5\ Partial participation when used in conjunction with emergency preparedness exercises for a particular site means appropriate offsite authorities shall actively take part in the exercise sufficient to test direction and control functions; i.e., (a) protective action decision making related to emergency action levels, and (b) communication capabilities among affected State and local authorities and the licensee.

\6\ Co-located licensees are two different licensees whose licensed facilities are located either on the same site or on adjacent, contiguous sites, and that share most of the following emergency planning and siting elements:

a. Plume exposure and ingestion emergency planning zones;

b. Offsite governmental authorities;

c. Offsite emergency response organizations;

d. Public notification system; and/or

e. Emergency facilities. * * * * *

PART 51--ENVIRONMENTAL PROTECTION REGULATIONS FOR DOMESTIC LICENSING AND RELATED REGULATORY FUNCTIONS

0 111. The authority citation for part 51 is revised to read as follows:

Authority: Atomic Energy Act of 1954, secs. 161, 193 (42 U.S.C. 2201, 2243); Energy Reorganization Act of 1974, secs. 201, 202 (42 U.S.C. 5841, 5842); National Environmental Policy Act of 1969 (42 U.S.C. 4332, 4334, 4335); Nuclear Waste Policy Act of 1982, secs. 144(f), 121, 135, 141, 148 (42 U.S.C. 10134(f), 10141, 10155, 10161, 10168); 44 U.S.C. 3504 note.

0 112. In Sec. 51.4, revise the definition for “Construction” to read as follows:

Sec. 51.4 Definitions.

* * * * *

Construction means:

(1)(i) For production and utilization facilities licensed under 10 CFR part 50 or 10 CFR part 52, the activities in 10 CFR 50.10(a)(1), and does not mean the activities in 10 CFR 50.10(a)(2).

(ii) For utilization facilities licensed under 10 CFR part 53, the activities in paragraph (1) of the definition of construction in 10 CFR 53.020, and does not mean the activities in paragraph (2) of the definition of construction in 10 CFR 53.020.

(2) For materials licenses, the activities in paragraph (2)(i) of this definition, and does not mean the activities in paragraph (2)(ii) of this definition.

(i) Taking any site-preparation activity at the site of a facility subject to the regulations in 10 CFR parts 30, 36, 40, and 70 that has a reasonable nexus to radiological health and safety or the common defense and security.

(ii) Construction does not include:

(A) The activities listed in 10 CFR 50.10(a)(2)(i)-(viii); or

(B) Taking any other action that has no reasonable nexus to radiological health and safety or the common defense and security. * * * * *

0 113. In Sec. 51.20, revise paragraphs (b)(1) and (2) to read as follows:

Sec. 51.20 Criteria for and identification of licensing and regulatory actions requiring environmental impact statements.

* * * * *

(b) * * *

(1) Issuance of a limited work authorization or a permit to construct a nuclear power reactor, testing facility, or fuel reprocessing plant under part 50 of this chapter, issuance of an early site permit under part 52 of this chapter, or issuance of a limited work authorization, construction permit, or early site permit under part 53 of this chapter.

(2) Issuance or renewal of a full power or design capacity license to operate a nuclear power reactor, testing facility, or fuel reprocessing plant under part 50 or part 53 of this chapter, or a combined license under part 52 or part 53 of this chapter. * * * * *

0 114. In Sec. 51.22, revise paragraphs (c)(3) introductory text, (c)(9) introductory text, (c)(12) introductory text, (c)(17), (c)(22), and (c)(23) to read as follows:

Sec. 51.22 Criterion for categorical exclusion; identification of licensing and regulatory actions eligible for categorical exclusion or otherwise not requiring environmental review.

* * * * *

(c) * * *

(3) Amendments to parts 20, 30, 31, 32, 33, 34, 35, 37, 39, 40, 50, 51, 52, 53, 54, 60, 61, 63, 70, 71, 72, 73, 74, 81, and 100 of this chapter which relate to-- * * * * *

(9) Issuance of an amendment to a permit or license for a reactor under part 50, part 52, or part 53 of this chapter that changes a requirement or issuance of an exemption from a requirement, with respect to installation or use of a facility component located within the restricted area, as defined in part 20 of this chapter; or the issuance of an amendment to a permit or license for a reactor under part 50, part 52, or part 53 of this chapter that changes an inspection or a surveillance requirement; provided that: * * * * *

(12) Issuance of an amendment to a license under parts 50, 52, 53, 60, 61, 63, 70, 72, or 75 of this chapter relating solely to safeguards matters (i.e., protection against sabotage or loss or diversion of special nuclear material) or issuance of an approval of a safeguards plan submitted under parts 50, 52, 53, 70, 72, and 73 of this chapter, provided that the amendment or approval does not involve any significant construction impacts. These amendments and approvals are confined to-- * * * * *

(17) Issuance of an amendment to a permit or license under part 30, part 40, part 50, part 52, part 53, or part 70 of this chapter which deletes any limiting condition of operation or monitoring requirement based on or applicable to any matter subject to the provisions of the Federal Water Pollution Control Act. * * * * *

(22) Issuance of a standard design approval under part 52 or part 53 of this chapter.

(23) The Commission finding for a combined license under Sec. 52.103(g) or Sec. 53.1452(g) of this chapter. * * * * *

Sec. 51.26 [Amended]

0 115. In Sec. 51.26, in paragraph (d) remove the phrase “under part 52” and add in its place the phrase “under 10 CFR part 52 or part 53,”.

0 116. In Sec. 51.30, revise paragraph (a) introductory text and paragraphs (d) and (e) to read as follows:

Sec. 51.30 Environmental assessment.

(a) An environmental assessment for proposed actions, other than those for a standard design certification under 10 CFR part 52 or part 53, or a manufacturing license under 10 CFR part 52 or part 53, shall identify the proposed action and include: * * * * *

(d) An environmental assessment for a standard design certification under subpart B of part 52, or under subpart H of part 53 of this chapter must identify the proposed action and will be limited to the consideration of the costs and benefits of severe accident mitigation design alternatives and the bases for not incorporating severe accident mitigation design alternatives in the design certification. An environmental assessment for an amendment to a design certification will be limited to the consideration of whether the design change which is the subject of the proposed amendment renders a severe accident mitigation design alternative previously rejected in the earlier environmental assessment to become cost beneficial, or results in the identification of new severe accident mitigation design alternatives, in which case the costs and benefits of new severe accident mitigation design alternatives and the bases for not incorporating new severe accident mitigation design alternatives in the design certification must be addressed.

(e) An environmental assessment for a manufacturing license under subpart F of part 52 of this chapter or under subpart H of part 53 of this chapter must identify the proposed action and will be limited to the consideration of the costs and benefits of severe accident mitigation design alternatives and the bases for not incorporating severe accident mitigation design alternatives in the manufacturing license. An environmental assessment for an amendment to a manufacturing license will be limited to consideration of whether the design change which is the subject of the proposed amendment either renders a severe accident mitigation design alternative previously rejected in an environmental assessment to become cost beneficial, or results in the identification of new severe accident mitigation design alternatives, in which case the costs and benefits of new severe accident mitigation design alternatives and the bases for not incorporating new severe accident mitigation design alternatives in the manufacturing license must be addressed. In either case, the environmental assessment will not address the environmental impacts associated with manufacturing the reactor under the manufacturing license.

Sec. 51.31 [Amended]

0 117. In Sec. 51.31, in paragraph (a), remove the phrase “under part 52” and add in its place the phrase “under part 52 or part 53”.

Sec. 51.32 [Amended]

0 118. In Sec. 51.32, in paragraphs (b)(1) and (3), remove the phrase “of part 52 of this chapter” and add in its place the phrase “of part 52 or subpart H of part 53 of this chapter”.

Sec. 51.49 [Amended]

0 119. In Sec. 51.49, in paragraph (c) introductory text, remove the phrase “of part 52 of this chapter” and add in its place the phrase “of part 52 or under subpart H of part 53 of this chapter”.

Sec. 51.50 [Amended]

0 120. In Sec. 51.50, wherever it may appear, remove the phrase “in accordance with Sec. 50.36b of this chapter” and add in its place the phrase “in accordance with Sec. 50.36b or Sec. 53.1112 of this chapter”.

Sec. 51.53 [Amended]

0 121. In Sec. 51.53, in paragraph (d), remove the phrase “under Sec. 50.82 of this chapter” and add in its place the phrase “under Sec. 50.82 or Sec. 53.1080 of this chapter”.

Sec. 51.54 [Amended]

0 122. In Sec. 51.54, in paragraph (a), remove the phrase “of part 52 of this chapter” and add in its place the phrase “of part 52 or under subpart H of part 53 of this chapter”.

Sec. 51.55 [Amended]

0 123. In Sec. 51.55, in paragraph (a), remove the phrase “of part 52 of this chapter” and add in its place the phrase “of part 52 or under subpart H of part 53 of this chapter”.

0 124. In Sec. 51.58, revise paragraph (b) to read as follows:

Sec. 51.58 Environmental report--number of copies; distribution.

* * * * *

(b) Each applicant for a license to manufacture a nuclear power reactor, or for an amendment to a license to manufacture, seeking approval of the final design of the nuclear power reactor under subpart F of part 52 or under subpart H of part 53 of this chapter, shall submit to the Commission an environmental report or any supplement to an environmental report in the manner specified in Sec. 50.3 or Sec. 53.040 of this chapter. The applicant shall maintain the capability to generate additional copies of the environmental report or any supplement to the environmental report for subsequent distribution to parties and Boards in the NRC proceeding; Federal, State, and local officials; and any affected Indian Tribes, in accordance with written instructions issued by the Director, Office of Nuclear Reactor Regulation.

0 125. In Sec. 51.77, revise paragraph (a) introductory text to read as follows:

Sec. 51.77 Distribution of draft environmental impact statement.

(a) In addition to the distribution authorized by Sec. 51.74, a copy of a draft environmental statement for a licensing action for a production or utilization facility, except an action authorizing issuance, amendment, or renewal of a license to manufacture a nuclear power reactor pursuant to 10 CFR part 52, subpart F or 10 CFR part 53, subparts H or I will also be distributed to: * * * * *

Sec. 51.92 [Amended]

0 126. In Sec. 51.92, in paragraph (b), remove the phrase “10 CFR part 52” and add in its place the phrase “10 CFR part 52 or part 53”.

Sec. 51.95 [Amended]

0 127. In Sec. 51.95, in paragraph (c) introductory text remove the phrase “under 10 CFR parts 52 or 54” and add in its place the phrase “under 10 CFR part 52, part 53, or part 54”.

0 128. In Sec. 51.101, revise paragraph (a)(2) to read as follows:

Sec. 51.101 Limitations on actions.

(a) * * *

(2) Any action concerning the proposal taken by an applicant which would--

(i) Have an adverse environmental impact; or

(ii) Limit the choice of reasonable alternatives that may be grounds for denial of the license. In the case of an application covered by Sec. 30.32(f), Sec. 40.31(f), Sec. 50.10(c), Sec. 53.1130, Sec. 70.21(f), or Sec. 72.16 and Sec. 72.34 of this chapter, the provisions of this paragraph will be applied in accordance with Sec. 30.33(a)(5), Sec. 40.32(e), Sec. 50.10(c), Sec. 53.1130, Sec. 70.23(a)(7), or Sec. 72.40(b) of this chapter, as appropriate. * * * * *

Sec. 51.103 [Amended]

0 129. In Sec. 51.103, in paragraph (a)(6), remove the phrase “under 10 CFR 50.10” and add in its place the phrase “under Sec. 50.10 or Sec. 53.1130 of this chapter”.

0 130. In Sec. 51.105, revise paragraph (c)(1) introductory text to read as follows:

Sec. 51.105 Public hearings in proceedings for issuance of construction permits or early site permits; limited work authorizations.

* * * * *

(c)(1) In addition to complying with the applicable provisions of Sec. 51.104, in any proceeding for the issuance of a construction permit for a nuclear power plant or an early site permit under part 52 or part 53 of this chapter, where the applicant requests a limited work authorization under Sec. 50.10(d) or Sec. 53.1130 of this chapter, the presiding officer will-- * * * * *

0 131. In Sec. 51.107, revise paragraphs (a) introductory text, (b) introductory text, and (d)(1) introductory text to read as follows:

Sec. 51.107 Public hearings in proceedings for issuance of combined licenses; limited work authorizations.

(a) In addition to complying with the applicable requirements of Sec. 51.104, in a proceeding for the issuance of a combined license for a nuclear power reactor under part 52 or part 53 of this chapter, the presiding officer will: * * * * *

(b) If a combined license application references an early site permit, then the presiding officer in the combined license hearing must not admit any contention proffered by any party on environmental issues that have been accorded finality under Sec. 52.39 or Sec. 53.1188 of this chapter, unless the contention: * * * * *

(d)(1) In any proceeding for the issuance of a combined license where the applicant requests a limited work authorization under Sec. 50.10(d) or Sec. 53.1130(a) of this chapter, the presiding officer, in addition to complying with any applicable provision of Sec. 51.104, will: * * * * *

0 132. Revise Sec. 51.108 to read as follows:

Sec. 51.108 Public hearings on Commission findings that inspections, tests, analyses, and acceptance criteria of combined licenses are met.

In any public hearing requested under Sec. 52.103(b) or Sec. 53.1452(b) of this chapter, the Commission will not admit any contentions on environmental issues, the adequacy of the environmental impact statement for the combined license issued under subpart C of part 52 or under subpart H of part 53 of this chapter, or the adequacy of any other environmental impact statement or environmental assessment referenced in the combined license application. The Commission will not make any environmental findings in connection with the finding under Sec. 52.103(g) or Sec. 53.1452(g) of this chapter.

0 133. Add part 53, consisting of Sec. Sec. 53.000 through 53.9010, to read as follows:

PART 53--RISK-INFORMED, TECHNOLOGY-INCLUSIVE REGULATORY FRAMEWORK FOR COMMERCIAL NUCLEAR PLANTS

Sec. 53.000 Purpose. Subpart A--General Provisions 53.015 Scope. 53.020 Definitions. 53.030 [Reserved] 53.040 Written communications. 53.050 Deliberate misconduct. 53.060 Employee protection. 53.070 Completeness and accuracy of information. 53.080 Specific exemptions. 53.090 Standards for review.

53.100 Jurisdictional limits. 53.110 Attacks and destructive acts. 53.115 Rights related to special nuclear material. 53.117 License suspension and rights of recapture. 53.120 Information collection requirements: OMB approval. Subpart B--Technology-Inclusive Safety Requirements 53.210 Safety criteria for design-basis accidents. 53.220 Safety criteria for licensing-basis events other than design- basis accidents. 53.230 Safety functions. 53.240 Licensing-basis events. 53.250 Defense in depth. 53.260 Normal operations. 53.270 Protection of plant workers. Subpart C--Design and Analysis Requirements 53.400 Design features for licensing-basis events. 53.410 Functional design criteria for design-basis accidents. 53.415 Protection against external hazards. 53.420 Functional design criteria for licensing-basis events other than design-basis accidents. 53.425 Design features and functional design criteria for normal operations. 53.430 Design features and functional design criteria for protection of plant workers. 53.440 Design requirements. 53.450 Analysis requirements. 53.460 Safety categorization and treatments. 53.470 [Reserved] 53.480 Earthquake engineering. Subpart D--Siting Requirements 53.500 General siting and siting assessment. 53.510 External hazards. 53.520 Site characteristics. 53.530 Population-related considerations. 53.540 Siting interfaces. Subpart E--Construction and Manufacturing Requirements 53.600 Construction and manufacturing--scope and purpose. 53.605 Reporting of defects and noncompliance. 53.610 Construction. 53.620 Manufacturing. Subpart F--Requirements for Operation 53.700 Operational objectives. 53.710 Maintaining capabilities and availability of structures, systems, and components. 53.715 Maintenance, repair, and inspection programs. 53.720 Response to seismic events. 53.725 General staffing, training, personnel qualifications, and human factors requirements. 53.726 Communications. 53.728 Completeness and accuracy of information. 53.730 Defining, fulfilling, and maintaining the role of personnel in ensuring safe operations. 53.735 General exemptions. 53.740 Facility licensee requirements--general. 53.745 Operator license requirements. 53.760 Operator licensing. 53.765 Medical requirements. 53.770 Incapacitation because of disability or illness. 53.775 Applications for operators and senior operators. 53.780 Training, examination, and proficiency program. 53.785 Conditions of operator and senior operator licenses. 53.790 Issuance, modification, and revocation of operator and senior operator licenses. 53.795 Expiration and renewal of operator and senior operator licenses. 53.800 Facility licensees for self-reliant-mitigation facilities. 53.805 Facility licensee requirements related to generally licensed reactor operators. 53.810 Generally licensed reactor operators. 53.815 Generally licensed reactor operator training, examination, and proficiency programs. 53.820 Cessation of individual applicability. 53.830 Training and qualification of commercial nuclear personnel. 53.845 Programs. 53.850 Radiation protection. 53.855 Emergency preparedness. 53.860 Security programs. 53.865 Quality assurance. 53.870 Integrity assessment programs. 53.875 Fire protection. 53.880 Inservice inspection and inservice testing. 53.910 Procedures and guidelines. Subpart G--Decommissioning Requirements 53.1000 Scope and purpose. 53.1010 Financial assurance for decommissioning. 53.1020 Cost estimates for decommissioning. 53.1030 Annual adjustments to cost estimates for decommissioning. 53.1040 Methods for providing financial assurance for decommissioning. 53.1045 Limitations on the use of decommissioning trust funds. 53.1050 NRC oversight. 53.1060 Reporting and recordkeeping requirements. 53.1070 Termination of license. 53.1075 Program requirements during decommissioning. 53.1080 Release of part of a commercial nuclear plant or site for unrestricted use. Subpart H--Licenses, Certifications, and Approvals 53.1100 Filing of application for licenses, certifications, or approvals; oath or affirmation. 53.1101 Requirement for license. 53.1103 Combining applications and licenses. 53.1106 Elimination of repetition. 53.1109 Contents of applications; general information. 53.1112 Environmental conditions. 53.1115 Agreement limiting access to classified information. 53.1118 Ineligibility of certain applicants. 53.1120 Exceptions and exemptions from licensing requirements. 53.1121 Public inspection of applications. 53.1124 Relationship between sections. 53.1130 Limited work authorizations. 53.1140 Early site permits. 53.1144 Contents of applications for early site permits; general information. 53.1146 Contents of applications for early site permits; technical information. 53.1149 Review of applications. 53.1155 Referral to the Advisory Committee on Reactor Safeguards. 53.1158 Issuance of early site permit. 53.1161 Extent of activities permitted. 53.1164 Duration of permit. 53.1167 Limited work authorization after issuance of early site permit. 53.1170 Transfer of early site permit. 53.1173 Application for renewal. 53.1176 Criteria for renewal. 53.1179 Duration of renewal. 53.1182 Use of site for other purposes. 53.1188 Finality of early site permit determinations. 53.1200 Standard design approvals. 53.1206 Contents of applications for standard design approvals; general information. 53.1209 Contents of applications for standard design approvals; technical information. 53.1210 Contents of applications for standard design approvals; other application content. 53.1212 Standards for review of applications. 53.1215 Referral to the Advisory Committee on Reactor Safeguards. 53.1218 Staff approval of design. 53.1221 Finality of standard design approvals; information requests. 53.1230 Standard design certifications. 53.1236 Contents of applications for standard design certifications; general information. 53.1239 Contents of applications for standard design certifications; technical information. 53.1241 Contents of applications for standard design certifications; other application content. 53.1242 Review of applications. 53.1245 Referral to the Advisory Committee on Reactor Safeguards. 53.1248 Issuance of standard design certification. 53.1251 Duration of certification. 53.1254 Application for renewal. 53.1257 Criteria for renewal. 53.1260 Duration of renewal. 53.1263 Finality of standard design certifications. 53.1270 Manufacturing licenses. 53.1276 Contents of applications for manufacturing licenses; general information. 53.1279 Contents of applications for manufacturing licenses; technical information. 53.1282 Contents of applications for manufacturing licenses; other application content.

53.1285 Review of applications. 53.1286 Referral to the Advisory Committee on Reactor Safeguards. 53.1287 Issuance of manufacturing licenses. 53.1288 Finality of manufacturing licenses. 53.1291 Duration of manufacturing licenses. 53.1293 Transfer of manufacturing licenses. 53.1295 Renewal of manufacturing licenses. 53.1300 Construction permits. 53.1306 Contents of applications for construction permits; general information. 53.1309 Contents of applications for construction permits; technical information. 53.1312 Contents of applications for construction permits; other application content. 53.1315 Review of applications. 53.1318 Finality of referenced NRC approvals, permits, and certifications. 53.1324 Referral to the Advisory Committee on Reactor Safeguards. 53.1327 Authorization to conduct limited work authorization activities. 53.1330 Exemptions, departures, and variances. 53.1333 Issuance of construction permits. 53.1336 Finality of construction permits. 53.1342 Duration of construction permits. 53.1345 Transfer of construction permits. 53.1348 Termination of construction permits. 53.1360 Operating licenses. 53.1366 Contents of applications for operating licenses; general information. 53.1369 Contents of applications for operating licenses; technical information. 53.1372 Contents of applications for operating licenses; other application content. 53.1375 Review of applications. 53.1381 Referral to the Advisory Committee on Reactor Safeguards. 53.1384 Exemptions, departures, and variances. 53.1387 Issuance of operating licenses. 53.1390 Backfitting of operating licenses. 53.1396 Duration of operating licenses. 53.1399 Transfer of an operating license. 53.1402 Application for renewal. 53.1405 Continuation of an operating license. 53.1410 Combined licenses. 53.1413 Contents of applications for combined licenses; general information. 53.1416 Contents of applications for combined licenses; technical information. 53.1419 Contents of applications for combined licenses; other application content. 53.1422 Review of applications. 53.1425 Finality of referenced NRC approvals. 53.1431 Referral to the Advisory Committee on Reactor Safeguards. 53.1434 Authorization to conduct limited work authorization activities. 53.1437 Exemptions, departures, and variances. 53.1440 Issuance of combined licenses. 53.1443 Finality of combined licenses. 53.1449 Inspection during construction. 53.1452 Operation under a combined license. 53.1455 Duration of combined license. 53.1456 Transfer of a combined license. 53.1458 Application for renewal. 53.1461 Continuation of combined license. 53.1470 Standardization of commercial nuclear plant designs: licenses to construct and operate nuclear power reactors of identical design at multiple sites. Subpart I--Maintaining and Revising Licensing-Basis Information 53.1500 Licensing-basis information. 53.1502 Specific terms and conditions of licenses. 53.1505 Changes to licensing-basis information requiring prior NRC approval. 53.1510 Application for amendment of license. 53.1515 Public notices; State consultation. 53.1520 Issuance of amendment. 53.1525 Revising certification information within a design certification rule. 53.1530 Revising design information within a Final Safety Analysis Report associated with a manufacturing license. 53.1535 Amendments during construction. 53.1540 Updating licensing-basis information and determining the need for NRC approval. 53.1545 Updating Final Safety Analysis Reports. 53.1550 Evaluating changes to facility as described in Final Safety Analysis Reports. 53.1560 Updating program documents included in licensing-basis information. 53.1565 Evaluating changes to programs included in licensing-basis information. 53.1570 Transfer of licenses. 53.1575 Termination of licenses. 53.1580 Information requests. 53.1585 Revocation, suspension, modification of licenses and approvals for cause. 53.1590 Backfitting. 53.1595 Renewal. Subpart J--Reporting and Other Administrative Requirements 53.1600 General information. 53.1610 Unfettered access for inspections. 53.1620 Maintenance of records, making of reports. 53.1630 Immediate notification requirements for operating commercial nuclear plants. 53.1640 Licensee event report system. 53.1645 Reports of radiation exposure to members of the public. 53.1650 Facility information and verification. 53.1660 Financial requirements. 53.1670 Financial qualifications. 53.1680 [Reserved] 53.1690 Licensee's change of status; financial qualifications. 53.1700 Creditor regulations. 53.1710 Financial protection. 53.1720 Insurance required to stabilize and decontaminate plant following an accident. 53.1730 Financial protection requirements. Subparts K and L [Reserved] Subpart M--Enforcement 53.9000 Violations. 53.9010 Criminal penalties.

Authority: Atomic Energy Act of 1954, secs. 11, 101, 103, 108, 122, 147, 161, 181, 182, 183, 184, 185, 186, 187, 189, 223, 234 (42 U.S.C. 2014, 2131, 2132, 2133, 2134, 2135, 2138, 2152, 2167, 2169, 2201, 2231, 2232, 2233, 2234, 2235, 2236, 2237, 2239, 2273, 2282); Energy Reorganization Act of 1974, secs. 201, 202, 206, 211 (42 U.S.C. 5841, 5842, 5846, 5851); Nuclear Waste Policy Act of 1982, sec. 306 (42 U.S.C. 10226); National Environmental Policy Act of 1969 (42 U.S.C. 4332); 44 U.S.C. 3504 note; Pub. L. 115-439, 132 Stat. 5571.

Sec. 53.000 Purpose.

This part provides an optional, technology-inclusive, performance- based framework for the issuance, amendment, renewal, and termination of licenses, permits, certifications, and approvals for commercial nuclear plants licensed under section 103 of the Atomic Energy Act of 1954, as amended (the Act) (68 Stat. 919), and Title II of the Energy Reorganization Act of 1974, as amended (88 Stat. 1242). Also, this part gives notice to all persons who knowingly provide to any holder of or applicant for an approval, certification, permit, or license, or to a contractor, subcontractor, or consultant of any of them, components, equipment, materials, or other goods or services that relate to the activities of a holder of or applicant for an approval, certification, permit, or license, subject to this part, that they may be individually subject to U.S. Nuclear Regulatory Commission enforcement action for violation of the provisions in Sec. 53.050.

Sec. 53.015 Scope.

Subpart A provides general provisions applicable to all applicants and licensees subject to the rules of this part.

Sec. 53.020 Definitions.

As used in this part:

Anticipated event sequence means event sequences expected to occur one or more times during the life of a commercial nuclear plant. Anticipated event sequences take into account the expected response of all structures, systems, and components (SSCs) within the plant, regardless of safety classification.

Applicant means a person applying for a license, permit, or other form of Commission permission or approval under this part.

Certified fuel handler means, for a commercial nuclear plant, either--

(1) A non-licensed operator who has qualified in accordance with a fuel handler training program approved by the Commission; or

(2) A non-licensed operator who demonstrates compliance with the following criteria:

(i) Has qualified in accordance with a fuel handler training program that demonstrates compliance with the same requirements as training programs for non-licensed operators required by Sec. 53.830, and

(ii) Is responsible for decisions on--

(A) Safe conduct of decommissioning activities,

(B) Safe handling and storage of spent fuel; and

(C) Appropriate response to plant emergencies.

Combined license (COL) means a combined construction permit (CP) and operating license (OL) with conditions for a commercial nuclear plant issued under this part.

Commercial nuclear plant means a facility consisting of one or more commercial nuclear reactors and associated co-located support facilities, including the collection of buildings, radionuclide sources, and SSCs for which a license, certification, or approval is being sought under this part, that is or will be used for producing power for commercial electric power or other commercial purposes. For the purposes of requirements in this part that reference requirements in part 50 of this chapter, a commercial nuclear plant is equivalent to a nuclear power plant.

Commercial nuclear reactor means an apparatus, other than an atomic weapon, designed or used to sustain nuclear fission. For the purposes of requirements in this part that reference requirements in 10 CFR part 50, a commercial nuclear reactor is equivalent to a nuclear reactor as defined in Sec. 50.2 of this chapter.

Commission means the U.S. Nuclear Regulatory Commission (NRC) or its duly authorized representatives.

Construction means the activities in paragraph (1) of this definition and does not mean the activities in paragraph (2) of this defintion.

(1) Activities constituting construction are those activities that are conducted on-site to build the commercial nuclear plant, including the driving of piles; subsurface preparation; placement of backfill, concrete, or permanent retaining walls within an excavation; installation of foundations; or in-place assembly, erection, fabrication, or testing, which are for--

(i) Safety-related (SR) SSCs and those non-safety-related but safety-significant (NSRSS) SSCs of a facility for which special treatment includes requirements on design or installation, including associated quality assurance measures;

(ii) SSCs necessary to comply with 10 CFR part 73; or

(iii) Onsite emergency facilities necessary to comply with Sec. 53.855.

(2) Construction does not include--

(i) Changes for temporary use of the land for public recreational purposes;

(ii) Site exploration, including necessary borings to determine foundation conditions or other preconstruction monitoring to establish background information related to the suitability of the site, the environmental impacts of construction or operation, or the protection of environmental values;

(iii) Preparation of a site for construction of a facility, including clearing of the site, grading, installation of drainage, erosion, and other environmental mitigation measures, and construction of temporary roads and borrow areas;

(iv) Erection of fences and other access control measures;

(v) Excavation;

(vi) Erection of support buildings (such as construction equipment storage sheds, warehouse and shop facilities, utilities, concrete mixing plants, docking and unloading facilities, and office buildings) for use in connection with the construction of the facility;

(vii) Building of service facilities (such as paved roads, parking lots, railroad spurs, exterior utility and lighting systems, potable water systems, sanitary sewage treatment facilities, and transmission lines);

(viii) Procurement or fabrication of components or portions of the proposed facility occurring at locations other than the final, in-place location at the facility; or

(ix) Manufacture of a nuclear power reactor under a manufacturing license (ML) under subpart H of this part to be installed at the proposed site and to be part of the proposed facility.

Custom combined license (custom COL) means a COL that does not reference a standard design approval, standard design certification, or manufacturing license.

Decommission or decommissioning means to remove a plant or site safely from service and reduce residual radioactivity to a level that permits--

(1) Release of the property for unrestricted use and termination of the license; or

(2) Release of the property under restricted conditions and termination of the license.

Defense in depth means inclusion of two or more independent and redundant layers of defense in the design of a facility and its operating procedures to compensate for uncertainties such that no single layer of defense, no matter how robust, is exclusively relied upon. Defense in depth includes, but is not limited to, the use of access controls, physical barriers, redundant and diverse safety functions, and emergency response measures.

Design-basis accidents (DBAs) means postulated event sequences that are used to set functional design criteria and performance objectives for the design of SR SSCs through deterministic analyses. Design-basis accidents are a type of licensing-basis event and are based on the capabilities and reliabilities of SR SSCs needed to mitigate and prevent event sequences, respectively.

Design-basis external hazard level means the level of severity or intensity of an external hazard for which the SR SSCs are protected against or designed to withstand without losing their capability to perform their safety functions.

Design features means the active and passive SSCs and the inherent characteristics of those SSCs that contribute to limiting the total effective dose equivalent to individual members of the public during normal operations and prevent or mitigate the consequences of event sequences.

Early site permit (ESP) means a Commission approval, issued under subpart H of this part, for a site for one or more commercial nuclear plants. An early site permit is a partial construction permit.

Electric utility means any entity that generates or distributes electricity and that recovers the cost of this electricity, either directly or indirectly, through rates established by the entity itself or by a separate regulatory authority. Investor-owned utilities, including generation or distribution subsidiaries, public utility districts, municipalities, rural electric cooperatives, and State and Federal agencies, including associations of any of the foregoing, are included within the meaning of “electric utility.”

Event sequence means a postulated initiating event defined for a set of initial plant conditions followed by system, safety function, and operator successes or failures, and terminating in a specified end state depending on the system, safety function, and operator successes and failures (e.g., prevention of release of radioactive material or release in one of the reactor-specific release categories). An event sequence may include many unique variations of events that are similar in terms of results or end states.

Exclusion area means that area surrounding the reactor, in which the reactor licensee has the authority to determine all activities including exclusion or removal of personnel and property from the area. This area may be traversed by a highway, railroad, or waterway, provided these are not so close to the facility as to interfere with normal operations of the facility and provided appropriate and effective arrangements are made to control traffic on the highway, railroad, or waterway, in case of emergency, to protect the public health and safety. Residence within the exclusion area must normally be prohibited. In any event, residents must be subject to ready removal in case of necessity. Activities unrelated to operation of the reactor may be permitted in an exclusion area under appropriate limitations, provided that no significant hazards to the public health and safety will result.

Fission product release means the amount and composition of radioactive material released to the environment, after accounting for any retention of radionuclides provided by reactor design features.

Fuel means special nuclear material (SNM) or source material, discrete elements that physically contain SNM or source material, and homogeneous mixtures that contain SNM or source material, intended to or used to create power in a commercial nuclear plant.

Functional design criteria means metrics for the performance of SSCs. For SR SSCs, these criteria define performance metrics necessary to demonstrate compliance with the safety criteria in Sec. 53.210. For NSRSS SSCs, these criteria define performance metrics necessary to demonstrate compliance with the safety criteria in Sec. 53.220.

License, when used in the context of a facility, means a limited work authorization, CP, OL, early site permit, COL, or ML under this part, or a renewed license issued by the Commission under this part. When used in the context of a license authorizing an individual to manipulate the controls of a facility, license means a license issued by the Commission to perform the function of an operator, senior operator, or generally licensed reactor operator as defined in this part.

Licensee means a person who is authorized to conduct activities under a license issued under this part by the Commission.

Licensing-basis events means a collection of event sequences considered in the design and licensing of the commercial nuclear plant. Licensing-basis events are unplanned events and include anticipated event sequences, unlikely event sequences, very unlikely event sequences, and DBAs.

Licensing-basis information means the information contained in regulations, orders, licenses, certifications, or approvals issued by the NRC for a commercial nuclear plant licensed under this part and that information submitted to the NRC by an applicant or licensee in a Safety Analysis Report, program description, or other licensing-related document required under this part.

Low-population zone means the area immediately surrounding the exclusion area which contains residents, the total number and density of which are such that there is a reasonable probability that appropriate protective measures could be taken on their behalf in the event of a serious accident. A permissible population density or total population within this zone is not included in this definition because the situation may vary from case to case. Whether a specific number of people can, for example, be evacuated from a specific area or instructed to take shelter on a timely basis, will depend on many factors such as location, number and size of highways, scope and extent of advance planning, and actual distribution of residents within the area.

Major decommissioning activity means, for a commercial nuclear plant, any activity that results in permanent removal of major radioactive components, permanently modifies the structure of the containment, if applicable, or results in dismantling components for shipment containing greater than class C waste in accordance with Sec. 61.55 of this chapter.

Major feature of the emergency plans means an aspect of those plans necessary to:

(1) Address in whole or part either one or more of the 16 standards in 10 CFR 50.47(b) or the requirements of 10 CFR 50.160(b), as applicable; or

(2) Describe the emergency planning zones as required in 10 CFR 53.1109(g).

Manufactured reactor means the essential portions of a nuclear reactor that are manufactured under an ML and subsequently transported and incorporated into a commercial nuclear plant under a COL or CP.

Manufacturing license means a license issued under this part that authorizes the manufacture of manufactured reactors but not its construction, installation, or operation.

Non-Safety-Related but Safety-Significant (NSRSS) SSCs means those SSCs which are not SR but are relied on to achieve adequate defense in depth or perform risk-significant functions and warrant special treatment.

Non-Safety-Significant SSCs means those SSCs that are not SR or NSRSS, are not relied on to achieve adequate defense in depth or to perform risk-significant functions, and do not warrant special treatment.

Person means--

(1) Any individual, corporation, partnership, firm, association, trust, estate, public or private institution, group, government agency other than the Commission or the Department of Energy, except that the Department of Energy shall be considered a person to the extent that its facilities are subject to the licensing and related regulatory authority of the Commission pursuant to section 202 of the Energy Reorganization Act of 1974, any State or any political subdivision of, or any political entity within a State, any foreign government or nation or any political subdivision of any such government or nation, or other entity; and

(2) Any legal successor, representative, agent, or agency of the foregoing.

Population center distance means the distance from the reactor to the nearest boundary of a densely populated center containing more than about 25,000 residents.

Programmatic controls means administrative measures that govern human action in implementing programs and operating, monitoring, and maintaining SSCs and equipment of a commercial nuclear plant. Programmatic controls considered to be licensing basis information are addressed by programs under Sec. 53.845 and are specified in an application for a requested activity of the Commission.

Quality assurance (QA) means all those planned and systematic actions necessary to ensure that a structure, system, or component will perform satisfactorily in service. Quality assurance includes quality control, which comprises those QA actions related to the physical characteristics of a material, structure, component, or system which provide a means to control the quality of the material, structure, component, or system to predetermined requirements.

Safety criteria means performance-based metrics that establish a level of safety provided in requirements in Sec. Sec. 53.210 and 53.220.

Safety-related structures, systems, or components means those SSCs that are relied upon to demonstrate compliance with the safety criteria in Sec. 53.210 and warrant special treatment.

Small modular reactor means a power reactor, which may be of modular design as defined in Sec. 52.1 of this chapter, licensed under this part to produce heat energy up to 1,000 megawatts thermal per module.

Site characteristics means the actual physical, environmental, and demographic features of a site. Site characteristics are specified in an early site permit or in a Preliminary or Final Safety Analysis Report for a limited work authorization, CP, or COL, as applicable.

Site parameters are the postulated physical, environmental, and demographic features of an assumed site. Site parameters are specified in a standard design approval, standard design certification, or ML.

Source material means source material as defined in subsection 11z. of the Atomic Energy Act of 1954, as amended, (the Act) and in the regulations contained in part 40 of this chapter.

Special nuclear material (SNM) means:

(1) Plutonium, uranium-233, uranium enriched in the isotope-233 or in the isotope-235, and any other material which the Commission, pursuant to the provisions of section 51 of the Act, determines to be SNM, but does not include source material; or

(2) Any material artificially enriched by any of the foregoing, but does not include source material.

Special treatment means those requirements, such as QA, design criteria, and programmatic controls, that are taken beyond the procurement, installation, and maintenance of commercial grade products to ensure that SR and NSRSS SSCs will provide defense in depth or perform risk-significant functions. The requirements also ensure that the SSCs will perform under the service conditions and with the reliability assumed in the analysis performed under Sec. 53.450 to demonstrate compliance with the safety criteria in Sec. Sec. 53.210 for SR SSCs and 53.220 for SR and NSRSS SSCs.

Standard design means a design which is sufficiently detailed and complete to support certification or approval in accordance with subpart H of this part, and which is usable under of this part for a multiple number of units or at a multiple number of sites without reopening or repeating the review.

Standard design approval or design approval means an NRC staff approval, issued under subpart H of this part, of a final standard design for a commercial nuclear plant. The approval may be for either the final design for the entire reactor facility or the final design of major portions thereof.

Standard design certification or design certification means a Commission approval, issued under subpart H of this part, of a final standard design for a nuclear power facility. This design may be referred to as a certified standard design.

Total effective dose equivalent means the sum of the effective dose equivalent (for external exposures) and the committed effective dose equivalent (for internal exposures).

Utilization facility means any commercial nuclear reactor other than one designed or used primarily for the formation of plutonium or uranium-233.

Unlikely event sequences means event sequences that are not expected to occur in the life of a commercial nuclear plant and are less likely than anticipated event sequences, but are infrequent rather than rare. Unlikely event sequences take into account the expected response of all SSCs within the plant regardless of safety classification.

Very unlikely event sequences means event sequences that are not expected to occur in the life of a commercial nuclear plant, are less likely than an unlikely event sequence, and are rare. Very unlikely event sequences take into account the expected response of all SSCs within the plant regardless of safety classification.

Sec. 53.030 [Reserved]

Sec. 53.040 Written communications.

(a) General requirements. All correspondence, reports, applications, and other written communications from the applicant or licensee to the NRC concerning the regulations in this part or individual license conditions must be sent either by mail addressed: ATTN: Document Control Desk, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001; by hand delivery to the NRC's offices at 11555 Rockville Pike, Rockville, Maryland, between the hours of 8:15 a.m. and 4 p.m. eastern time; or, where practicable, by electronic submission, for example, via Electronic Information Exchange, email, or CD-ROM. Electronic submissions must be made in a manner that enables the NRC to receive, read, authenticate, distribute, and archive the submission, and process and retrieve it a single page at a time. Detailed guidance on making electronic submissions can be obtained by visiting the NRC's website at https://www.nrc.gov/site-help/e-submittals.html; by email to [email protected]; or by writing the Office of the Chief Information Officer, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The guidance discusses, among other topics, the formats the NRC can accept, the use of electronic signatures, and the treatment of nonpublic information. If the communication is on paper, the signed original must be sent. If a submission due date falls on a Saturday, Sunday, or Federal holiday, the next Federal working day becomes the official due date.

(b) Distribution requirements. Copies of all correspondence, reports, and other written communications concerning the regulations in this part or individual license conditions, or the terms and conditions of an early site permit or standard design approval, must be submitted to the persons listed below (addresses for the NRC Regional Offices are listed in appendix D to 10 CFR part 20).

(1) Applications for amendment of permits and licenses, reports, and other communications. All written communications (including responses to generic letters, bulletins, information notices, regulatory information summaries, inspection reports, and miscellaneous requests for additional information) that are required of holders of licenses, permits, and design approvals issued pursuant to this part, must be submitted as follows, except as otherwise specified in paragraphs (b)(2) through (7) of this section: to the NRC's Document Control Desk (if on paper, the signed original), with a copy to the appropriate Regional Office, and a copy to the appropriate NRC Resident Inspector if one has been assigned to the site of the facility or the place of manufacture of a reactor licensed under this part.

(2) Applications for permits and licenses, and amendments to applications. Applications for licenses, permits, and design approvals and amendments to any of these types of applications must be submitted to the NRC's Document Control Desk, with a copy to the appropriate Regional Office, and a copy to the appropriate NRC Resident Inspector if one has been assigned to the facility or the place of manufacture of a reactor licensed under this part, except as otherwise specified in paragraphs (b)(3) through (9) of this section. If the application or amendment is on paper, the submission to the Document Control Desk must be the signed original.

(3) Acceptance review application. Written communications required for an application for determination of suitability for docketing must be submitted to the NRC's Document Control Desk, with a copy to the

appropriate Regional Office. If the communication is on paper, the submission to the Document Control Desk must be the signed original.

(4) Security plan and related submissions. Written communications, as defined in paragraphs (b)(4)(i) through (v) of this section, must be submitted to the NRC's Document Control Desk, with a copy to the appropriate Regional Office. If the communication is on paper, the submission to the Document Control Desk must be the signed original. Submissions should include the following as appropriate:

(i) Physical security plan;

(ii) Safeguards contingency plan;

(iii) Cybersecurity plan;

(iv) Change to security plan, guard training and qualification plan, safeguards contingency plan, or cybersecurity plan made without prior Commission approval under Sec. 53.1565; and

(v) Application for amendment of physical security plan, guard training and qualification plan, safeguards contingency plan, or cybersecurity plan under Sec. 53.1510.

(5) Emergency plan and related submissions. Written communications as defined in paragraphs (b)(5)(i) through (iii) of this section must be submitted to the NRC's Document Control Desk, with a copy to the appropriate Regional Office, and a copy to the appropriate NRC Resident Inspector if one has been assigned to the site of the facility. If the communication is on paper, the submission to the Document Control Desk must be the signed original. Submissions should include the following as appropriate:

(i) Emergency plan;

(ii) Change to an emergency plan under Sec. 53.1565; and

(iii) Emergency implementing procedures under Sec. 53.855.

(6) Updated Final Safety Analysis Report. An updated Final Safety Analysis Report or replacement pages under Sec. 53.1545 must be submitted to the NRC's Document Control Desk, with a copy to the appropriate Regional Office, and a copy to the appropriate NRC Resident Inspector if one has been assigned to the site of the facility or the place of manufacture of a reactor licensed under this part. Paper copy submissions may be made using replacement pages; however, if a licensee chooses to use electronic submission, all subsequent updates or submissions must be performed electronically on a total replacement basis. If the communication is on paper, the submission to the Document Control Desk must be the signed original. If the communications are submitted electronically, see Guidance for Electronic Submissions to the Commission.

(7) Quality assurance related submissions. (i) A change to the Safety Analysis Report QA program description under Sec. 53.1565, or a change to a licensee's NRC-accepted QA topical report under Sec. 53.1565, must be submitted to the NRC's Document Control Desk, with a copy to the appropriate Regional Office, and a copy to the appropriate NRC Resident Inspector if one has been assigned to the site of the facility or the place of manufacture of a reactor licensed under this part. If the communication is on paper, the submission to the Document Control Desk must be the signed original.

(ii) A change to an NRC-accepted QA topical report from non- licensees (i.e., architect/engineers, nuclear steam supply system suppliers, fuel suppliers, constructors, etc.) must be submitted to the NRC's Document Control Desk. If the communication is on paper, the signed original must be sent.

(8) Certification of permanent cessation of operations. The licensee's certification of permanent cessation of operations, under subpart G of this part, must state the date on which operations have ceased or will cease, and must be submitted to the NRC's Document Control Desk. This submission must be under oath or affirmation.

(9) Certification of permanent fuel removal. The licensee's certification of permanent fuel removal, under subpart G of this part, must state the date on which the fuel was removed from the reactor vessel and the disposition of the fuel, and must be submitted to the NRC's Document Control Desk. This submission must be under oath or affirmation.

(c) Form of communications. All paper copies submitted to demonstrate compliance with the requirements set forth in paragraph (b) of this section must be typewritten, printed, or otherwise reproduced in permanent form on unglazed paper. Exceptions to these requirements imposed on paper submissions may be granted for the submission of micrographic, photographic, or similar forms.

(d) Regulation governing submission. Licensees, applicants, and holders of standard design approvals submitting correspondence, reports, and other written communications under the regulations of this part are requested but not required to cite whenever practical, in the upper right corner of the first page of the submission, the specific regulation or other basis requiring submission.

Sec. 53.050 Deliberate misconduct.

(a) Any licensee or applicant for a license; holder of or applicant for a standard design approval; applicant for a standard design certification; employee of a licensee, holder of a standard design approval, or applicant for a license, standard design approval, or standard design certification; or any contractor (including a supplier or consultant), subcontractor, employee of a contractor or subcontractor of any licensee or applicant for a license, holder of or applicant for a standard design approval, or applicant for a standard design certification, who knowingly provides to any licensee, applicant, contractor, or subcontractor, any components, equipment, materials, or other goods or services that relate to a licensee's or applicant's activities in this part, may not--

(1) Engage in deliberate misconduct that causes or would have caused, if not detected, a licensee or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation of any license issued by the Commission; or

(2) Deliberately submit to the NRC, a licensee, an applicant, or a licensee's or applicant's contractor or subcontractor, information that the person submitting the information knows to be incomplete or inaccurate in some respect material to the NRC.

(b) A person who violates paragraph (a)(1) or (2) of this section may be subject to enforcement action in accordance with the procedures in subpart B of 10 CFR part 2.

(c) For the purposes of paragraph (a)(1) of this section, deliberate misconduct by a person means an intentional act or omission that the person knows--

(1) Would cause a licensee or applicant to be in violation of any rule, regulation, or order; or any term, condition, or limitation, of any license issued by the Commission; or

(2) Constitutes a violation of a requirement, procedure, instruction, contract, purchase order, or policy of a licensee, applicant, contractor, or subcontractor.

Sec. 53.060 Employee protection.

(a) Discrimination by a Commission licensee, holder of a standard design approval, an applicant for a license, standard design certification, or standard design approval, a contractor or subcontractor of a Commission licensee, holder of a standard design approval, applicant for a license,

standard design certification, or standard design approval, against an employee for engaging in certain protected activities is prohibited. Discrimination includes discharge and other actions that relate to compensation, terms, conditions, or privileges of employment. The protected activities are established in section 211 of the Energy Reorganization Act of 1974, as amended, and in general are related to the administration or enforcement of a requirement imposed under the Act or the Energy Reorganization Act of 1974, as amended.

(1) The protected activities include but are not limited to--

(i) Providing the Commission or his or her employer information about alleged violations of either of the statutes named in paragraph (a) of this section or possible violations of requirements imposed under either of those statutes;

(ii) Refusing to engage in any practice made unlawful under either of the statutes named in paragraph (a) of this section or under these requirements if the employee has identified the alleged illegality to the employer;

(iii) Requesting the NRC to institute action against his or her employer for the administration or enforcement of these requirements;

(iv) Testifying in any Commission proceeding, or before Congress, or at any Federal or State proceeding regarding any provision (or proposed provision) of either of the statutes named in paragraph (a) of this section; and

(v) Assisting or participating in, or being about to assist or participate in, these activities.

(2) These activities are protected even if no formal proceeding is actually initiated as a result of the employee assistance or participation.

(3) This section has no application to any employee alleging discrimination prohibited by this section who, acting without direction from his or her employer (or the employer's agent), deliberately causes a violation of any requirement of the Energy Reorganization Act of 1974, as amended, or the Act.

(b) Any employee who believes that they have been discharged or otherwise discriminated against by any person for engaging in protected activities specified in paragraph (a)(1) of this section may seek a remedy for the discharge or discrimination through an administrative proceeding in the Department of Labor. The administrative proceeding must be initiated within 180 days after an alleged violation occurs. The employee may do this by filing a complaint alleging the violation with the Department of Labor, Wage and Hour Division. The Department of Labor may order reinstatement, back pay, and compensatory damages.

(c) A violation of paragraph (a), (e), or (f) of this section by a Commission licensee, a holder of a standard design approval, an applicant for a Commission license, standard design certification, or a standard design approval, or a contractor or subcontractor of a Commission licensee, holder of a standard design approval, or any applicant may be grounds for--

(1) Denial, revocation, or suspension of the license or standard design approval;

(2) Withdrawal or revocation of a proposed or final standard design certification;

(3) Imposition of a civil penalty on the licensee, holder of a standard design approval, or applicant (including an applicant for a standard design certification under this part following Commission adoption of final design certification rule) or a contractor or subcontractor of the licensee, holder of a standard design approval, or applicant; or

(4) Other enforcement action.

(d) Actions taken by an employer, or others, which adversely affect an employee may be predicated upon nondiscriminatory grounds. The prohibition applies when the adverse action occurs because the employee has engaged in protected activities. An employee's engagement in protected activities does not automatically render him or her immune from discharge or discipline for legitimate reasons or from adverse action dictated by nonprohibited considerations.

(e)(1) Each holder or applicant for a license or design approval, must prominently post the revision of NRC Form 3, “Notice to Employees,” referenced in Sec. 19.11(e)(1) of this chapter. This form must be posted at locations sufficient to permit employees protected by this section to observe a copy on the way to or from their place of work. Premises must be posted no later than 30 days after an application is docketed and remain posted while the application is pending before the Commission, during the term of the license, and for 30 days following license termination.

(2) Copies of NRC Form 3 may be obtained by writing to the Regional Administrator of the appropriate NRC Regional Office listed in appendix D to 10 CFR part 20, via email to [email protected], or by visiting the NRC's online library at https://www.nrc.gov/reading-rm/doc-collections/forms/.

(f) No agreement affecting the compensation, terms, conditions, or privileges of employment, including an agreement to settle a complaint filed by an employee with the Department of Labor pursuant to section 211 of the Energy Reorganization Act of 1974, as amended, may contain any provision which would prohibit, restrict, or otherwise discourage an employee from participating in protected activity as defined in paragraph (a)(1) of this section, including, but not limited to, providing information to the NRC or to his or her employer on potential violations or other matters within NRC's regulatory responsibilities.

(g) Part 19 of 10 CFR sets forth requirements and regulatory provisions applicable to licensees, holders of a standard design approval, applicants for a license, standard design certification, or standard design approval, and contractors or subcontractors of a Commission licensee, or holder of a standard design approval, and are in addition to the requirements in this section.

Sec. 53.070 Completeness and accuracy of information.

(a) Information provided to the Commission by a holder of a license, permit, design certification, or standard design approval under this part or an applicant for a license, permit, design certification, or standard design approval under this part, and information required by statute or by the Commission's regulations, orders, license conditions, or terms and conditions of a standard design approval to be maintained by the applicant or the licensee must be complete and accurate in all material respects.

(b) Each applicant or licensee, each holder of a standard design approval under this part, and each applicant for a standard design certification under this part following Commission adoption of a final design certification regulation, must notify the Commission of information identified by the applicant or licensee as having for the regulated activity a significant implication for public health and safety or common defense and security. An applicant, licensee, or holder violates this paragraph (b) only if the applicant, licensee, or holder fails to notify the Commission of information that the applicant, licensee, or holder has identified as having a significant implication for public health and safety or common defense and security. Notification must be provided to the

Administrator of the appropriate Regional Office within 2 working days of identifying the information. This requirement is not applicable to information which is already required to be provided to the Commission by other reporting or updating requirements.

Sec. 53.080 Specific exemptions.

(a) The Commission may, upon application by any interested person or upon its own initiative, grant exemptions from the requirements of the regulations of this part, which are authorized by law, will not present an undue risk to the public health and safety, and are consistent with the common defense and security.

(b) The Commission will not consider granting an exemption unless special circumstances are present. Special circumstances are present whenever--

(1) Application of the regulation in the particular circumstances conflicts with other rules or requirements of the Commission;

(2) Application of the regulation in the particular circumstances would not serve the underlying purpose of the rule or is not necessary to achieve the underlying purpose of the rule;

(3) Compliance would result in undue hardship or other costs that are significantly in excess of those contemplated when the regulation was adopted, or that are significantly in excess of those incurred by others similarly situated;

(4) The exemption would result in benefit to the public health and safety that compensates for any decrease in safety that may result from the grant of the exemption;

(5) The exemption would provide only temporary relief from the applicable regulation and the licensee or applicant has made good faith efforts to comply with the regulation; or

(6) There is present any other material circumstance not considered when the regulation was adopted for which it would be in the public interest to grant an exemption. If such condition is relied on exclusively for demonstrating compliance with paragraph (b) of this section, the exemption may not be granted until the Executive Director for Operations has consulted with the Commission.

(c) Any person may request an exemption permitting the conduct of construction activities prior to the issuance of a CP. The Commission may grant such an exemption upon considering and balancing the following factors:

(1) Whether conduct of the proposed activities will give rise to a significant adverse impact on the environment and the nature and extent of such impact, if any;

(2) Whether redress of any adverse environment impact from conduct of the proposed activities can reasonably be effective should such redress be necessary;

(3) Whether conduct of the proposed activities would foreclose subsequent adoption of alternatives; and

(4) The effect of delay in conducting such activities on the public interest, including whether the power needs to be used by the proposed facility, the availability of alternative sources, if any, to meet those needs on a timely basis, and delay costs to the applicant and to consumers.

(d) Issuance of such an exemption must not be deemed to constitute a commitment to issue a CP. During the period of any exemption granted pursuant to paragraph (c) of this section, any activities conducted must be carried out in such a manner as will minimize or reduce their environmental impact.

(e) The Commission's consideration of requests for exemptions from requirements of the regulations of other parts in this chapter that are applicable by virtue of this part must be governed by the exemption requirements of those parts.

Sec. 53.090 Standards for review.

(a) Common standards. In determining that a CP, OL, early site permit, COL, or ML under this part will be issued to an applicant, the Commission will be guided by the following considerations:

(1) Except for an early site permit or ML, the processes to be performed, the operating procedures, the facility and equipment, the use of the facility, and other technical specifications, or the proposals, in regard to any of the foregoing, collectively provide reasonable assurance that the applicant will comply with the regulations in this chapter, including the regulations in 10 CFR part 20, and that the health and safety of the public will not be endangered.

(2) The applicant for a CP, OL, COL, or ML is technically and financially qualified to engage in the proposed activities in accordance with the regulations in this chapter. However, no consideration of financial qualification is necessary for an electric utility applicant for an OL for a utilization facility of the type described in paragraph (d) of this section or for an applicant for an ML.

(3) The issuance of a CP, OL, early site permit, COL, or ML to the applicant will not, in the opinion of the Commission, be inimical to the common defense and security or to the health and safety of the public.

(4) Any applicable requirements of 10 CFR part 51 have been satisfied.

(b) Additional standards for licenses. In determining whether a license will be issued to an applicant, the Commission will, in addition to applying the standards set forth in paragraph (a) of this section, consider whether the proposed activities will serve a useful purpose proportionate to the quantities of SNM or source material to be utilized.

(c) Additional standards and provisions affecting licenses for commercial power. In addition to applying the standards set forth in paragraphs (a) and (b) of this section, paragraphs (c)(1) through (c)(4) of this section apply in the case of a license for a facility for the generation of commercial power.

(1) The NRC will--

(i) Give notice in writing of each application to the regulatory agency or State as may have jurisdiction over the rates and services incident to the proposed activity;

(ii) Publish notice of the application in trade or news publications as it deems appropriate to give reasonable notice to municipalities, private utilities, public bodies, and cooperatives which might have a potential interest in the utilization or production facility; and

(iii) Publish notice of the application once each week for four consecutive weeks in the Federal Register. No license will be issued by the NRC prior to the giving of these notices and until four weeks after the last notice is published in the Federal Register.

(2) If there are conflicting applications for a limited opportunity for such license, the Commission will give preferred consideration in the following order: first, to applications submitted by public or cooperative bodies for facilities to be located in high cost power areas in the United States; second, to applications submitted by others for facilities to be located in such areas; third, to applications submitted by public or cooperative bodies for facilities to be located in areas other than high cost power areas; and, fourth, to all other applicants.

(3) The licensee who transmits electric energy in interstate commerce, or sells it at wholesale in interstate commerce, must be subject to the regulatory provisions of the Federal Power Act.

(4) Nothing will preclude any government agency, now or hereafter authorized by law to engage in the production, marketing, or distribution of electric energy, if otherwise qualified,

from obtaining a CP, OL, or COL under this part for a utilization facility for the primary purpose of producing electric energy for disposition for ultimate public consumption.

(d) Licenses for commercial nuclear plants. A license will be issued, to an applicant who qualifies, for any one or more of the following: to transfer or receive in interstate commerce, or manufacture, produce, transfer, acquire, possess, or use a utilization facility for industrial or commercial purposes.

Sec. 53.100 Jurisdictional limits.

No permit, license, standard design approval, or standard design certification under this part shall be deemed to have been issued for activities that are not under or within the jurisdiction of the United States.

Sec. 53.110 Attacks and destructive acts.

Licensees, applicants for licenses, permits, certifications, and design approvals, and applicants for an amendment to any license, permit, certification, or design approval under this part are not required to provide for design features or other measures for the specific purpose of protection against the effects of--

(a) Attacks and destructive acts, including sabotage, directed against the facility by an enemy of the United States, whether a foreign government or other person; or

(b) Use or deployment of weapons incident to U.S. defense activities.

Sec. 53.115 Rights related to special nuclear material.

(a) No right to the SNM will be conferred by a license issued under this part except as may be defined by the license.

(b) Neither a license issued under this part, nor any right thereunder, nor any right to utilize or produce SNM may be transferred, assigned, or disposed of in any manner, either voluntarily or involuntarily, directly or indirectly, through transfer of control of the license to any person, unless the Commission, after securing full information, finds that the transfer is in accordance with the provisions of the Act and gives its consent in writing.

Sec. 53.117 License suspension and rights of recapture.

Any license issued under this part must be subject to suspension and to the rights of recapture of the material or control of the facility reserved to the Commission under section 108 of the Act in a state of war or national emergency declared by Congress.

Sec. 53.120 Information collection requirements: OMB approval.

(a) The NRC has submitted the information collection requirements contained in this part to the Office of Management and Budget (OMB) for approval as required by the Paperwork Reduction Act (44 U.S.C. 3501 et seq.). The NRC may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. OMB has approved the information collection requirements contained in this part under control number 3150-0274.

(b) The approved information collection requirements contained in this part appear in Sec. Sec. 53.070, 53.080, 53.240, 53.410, 53.420, 53.425, 53.430, 53.440, 53.450, 53.480, 53.500, 53.540, 53.605, 53.610, 53.620, 53.700, 53.710, 53.715, 53.720, 53.730, 53.780, 53.785, 53.805, 53.810, 53.815, 53.830, 53.850, 53.855, 53.865, 53.870, 53.875, 53.880, 53.910, 53.1010, 53.1020, 53.1030, 53.1045, 53.1060, 53.1070, 53.1075, 53.1080, 53.1100, 53.1109, 53.1115, 53.1130, 53.1140, 53.1144, 53.1146, 53.1173, 53. 1182, 53.1188, 53.1200, 53.1206, 53.1209, 53.1210, 53.1221, 53.1230, 53.1236, 53.1239, 53.1241, 53.1254, 53.1257, 53,1263, 53.1270, 53.1276, 53.1279, 53.1282, 53.1288, 53.1295, 53.1300, 53.1306, 53.1309, 53.1312, 53.1327, 53.1330, 53.1333, 53.1336, 53.1348, 53.1360, 53.1366, 53.1369, 53.1372, 53.1384, 53.1410, 53.1413, 53.1416, 53.1419, 53.1437, 53.1449, 53.1452, 53.1458, 53.1470, 53.1505, 53.1510, 53.1515, 53.1525, 53.1530, 53.1535, 53.1540, 53.1545, 53.1550, 53.1560, 53.1565, 53.1570, 53.1575, 53.1580, 53.1620, 53.1630, 53.1645, 53.1690, 53.1720.

(c) This part contains information collection requirements in addition to those approved under the control number specified in paragraph (a) of this section. The information collection requirement and the control numbers under which it is approved are as follows:

(1) In Sec. Sec. 53.765, 53.770, 53.780, and 53.795, NRC Form 396 is approved under control number 3150-0024.

(2) In Sec. Sec. 53.775 and 53.795, NRC Form 398 is approved under control number 3150-0090.

(3) In Sec. 53.1640, NRC Form 366 is approved under control number 3150-0104.

(4) In Sec. 53.1630, NRC Form 361S is approved under control number 3150-0238.

(5) In Sec. 53.1650, International Atomic Energy Agency Design Information Questionnaire forms are approved under control number 3150- 0056.

(6) In Sec. 53.1650, DOC/NRC Form AP-A and associated forms are approved under control numbers 0694-0135.

Sec. 53.210 Safety criteria for design-basis accidents.

Design features and programmatic controls must be provided for each commercial nuclear plant such that identification and analyses of design-basis accidents (DBAs) in accordance with Sec. 53.240 demonstrate the following:

(a) An individual located at any point on the boundary of the exclusion area for any 2-hour period following the onset of the postulated fission product release would not receive a radiation dose in excess of 25 rem (250 millisieverts) total effective dose equivalent (TEDE); and

(b) An individual located at any point on the outer boundary of the low-population zone who is exposed to the radioactive cloud resulting from the postulated fission product release (during the entire period of its passage) would not receive a radiation dose in excess of 25 rem (250 millisieverts) TEDE.\1\

\1\ The use of 25 rem TEDE is not intended to imply that this number constitutes an acceptable limit for an emergency dose to the public under accident conditions. Rather, this dose value has been set forth in this section as a reference value, which can be used in the evaluation of plant design features with respect to postulated reactor accidents, to assure that these designs provide assurance of low risk of public exposure to radiation, in the event of an accident.

Sec. 53.220 Safety criteria for licensing-basis events other than design-basis accidents.

Design features and programmatic controls must be provided for each commercial nuclear plant such that identification and analysis of licensing-basis events (LBEs) other than DBAs in accordance with Sec. 53.240 demonstrate the following:

(a) Plant structures, systems, and components (SSCs), personnel, and programs provide the necessary capabilities and maintain the necessary reliability to address LBEs other than DBAs in accordance with Sec. Sec. 53.240 and 53.450(e), and provide measures for defense in depth in accordance with Sec. 53.250; and

(b) The analysis of risks to public health and safety resulting from LBEs other than DBAs under Sec. 53.450(e) includes comprehensive risk metrics that satisfy associated risk performance objectives that are acceptable to the U.S.

Nuclear Regulatory Commission (NRC) and provide an appropriate level of safety.

Sec. 53.230 Safety functions.

(a) The primary safety function is limiting the release of radioactive materials from the facility and must be maintained during normal operation and for LBEs over the life of the plant.

(b) Additional safety functions needed to support the retention of radioactive materials during LBEs--such as controlling reactivity, heat generation, heat removal, and chemical interactions--must be identified for each commercial nuclear plant.

(c) The primary and additional safety functions are required to satisfy the safety criteria defined in Sec. Sec. 53.210 and 53.220 and must be fulfilled by the design features, human actions, and programmatic controls specified throughout this part.

Sec. 53.240 Licensing-basis events.

(a) Licensing-basis events must be identified for each commercial nuclear plant and analyzed under Sec. 53.450 to demonstrate that the safety requirements in this subpart have been satisfied.

(b) The identified LBEs, ranging from anticipated event sequences to very unlikely event sequences, must collectively address appropriate risk-informed combinations of malfunctions of plant SSCs, human errors, facility hazards, and the effects of external hazards.

(c) The analysis of LBEs must--

(1) Include analysis of one or more DBAs under Sec. 53.450(f);

(2) Confirm the adequacy of design features and programmatic controls needed to satisfy the safety criteria defined in Sec. Sec. 53.210 and 53.220, and

(3) Establish related functional requirements for plant SSCs, personnel, and programs.

Sec. 53.250 Defense in depth.

(a) Measures must be taken for each commercial nuclear plant to ensure appropriate defense in depth is provided to compensate for uncertainties in the analysis of the safety criteria such that there is reasonable assurance that the safety criteria in this subpart are met over the life of the plant.

(b) The uncertainties that must be addressed under paragraph (a) of this section include those related to the state of knowledge and modeling capabilities, the ability of barriers to limit the release of radioactive materials from the facility during LBEs other than DBAs, the reliability and performance of plant SSCs and personnel, and the effectiveness of programmatic controls.

(c) The safety analysis may not exclusively rely upon a single engineered design feature, human action, or programmatic control, no matter how robust, to address the range of LBEs other than DBAs.

Sec. 53.260 Normal operations.

Holders of licenses to operate commercial nuclear plants under this part must control public doses and dose rates in unrestricted areas from normal plant operations to meet the requirements in 10 CFR part 20.

Sec. 53.270 Protection of plant workers.

Holders of licenses to operate commercial nuclear plants under this part must control occupational doses to meet the requirements in 10 CFR part 20.