[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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