[Federal Register Volume 78, Number 28 (Monday, February 11, 2013)]
[Notices]
[Pages 9743-9745]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-03036]
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NUCLEAR REGULATORY COMMISSION
[NRC-2011-0237]
Event Reporting Guidelines
AGENCY: Nuclear Regulatory Commission.
ACTION: NUREG-1022, Revision 3; notice of availability.
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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) has issued NUREG-
1022, Revision 3, ``Event Reporting Guidelines: 10 CFR 50.72 and
50.73.''
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The NUREG-1022 contains guidelines that the NRC staff considers
acceptable for use in meeting the event reporting requirements for
operating nuclear power reactors. Revision 3 to NUREG-1022 incorporates
clarifying revisions to the guidelines.
DATES: The effective date of NUREG-1022, Revision 3, is July 1, 2013.
ADDRESSES: Please refer to Docket ID NRC-2011-0237 when contacting the
NRC about the availability of information regarding this document. You
may access information related to this document, which the NRC
possesses and are publicly-available, using any of the following
methods:
Federal Rulemaking Web site: Go to http://www.regulations.gov and search for Docket ID NRC-2011-0237. Address
questions about NRC dockets to Carol Gallagher; telephone: 301-492-
3668; email: [email protected].
NRC's Agencywide Documents Access and Management System
(ADAMS): You may access publicly-available documents online in the NRC
Library at http://www.nrc.gov/reading-rm/adams.html. To begin the
search, select ``ADAMS Public Documents'' and then select ``Begin Web-
based ADAMS Search.'' For problems with ADAMS, please contact the NRC's
Public Document Room (PDR) reference staff at 1-800-397-4209, 301-415-
4737, or by email to [email protected]. NUREG-1022, Revision 3 may
be found in ADAMS under Accession No. ML13032A220.
NRC's PDR: You may examine and purchase copies of public
documents at the NRC's PDR, Room O1-F21, One White Flint North, 11555
Rockville Pike, Rockville, Maryland 20852.
FOR FURTHER INFORMATION CONTACT: Timothy Kobetz, Office of Nuclear
Reactor Regulation, U.S. Nuclear Regulatory Commission, Washington, DC
20555-0001; telephone: 301-415-1932, email: [email protected].
SUPPLEMENTARY INFORMATION:
Background
On October 13, 2011 (76 FR 63565), the NRC issued a Federal
Register notice requesting public comment on the draft Revision 3 to
NUREG-1022. Fourteen comment submissions from utilities or industry
groups were received. The comment submissions are available under ADAMS
Accession Nos.: ML11342A057, ML11353A269, ML11343A027, ML11347A428,
ML11350A1132, ML11350A108, ML11350A109, ML11353A408, ML11353A409,
ML11353A410, ML11353A411, ML11361A433, ML12005A210, ML12006A205, and
ML12023A039. The NRC response to comments on draft Revision 3 of NUREG-
1022 may be found in ADAMS under Accession No. ML12216A191. A summary
of the major comments and how the NRC addressed those comments in the
final version of NUREG-1022, Revision 3, is as follows:
``Events or Conditions That Could Have Prevented
Fulfillment of a Safety Function.'' [50.72(b)(3)(v) and
50.73(a)(2)(v)]--Systems within scope. The comments indicated that the
position found in the draft Revision 3 to NUREG-1022 constituted an NRC
change in position in that the proposed position was contrary to
discussions found in the Federal Register notice for the rule and RIS
2001-14. Upon further review, the NRC agrees. The final position is
revised to be consistent with the positions found in the Federal
Register notice associated with the rule, Regulatory Issue Summary
2001-14, and current guidance found in NUREG-1022, Revision 2. Systems
within scope include only safety-related SSCs required by the Technical
Specifications to be operable that are intended to mitigate the
consequences of an accident as discussed in Chapters 6 and 15 of the
Final Safety Analysis Report (or equivalent chapters).
``Events or Conditions That Could Have Prevented
Fulfillment of a Safety Function.'' [50.72(b)(3)(v) and
50.73(a)(2)(v)]--Impact of Technical Specification on reportability.
The comments indicated that the position found in the draft Revision 3
to NUREG-1022 constituted a change in NRC position. The comments also
indicated that the changes, if implemented, will have the effect of
requiring licensees to report events or conditions as a ``loss of
safety function'' where no function is lost since a system may be
declared inoperable and still be capable of providing the function
relied upon in the plant's safety analysis. Upon further review, the
NRC disagrees and the position found in the draft Revision 3 to NUREG-
1022 is retained in the final version. For systems within scope, the
inadvertent TS inoperability of a system in a required mode of
applicability constitutes an event or condition for which there is no
longer a reasonable expectation that equipment can fulfill its safety
function. Therefore, such events or conditions are reportable.
Reporting of Historical Events that Are Not Ongoing at the
Time of Discovery under 10 CFR 50.72(a)(1)(ii). The comments indicated
that the position found in the draft Revision 3 to NUREG-1022
constituted a change in NRC position. The comments also indicated that
the reporting of historical events is a change that is inconsistent
with the previously stated purposes for ENS notifications, which are to
allow the NRC to determine whether immediate response is needed to
ongoing events and to keep external stakeholders apprised of emerging
events. Upon further review, the NRC disagrees and the position found
in the draft Revision 3 to NUREG-1022 is retained in the final version.
With the exception of ``Events or Conditions that Could Have Prevented
Fulfillment of a Safety Function,'' (due to specific language found in
10 CFR 50.72(b)(3)(v)), and 10 CFR 50.72(a)(1)(ii) requires
notifications for any event that occurred within 3 years of the date of
discovery, even if the event was not ongoing at the time of discovery.
Deletion of 10 CFR Part 21 guidance. The comments
indicated that deletion of 10 CFR Part 21 guidance will result in no
guidance being available for defect reporting. Upon further review, the
NRC partially agrees with the submitted comments. The 10 CFR Part 21
guidance remains deleted in the final version of NUREG-1022, Revision
3, however, this Federal Register notice contains additional
information below on the matter.
It should also be noted that an NRC employee non-concurred on the
document and the employees' concerns and the agency disposition may be
found under ADAMS Accession No. ML12363A061. The non-concurrence was in
regard to systems within scope of ``Events or Conditions That Could
Have Prevented Fulfillment of a Safety Function'' [50.72(b)(3)(v) and
50.73(a)(2)(v)].
Discussion
NUREG-1022 contains guidelines that the NRC staff considers
acceptable for use in meeting the reporting requirements of Title 10 of
the Code of Federal Regulations (10 CFR) 50.72 and 10 CFR 50.73.
Revision 3 to NUREG-1022 incorporates revisions to the guidelines for
the purpose of clarification. A discussion of the changes in NUREG-
1022, Revision 3, may be found in the ``Discussion of Changes''
document (ADAMS Accession No. ML12216A185). Any changes in NUREG-1022,
Revision 3, that are not discussed in the ``Discussion of Changes''
document are to be considered editorial in nature and should not be
construed to have any regulatory or technical significance. The
``Discussion of Changes'' document also contains a list of public
meetings held during the NUREG-1022 revision process.
[[Page 9745]]
It should be noted that NUREG-1022, Revision 2, Section 5.1.8, ``10
CFR Part 21 Reports,'' has been deleted because the NRC staff is
currently evaluating the need for potential rulemaking associated with
10 CFR part 21 reports. The current NRC requirements and staff
positions have not changed (i.e., stakeholders can use positions found
in the 10 CFR Part 21 FRN and NUREG-1022, Revision 2, while the NRC
determines the course of action associated with 10 CFR Part 21).
NUREG-1022, Revision 3, will become effective July 1, 2013. The
reportability of newly discovered events or conditions (whether on-
going or that may have occurred within 3 years prior to discovery) on
or after the effective date will be evaluated by the staff using the
guidance in NUREG-1022, Revision 3.
Backfitting and Issue Finality
The NRC has determined that the Backfit Rule, 10 CFR 50.109,
``Backfitting,'' does not apply to the issuance of the revised guidance
in NUREG-1022, Revision 3. The revised guidance in NUREG-1022, Revision
3, addresses compliance with the information collection and reporting
requirements in 10 CFR 50.72 and 10 CFR 50.73. The Backfit Rule does
not apply to information collection and reporting requirements.
Therefore, the NRC has not prepared a backfit analysis for the issuance
of Revision 3 to NUREG-1022.
In addition, the NRC has determined that issuance of the revised
guidance in NUREG-1022, Revision 3, is not inconsistent with any of the
issue finality provisions in 10 CFR Part 52, ``Licenses,
Certifications, and Approvals for Nuclear Power Plants.'' Those issue
finality provisions do not apply to information collection and
reporting obligations imposed on operators of nuclear power plants. In
addition, the issue finality provisions in 10 CFR Part 52 do not apply
to prospective applicants. As of the issuance of this revised guidance,
there are no holders of combined licenses under 10 CFR part 52 that are
currently protected by 10 CFR Part 52 issue finality provisions
relevant to operation (i.e., the period after the Commission has made
the finding under 10 CFR 52.103(g)). Therefore, the NRC is not
precluded from issuing NUREG-1022, Revision 3, by any of the 10 CFR
Part 52 issue finality provisions.
Regulatory Analysis
The NRC performs regulatory analyses to support many NRC actions
that affect nuclear power reactor and nonpower reactor licensees. The
regulatory analysis process is intended to be an integral part of the
NRC's decisionmaking that systematically provides complete disclosure
of the relevant information supporting a regulatory decision. The
NUREG/BR-0058, Revision 4, ``Regulatory Analysis Guidelines of the U.S.
Nuclear Regulatory Commission,'' issued September 2004 (ADAMS Accession
No. ML042820192) sets forth the NRC's policy for the preparation and
the contents of regulatory analyses. As discussed in Section 2.2 of
NUREG/BR-0058, Revision 4, mechanisms used by the NRC staff to
establish or communicate generic requirements, guidance, requests, or
staff positions that would affect a change in the use of resources by
its licensees should include an accompanying regulatory analysis. Some
changes found in NUREG-1022, Revision 3, can be construed as offering
new positions or possibly affecting licensee resources. As a result,
the staff determined that it should perform a regulatory analysis in
order to provide complete disclosure of the relevant information
supporting decisions associated with changes found in NUREG-1022,
Revision 3. The final regulatory analysis can be found in ADAMS under
Accession No. ML12216A186. Some of the comments contained within the
fourteen comment submissions were comments pertaining to the Draft
Regulatory Analysis (ADAMS Accession No. ML11116A168) that was issued
along with the Draft NUREG-1022, Revision 3. A summary of the major/key
comments and how the NRC addressed those comments in the final version
of the regulatory analysis, is as follows:
The draft regulatory analysis is inadequate in that no
discussion on the deletion of 10 CFR part 21 guidance was presented.
Upon further review, the NRC disagrees. A regulatory analysis on
removal of 10 CFR Part 21 discussions is not required since, as
indicated in this Federal Register notice, the current NRC requirements
and staff positions have not changed.
The draft regulatory analysis is inadequate in that there
are no specific discussions on changes associated with (1) ``Events or
Conditions That Could Have Prevented Fulfillment of a Safety Function''
[50.72(b)(3)(v) and 50.73(a)(2)(v)]--Impact of Technical Specification
on reportability, and (2) Reporting of Historical Events under 10 CFR
50.72(a)(1)(ii). The regulatory analysis provides neither any analysis
to justify the changes nor does it attempt to assess the potential
impact(s) of the changes. Upon further review, the NRC disagrees. The
NRC does not consider the positions found in NUREG-1022, Revision 3 to
be changes in staff position.
The draft regulatory analysis on ``Events or Conditions
That Could Have Prevented Fulfillment of a Safety Function''
[50.72(b)(3)(v) and 50.73(a)(2)(v)]--Systems within scope, is
inadequate in that the regulatory analysis underestimates the impact of
the change on plant resources. Upon further review, the NRC agrees. The
impact to stakeholders should now be minimal as the final NUREG-1022,
Revision 3 position is revised to be consistent with the positions
found in the Federal Register Notice associated with the rule,
Regulatory Issue Summary 2001-14, and current guidance found in NUREG-
1022, Revision 2. The regulatory analysis provides a complete
disclosure of the relevant information supporting decisions associated
with changes found in NUREG-1022, Revision 3.
Dated at Rockville, Maryland, this 5th day of February 2013.
For the Nuclear Regulatory Commission.
Ho K. Nieh,
Director, Division of Inspections and Regional Support, Office of
Nuclear Reactor Regulation.
[FR Doc. 2013-03036 Filed 2-8-13; 8:45 am]
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