[Federal Register Volume 86, Number 124 (Thursday, July 1, 2021)]
[Rules and Regulations]
[Pages 34905-34924]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-13801]



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 Rules and Regulations
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  Federal Register / Vol. 86, No. 124 / Thursday, July 1, 2021 / Rules 
and Regulations  

[[Page 34905]]


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NUCLEAR REGULATORY COMMISSION

10 CFR Part 52

[NRC-2017-0090]
RIN 3150-AK04


Advanced Boiling Water Reactor (ABWR) Design Certification 
Renewal

AGENCY: Nuclear Regulatory Commission.

ACTION: Direct final rule and issuance of environmental assessment.

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SUMMARY: The U.S. Nuclear Regulatory Commission (NRC) is amending its 
regulations to renew the U.S. Advanced Boiling Water Reactor standard 
design certification. Applicants or licensees intending to construct 
and operate a U.S. Advanced Boiling Water Reactor standard design may 
do so by referencing this design certification rule. The applicant for 
the renewal of the U.S. Advanced Boiling Water Reactor standard design 
certification is General Electric-Hitachi Nuclear Energy Americas, LLC.

DATES: The final rule is effective September 29, 2021, unless 
significant adverse comments are received by August 2, 2021. If the 
direct final rule is withdrawn as a result of such comments, timely 
notice of the withdrawal will be published in the Federal Register. The 
incorporation by reference of certain publications listed in this 
regulation is approved by the Director of the Office of the Federal 
Register as of September 29, 2021.

ADDRESSES: You may submit comments by any of the following methods 
(unless this document describes a different method for submitting 
comments on a specific subject):
     Federal Rulemaking website: Go to https://www.regulations.gov and search for Docket ID NRC-2017-0090. Address 
questions about NRC dockets to Dawn Forder; telephone: 301-415-3407; 
email: [email protected]. For technical questions contact the 
individuals listed in the FOR FURTHER INFORMATION CONTACT section of 
this document.
     Email comments to: [email protected]. If you do 
not receive an automatic email reply confirming receipt, then contact 
us at 301-415-1677.
    For additional direction on obtaining information and submitting 
comments, see ``Obtaining Information and Submitting Comments'' in the 
SUPPLEMENTARY INFORMATION section of this document.

FOR FURTHER INFORMATION CONTACT: Dennis Andrukat, Office of Nuclear 
Material Safety and Safeguards, telephone: 301-415-3561, email: 
[email protected], or James Shea, Office of Nuclear Reactor 
Regulation, telephone: 301-415-1388, email: [email protected]. Both 
are staff of the U.S. Nuclear Regulatory Commission, Washington, DC 
20555-0001.

SUPPLEMENTARY INFORMATION:

Table of Contents:

I. Obtaining Information and Submitting Comments
II. Rulemaking Procedure
III. Background
IV. Discussion
V. ABWR Final Design Approval
VI. Section-By-Section Analysis
VII. Regulatory Flexibility Certification
VIII. Regulatory Analysis
IX. Backfitting and Issue Finality
X. Voluntary Consensus Standards
XI. Plain Writing
XII. Environmental Assessment and Final Finding of No Significant 
Impact
XIII. Paperwork Reduction Act Statement
XIV. Congressional Review Act
XV. Agreement State Compatibility
XVI. Availability of Documents
XVII. Procedures for Access to Proprietary and Safeguards 
Information for Preparation of Comments on the U.S. ABWR Design 
Certification Renewal Rule
XVIII. Incorporation by Reference--Reasonable Availability to 
Interested Parties

I. Obtaining Information and Submitting Comments

A. Obtaining Information

    Please refer to Docket ID NRC-2017-0090 when contacting the NRC 
about the availability of information for this action. You may obtain 
publicly available information related to this action by any of the 
following methods:
     Federal Rulemaking website: Go to https://www.regulations.gov/ and search for Docket ID NRC-2017-0090.
     NRC's Agencywide Documents Access and Management System 
(ADAMS): You may obtain publicly-available documents online in the 
ADAMS Public Documents collection at https://www.nrc.gov/reading-rm/adams.html. To begin the search, 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, at 301-415-4737, 
or by email to [email protected]. For the convenience of the reader, 
instructions about obtaining materials referenced in this document are 
provided in the Availability of Documents section.
     Attention: The Public Document Room (PDR), where you may 
examine and order copies of public documents is currently closed. You 
may submit your request to the PDR via email at [email protected] or 
call 1-800-397-4209 between 8:00 a.m. and 4:00 p.m. (EST), Monday 
through Friday, except Federal holidays.
     Attention: The Technical Library, which is located at Two 
White Flint North, 11545 Rockville Pike, Rockville, Maryland 20852, is 
open by appointment only. Interested parties may make appointments to 
examine documents by contacting the NRC Technical Library by email at 
[email protected] between 8:00 a.m. and 4:00 p.m. (EST), Monday 
through Friday, except Federal holidays.

B. Submitting Comments

    The NRC encourages electronic comment submission through the 
Federal Rulemaking website (https://www.regulations.gov). Please 
include Docket ID NRC-2017-0090 in your comment submission.
    The NRC cautions you not to include identifying or contact 
information that you do not want to be publicly disclosed in your 
comment submission. The NRC will post all comment submissions at 
https://www.regulations.gov/ as well as enter the comment submissions 
into ADAMS. The NRC does not routinely edit comment submissions to 
remove identifying or contact information.
    If you are requesting or aggregating comments from other persons 
for

[[Page 34906]]

submission to the NRC, then you should inform those persons not to 
include identifying or contact information that they do not want to be 
publicly disclosed in their comment submission. Your request should 
state that the NRC does not routinely edit comment submissions to 
remove such information before making the comment submissions available 
to the public or entering the comment into ADAMS. Comments received 
after August 2, 2021, will be considered if it is practical to do so, 
but the NRC is able to ensure consideration only for comments received 
on or before this date. Comments received on this direct final rule 
also will be considered to be comments on a companion proposed rule 
published in the Proposed Rules section of this issue of the Federal 
Register.

II. Rulemaking Procedure

    Because the NRC anticipates that this action will be non-
controversial, the NRC is using the ``direct final rule procedure'' for 
this rule. The rule will become effective on September 29, 2021. 
However, if the NRC receives significant adverse comments by August 2, 
2021, then the NRC will publish a document that withdraws this direct 
final rule and would subsequently address the comments received in any 
final rule as a response to the companion proposed rule published in 
the Proposed Rules section of this issue of the Federal Register. 
Absent significant modifications to the proposed revisions requiring 
republication, the NRC does not intend to initiate a second comment 
period on this action in the event the direct final rule is withdrawn.
    A significant adverse comment is a comment in which the commenter 
explains why the rule (including the environmental assessment) would be 
inappropriate, including challenges to the rule's underlying premise or 
approach, or would be ineffective or unacceptable without a change. A 
comment is adverse and significant if it meets the following criteria:
    (1) The comment opposes the rule and provides a reason sufficient 
to require a substantive response in a notice-and-comment process. For 
example, a substantive response is required when--
    (a) The comment causes the NRC to reevaluate (or reconsider) its 
position or conduct additional analysis;
    (b) The comment raises an issue serious enough to warrant a 
substantive response to clarify or complete the record; or
    (c) The comment raises a relevant issue that was not previously 
addressed or considered by the NRC.
    (2) The comment proposes a change or an addition to the rule, and 
it is apparent that the rule would be ineffective or unacceptable 
without incorporation of the change or addition.
    (3) The comment causes the NRC to make a change (other than 
editorial) to the rule.
    For detailed instructions on filing comments, please see the 
ADDRESSES section in the companion proposed rule published in the 
Proposed Rules section of this issue of the Federal Register.

III. Background

    The General Electric Company (GE) submitted the U.S. Advanced 
Boiling Water Reactor (U.S. ABWR) standard design certification initial 
application on September 29, 1987. The NRC initially docketed the 
application (Docket No. STN 50-605) on February 22, 1988, but later 
changed the docket number to 52-001 on March 20, 1992 (57 FR 9749) to 
reflect GE's request [or the applicant's request] to review the 
application under part 52, ``Licenses, Certifications, and Approvals 
for Nuclear Power Plants,'' of title 10 of the Code of Federal 
Regulations (10 CFR). The NRC documented its review in NUREG-1503, 
``Final Safety Evaluation Report Related to the Certification of the 
Advanced Boiling Water Reactor Design,'' in July 1994 (ADAMS Accession 
No. ML080670592), and NUREG-1503, Supplement 1, ``Final Safety 
Evaluation Report Related to the Certification of the Advanced Boiling 
Water Reactor Design,'' in May 1997 (ADAMS Accession No. ML080710134). 
The NRC issued the agency's first design certification (DC) rule, for 
the U.S. ABWR, in the Federal Register (62 FR 25800), effective June 
11, 1997. In 2007, GE and Hitachi Nuclear Energy formed an alliance, 
and General Electric-Hitachi Nuclear Energy Americas, LLC, (GEH) became 
the entity retaining the U.S. ABWR design from GE.
    On December 7, 2010, GEH submitted its application to renew the 
certification of the U.S. ABWR standard design to the NRC under subpart 
B, ``Standard design certifications,'' to 10 CFR part 52. The NRC 
published a notice of receipt of the application in the Federal 
Register on January 27, 2011 (76 FR 4948). On February 18, 2011, the 
NRC formally accepted the design certification renewal application for 
docketing (76 FR 9612). The preapplication information submitted before 
the NRC formally accepted the application for docketing can be found in 
ADAMS under Docket No. PROJ0774.
    Subpart B to 10 CFR part 52 presents the process for obtaining 
standard design certifications. Under Sec.  52.57(a), an application 
for DC renewal must contain all information necessary to bring the 
information and data contained in the previous application up to date. 
Updates under Sec.  52.57(a) include clarifications consistent with the 
original understanding of the design information, and changes to 
correct known errors, typographical errors, or defects, as defined in 
Sec.  21.3. For the NRC to issue a rule granting the DC renewal under 
Sec.  52.59(a), the design, either as originally certified or as 
modified during the rulemaking on renewal, must comply with (1) the 
Atomic Energy Act of 1954, as amended (AEA), (2) the NRC regulations 
applicable and in effect at the time the certification was issued, and 
(3) the applicable requirements of Sec.  50.150, ``Aircraft impact 
assessment.'' \1\
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    \1\ The requirement for modifications in DC renewals to address 
Sec.  50.150 was added to Sec.  52.59(a) by a rule published June 
12, 2009, requiring applicants for new nuclear power reactors to 
perform a design-specific assessment of the effects of the impact of 
a large, commercial aircraft (74 FR 28111). This requirement is 
applicable to the U.S. ABWR DC renewal because this is its first 
renewal and the U.S. ABWR DC was in effect on July 13, 2009.
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    A DC renewal applicant may propose to amend the design under Sec.  
52.59(c). An amendment is an applicant-proposed change that is not an 
update under Sec.  52.57(a) or a change to meet the renewal standards 
in Sec.  52.59(a). Amendments must comply with the AEA and the NRC's 
regulations applicable and in effect at the time of renewal rather than 
the Sec.  52.29(a) standards. If the amendment request entails such an 
extensive change to the certified design that an essentially new 
standard design is being proposed, a new DC application must be 
submitted.
    In addition, NRC regulations at Sec.  52.59(b) state that the 
Commission may impose other requirements if it determines any of the 
following:
    1. They are necessary for adequate protection to public health and 
safety or common defense and security;
    2. They are necessary for compliance with the NRC's regulations and 
orders applicable and in effect at the time the certification was 
issued; or
    3. There is a substantial increase in overall protection of the 
public health and safety or the common defense and security to be 
derived from the new requirements, and the direct and indirect costs of 
implementing those requirements are justified in view of this increased 
protection.
    The final U.S. ABWR DC rule for the original certification, 
Supplementary

[[Page 34907]]

Information, Section II.A.1, ``Finality,'' stated that the NRC ``does 
not plan or expect to be able to conduct a de novo review of the entire 
design if a certification renewal application is filed under Sec.  
52.59[,]'' ``Criteria for renewal'' (62 FR 25800, 25805). Instead, the 
NRC stated that it expects that the focus of the review would be on 
changes to the design that are proposed by the applicant and insights 
from relevant operating experience with the certified design or other 
designs, or other material new information arising after the NRC 
staff's review of the design certification. Furthermore, the standards 
in Sec.  52.59(b) control the imposition of new requirements during the 
review of applications for renewal. When GEH applied to renew the U.S. 
ABWR DC, the NRC affirmed this position, reviewed only those aspects of 
the design that were amended or modified, and determined whether 
operating experience or other material new information indicated that 
additional changes to the design were necessary. The staff reviewed 
GEH's proposed amendments and modifications to the design; the staff 
did not impose changes under 10 CFR 52.59(b).
    On June 12, 2009, the NRC published a rule requiring applicants for 
new nuclear power reactors to perform a design-specific assessment of 
the effects of the impact of a large, commercial aircraft (74 FR 
28111). By letter dated December 7, 2010, GEH submitted its application 
to renew the U.S. ABWR DC to the NRC, which included Revision 5 to the 
design control document. This revision includes a containment re-
analysis amendment and the necessary changes to meet the requirements 
of Sec.  50.150, ``Aircraft impact assessment.'' Revision 5 of the DCD 
also describes the aircraft impact assessment results and identifies 
and incorporates design features and functional capabilities to show, 
with reduced use of operator actions, that the reactor core remains 
cooled and spent fuel pool integrity is maintained.
    In a letter dated July 20, 2012, the NRC identified proposed 
changes that were regulatory improvements or that could meet the 
criteria in Sec.  52.59(b). The NRC suggested that GEH consider the 
recommendations contained in SECY-12-0025, ``Proposed Orders and 
Requests for Information in Response to Lessons Learned from Japan's 
March 11, 2011, Great Tohoku Earthquake and Tsunami,'' dated February 
17, 2012, addressing Recommendations 4.2, 7.1, and 9.3 from SECY-11-
0093, ``Near-Term Report and Recommendations for Agency Actions 
Following the Events in Japan,'' enclosure, ``Recommendations for 
Enhancing Reactor Safety in the 21st Century; The Near-Term Task Force 
Review of Insights from the Fukushima Dai-Ichi Accident report,'' dated 
July 12, 2011. Subsequently, during the Mitigation of Beyond-Design-
Basis Events rulemaking that resulted in Sec.  50.155, ``Mitigation of 
beyond-design-basis events,'' the Commission decided not to impose 
mitigation strategies requirements on DCs.\2\
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    \2\ In the Mitigation of Beyond-Design-Basis Events proposed 
rule regulatory analysis, dated October 2015, the Commission 
explained that its proposal to make the Mitigation of Beyond-Design-
Basis Events rule inapplicable to existing DCs, which included the 
U.S. ABWR, was based on concluding that ``[t]he issues that may be 
resolved in a DC and accorded issue finality may not include 
operational matters, such as the elements of the [Mitigation of 
Beyond-Design-Basis Events] proposed rule.'' However, as discussed 
in SECY-19-0066, ``Staff Review of NuScale Power's Mitigation 
Strategy for Beyond-Design-Basis External Events,'' the design 
certification can provide for finality under 10 CFR 52.63 and 
Section VI of appendix A to 10 CFR part 52 for the adequacy of the 
SSCs to perform their mitigation strategies functions, as analyzed 
in the FSAR.
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    After the NRC's July 20, 2012, letter to GEH, the NRC issued 
several requests for additional information to identity additional 
items or clarify the items communicated in the 2012 letter. By letter 
dated February 19, 2016, GEH submitted DCD, Revision 6, to incorporate 
changes to the U.S. ABWR DCD made in response to NRC's 2012 letter and 
to the NRC's requests for additional information. In addition, this 
revision transmitted corrections of typographical errors that were 
identified during document development, and other formatting changes. 
These corrections represent non-substantive changes that are editorial 
in nature. The NRC reviewed these typographical changes and determined 
that the changes do not affect the NRC's findings in the final safety 
evaluation report for original certification and are acceptable. On 
December 20, 2019, the applicant submitted DCD, Revision 7, that 
incorporated the remaining changes provided in earlier responses to 
requests for additional information. The NRC reviewed DCD, Revision 7, 
against the changes proposed in responses to requests for additional 
information and noted that two short paragraphs were missing from 
Chapter 5. On March 16, 2020, the applicant resubmitted DCD, Revision 
7, Chapter 5, including the previously missing paragraphs. To ensure 
that the public can reference a single ADAMS package for this document, 
the NRC copied the original DCD, Revision 7, ADAMS package, and 
replaced Chapter 5 with the corrected file. This corrected ADAMS 
package is the collection of DCD, Revision 7, chapters that the NRC has 
reviewed (ADAMS Accession No. ML20093K254). The NRC's review is 
documented in Supplement 2 to NUREG-1503, ``Final Safety Evaluation 
Report Related to the Certification of the Advanced Boiling Water 
Reactor Design.'' This final rule certifies Revision 7 of the U.S. ABWR 
DCD as provided in ADAMS Accession No. ML20093K254.
    In a letter dated June 9, 2016, Toshiba Corporation Energy Systems 
and Solutions Company (Toshiba) withdrew its application to renew the 
original U.S. ABWR design certification with its version of the U.S. 
ABWR design certification. The Toshiba ABWR was to incorporate the 
Toshiba-specific aircraft impact assessment amendment of the U.S. ABWR 
design certification, identified in the current appendix A to 10 CFR 
part 52 as the South Texas Project Nuclear Operating Company (STPNOC) 
DCD. The original U.S. ABWR design certification has expired, along 
with its STPNOC DCD aircraft impact assessment amendment, and Toshiba 
has withdrawn its renewal U.S. ABWR DC application; therefore, 
Toshiba's STPNOC DCD with its Toshiba-specific aircraft impact 
assessment amendment is not considered to be a timely renewal as 
described in Sec.  52.57(b).
    In a letter dated June 22, 2018, the only U.S. ABWR combined 
license (COL) holder, Nuclear Innovation North America LLC, requested 
NRC approval to withdraw the COLs for South Texas Project, Units 3 and 
4 (COLs NPF 97 and NPF 98). The NRC approved the termination of these 
COLs on July 12, 2018. Since the only COL or COL applicant who 
referenced the Toshiba STPNOC DCD has terminated its licenses, and no 
other license or application referenced the U.S. ABWR DC, the Toshiba 
STPNOC DCD no longer meets the requirement for validity beyond the date 
of expiration under Sec.  52.55(b). Finally, GEH has not requested to 
renew the STPNOC amendment. For all these reasons, the NRC is not 
retaining the original DCD or the STPNOC DCD option in Appendix A to 10 
CFR part 52. Instead, the NRC is replacing appendix A to 10 CFR part 52 
with this final rule certifying the renewed GEH U.S. ABWR design, as 
explained in Section IV.

IV. Discussion

Final Safety Evaluation Report
    The final safety evaluation report for the renewed U.S. ABWR 
standard design consists of (1) the original final safety evaluation 
report published in July 1994 (NUREG-1503, Volume 1--

[[Page 34908]]

Chapters 1 through 22 and Volume 2--Appendices); (2) NUREG-1503, 
Supplement 1, published in May 1997; and (3) NUREG-1503, Supplement 2, 
published in October 2020. NUREG-1503 and NUREG-1503, Supplement 1, 
document the staff's review of the original certified DC.\3\ NUREG-
1503, Supplement 2, documents the NRC staff's review of Revision 7 of 
the U.S. ABWR DCD. The original final safety evaluation report and its 
supplements are available as indicated in Section XVI, ``Availability 
of Documents,'' in this document.
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    \3\ NUREG-1948, ``Final Safety Evaluation Report Related to the 
Aircraft Impact Amendment to the U.S. Advanced Boiling Water Reactor 
(ABWR) Design Certification,'' which documents the staff evaluation 
of the U.S. ABWR DC amendment to comply with requirements in Sec.  
50.150, is inapplicable to this U.S. ABWR DC renewal rule because 
the renewal DCD, Revision 7, incorporates a different set of changes 
to comply with the requirements in Sec.  Sec.  50.150 and 52.59.
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U.S. ABWR DC Renewal Rule
    The following discussion describes the purpose and key aspects of 
each section of the U.S. ABWR DC renewal rule. This rule is unique 
because it is the first DC renewal. In addition to the GEH U.S. ABWR 
design certification, the current appendix A to 10 CFR part 52 includes 
discussions related to the U.S. ABWR design certified for the STPNOC 
acting together with Toshiba. As described in Section III, 
``Background,'' of this document, the NRC has terminated the COLs that 
relied on the U.S. ABWR design certification rule as amended, and 
Toshiba has withdrawn its U.S. ABWR DC renewal application. Therefore, 
the NRC believes that the best approach for this renewal is to 
completely replace appendix A to 10 CFR part 52 with this final rule 
certifying the renewed GEH U.S. ABWR design. There is no discussion of 
the removal of STPNOC/Toshiba specific parts of the existing appendix A 
to 10 CFR part 52. The U.S. ABWR DC renewal rule maintains the 
structure of existing DC rules, with certain modifications where 
necessary to account for differences in the U.S. ABWR design 
documentation, design features, and environmental assessment (including 
severe accident mitigation design alternatives). As a result, DC rules 
are standardized to the extent practical.

A. Introduction (Section I)

    The purpose of Section I of appendix A to 10 CFR part 52 is to 
identify the standard design approved by this U.S. ABWR DC renewal 
final rule and the applicant for certification of the standard design. 
Identification of the DC applicant is necessary to implement appendix A 
to 10 CFR part 52 for two reasons. First, Sec.  52.63(c) identifies the 
DC applicant as a potential source for an applicant for a COL to obtain 
the generic DCD and supporting design information. If the COL applicant 
does not obtain the design information from the DC applicant, but 
instead uses a different entity, then the COL applicant must meet the 
requirements in Sec.  52.73, ``Relationship to other subparts.'' 
Second, paragraph X.A.1 of this final rule requires that the identified 
DC applicant maintain the generic DCD throughout the time that appendix 
A to 10 CFR part 52 may be referenced.

B. Definitions (Section II)

    The purpose of Section II of appendix A to 10 CFR part 52 is to 
define specific terminology with respect to this final DC rule. During 
development of the first two DC rules, the NRC decided that there would 
be both generic (master) design control documents maintained by the NRC 
and the design certification applicant, as well as individual plant-
specific DCDs maintained by each applicant or licensee that references 
a certified standard design. This distinction is necessary in order to 
specify the relevant plant-specific requirements to applicants and 
licensees referencing appendix A to 10 CFR part 52. In order to 
facilitate the maintenance of the master design control documents, the 
NRC requires that each application for a standard design certification 
be updated to include an electronic copy of the final version of the 
DCD. The final version is required to incorporate all amendments to the 
DCD submitted since the original application, as well as any changes 
directed by the NRC as a result of its review of the original DCD or as 
a result of any public input that the staff determined was valid. In 
the case of the U.S. ABWR DC renewal, there was no significant public 
participation in the staff review. This final version is the master DCD 
incorporated by reference in the design certification rule. The master 
DCD will be revised as needed to include generic changes to the version 
of the DCD that is approved in this design certification final rule. 
These changes would occur as the result of generic rulemaking by the 
NRC, under the change criteria in Section VIII of appendix A to 10 CFR 
part 52.
    The NRC also requires each applicant and licensee referencing 
appendix A to 10 CFR part 52 to submit and maintain a plant-specific 
DCD as part of the COL final safety analysis report. This plant-
specific DCD must either include or incorporate by reference the 
information in the generic DCD. The plant-specific DCD would be updated 
as necessary to reflect the generic changes to the DCD that the NRC may 
adopt through rulemaking, plant-specific departures from the generic 
DCD that the NRC imposed on the licensee by order, and any plant-
specific departures that the licensee chooses to make in accordance 
with the relevant processes in Section VIII. Therefore, the plant-
specific DCD functions similarly to an updated final safety analysis 
report because it provides the most complete and accurate information 
on a plant's design basis for that part of the plant that would be 
within the scope of appendix A to 10 CFR part 52.
    The NRC is treating the technical specifications in Chapter 16, 
``Technical Specifications,'' of the generic DCD as a special category 
of information and designating them as generic technical specifications 
in order to facilitate the special treatment of this information under 
appendix A to 10 CFR part 52. A COL applicant must submit plant-
specific technical specifications that consist of the generic technical 
specifications, which may be modified as specified in paragraph VIII.C, 
and the remaining site-specific information needed to complete the 
technical specifications. The final safety analysis report that is 
required by Sec.  52.79, ``Contents of applications; technical 
information in final safety analysis report,'' will consist of the 
plant-specific DCD, the site-specific final safety analysis report, and 
the plant-specific technical specifications.
    The terms Tier 1, Tier 2, and Tier 2* are defined, and the term COL 
action items (COL license information) is described in appendix A to 10 
CFR part 52 because these concepts were not envisioned when 10 CFR part 
52 was developed. The DC applicants and the NRC use these terms in 
implementing the two-tiered rule structure (the DCD is divided into 
Tiers 1 and 2 to support the rule structure) that was proposed by 
representatives of the nuclear industry after publication of 10 CFR 
part 52. The Commission approved the use of a two-tiered rule structure 
in its staff requirements memorandum, dated February 15, 1991, on SECY-
90-377, ``Requirements for Design Certification under 10 CFR part 52,'' 
dated November 8, 1990.
    Tier 1 information means the portion of the design-related 
information contained in the generic DCD that is approved and certified 
by this appendix. Tier 2 information means the portion of the design-
related information contained in the generic DCD that is approved but 
not certified

[[Page 34909]]

by this appendix. The change process for Tier 2 information is similar 
to, but not identical to, the change process set forth in Sec.  50.59, 
``Changes, tests, and experiments.'' The regulations in Sec.  50.59 
describe when a licensee may make changes to a plant as described in 
its final safety analysis report without a license amendment. Because 
the change process for Tier 2 information provided in Section VIII of 
this appendix provides more specific criteria than Sec.  50.59, as 
described in Sec.  50.59(c)(4), the definitions and criteria of Sec.  
50.59 are not applicable to this process.
    Certain Tier 2 information has been designated in the generic DCD 
with brackets, italicized text, and an asterisk as ``Tier 2*'' 
information and a plant-specific departure from Tier 2* information 
requires prior NRC approval (refer to Section IV.H of this document). 
However, the Tier 2* designation expires for some of this information 
when the facility first achieves full power after the finding required 
by Sec.  52.103(g). The process for changing Tier 2* information and 
the time at which its status at Tier 2* expires is set forth in 
paragraph VIII.B.6 of this appendix. Some Tier 2* requirements 
concerning special preoperational tests are designated to be performed 
only for the first plant or first three plants referencing the U.S. 
ABWR DC renewal rule. The Tier 2* designation for these selected tests 
will expire after the first plant or first three plants complete the 
specified tests. However, a COL action item requires that subsequent 
plants also perform the tests or justify that the results of the first-
plant-only or first-three-plants-only tests are applicable to the 
subsequent plant.
    The NRC is including a definition for a ``Departure from a method 
of evaluation described in the plant-specific DCD used in establishing 
the design bases or in the safety analyses'' in paragraph II.G of this 
appendix, so that the eight criteria in paragraph VIII.B.5.b will be 
implemented for new reactors as intended.

C. Scope and Contents (Section III)

    The purpose of Section III of appendix A to 10 CFR part 52 is to 
describe and define the scope and content of this design certification, 
explain how to obtain a copy of the generic DCD, identify requirements 
for incorporation by reference of the U.S. ABWR DC renewal final rule, 
and set forth how documentation discrepancies or inconsistencies are to 
be resolved.
    Paragraph III.A is the required statement of the Office of the 
Federal Register for approval of the incorporation by reference of the 
U.S. ABWR DCD, Revision 7, which includes a late correction to Tier 2, 
Chapter 5. In addition, this paragraph provides the information on how 
to obtain a copy of the DCD.
    Paragraph III.B is the requirement for COL applicants and licensees 
referencing the U.S. ABWR DCD to comply with the requirements of this 
appendix in order to benefit from the issue finality afforded the 
certified design. The legal effect of incorporation by reference is 
that the incorporated material has the same legal status as if it were 
published in the Code of Federal Regulations. This material, like any 
other properly issued regulation, has the force and effect of law. Tier 
1 and Tier 2 information and generic technical specifications have been 
combined into a single document called the generic DCD, in order to 
effectively control this information and facilitate its incorporation 
by reference into the final rule. In addition, paragraph III.B 
clarifies that the conceptual design information and GEH's evaluation 
of severe accident mitigation design alternatives as described in the 
``Technical Support Document for the ABWR'' are not part of appendix A 
to 10 CFR part 52. As provided by Sec.  52.47(a)(24), these conceptual 
designs are not part of appendix A to 10 CFR part 52 and, therefore, 
are not applicable to an application that references appendix A to 10 
CFR part 52. Therefore, an applicant referencing appendix A to 10 CFR 
part 52 would not be required to conform to the conceptual design 
information that was provided by the DC applicant. The conceptual 
design information, which consists of site-specific design features, 
was required to facilitate the DC review. Similarly, the severe 
accident mitigation design alternatives were required to facilitate the 
environmental assessment.
    Paragraphs III.C and III.D set forth the manner by which potential 
conflicts are to be resolved and identify the controlling document. 
Paragraph III.C establishes the Tier 1 description in the DCD as 
controlling in the event of an inconsistency between the Tier 1 and 
Tier 2 information in the DCD. Paragraph III.D establishes the generic 
DCD as the controlling document in the event of an inconsistency 
between the DCD and the final safety evaluation report for the 
certified standard design.
    Paragraph III.E makes it clear that design activities outside the 
scope of the DC may be performed using actual site characteristics, 
provided that the design activities do not affect the DCD or conflict 
with the interface requirements. This provision applies to site-
specific portions of the plant, such as the administration building.

D. Additional Requirements and Restrictions (Section IV)

    Section IV of appendix A to 10 CFR part 52 sets forth additional 
requirements and restrictions imposed upon an applicant who references 
appendix A to 10 CFR part 52.
    Paragraph IV.A sets forth the information requirements for COL 
applicants and distinguishes between information and documents that 
must be included in the application or the design control document and 
those which may be incorporated by reference. Any incorporation by 
reference in the application should be clear and should specify the 
title, date, edition or version of a document, the page number(s), and 
table(s) containing the relevant information to be incorporated. The 
legal effect of such an incorporation by reference into the application 
is that appendix A to 10 CFR part 52 would be legally binding on the 
applicant or licensee.
    In paragraph IV.B the NRC reserves the right to determine how 
appendix A to 10 CFR part 52 may be referenced under 10 CFR part 50, 
``Domestic licensing of production and utilization facilities.'' This 
determination may occur in the context of a subsequent rulemaking 
modifying 10 CFR part 52 or this DC rule, or on a case-by-case basis in 
the context of a specific application for a 10 CFR part 50 construction 
permit or operating license. This provision is necessary because the 
previous DC rules were not implemented in the manner that was 
originally envisioned at the time that 10 CFR part 52 was issued. The 
NRC's concern is with the manner by which the inspections, tests, 
analyses, and acceptance criteria (ITAAC) were developed and the lack 
of experience with DCs in a licensing proceeding. Therefore, it is 
appropriate that the NRC retain some discretion regarding the manner by 
which appendix A to 10 CFR part 52 could be referenced in a 10 CFR part 
50 licensing proceeding.

E. Applicable Regulations (Section V)

    The purpose of Section V of appendix A to 10 CFR part 52 is to 
specify the regulations that are applicable and in effect for the U.S. 
ABWR DC renewal. These regulations consist of the technically relevant 
regulations identified in paragraph V.A, except for the regulations in 
paragraph V.B that are not applicable to this certified design.

[[Page 34910]]

F. Issue Resolution (Section VI)

    The purpose of Section VI of appendix A to 10 CFR part 52 is to 
identify the scope of issues that are resolved by the NRC through this 
final rule and, therefore, are ``matters resolved'' within the meaning 
and intent of Sec.  52.63(a)(5). The section is divided into five 
parts: Paragraph VI.A identifies the NRC's safety findings in adopting 
appendix A to 10 CFR part 52, paragraph VI.B identifies the scope and 
nature of issues that are resolved by this final rule, paragraph VI.C 
identifies issues that are not resolved by this final rule, paragraph 
VI.D identifies the issue finality restrictions applicable to the NRC 
with respect to appendix A to 10 CFR part 52, and paragraph VI.E 
identifies the availability of secondary resources.
    Paragraph VI.A describes the nature of the NRC's findings in 
general terms and makes the findings required by Sec.  52.54, 
``Issuance of standard design certification,'' for the NRC's approval 
of this DC final rule.
    Paragraph VI.B sets forth the scope of issues that may not be 
challenged as a matter of right in subsequent proceedings. The 
introductory phrase of paragraph VI.B clarifies that issue resolution, 
as described in the remainder of the paragraph, extends to the 
delineated NRC proceedings for plants referencing appendix A to 10 CFR 
part 52. The remainder of paragraph VI.B describes the categories of 
information for which there is issue resolution.
    Paragraph VI.C reserves the right of the NRC to impose operational 
requirements on applicants that reference appendix A to 10 CFR part 52. 
This provision reflects the fact that only some operational 
requirements, including portions of the generic technical 
specifications in Chapter 16 of the DCD, and no operational programs 
(e.g., operational quality assurance), were completely reviewed by the 
NRC in this DC final rule. However, those operational requirements that 
the NRC completely reviewed and approved as documented in the NRC's 
final safety evaluation report, are subject to the change control 
provisions of paragraph VIII.C. The NRC notes that operational 
requirements may be imposed on licensees referencing this DC through 
the inclusion of license conditions in the license, or established by a 
COL applicant or license holder through the inclusion with sufficient 
specificity of a description of the operational requirement in the 
plant-specific final safety analysis report.\4\ The NRC's choice of the 
regulatory vehicle for imposing the operational requirements will 
depend upon the following, among other things: (1) Whether the 
development and/or implementation of these requirements must occur 
prior to either the issuance of the COL or the Commission finding under 
Sec.  52.103(g) and (2) the nature of the change controls that are 
appropriate given the regulatory, safety, and security significance of 
each operational requirement.
---------------------------------------------------------------------------

    \4\ Certain activities ordinarily conducted following fuel load 
and therefore considered ``operational requirements,'' but which may 
be relied upon to support a Commission finding under Sec.  
52.103(g), may themselves be the subject of ITAAC to ensure 
implementation prior to the Sec.  52.103(g) finding.
---------------------------------------------------------------------------

    Also, paragraph VI.C allows the NRC to impose future operational 
requirements (distinct from design matters) on applicants who reference 
this DC. License conditions for portions of the plant within the scope 
of this DC (e.g., start-up and power ascension testing) are not 
restricted by Sec.  52.63. The requirement to perform these testing 
programs is contained in the Tier 1 information. However, ITAAC cannot 
be specified for these subjects because the matters to be addressed in 
these license conditions cannot be verified prior to fuel load and 
operation, when the ITAAC are satisfied. In the absence of detailed 
design information to evaluate the need for and develop specific post-
fuel load verifications for these matters, the NRC is reserving the 
right to impose, at the time of COL issuance, license conditions 
addressing post-fuel load verification activities for portions of the 
plant within the scope of this DC.
    Paragraph VI.D requires the NRC to follow the restrictions 
contained in Section VIII of appendix A to 10 CFR part 52 when 
requiring generic or plant-specific modifications, changes, or 
additions to structures, systems, and components; design features; 
design criteria; and ITAAC within the scope of the certified design.
    Paragraph VI.E provides that the NRC will specify at an appropriate 
time the procedures on how to obtain access to sensitive unclassified 
and non-safeguards information (SUNSI) and safeguards information (SGI) 
for the U.S. ABWR DC renewal rule. Access to such information would be 
for the sole purpose of requesting or participating in certain 
specified hearings, such as hearings required by Sec.  52.85, 
``Administrative review of applications; hearings,'' or an adjudicatory 
hearing.

G. Duration of This Appendix (Section VII)

    The purpose of Section VII of appendix A to 10 CFR part 52 is, in 
part, to specify the period during which this design certification may 
be referenced by an applicant or licensee for a COL, under Sec.  52.55, 
``Conditions of construction permits, early site permits, combined 
licenses, and manufacturing licenses,'' and the period it will remain 
valid when the DC is referenced. For example, if a COL application 
references this DC during the 15-year period, then the DC would be 
effective for that COL application until that COL application is 
withdrawn or the license issued on that COL application expires, 
including periods of operation under a renewed license. The NRC intends 
for appendix A to 10 CFR part 52 to remain valid for the life of the 
plants that reference the DC to achieve the benefits of standardization 
and licensing stability. This means that changes to, or plant-specific 
departures from, information in the plant-specific DCD must be made 
under the change processes in Section VIII for the life of a plant that 
references this DC rule.

H. Processes for Changes and Departures (Section VIII)

    The purpose of Section VIII of appendix A to 10 CFR part 52 is to 
set forth the processes for generic changes to, or plant-specific 
departures (including exemptions) from, the DCD. The NRC adopted this 
restrictive change process in order to achieve a more stable licensing 
process for applicants and licensees that reference DC rules. Section 
VIII is divided into three paragraphs, which correspond to Tier 1, Tier 
2, and operational requirements.
    Generic changes (called ``modifications'' in Sec.  52.63(a)(3)) 
must be accomplished by rulemaking because the intended subject of the 
change is this DC final rule itself, as is contemplated by Sec.  
52.63(a)(1). Consistent with Sec.  52.63(a)(3), any generic rulemaking 
changes are applicable to all plants referencing this DC rule, absent 
circumstances which render the change technically irrelevant. By 
contrast, plant-specific departures could be either required by an 
order to one or more applicants or licensees; or an applicant or 
licensee-initiated departure applicable only to that applicant's or 
licensee's plant(s), similar to a Sec.  50.59 departure or an 
exemption. Because these plant-specific departures result in a DCD that 
is unique for that plant, Section X of appendix A to 10 CFR part 52 
requires an applicant or licensee to maintain a plant-specific

[[Page 34911]]

DCD. For purposes of brevity, the following discussion refers to the 
processes for both generic changes and plant-specific departures as 
``change processes.'' Section VIII refers to an exemption from one or 
more requirements of this appendix and addresses the criteria for 
granting an exemption. The NRC cautions that when the exemption 
involves an underlying substantive requirement (i.e., a requirement 
outside this appendix), then the applicant or licensee requesting the 
exemption must demonstrate that an exemption from the underlying 
applicable requirement meets the criteria of Sec.  52.7, ``Specific 
exemptions,'' or Sec.  50.12, ``Specific exemptions.''
    Tier 1 information is the portion of design-related information in 
the generic DCD that the NRC approves in the 10 CFR part 52 design 
certification appendices. Tier 1 information can only be changed with 
NRC approval by rulemaking, approval of an exemption from the certified 
design rule, or required by the Commission through a plant-specific 
order. Tier 2 information also is approved by the NRC in the 10 CFR 
part 52 design certification rule appendices, but it is not certified 
and licensees who reference the design can change this information 
using the process outlined in Section VIII of the appendices. This 
change process is similar to that in Sec.  50.59 and is generally 
referred to as the ``Sec.  50.59-like'' process. If the criteria in 
Section VIII are met, a licensee can change Tier 2 information without 
prior NRC approval. The NRC created a third category, Tier 2*, to 
address industry requests to minimize the scope of Tier 1 information 
and provide greater flexibility for making changes. Tier 2* information 
is included in Tier 2 and has the same safety significance as Tier 1 
information, but the NRC decided to provide more flexibility for 
licensees to change this type of information. Tier 2* is significant 
information that cannot be changed without prior NRC approval of a 
license amendment requesting the change. Paragraph VIII.B.6 of appendix 
A to 10 CFR part 52 sets forth the process for changing Tier 2* 
information.
Tier 1 Information
    Paragraph VIII.A describes the change process for changes to Tier 1 
information that are accomplished by rulemakings that amend the generic 
DCD and are governed by the standards in Sec.  52.63(a)(1). A generic 
change under Sec.  52.63(a)(1) will not be made to a certified design 
while it is in effect unless the change: (1) Is necessary for 
compliance with NRC regulations applicable and in effect at the time 
the certification was issued; (2) is necessary to provide adequate 
protection of the public health and safety or the common defense and 
security; (3) reduces unnecessary regulatory burden and maintains 
protection to public health and safety and common defense and security; 
(4) provides the detailed design information necessary to resolve 
select design acceptance criteria; (5) corrects material errors in the 
certification information; (6) substantially increases overall safety, 
reliability, or security of a facility and the costs of the change are 
justified; or (7) contributes to increased standardization of the 
certification information. The rulemakings must provide for notice and 
opportunity for public comment on the proposed change, under Sec.  
52.63(a)(2). The NRC will give consideration as to whether the benefits 
justify the costs for plants that are already licensed or for which an 
application for a permit or license is under consideration except for 
those changes that are necessary to provide adequate protection of the 
public health and safety or the common defense and security.
    Departures from Tier 1 may occur in two ways: (1) The NRC may order 
a licensee to depart from Tier 1, as provided in paragraph VIII.A.3, or 
(2) an applicant or licensee may request an exemption from Tier 1, as 
addressed in paragraph VIII.A.4. If the NRC seeks to order a licensee 
to depart from Tier 1, paragraph VIII.A.3 would require that the NRC 
find both that the departure is necessary either to assure adequate 
protection of the public health and safety or the common defense and 
security or to bring the certification into compliance with the NRC's 
regulations applicable and in effect at the time of approval of the DC 
and that special circumstances are present, taking into consideration 
whether the special circumstances outweigh any decrease in safety that 
may result from the reduction in standardization caused by the plant-
specific order. Paragraph VIII.A.4 provides that exemptions from Tier 1 
requested by an applicant or licensee are governed by the requirements 
of Sec. Sec.  52.63(b)(1) and 52.98(f), which provide an opportunity 
for a hearing. In addition, the NRC would not grant requests for 
exemptions that will result in a significant decrease in the level of 
safety otherwise provided by the design.
Tier 2 Information
    Paragraph VIII.B describes the change processes for the Tier 2 
information; which have the same elements as the Tier 1 change process, 
but some of the standards for plant-specific orders and exemptions 
would be different. Generic Tier 2 changes would be accomplished by 
rulemaking that would amend the generic DCD and would be governed by 
the standards in Sec.  52.63(a)(1). A generic change under Sec.  
52.63(a)(1) would not be made to a certified design while it is in 
effect unless the change: (1) Is necessary for compliance with NRC 
regulations that were applicable and in effect at the time the 
certification was issued; (2) is necessary to provide adequate 
protection of the public health and safety or the common defense and 
security; (3) reduces unnecessary regulatory burden and maintains 
protection to public health and safety and the common defense and 
security; (4) provides the detailed design information necessary to 
resolve select design acceptance criteria; (5) corrects material errors 
in the certification information; (6) substantially increases overall 
safety, reliability, or security of a facility and the costs of the 
change are justified; or (7) contributes to increased standardization 
of the certification information.
    Departures from Tier 2 would occur in five ways: (1) The Commission 
may order a plant-specific departure, as set forth in paragraph 
VIII.B.3; (2) an applicant or licensee may request an exemption from a 
Tier 2 requirement as set forth in paragraph VIII.B.4; (3) a licensee 
may make a departure without prior NRC approval under paragraph 
VIII.B.5; (4) the licensee may request NRC approval for proposed 
departures which do not meet the requirements in paragraph VIII.B.5 as 
provided in paragraph VIII.B.5.e; and (5) the licensee may request NRC 
approval for a departure from Tier 2* information under paragraph 
VIII.B.6.
    Similar to Commission-ordered Tier 1 departures and generic Tier 2 
changes, Commission-ordered Tier 2 departures cannot be imposed except 
when necessary, either to bring the certification into compliance with 
the NRC's regulations applicable and in effect at the time of approval 
of the DC or to ensure adequate protection of the public health and 
safety or the common defense and security, provided that special 
circumstances are present as set forth in paragraph VIII.B.3. However, 
unlike in the case of Tier 1 departures, the Commission would not have 
to consider whether the special circumstances for the Tier 2 departures 
would outweigh any decrease in safety that may result from the 
reduction in standardization caused by the plant-specific order, as 
required by Sec.  52.63(a)(4). The NRC has determined

[[Page 34912]]

that it is not necessary to impose an additional limitation for 
standardization similar to that imposed on Tier 1 departures by Sec.  
52.63(a)(4) and (b)(1) because it would unnecessarily restrict the 
flexibility of applicants and licensees with respect to Tier 2 
information.
    An applicant or licensee referencing this DC rule may request an 
exemption from Tier 2 information as set forth in paragraph VIII.B.4. 
The applicant or licensee would have to demonstrate that the exemption 
complies with one of the special circumstances in regulations governing 
specific exemptions in Sec.  50.12(a). In addition, the NRC would not 
grant requests for exemptions that would result in a significant 
decrease in the level of safety otherwise provided by the design. 
However, unlike Tier 1 changes, the special circumstances for the 
exemption do not have to outweigh any decrease in safety that may 
result from the reduction in standardization caused by the exemption. 
If the exemption is requested by an applicant for a license, the 
exemption would be subject to litigation in the same manner as other 
issues in the licensing hearing, consistent with Sec.  52.63(b)(1). If 
the exemption is requested by a licensee, then the exemption would be 
subject to an opportunity for hearing in the same manner as license 
amendments.
    Paragraph VIII.B.5 allows an applicant or licensee to depart from 
Tier 2 information, without prior NRC approval, if the departure does 
not involve a change to or departure from Tier 1 information, Tier 2* 
information, or the technical specifications, and the departure does 
not require a license amendment under paragraph VIII.B.5.b or c. The 
technical specifications referred to in B.5.a of this paragraph are the 
technical specifications in Chapter 16 of the generic DCD, including 
bases, for departures made prior to the issuance of the COL. After the 
issuance of the COL, the plant-specific technical specifications would 
be controlling under paragraph VIII.B.5. The requirement for a license 
amendment in paragraph VIII.B.5.b is similar to the requirement in 
Sec.  50.59 and applies to all of the information in Tier 2 except for 
the information that resolves the severe accident issues or that 
affects information required by Sec.  52.47(a)(28) to address aircraft 
impacts.
    The NRC concludes that the resolution of ex-vessel severe accident 
design features should be preserved and maintained in the same fashion 
as all other safety issues that were resolved during the design 
certification review (refer to SRM on SECY-90-377, ``Requirements for 
Design Certification Under 10 CFR part 52,'' dated February 15, 1991, 
ADAMS Accession No. ML003707892). However, because of the increased 
uncertainty in ex-vessel severe accident issue resolutions, the NRC has 
adopted separate criteria in paragraph VIII.B.5.c for determining if a 
departure from information that resolves ex-vessel severe accident 
design features would require a license amendment. For purposes of 
applying the special criteria in paragraph VIII.B.5.c, ex-vessel severe 
accident resolutions are limited to design features where the intended 
function of the design feature is relied upon to resolve postulated 
accidents when the reactor core has melted and exited the reactor 
vessel, and the containment is being challenged. These design features 
are identified in Section 19E of the DCD but may be described in other 
sections of the DCD. The location of design information in the DCD is 
not important to the application of this special procedure for ex-
vessel severe accident design features. However, the special procedure 
in paragraph VIII.B.5.c does not apply to design features that resolve 
``beyond-design-basis accidents'' or other low-probability events. The 
important aspect of this special procedure is that it is limited to ex-
vessel severe accident design features, as defined above. Some design 
features may have intended functions to meet ``design-basis'' 
requirements and to resolve ``ex-vessel severe accidents.'' If these 
design features are reviewed under paragraph VIII.B.5, then the 
appropriate criteria from either paragraph VIII.B.5.b or VIII.B.5.c are 
selected depending upon the function being changed.
    An applicant or licensee that plans to depart from Tier 2 
information, under paragraph VIII.B.5, is required to prepare an 
evaluation that provides the bases for the determination that the 
proposed change does not require a license amendment or involve a 
change to Tier 1 or Tier 2* information, or a change to the TS, as 
explained above. In order to achieve the NRC's goals for design 
certification, the evaluation needs to consider all of the matters that 
were resolved in the DCD, such as generic issue resolutions that are 
relevant to the proposed departure. The benefits of the early 
resolution of safety issues would be lost if departures from the DCD 
were made that violated these resolutions without appropriate review. 
The evaluation of the relevant matters needs to consider the proposed 
departure over the full range of power operation from startup to 
shutdown, as it relates to anticipated operational occurrences, 
transients, DBAs, and severe accidents. The evaluation must also 
include a review of all relevant secondary references from the DCD 
because Tier 2 information, which is intended to be treated as a 
requirement, is contained in the secondary references. The evaluation 
should consider the tables in Sections 14.3 and 19.8 of the generic DCD 
to ensure that the proposed change does not impact Tier 1 information. 
These tables contain cross-references from the safety analyses in Tier 
2 to the important parameters that were included in Tier 1.
    Paragraph VIII.B.5.d addresses information described in the DCD to 
address aircraft impacts, under Sec.  52.47(a)(28). Under Sec.  
52.47(a)(28), applicants are required to include the information 
required by Sec.  50.150(b) in their DCD. A COL applicant or licensee 
that departs from this information is required to consider the effect 
of the changed design feature or functional capability on the original 
aircraft impact assessment required by Sec.  50.150(a). The applicant 
or licensee is also required to describe in the plant-specific DCD how 
the modified design features and functional capabilities continue to 
meet the assessment requirements in Sec.  50.150(a)(1). Submittal of 
this updated information is governed by the reporting requirements in 
paragraph X.B.
    During an ongoing adjudicatory proceeding (e.g., for issuance of a 
COL) a party who believes that an applicant or licensee has not 
complied with paragraph VIII.B.5 when departing from Tier 2 information 
may petition to admit such a contention into the proceeding under 
paragraph VIII.B.5.g. As set forth in paragraph VIII.B.5.g, the 
petition would have to comply with the requirements of Sec.  2.309, 
``Hearing requests, petitions to intervene, requirements for standing, 
and contentions,'' and show that the departure does not comply with 
paragraph VIII.B.5. If on the basis of the petition and any responses 
thereto, the presiding officer in the proceeding determines that the 
required showing has been made, the matter would be certified to the 
Commission for its final determination. In the absence of a proceeding, 
assertions of noncompliance with paragraph VIII.B.5 requirements 
applicable to Tier 2 departures would be treated as petitions for 
enforcement action under Sec.  2.206, ``Requests for action under this 
subpart.''
    Paragraph VIII.B.6 provides a process for departing from Tier 2* 
information. The creation of and restrictions on changing Tier 2* 
information resulted from the development of the Tier 1 information for 
the Advanced Boiling

[[Page 34913]]

Water Reactor design certification (appendix A to 10 CFR part 52) and 
the System 80+ design certification (appendix B to 10 CFR part 52). 
During this development process, these applicants requested that the 
amount of information in Tier 1 be minimized to provide additional 
flexibility for an applicant or licensee who references these 
appendices. Also, many codes, standards, and design processes that were 
not specified in Tier 1 as acceptable for meeting ITAACs were specified 
in Tier 2. The result of these departures is that certain significant 
information exists only in Tier 2 and the Commission does not want this 
significant information to be changed without prior NRC approval. This 
Tier 2* information is identified in the generic DCD with brackets, 
italicized text, and an asterisk.
    Although the Tier 2* designation was originally intended to last 
for the lifetime of the facility, like Tier 1 information, the NRC 
determined that some of the Tier 2* information could expire when the 
plant first achieves full (100 percent) power, after the finding 
required by 10 CFR 52.103(g), while other Tier 2* information must 
remain in effect throughout the life of the facility. The factors 
determining whether Tier 2* information could expire after full power 
is first achieved (first full power) were whether the Tier 1 
information would govern these areas after first full power and the 
NRC's determination that prior approval was required before 
implementation of the change due to the significance of the 
information. Therefore, certain Tier 2* information listed in paragraph 
VIII.B.6.c ceases to retain its Tier 2* designation after full power 
operation is first achieved following the Commission finding under 10 
CFR 52.103(g). Thereafter, that information is deemed to be Tier 2 
information that is subject to the departure requirements in paragraph 
VIII.B.5. By contrast, the Tier 2* information identified in paragraph 
VIII.B.6.b retains its Tier 2* designation throughout the duration of 
the license, including any period of license renewal.
    If Tier 2* information is changed in a generic rulemaking, the 
designation of the new information (Tier 1, 2*, or 2) will also be 
determined in the rulemaking and the appropriate process for future 
changes will apply. If a plant-specific departure is made from Tier 2* 
information, then the new designation will apply only to that plant. If 
an applicant who references this design certification makes a departure 
from Tier 2* information, the new information will be subject to 
litigation in the same manner as other plant-specific issues in the 
licensing hearing. If a licensee makes a departure from Tier 2* 
information, it will be treated as a license amendment under 10 CFR 
50.90 and the finality will be determined under paragraph VI.B.5. Any 
requests for departures from Tier 2* information that affects Tier 1 
must also comply with the requirements in paragraph VIII.A.
Operational Requirements
    The change process for technical specifications and other 
operational requirements in the design control document is set forth in 
Section VIII, paragraph C. The key to using the change processes 
described in Section VIII is to determine if the proposed change or 
departure would require a change to a design feature described in the 
generic DCD. If a design change is required, then the appropriate 
change process in paragraph VIII.A or VIII.B would apply. However, if a 
proposed change to the technical specifications or other operational 
requirements does not require a change to a design feature in the 
generic DCD, then paragraph VIII.C would apply. This change process has 
elements similar to the Tier 1 and Tier 2 change processes in 
paragraphs A and B, but with significantly different change standards. 
Because of the different finality status for technical specifications 
and other operational requirements, the NRC designated a special 
category of information, consisting of the technical specifications and 
other operational requirements, with its own change process in 
paragraph VIII.C. The language in paragraph VIII.C also distinguishes 
between generic (Chapter 16 of the DCD) and plant-specific technical 
specifications to account for the different treatment and finality 
consistent with technical specifications before and after a license is 
issued.
    The process in paragraph VIII.C.1 for making generic changes to the 
generic technical specifications in Chapter 16 of the DCD or other 
operational requirements in the generic DCD is accomplished by 
rulemaking and governed by the backfit standards in Sec.  50.109. The 
determination of whether the generic technical specifications and other 
operational requirements were completely reviewed and approved in this 
DC rule is based upon the extent to which the NRC reached a safety 
conclusion in the final safety evaluation report on this matter. If a 
technical specification or operational requirement was completely 
reviewed and finalized in the design certification rulemaking, then the 
requirement of Sec.  50.109 would apply because a position was taken on 
that safety matter. Generic changes made under paragraph VIII.C.1 would 
be applicable to all applicants or licensees referencing this DC rule 
as described in paragraph VIII.C.2, unless the change is made 
technically irrelevant by a plant-specific departure or an exemption is 
requested.
    Some generic technical specifications contain values in brackets [ 
]. The brackets are placeholders indicating that the NRC has not 
reviewed these values and represent a requirement that the applicant 
for a COL referencing the U.S. ABWR DC renewal rule must replace the 
values in brackets with final plant-specific values (refer to guidance 
provided in Regulatory Guide 1.206, Revision 1, ``Applications for 
Nuclear Power Plants''). The NRC will review the final plant-specific 
values when provided as part of a COL application referencing this 
design. The values in brackets are neither part of the DC rule nor are 
they binding. Therefore, the replacement of bracketed values with final 
plant-specific values does not require an exemption from the generic 
technical specifications.
    Plant-specific departures may occur by either an order under 
paragraph VIII.C.3 or an applicant's exemption request under paragraph 
VIII.C.4. The basis for determining if the technical specification or 
operational requirement was completely reviewed and approved for these 
processes would be the same as for paragraph VIII.C.1 previously 
discussed. If the technical specification or operational requirement is 
completely reviewed and finalized in the design certification 
rulemaking, then the NRC must demonstrate that special circumstances 
are present before ordering a plant-specific departure. If not, there 
would be no restriction on plant-specific changes to the technical 
specifications or operational requirements, prior to the issuance of a 
license, provided a design change is not required. Although the generic 
technical specifications were reviewed and approved by the NRC in 
support of the design certification review, the NRC intends to consider 
the lessons learned from subsequent operating experience during its 
licensing review of the plant-specific technical specifications. The 
process for petitioning to intervene on a technical specification or 
operational requirement contained in paragraph VIII.C.5 is similar to 
other issues in a licensing hearing, except that the petitioner must 
also demonstrate why special circumstances are present pursuant to 
Sec.  2.335, ``Consideration of Commission rules and regulations in 
adjudicatory proceedings.''

[[Page 34914]]

    Paragraph VIII.C.6 states that the generic technical specifications 
would have no further effect on the plant-specific technical 
specifications after the issuance of a license that references this 
appendix. After a license is issued, the bases for the plant-specific 
technical specifications would be controlled by the bases change 
provision set forth in the administrative controls section of the 
plant-specific technical specifications.

I. [RESERVED] (Section IX)

    This section is reserved for future use. The matters discussed in 
this section of earlier design certification rules--inspections, tests, 
analyses, and acceptance criteria-are now addressed in the substantive 
provisions of 10 CFR part 52. Accordingly, there is no need to repeat 
these regulatory provisions in the U.S. ABWR DC renewal rule. However, 
this section is being reserved to maintain consistent section numbering 
with other design certification rules.

J. Records and Reporting (Section X)

    The purpose of Section X of appendix A to 10 CFR part 52 is to set 
forth the requirements that will apply to maintaining records of 
changes to and departures from the generic DCD, which are to be 
reflected in the plant-specific DCD. Section X also sets forth the 
requirements for submitting reports (including updates to the plant-
specific DCD) to the NRC. This section of appendix A to 10 CFR part 52 
is similar to the requirements for records and reports in 10 CFR part 
50, except for minor differences in information collection and 
reporting requirements.
    Paragraph X.A.1 requires that a generic design control document 
including SUNSI and SGI referenced in the generic design control 
document be maintained by the applicant for this rule. The generic DCD 
concept was developed, in part, to meet the requirements for 
incorporation by reference, including public availability of documents 
incorporated by reference. However, the SUNSI and SGI could not be 
included in the generic design control document because they are not 
publicly available. Nonetheless, the SUNSI and SGI were reviewed by the 
NRC and, as stated in paragraph VI.B.2, the NRC would consider the 
information to be resolved within the meaning of Sec.  52.63(a)(5). 
Because this information is not in the generic DCD, this information, 
or its equivalent, is required to be provided by an applicant for a 
license referencing this U.S. ABWR DC renewal rule. Only the generic 
DCD is identified and incorporated by reference into this rule. The 
generic design control document and the NRC-approved version of the 
SUNSI and SGI must be maintained by the applicant (GEH) for the period 
of time that appendix A to 10 CFR part 52 may be referenced.
    Paragraphs X.A.2 and X.A.3 place recordkeeping requirements on an 
applicant or licensee that references this design certification so that 
its plant-specific DCD accurately reflects both generic changes to the 
generic DCD and plant-specific departures made under Section VIII. The 
term ``plant-specific'' is used in paragraph X.A.2 and other sections 
of appendix A to 10 CFR part 52 to distinguish between the generic DCD 
that is being incorporated by reference into appendix A to 10 CFR part 
52, and the plant-specific DCD that the COL applicant is required to 
submit under paragraph IV.A. The requirement to maintain changes to the 
generic DCD is explicitly stated to ensure that these changes are not 
only reflected in the generic design control document, which will be 
maintained by the applicant for the design certification, but also in 
the plant-specific DCD. Therefore, records of generic changes to the 
design control document will be required to be maintained by both 
entities to ensure that both entities have up-to-date design control 
documents.
    Paragraph X.A.4.a requires the U.S. ABWR DC rule applicant to 
maintain a copy of the aircraft impact assessment analysis for the term 
of the certification and any renewal. This provision, which is 
consistent with Sec.  50.150(c)(3), would facilitate any NRC 
inspections of the assessment that the NRC decides to conduct. 
Similarly, paragraph X.A.4.b requires an applicant or licensee who 
references appendix A to 10 CFR part 52 to maintain a copy of the 
aircraft impact assessment performed to comply with the requirements of 
Sec.  50.150(a) throughout the pendency of the application and for the 
term of the license and any renewal. This provision is consistent with 
Sec.  50.150(c)(4). For all applicants and licensees, the supporting 
documentation retained should describe the methodology used in 
performing the assessment, including the identification of potential 
design features and functional capabilities to show that the acceptance 
criteria in Sec.  50.150(a)(1) will be met.
    Paragraph X.A does not place recordkeeping requirements on site-
specific information that is outside the scope of this rule. As 
discussed in paragraph IV.B of this document, the final safety analysis 
report required by Sec.  52.79 will contain the plant specific DCD and 
the site-specific information for a facility that references this rule. 
The phrase ``site-specific portion of the final safety analysis 
report'' in paragraph X.B.3.c refers to the information that is 
contained in the final safety analysis report for a facility (required 
by Sec.  52.79) but is not part of the plant-specific DCD (required by 
paragraph IV.A). Therefore, this rule does not require that duplicate 
documentation be maintained by an applicant or licensee that references 
this rule because the plant-specific DCD is part of the final safety 
analysis report for the facility.
    Paragraph X.B.1 requires applicants or licensees that reference 
this rule to submit reports that describe departures from the design 
control document and include a summary of the written evaluations. The 
requirement for the written evaluations is set forth in paragraph 
X.A.3. The frequency of the report submittals is set forth in paragraph 
X.B.3. The requirement for submitting a summary of the evaluations is 
similar to the requirement in Sec.  50.59(d)(2).
    Paragraph X.B.2 requires applicants or licensees that reference 
this rule to submit updates to the design control document, which 
include both generic changes and plant-specific departures, as set 
forth in paragraph X.B.3. The requirements in paragraph X.B.3 for 
submitting reports will vary according to certain time periods during a 
facility's lifetime. If a potential applicant for a COL that references 
this rule decides to depart from the generic DCD prior to submission of 
the application, then paragraph X.B.3.a will require that the updated 
design control document be submitted as part of the initial application 
for a license. Under paragraph X.B.3.b, the applicant may submit any 
subsequent updates to its plant-specific DCD along with its amendments 
to the application provided that the submittals are made at least once 
per year.
    Paragraph X.B.3.b also requires semi-annual submission of the 
reports required by paragraph X.B.1 and X.B.2 throughout the period of 
application review and construction. The NRC will use the information 
in the reports to support planning for the NRC's inspection and 
oversight during this phase, when the licensee is conducting detailed 
design, procurement of components and equipment, construction, and 
preoperational testing. In addition, the NRC will use the information 
in making its finding on ITAAC under Sec.  52.103(g), as well as any 
finding on interim operation under Section 189.a(1)(B)(iii) of the 
Atomic Energy Act of 1954, as amended. Once a facility begins operation 
(for a COL

[[Page 34915]]

under 10 CFR part 52, after the Commission has made a finding under 
Sec.  52.103(g)), the frequency of reporting will be governed by the 
requirements in paragraph X.B.3.c.

V. ABWR Final Design Approval

    On July 13, 1994, the NRC issued a final design approval for the 
U.S. ABWR design under appendix O to 10 CFR part 52, ``Standardization 
of design: staff review of standard designs''; the approval was 
published in the Federal Register on July 20, 1994 (59 FR 37058). The 
final design approval was scheduled to expire on July 13, 1999. On 
November 23, 1994, the NRC issued a revised final design approval under 
appendix O to 10 CFR part 52, which expired on July 13, 2009. On 
December 1, 1994, the NRC published the revised final design approval 
for U.S. ABWR standard design (59 FR 61647). On August 28, 2007, the 
NRC replaced appendix O of 10 CFR part 52 with Subpart E of 10 CFR part 
52, ``Standard design approvals,'' thereby replacing a final design 
approval with a standard design approval (72 FR 49351). As discussed in 
the statements of consideration for the 2007 rulemaking, a renewal 
process was not specifically provided for either a final design 
approval or standard design approval. The issued final design approval 
has expired, a renewal was neither requested nor available, nor is 
there a standard design approval being sought concurrent with this U.S. 
ABWR DC renewal rule. Therefore, the U.S. ABWR design does not have a 
current final design approval or standard design approval.

VI. Section-by-Section Analysis

    The following paragraphs describe the specific changes in this 
direct final rule:

Appendix A to Part 52--Design Certification Rule for the U.S. Advanced 
Boiling Water Reactor

    This direct final rule amends appendix A to 10 CFR part 52 to 
incorporate the renewed U.S. ABWR standard design into the NRC's 
regulations. Applicants or licensees intending to construct and operate 
a plant using the U.S. ABWR design may do so by referencing the DC 
rule.

VII. Regulatory Flexibility Certification

    Under the Regulatory Flexibility Act (5 U.S.C. 605(b)), the NRC 
certifies that this direct final rule does not have a significant 
economic impact on a substantial number of small entities. This direct 
final rule affects only the licensing and operation of nuclear power 
plants. The companies that own these plants do not fall within the 
scope of the definition of ``small entities'' set forth in the 
Regulatory Flexibility Act or the size standards established by the NRC 
(10 CFR 2.810).

VIII. Regulatory Analysis

    The NRC has not prepared a regulatory analysis for this direct 
final rule. The NRC prepares regulatory analyses for rulemakings that 
establish generic regulatory requirements applicable to all licensees. 
Design certifications are not generic rulemakings in the sense that 
design certifications do not establish standards or requirements with 
which all licensees must comply. Rather, design certifications are NRC 
approvals of specific nuclear power plant designs by rulemaking, which 
then may be voluntarily referenced by applicants for combined licenses 
or construction permits. Furthermore, an applicant for a design 
certification, rather than the NRC, initiates design certification 
rulemakings. Preparation of a regulatory analysis in this circumstance 
would not be useful because the design to be certified is proposed by 
the applicant, rather than the NRC. For these reasons, the NRC 
concludes that preparation of a regulatory analysis is neither required 
nor appropriate.

IX. Backfitting and Issue Finality

    The NRC has determined that this direct final rule does not 
constitute a backfit as defined in the backfit rule (Sec.  50.109), and 
it is not inconsistent with any applicable issue finality provision in 
10 CFR part 52.
    This U.S. ABWR DC renewal rule does not constitute backfitting as 
defined in the backfit rule (Sec.  50.109) because there are no 
existing operating licenses under 10 CFR part 50, or COLs or 
manufacturing licenses under 10 CFR part 52 referencing this DC rule 
and because no current final design approval or standard design 
approval exists for the U.S. ABWR.
    This U.S. ABWR DC renewal rule is not inconsistent with any 
applicable issue finality provision in 10 CFR part 52 because it does 
not impose new or changed requirements on existing DC rules in 
appendices B through F to 10 CFR part 52 and there are no COLs or 
manufacturing licenses issued by the NRC that reference the original 
U.S. ABWR DC rule. Conforming changes appear in appendix A to 10 CFR 
part 52 to reflect the renewed standard design in place of the original 
U.S. ABWR DC; however, these changes do not impose any additional 
requirements.
    For these reasons, neither a backfit analysis nor a discussion 
addressing the issue finality provisions in 10 CFR part 52 was prepared 
for this rule.

X. Voluntary Consensus Standards

    The National Technology Transfer and Advancement Act of 1995, 
Public Law 104-113, requires that Federal agencies use technical 
standards that are developed or adopted by voluntary consensus 
standards bodies unless the use of such a standard is inconsistent with 
applicable law or otherwise impractical. In this direct final rule, the 
NRC certifies the renewal for the U.S. ABWR standard design for use in 
nuclear power plant licensing under 10 CFR part 50 or 52. Design 
certifications are not generic rulemakings establishing a generally 
applicable standard with which all 10 CFR parts 50 and 52 nuclear power 
plant licensees must comply. Design certifications are Commission 
approvals of specific nuclear power plant designs by rulemaking. 
Furthermore, design certifications are initiated by an applicant for 
rulemaking, rather than by the NRC. This action does not constitute the 
establishment of a standard that contains generally applicable 
requirements.

XI. Plain Writing

    The Plain Writing Act of 2010 (Pub. L. 111-274) requires Federal 
agencies to write documents in a clear, concise, and well-organized 
manner that also follows other best practices appropriate to the 
subject or field and the intended audience. The NRC has written this 
document to be consistent with the Plain Writing Act as well as the 
Presidential Memorandum, ``Plain Language in Government Writing,'' 
published June 10, 1998 (63 FR 31883).

XII. Environmental Assessment and Final Finding of No Significant 
Impact

    The NRC has determined under the National Environmental Policy Act 
of 1969, as amended (NEPA), and the NRC's regulations in subpart A of 
10 CFR part 51, that this direct final rule, if confirmed, would not be 
a major Federal action significantly affecting the quality of the human 
environment and, therefore, an environmental impact statement is not 
required. The NRC's generic determination in this regard, reflected in 
Sec.  51.32(b)(1), is based upon the following considerations. A DC 
rule does not authorize the siting, construction, or operation of a 
facility referencing any particular design, but only codifies a 
standard design certification in a rule (the U.S. ABWR DC renewal in 
this case). The NRC will evaluate the environmental impacts and issue 
an environmental impact

[[Page 34916]]

statement as appropriate under NEPA as part of the application for the 
construction and operation of a facility referencing any particular DC 
rule.
    However, consistent with Sec.  51.30(d) and Sec.  51.31(b), the NRC 
has prepared an environmental assessment, ``Environmental Assessment by 
the U.S. Nuclear Regulatory Commission Relating to Renewal of the 
Certification of the ABWR Standard Design,'' for the U.S. ABWR design 
renewal addressing various design alternatives to prevent and mitigate 
severe accidents. The environmental assessment is based, in part, upon 
the NRC's review of GEH's supplemental evaluation of various severe 
accident mitigation design alternatives to prevent and mitigate severe 
accidents required in ``Amendment to Technical Support Document for the 
ABWR,'' which updates information in the original ``Technical Support 
Document for the ABWR.'' Based upon review of GEH's evaluation, the 
Commission concludes that (1) GEH identified a reasonably complete set 
of potential design alternatives to prevent and mitigate severe 
accidents for the U.S. ABWR design renewal; (2) none of the potential 
design alternatives are justified on the basis of cost-benefit 
considerations; and (3) it is unlikely that other design changes would 
be identified and justified during the term of the design certification 
on the basis of cost-benefit considerations because the estimated core 
damage frequencies for the U.S. ABWR are very low on an absolute scale. 
These issues are considered resolved for the U.S. ABWR design. Based on 
its own independent evaluation, the NRC reached the same conclusion as 
GEH that none of the possible candidate design alternatives are 
potentially cost beneficial for the U.S. ABWR design. This independent 
evaluation was based on reasonable treatment of costs, benefits, and 
sensitivities. The NRC concludes that GEH has adequately identified 
areas where risk potentially could be reduced in a cost-beneficial 
manner and adequately assessed whether the implementation of the 
identified potential severe accident mitigation design alternatives or 
candidate design alternatives would be cost beneficial for the given 
evaluation criteria as provided in the U.S. ABWR DC renewal 
environmental assessment.
    The finality of all environmental issues concerning severe accident 
mitigation design alternatives in the current U.S. ABWR design 
certification rule relied on site parameters being within those 
specified in the technical support document for the original U.S. ABWR, 
dated December 1994 as amended November 30, 2010. However, in an Atomic 
Safety and Licensing Board memorandum and order in the South Texas 
Project Electric Generating Station Units 3 and 4 Combined License 
proceeding (LBP-11-07), the board determined that no list of site 
parameters was specified in the U.S. ABWR technical support document. 
Therefore, the NRC staff re-evaluated the criteria for determining 
whether finality for severe accident mitigation design alternatives 
should apply in a future U.S. ABWR licensing action. To this end, the 
NRC staff selected the criteria for finality as the averted risk 
person-rem value for each severe accident mitigation design alternative 
provided in Table 5 of the original technical support document. 
Although finality criteria for the severe accident mitigation design 
alternative for this DC renewal action cannot be based on site 
parameters, the selected criteria, if met, provide assurance that a 
severe accident mitigation design alternative would still not be cost 
beneficial at a proposed site for the U.S. ABWR design. Therefore, the 
NRC finds that the evaluation performed by GEH is reasonable and 
sufficient.
    The environmental assessment is available as indicated in Section 
XVI, ``Availability of Documents.''

XIII. Paperwork Reduction Act Statement

    This final rule does not contain any new or amended collections of 
information subject to the Paperwork Reduction Act of 1995 (44 U.S.C. 
3501 et seq.). Existing collections of information were approved by the 
Office of Management and Budget, control number 3150-0151.

Public Protection Notification

    The NRC may not conduct or sponsor, and a person is not required to 
respond to, a collection of information unless the document requesting 
or requiring the collection displays a currently valid OMB control 
number.

XIV. Congressional Review Act

    This final rule is a rule as defined in the Congressional Review 
Act (5 U.S.C. 801-808). However, the Office of Management and Budget 
has not found it to be a major rule as defined in the Congressional 
Review Act.

XV. Agreement State Compatibility

    Under the ``Policy Statement on Adequacy and Compatibility of 
Agreement States Programs,'' approved by the Commission on June 20, 
1997, and published in the Federal Register (62 FR 46517; September 3, 
1997), this rule is classified as compatibility ``NRC.'' Compatibility 
is not required for Category ``NRC'' regulations. The NRC program 
elements in this category are those that relate directly to areas of 
regulation reserved to the NRC by the Atomic Energy Act or the 
provisions of 10 CFR, and although an Agreement State may not adopt 
program elements reserved to the NRC, it may wish to inform its 
licensees of certain requirements by a mechanism that is consistent 
with a particular State's administrative procedure laws, but does not 
confer regulatory authority on the State.

XVI. Availability of Documents

    The documents identified in the following table are available to 
interested persons through one or more of the following methods, as 
indicated.

    Documents Related to U.S. ABWR Design Certification Renewal Rule
------------------------------------------------------------------------
                                                   ADAMS Accession No./
                    Document                         Federal Register
                                                         citation
------------------------------------------------------------------------
SECY-20-0112, ``Direct Final Rule-Advanced        ML20170A520
 Boiling Water Reactor Design Certification
 Renewal (RIN 3150-AK04; NRC-2017-0090),''
 December 9, 2020.
GE-Hitachi ABWR Design Control Document Tier 1 &  ML20093K254
 2, Revision 7, October 2019 (includes
 correction noted, as of March 2020).
GE-Hitachi Nuclear Energy, Transmittal of ABWR    ML110040176
 Standard Plant Design Certification Renewal
 Application Design Control Document, Revision
 5, Tier 1 and Tier 2, December 7, 2010.
GE-Hitachi ABWR Design Control Document Tier 1 &  ML110040323
 2, Revision 5, December 7, 2010.
Technical Report NEDO-33875, ABWR U.S. Certified  ML17059C523
 Design--Aircraft Impact Assessment, Licensing
 Basis Information and Design Details for Key
 Design Features, Rev. 3 (M170049), February
 2017.

[[Page 34917]]

 
Licensing Technical Report NEDO-33878, ABWR ECCS  ML18092A306
 Suction Strainer Evaluation of Long-Term
 Recirculation Capability, Rev. 3 (M180068),
 March 2018.
------------------------------------------------------------------------
             Final Safety Evaluation Report and Supplements
------------------------------------------------------------------------
NUREG-1503, Supplement 2, ``Final Safety          ML20301A886
 Evaluation Report Related to the Certification
 of the Advanced Boiling Water Reactor Design,''
 October 2020.
NUREG-1503, Supplement 1, ``Final Safety          ML080710134
 Evaluation Report Related to the Certification
 of the Advanced Boiling Water Reactor Design,''
 May 1997.
NUREG-1503, Vols. 1-2, ``Final Safety Evaluation  ML080670592
 Report Related to the Certification of the
 Advanced Boiling Water Reactor Design,'' July
 1994.
------------------------------------------------------------------------
                          Environmental Review
------------------------------------------------------------------------
Environmental Assessment by the U.S. Nuclear      ML21147A381
 Regulatory Commission Relating to Renewal of
 the Certification of the ABWR Standard Design,
 June 2021.
Staff Technical Analysis in Support of the        ML20024D602
 Advanced Boiling Water Reactor Design
 Certification Renewal Environmental Assessment.
MFN 16-062, ``Applicant's Supplemental            ML16235A415
 Environmental Report--Amendment to Standard
 Design Certification (ABWR Renewal Docket 52-
 045),'' August 2016.
25A5680AA, ``Amendment to Technical Support       ML110040178
 Document for the ABWR,'' Sheet 1, November 30,
 2010 (Renewal Application).
SECY-97-077, ``Certification of Two Evolutionary  ML003708129
 Designs,'' April 15, 1996 (Original ABWR
 Environmental Assessment).
Letter from GE Nuclear Energy Submitting the      ML100210563
 Enclosed ``Technical Support Document for the
 ABWR,'' December 21, 1994 (Original NEPA/SAMDA
 Submittal).
------------------------------------------------------------------------
     Commission Papers, Original Design Certification, Interim Rule
               Amendments, and Other Supporting Documents
------------------------------------------------------------------------
SECY-19-0066, ``Staff Review of NuScale Power's   ML19148A443
 Mitigation Strategy for Beyond-Design-Basis
 External Events,'' June 26, 2019.
SECY-12-0025, ``Proposed Orders and Requests for  ML12039A111
 Information in Response to Lessons Learned from
 Japan's March 11, 2011, Great Tohoku Earthquake
 and Tsunami,'' February 17, 2012.
SECY-11-0093, ``Near-Term Report and              ML11186A950
 Recommendations for Agency Actions Following
 the Events in Japan,'' July 12, 2011.
The Near-Term Task Force Review of Insights from  ML111861807
 the Fukushima Dai-Ichi Accident, July 12, 2011.
Staff Requirements Memorandum on SECY-90-377,     ML003707892
 ``Requirements for Design Certification Under
 10 CFR Part 52,'' February 15, 1991.
SECY-90-377, ``Requirements for Design            ML003707889
 Certification under 10 CFR Part 52,'' November
 8, 1990.
NUREG[dash]1948, ``Final Safety Evaluation        ML11182A163
 Report Related to the Aircraft Impact Amendment
 to the U.S. Advanced Boiling Water Reactor
 (ABWR) Design Certification,'' June 2011.
U.S. Advanced Boiling Water Reactor Aircraft      76 FR 78096
 Impact Design Certification Amendment, December
 16, 2011.
LBP-11-07, Atomic Safety and Licensing Board      ML110591049
 Memorandum and Order in the South Texas Project
 Electric Generating Station Units 3 and 4
 Combined License Proceeding, February 28, 2011.
GE Hitachi Nuclear Energy; Acceptance for         76 FR 9612
 Docketing of an Application for Renewal of the
 U.S. Advanced Boiling Water Reactor Design
 Certification, February 18, 2011 (Acceptance
 Application).
GE Hitachi Nuclear Energy; Notice of Receipt and  76 FR 4948
 Availability of an Application for Renewal of
 the U.S. Advanced Boiling Water Reactor Design
 Certification, January 27, 2011 (Notice of
 Receipt of the Application).
ABWR-LIC-09-621, Revision 0, ``Applicant's        ML093170455
 Supplemental Environmental Report-Amendment to
 ABWR Standard Design Certification,'' November
 2009.
Consideration of Aircraft Impacts for New         74 FR 28111
 Nuclear Power Reactors, June 12, 2009.
Licenses, Certifications, and Approvals for       72 FR 49351
 Nuclear Power Plants, August 28, 2007 (Revision
 of 10 CFR Parts 50 and 52).
Presidential Memorandum, ``Plain Language in      63 FR 31883
 Government Writing,'' June 10, 1998.
Policy Statement on Adequacy and Compatibility    62 FR 46517
 of Agreement States Programs, September 3, 1997.
Standard Design Certification for the U.S.        62 FR 25800
 Advanced Boiling Water Reactor Design, May 12,
 1997 (Original U.S. ABWR Design Certification).
GE-Hitachi Nuclear Energy, Transmittal of ABWR    ML20076D961
 Standard Plant Design Certification Renewal
 Application Design Control Document Revision 7,
 Chapter 5, March 16, 2020.
GE-Hitachi Nuclear Energy--ABWR Standard Plant    ML20007E274
 Design Certification Renewal Application Design
 Control Document Revision 7, Tier 1 and Tier 2,
 December 20, 2019.
GE-Hitachi Nuclear Energy, Submittal of ABWR      ML16081A268
 Standard Plant Design Certification Renewal
 Application Design Control, Document, Revision
 6, Tier 1 and Tier 2, February 19, 2016.
GE-Hitachi Nuclear Energy--ABWR Standard Plant    ML16214A015
 Design Certification Renewal Application Design
 Control Document Revision 6, Tier 1 and Tier 2,
 February 19, 2016.
Mitigation of Beyond-Design-Basis Events          ML15266A133
 (MBDBE)--Regulatory Analysis--Proposed Rule
 Post-SRM, October 2015.
Letter from Nuclear Innovation North America      ML18179A217
 LLC, South Texas Project Units 3 and 4
 Termination of Combined Licenses NPF-97 and NPF-
 98, July 12, 2018.
South Texas Project, Units 3 and 4, Request for   ML18184A338
 Withdrawal of Combined Licenses, June 22, 2018.
Withdrawal of Toshiba Advanced Boiling Water      ML16173A310
 Reactor Design Certification Rule Renewal
 Application, June 9, 2016.

[[Page 34918]]

 
GE-Hitachi Nuclear Energy--U.S. Advanced Boiling  ML12125A385
 Water Design Certification Renewal Application,
 July 20, 2012.
Reactor Regulatory History on Design              ML003761550
 Certification Rules, April 26, 2000 \5\.
Notice of Issuance of Revised Final Design        59 FR 61647
 Approval for U.S. ABWR Standard Design,
 December 1, 1994.
Letter to GE Nuclear Energy Transmitting the      ML20077A747
 Revised Final Design Approval for [the] U.S.
 ABWR Standard Design, November 23, 1994.
Issuance of Final Design Approval Pursuant to 10  59 FR 37058
 CFR Part 52, Appendix O; U.S. Advanced Boiling
 Water Reactor Design; GE Nuclear Energy, July
 20, 1994.
Final Design Approval FDA-0 for GE Nuclear        ML20070L506
 Energy U.S. ABWR Standard Design, July 13, 1994
 (Docket No. 52-001).
GE Nuclear Energy; Receipt of Application for     57 FR 9749
 Design Certification, March 20, 1992 (Initial
 Application).
------------------------------------------------------------------------

    The NRC may post materials related to this document, including 
public comments, on the Federal Rulemaking website at https://www.regulations.gov under Docket ID NRC-2017-0090.
---------------------------------------------------------------------------

    \5\ The regulatory history of the NRC's design certification 
reviews is a package of documents that is available in the NRC's PDR 
and NRC Library: Reactor Regulatory History on Design Certification 
Rules, April 26, 2000. This history spans the period during which 
the NRC simultaneously developed the regulatory standards for 
reviewing these designs and the form and content of the rules that 
certified the designs. This document predates this rulemaking and 
therefore does not contain a regulatory history for this rulemaking.
---------------------------------------------------------------------------

XVII. Procedures for Access to Proprietary and Safeguards Information 
for Preparation of Comments on the U.S. ABWR Design Certification 
Renewal Rule

    This section contains instructions regarding how the non-publicly 
available documents related to this final rule, and specifically those 
listed in Tables 1.6-1 and 1.6-2 beginning on page 1.6-2 of Tier 2 of 
the DCD, may be accessed by interested persons who wish to comment on 
the design certification. These documents contain proprietary 
information and SGI. Requirements for access to SGI are primarily set 
forth in 10 CFR parts 2 and 73. This section provides information 
specific to this final rule; however, nothing in this section is 
intended to conflict with the SGI regulations.
    Interested persons who desire access to proprietary information on 
the U.S. ABWR design should first request access to that information 
from GEH, the design certification applicant. A request for access 
should be submitted to the NRC if the applicant does not either grant 
or deny access by the 10-day deadline described in the following 
section.
Submitting a Request to the NRC for Access
    Within 10 days after publication of this direct final rule, any 
individual or entity who believes access to proprietary information or 
SGI is necessary in order to submit comments on this U.S. ABWR DC 
renewal rule may request access to such information. Requests for 
access to proprietary information or SGI submitted more than 10 days 
after publication of this document will not be considered absent a 
showing of good cause for the late filing explaining why the request 
could not have been filed earlier.
    The requestor shall submit a letter requesting permission to access 
proprietary information and/or SGI to the Office of the Secretary, U.S. 
Nuclear Regulatory Commission, Attention: Rulemakings and Adjudications 
Staff, Washington, DC 20555-0001. The expedited delivery or courier 
mail address is: Office of the Secretary, U.S. Nuclear Regulatory 
Commission, Attention: Rulemakings and Adjudications Staff, 11555 
Rockville Pike, Rockville, Maryland 20852. The email address for the 
Office of the Secretary is [email protected]. The requester 
must send a copy of the request to the DC applicant at the same time as 
the original transmission to the NRC using the same method of 
transmission. Requests to the applicant must be sent to Michelle Catts, 
Senior Vice President, Regulatory Affairs, General Electric-Hitachi 
Nuclear Energy Americas, LLC, 3901 Castle Hayne Road, P.O. Box 780, M/C 
A10, Wilmington, NC 28402.
    The request must include the following information:
    1. The name of this design certification, U.S. ABWR design 
certification; the rulemaking identification number, RIN 3150-AK04; the 
rulemaking docket number, NRC-2017-0090; and the Federal Register 
citation for this rule.
    2. The name, address, and email or FAX number of the requester.
    3. If the requester is an entity, the name of the individual(s) to 
whom access is to be provided, including the identity of any expert, 
consultant, or assistant who will aid the requestor in evaluating the 
information.
    4. If the request is for proprietary information, the requester's 
need for the information in order to prepare meaningful comments on the 
design certification must be demonstrated. Each of the following areas 
must be addressed with specificity:
    a. The specific issue or subject matter on which the requester 
wishes to comment;
    b. An explanation why information that is publicly available is 
insufficient to provide the basis for developing meaningful comment on 
the U.S. ABWR DC renewal rule with respect to the issue or subject 
matter described in paragraph 4.a. of this section; and
    c. The technical competence (demonstrable knowledge, skill, 
training or education) of the requestor to effectively utilize the 
requested proprietary information to provide the basis for meaningful 
comment. Technical competence may be shown by reliance on a qualified 
expert, consultant, or assistant who satisfies these criteria.
    d. A chronology and discussion of the requester's attempts to 
obtain the information from the design certification applicant, and the 
final communication from the requester to the applicant and the 
applicant's response, if any was provided, with respect to the request 
for access to proprietary information must be submitted.
    5. If the request is for SGI, the request must include the 
following:
    a. A statement that explains each individual's ``need to know'' the 
SGI, as required by Sec. Sec.  73.2 and 73.22(b)(1). Consistent with 
the definition of ``need to know'' as stated in Sec.  73.2, 
``Definitions,'' the statement must explain:
    i. The specific issue or subject matter on which the requester 
wishes to comment;
    ii. An explanation of why publicly available information is 
insufficient to

[[Page 34919]]

provide the basis for developing meaningful comment on the design 
certification with respect to the issue or subject matter described in 
paragraph 5.a.i. of this section and why the SGI requested is 
indispensable in order to develop meaningful comments; \6\ and
---------------------------------------------------------------------------

    \6\ Broad SGI requests under these procedures are unlikely to 
meet the standard for need to know. Furthermore, NRC staff redaction 
of information from requested documents before their release may be 
appropriate to comport with this requirement. The procedures in this 
document do not authorize unrestricted disclosure or less scrutiny 
of a requester's need to know than ordinarily would be applied in 
connection with either adjudicatory or non-adjudicatory access to 
SGI.
---------------------------------------------------------------------------

    iii. The technical competence (demonstrable knowledge, skill, 
training, or education) of the requestor to effectively utilize the 
requested SGI to provide the basis and specificity for meaningful 
comment. Technical competence may be shown by reliance on a qualified 
expert, consultant, or assistant who satisfies these criteria.
    b. A completed Form SF-85, ``Questionnaire for Non-Sensitive 
Positions,'' for each individual who would have access to SGI. The 
completed Form SF-85 will be used by the Office of Administration to 
conduct the background check required for access to SGI, as required by 
10 CFR part 2, subpart C, and Sec.  73.22(b)(2), to determine the 
requestor's trustworthiness and reliability. For security reasons, Form 
SF-85 can only be submitted electronically through the electronic 
questionnaire for investigations processing (e-QIP) website, a secure 
website that is owned and operated by the Defense Counterintelligence 
and Security Agency (DCSA). To obtain online access to the form, the 
requestor should contact the NRC's Office of Administration at 301-415-
3710.\7\
---------------------------------------------------------------------------

    \7\ The requester will be asked to provide his or her full name, 
Social Security Number, date and place of birth, telephone number, 
and email address.
---------------------------------------------------------------------------

    c. A completed Form FD-258 (fingerprint card), signed in original 
ink, and submitted in accordance with Sec.  73.57(d). Copies of Form 
FD-258 will be provided in the background check request package 
supplied by the Office of Administration for each individual for whom a 
background check is being requested. Copies of Form FD-258 may be 
obtained by sending an email to [email protected] or by sending 
a written request to U.S. Nuclear Regulatory Commission, Attn: 
Mailroom/Fingerprint Card Request, 11555 Rockville Pike, Rockville, MD 
20852. The fingerprint card will be used to satisfy the requirements of 
10 CFR part 2, subpart C, Sec.  73.22(b)(1), and Section 149 of the 
Atomic Energy Act of 1954, as amended, which mandates that all persons 
with access to SGI must be fingerprinted for an FBI identification and 
criminal history records check.
    d. A check or money order in the amount of $326.00 \8\ payable to 
the U.S. Nuclear Regulatory Commission for each individual for whom the 
request for access has been submitted; and
---------------------------------------------------------------------------

    \8\ This fee is subject to change pursuant to the Defense 
Counter Intelligence and Security Agency's (DCSA) adjustable billing 
rates.
---------------------------------------------------------------------------

    e. If the requester or any individual who will have access to SGI 
believes they belong to one or more of the categories of individuals 
relieved from the criminal history records check and background check 
requirements, as stated in Sec.  73.59, the requester should also 
provide a statement specifically stating which relief the requester is 
invoking, and explaining the requester's basis (including supporting 
documentation) for believing that the relief is applicable. While 
processing the request, the NRC's Office of Administration, Personnel 
Security Branch, will make a final determination whether the stated 
relief applies. Alternatively, the requester may contact the Office of 
Administration for an evaluation of his or her status prior to 
submitting the request. Persons who are not subject to the background 
check are not required to complete the SF-85 or Form FD-258; however, 
all other requirements for access to SGI, including the need to know, 
are still applicable.
    Copies of documents and materials required by paragraphs 5.d.-g., 
as applicable, of this section must be sent to the following address: 
Office of Administration, U.S. Nuclear Regulatory Commission, Personnel 
Security Branch, Mail Stop TWFN-07D04M, 11555 Rockville Pike, 
Rockville, MD 20852. These documents and materials should not be 
included with the request letter to the Office of the Secretary, but 
the request letter should state that the forms and fees have been 
submitted as required.
    To avoid delays in processing requests for access to SGI, all forms 
should be reviewed for completeness and accuracy (including legibility) 
before submitting them to the NRC. The NRC will return incomplete or 
illegible packages to the sender without processing.
    Based on an evaluation of the information submitted under 
paragraphs 4.a.-4.d. or 5.a.-g. of this section, as applicable, the NRC 
staff will determine within 10 days of receipt of the written access 
request whether the requester has established a legitimate need for 
access to proprietary information or need to know the SGI requested.
Determination of Legitimate Need for Access
    For proprietary information access requests, if the NRC determines 
that the requester has established a legitimate need for access to 
proprietary information, the NRC will notify the requester in writing 
that access to proprietary information has been granted. The NRC must 
first notify the DC applicant of the NRC's determination to grant 
access to the requester not less than 10 days before informing the 
requester of the NRC's decision. If the applicant wishes to challenge 
the NRC's determination, it must follow the procedures in Predisclosure 
Procedures for Proprietary Information Constituting Trade Secrets or 
Confidential Commercial or Financial Information of this section. The 
NRC will not provide access to disputed proprietary information to the 
requester until the procedures are completed as described in 
Predisclosure Procedures for Proprietary Information Constituting Trade 
Secrets or Confidential Commercial or Financial Information of this 
section. The written notification will contain instructions on how the 
requestor may obtain copies of the requested documents, and any other 
conditions that may apply to access to those documents. These 
conditions may include, but are not limited to, the signing of a Non-
Disclosure Agreement or Affidavit setting forth terms and conditions to 
prevent the unauthorized or inadvertent disclosure of proprietary 
information by each individual who will be granted access.
    For requests for access to SGI, if the NRC determines that the 
requester has established a need to know the SGI, the NRC's Office of 
Administration will then determine, based upon completion of the 
background check, whether the proposed recipient is trustworthy and 
reliable, as required for access to SGI by Sec.  73.22(b). If the NRC's 
Office of Administration determines that the individual or individuals 
are trustworthy and reliable, the NRC will promptly notify the 
requester in writing. The notification will provide the names of 
approved individuals as well as the conditions under which the SGI will 
be provided. Those conditions may include, but are not limited to, the 
signing of a Non-Disclosure Agreement or Affidavit by each individual 
who will be granted access to SGI.
Release and Storage of SGI
    Prior to providing SGI to the requester, the NRC staff will conduct 
(as

[[Page 34920]]

necessary) an inspection to confirm that the recipient's information 
protection system is sufficient to satisfy the requirements of Sec.  
73.22. Alternatively, recipients may opt to view SGI at an approved SGI 
storage location rather than establish their own SGI protection program 
to meet SGI protection requirements.
Filing of Comments on the U.S. ABWR Design Certification Renewal Rule 
Based on Non-Public Information
    Any comments on this final rule that are based upon the disclosed 
proprietary information or SGI must be filed by the requester no later 
than 25 days after receipt of (or access to) that information, or the 
close of the public comment period, whichever is later. The commenter 
must comply with all NRC requirements regarding the submission of 
proprietary information and SGI to the NRC when submitting comments to 
the NRC (including marking and transmission requirements).
Review of Denials of Access
    If the request for access to proprietary information or SGI is 
denied by the NRC, the NRC shall promptly notify the requester in 
writing, briefly stating the reason or reasons for the denial.
    Before the Office of Administration makes a final adverse 
determination regarding the trustworthiness and reliability of the 
proposed recipient(s) for access to SGI, the Office of Administration, 
in accordance with Sec.  2.336(f)(1)(iii), must provide the proposed 
recipient(s) any records that were considered in the trustworthiness 
and reliability determination, including those required to be provided 
under Sec.  73.57(e)(1), so that the proposed recipient(s) have an 
opportunity to correct or explain the record.
    Appeals from a denial of access must be made to the NRC's Executive 
Director for Operations (EDO) under Sec.  9.29. The decision of the EDO 
constitutes final agency action under Sec.  9.29(d).
Predisclosure Procedures for Proprietary Information Constituting Trade 
Secrets or Confidential Commercial or Financial Information
    The NRC will follow the procedures in Sec.  9.28 if the NRC 
determines, under the Determination of Legitimate Need for Access of 
this section, that access to proprietary information constituting trade 
secrets or confidential commercial or financial information will be 
provided to the requester. However, any objection filed by the 
applicant under Sec.  9.28(b) must be filed within 15 days of the NRC 
notice in the Determination of Legitimate Need for Access of this 
section rather than the 30-day period provided for under Sec.  9.28(b). 
In applying the provisions of Sec.  9.28, the applicant for the DC rule 
will be treated as the ``submitter.''

XVIII. Incorporation by Reference--Reasonable Availability to 
Interested Parties

    The NRC is incorporating by reference the U.S. ABWR DCD, Revision 
7. As described in the ``Discussion'' section of this document, the 
generic DCD combined into a single document Tier 1 and Tier 2 
information and generic technical specifications in order to 
effectively control this information and facilitate its incorporation 
by reference into the rule. The NRC also is incorporating by reference 
two GEH technical reports (NEDO-33875 and NEDO-33878).
    The NRC is required by law to obtain approval for incorporation by 
reference from the Office of the Federal Register (OFR). The OFR's 
requirements for incorporation by reference are set forth in 1 CFR part 
51. The OFR's regulations require an agency to include in a direct 
final rule a discussion of the ways that the materials the agency 
incorporates by reference are reasonably available to interested 
parties or how it worked to make those materials reasonably available 
to interested parties. The discussion in this section complies with the 
requirement for direct final rules as set forth in 1 CFR 51.5(b)(2).
    The NRC considers ``interested parties'' to include all potential 
NRC stakeholders, not only the individuals and entities regulated or 
otherwise subject to the NRC's regulatory oversight. These NRC 
stakeholders are not a homogenous group but vary with respect to the 
considerations for determining reasonable availability. Therefore, the 
NRC distinguishes between different classes of interested parties for 
the purposes of determining whether the material is ``reasonably 
available.'' The NRC considers the following to be classes of 
interested parties in NRC rulemakings with regard to the material to be 
incorporated by reference:
     Individuals and small entities regulated or otherwise 
subject to the NRC's regulatory oversight (this class also includes 
applicants and potential applicants for licenses and other NRC 
regulatory approvals) and who are subject to the material to be 
incorporated by reference by rulemaking. In this context, ``small 
entities'' has the same meaning as a ``small entity'' under Sec.  
2.810.
     Large entities otherwise subject to the NRC's regulatory 
oversight (this class also includes applicants and potential applicants 
for licenses and other NRC regulatory approvals) and who are subject to 
the material to be incorporated by reference by rulemaking. In this 
context, ``large entities'' are those that do not qualify as a ``small 
entity'' under Sec.  2.810.
     Non-governmental organizations with institutional 
interests in the matters regulated by the NRC.
     Other Federal agencies, States, local governmental bodies 
(within the meaning of Sec.  2.315(c)).
     Federally-recognized and State-recognized \9\ Indian 
tribes.
---------------------------------------------------------------------------

    \9\ State-recognized Indian tribes are not within the scope of 
10 CFR 2.315(c). However, for purposes of the NRC's compliance with 
1 CFR 51.5, ``interested parties'' includes a broad set of 
stakeholders, including State-recognized Indian tribes.
---------------------------------------------------------------------------

     Members of the general public (i.e., individual, 
unaffiliated members of the public who are not regulated or otherwise 
subject to the NRC's regulatory oversight) who may wish to gain access 
to the materials which the NRC incorporates by reference by rulemaking 
in order to participate in the rulemaking process.
    The NRC makes the materials incorporated by reference available for 
inspection to all interested parties, by appointment, at the NRC 
Technical Library, which is located at Two White Flint North, 11545 
Rockville Pike, Rockville, Maryland 20852; telephone: 301-415-7000; 
email: [email protected]. In addition, as described in Section 
XVI of this document, documents related to this direct final rule are 
available online in the NRC's Agencywide Documents Access and 
Management System (ADAMS) Public Documents collection at https://www.nrc.gov/reading-rm/adams.html.
    The NRC concludes that the materials the NRC is incorporating by 
reference in this final rule are reasonably available to all interested 
parties because the materials are available to all interested parties 
in multiple ways and in a manner consistent with their interest in the 
materials.

List of Subjects in 10 CFR Part 52

    Administrative practice and procedure, Antitrust, Combined license, 
Early site permit, Emergency planning, Fees, Incorporation by 
reference, Inspection, Issue finality, Limited work authorization, 
Nuclear power plants and reactors, Probabilistic risk assessment, 
Prototype, Reactor siting criteria, Redress of site, Penalties, 
Reporting and recordkeeping requirements, Standard design, Standard 
design certification.

[[Page 34921]]

    For the reasons set out in the preamble and under the authority of 
the Atomic Energy Act of 1954, as amended; the Energy Reorganization 
Act of 1974, as amended; the Nuclear Waste Policy Act of 1982, as 
amended; and 5 U.S.C. 552 and 553, the NRC is amending 10 CFR part 52:

PART 52--LICENSES, CERTIFICATIONS, AND APPROVALS FOR NUCLEAR POWER 
PLANTS

0
1. The authority citation for part 52 continues to read as follows:

    Authority:  Atomic Energy Act of 1954, secs. 103, 104, 147, 149, 
161, 181, 182, 183, 185, 186, 189, 223, 234 (42 U.S.C. 2133, 2134, 
2167, 2169, 2201, 2231, 2232, 2233, 2235, 2236, 2239, 2273, 2282); 
Energy Reorganization Act of 1974, secs. 201, 202, 206, 211 (42 
U.S.C. 5841, 5842, 5846, 5851); 44 U.S.C. 3504 note.


0
2. Revise appendix A to 10 CFR part 52 to read as follows:

Appendix A to Part 52--Design Certification Rule for the U.S. Advanced 
Boiling Water Reactor

I. Introduction

    Appendix A constitutes the renewed standard design certification 
for the U.S. Advanced Boiling Water Reactor (U.S. ABWR) design, in 
accordance with 10 CFR part 52, subpart B. The applicant for 
certification of the U.S. ABWR design is General Electric-Hitachi 
Nuclear Energy Americas, LLC (GEH).

II. Definitions

    A. Generic design control document (generic DCD) means the 
document containing the Tier 1 and Tier 2 information and generic 
technical specifications that is incorporated by reference into this 
appendix.
    B. Generic technical specifications (generic TS) means the 
information required by Sec. Sec.  50.36 and 50.36a of this chapter 
for the portion of the plant that is within the scope of this 
appendix.
    C. Plant-specific DCD means that portion of the combined license 
(COL) final safety analysis report (FSAR) that sets forth both the 
generic DCD information and any plant-specific changes to generic 
DCD information.
    D. Tier 1 means the portion of the design-related information 
contained in the generic DCD that is approved and certified by this 
appendix (Tier 1 information). The design descriptions, interface 
requirements, and site parameters are derived from Tier 2 
information. Tier 1 information includes:
    1. Definitions and general provisions;
    2. Design descriptions;
    3. Inspections, tests, analyses, and acceptance criteria 
(ITAAC);
    4. Significant site parameters; and
    5. Significant interface requirements.
    E. Tier 2 means the portion of the design-related information 
contained in the generic DCD that is approved but not certified by 
this appendix (Tier 2 information). Compliance with Tier 2 is 
required, but generic changes to and plant-specific departures from 
Tier 2 are governed by Section VIII of this appendix. Compliance 
with Tier 2 provides a sufficient, but not the only acceptable, 
method for complying with Tier 1. Compliance methods differing from 
Tier 2 must satisfy the change process in Section VIII of this 
appendix. Regardless of these differences, an applicant or licensee 
must meet the requirement in paragraph III.B of this appendix to 
reference Tier 2 when referencing Tier 1. Tier 2 information 
includes:
    1. Information required by Sec.  52.47(a) and (c), with the 
exception of generic TS and conceptual design information;
    2. Supporting information on the inspections, tests, and 
analyses that will be performed to demonstrate that the acceptance 
criteria in the ITAAC have been met; and
    3. COL action items (COL license information), which identify 
certain matters that must be addressed in the site-specific portion 
of the FSAR by an applicant who references this appendix. These 
items constitute information requirements but are not the only 
acceptable set of information in the FSAR. An applicant may depart 
from or omit these items, provided that the departure or omission is 
identified and justified in the FSAR. After issuance of a COL, these 
items are not requirements for the licensee unless such items are 
restated in the FSAR.
    F. Tier 2* means the portion of the Tier 2 information, 
designated as such in the generic DCD, which is subject to the 
change process in paragraph VIII.B.6 of this appendix. This 
designation expires for some Tier 2* information under paragraph 
VIII.B.6 of this appendix.
    G. Departure from a method of evaluation described in the plant-
specific DCD used in establishing the design bases or in the safety 
analyses means:
    1. Changing any of the elements of the method described in the 
plant-specific DCD unless the results of the analysis are 
conservative or essentially the same; or
    2. Changing from a method described in the plant-specific DCD to 
another method unless that method has been approved by the NRC for 
the intended application.
    H. All other terms in this appendix have the meaning set out in 
Sec.  50.2 of this chapter, Sec.  52.1, or Section 11 of the Atomic 
Energy Act of 1954, as amended, as applicable.

III. Scope and Contents

    A. Incorporation by reference approval. The ABWR material 
identified in paragraph III.A.1 of this section is approved for 
incorporation by reference by the Director of the Office of the 
Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. You may 
obtain copies of the generic DCD, including the generic technical 
specifications, and the two GEH technical reports (NEDO-33875 and 
NEDO-33878) from Michelle Catts, Senior Vice President, Regulatory 
Affairs, General Electric-Hitachi Nuclear Energy Americas, LLC, 3901 
Castle Hayne Road, P.O. Box 780, M/C A10, Wilmington, NC 28402. You 
can view the generic DCD, including the generic technical 
specifications, and the two GEH technical reports (NEDO-33875 and 
NEDO-33878) online in the NRC Library at https://www.nrc.gov/reading-rm/adams.html. In ADAMS, search under ADAMS Accession No. 
ML20093K254 to obtain the generic DCD, ADAMS Accession No. 
ML17059C523 to obtain GEH technical report NEDO-33875, and ADAMS 
Accession No. ML18092A306 to obtain GEH technical report NEDO-33878. 
If you do not have access to ADAMS or if you have problems accessing 
documents located in ADAMS, contact the NRC's Public Document Room 
(PDR) reference staff at 1-800-397-4209, at 301-415-3747, or by 
email at [email protected]. Copies of the ABWR materials are 
available in the ADAMS Public Documents Collection. All approved 
material is available for inspection at the National Archives and 
Records Administration (NARA). For information on the availability 
of this material at NARA, email [email protected] or go to 
www.archives.gov/federal-register/cfr/ibr-locations.html.
    1. General Electric-Hitachi Nuclear Energy Americas, LLC
    a. ABWR Design Control Document Tier 1 (25A5675AA), Revision 7 
(October 2019).
    b. ABWR Design Control Document Tier 2 (25A5675AB), Revision 7 
(October 2019).
    c. Technical Report NEDO-33875, ABWR US Certified Design--
Aircraft Impact Assessment, Licensing Basis Information and Design 
Details for Key Design Features, Rev. 3 (M170049) (February 2017).
    d. Licensing Technical Report NEDO-33878, ABWR ECCS Suction 
Strainer Evaluation of Long-Term Recirculation Capability, Rev. 3 
(M180068) (March 2018).
    B. An applicant or licensee referencing this appendix, in 
accordance with Section IV of this appendix, shall incorporate by 
reference and comply with the requirements of this appendix except 
as otherwise provided in this appendix. Conceptual design 
information, as set forth in the generic DCD, the ``Technical 
Support Document for the ABWR,'' and the ``Amendment to Technical 
Support Document for the ABWR,'' are not part of this appendix. Tier 
2 references to the probabilistic risk assessment (PRA) in the U.S. 
ABWR DCD Tier 2 Chapter 19 do not incorporate the PRA into Tier 2.
    C. If there is a conflict between Tier 1 and Tier 2 of the DCD, 
then Tier 1 controls.
    D. If there is a conflict between the generic DCD and either the 
application for the design certification renewal of the U.S. ABWR 
design or the NUREG-1503, ``Final Safety Evaluation Report Related 
to Certification of the ABWR Standard Design''; NUREG-1503, 
Supplement 1; and NUREG-1503, Supplement 2, then the generic DCD 
controls.
    E. Design activities for structures, systems, and components 
that are wholly outside the scope of this appendix may be performed 
using site characteristics, provided the design activities do not 
affect the DCD or conflict with the interface requirements.

IV. Additional Requirements and Restrictions

    A. An applicant for a COL that wishes to reference this appendix 
shall, in addition to complying with the requirements of Sec. Sec.  
52.77, 52.79, and 52.80, comply with the following requirements:

[[Page 34922]]

    1. Incorporate by reference, as part of its application, this 
appendix.
    2. Include, as part of its application:
    a. A plant-specific DCD containing the same type of information 
and using the same organization and numbering as the generic DCD for 
the U.S. ABWR design, either by including or incorporating by 
reference the generic DCD information, and as modified and 
supplemented by the applicant's exemptions and departures;
    b. The reports on departures from and updates to the plant-
specific DCD required by paragraph X.B of this appendix;
    c. Plant-specific TS, consisting of the generic and site-
specific TS that are required by Sec. Sec.  50.36 and 50.36a of this 
chapter;
    d. Information demonstrating that the site characteristics fall 
within the site parameters and that the interface requirements have 
been met;
    e. Information that addresses the COL action items; and
    f. Information required by Sec.  52.47(a) that is not within the 
scope of this appendix.
    3. Include, in the plant-specific DCD, the sensitive, 
unclassified, non-safeguards information (including proprietary 
information and security-related information) and safeguards 
information referenced in the U.S. ABWR generic DCD.
    4. Include, as part of its application, a demonstration that an 
entity other than GEH is qualified to supply the U.S. ABWR design, 
unless GEH supplies the design for the applicant's use.
    B. The Commission reserves the right to determine in what manner 
this appendix may be referenced by an applicant for a construction 
permit or operating license under 10 CFR part 50.

V. Applicable Regulations

    A.1. Except as indicated in paragraphs A.2 and A.3 and B of this 
section, the regulations that apply to the U.S. ABWR design are in 
10 CFR parts 20, 50, 52, 73, and 100, codified as of May 2, 1997, 
that are applicable and technically relevant, as described in the 
final safety evaluation report (NUREG-1503); NUREG-1503, Supplement 
1; and as described in NUREG-1503, Supplement 2, for renewal 
modifications except as it pertains to addressing compliance with 
Sec.  50.150 of this chapter.
    2. Except as indicated in paragraphs A.1 and A.3 and B of this 
section, the regulations that apply to the U.S. ABWR design are in 
10 CFR parts 20, 50, 52, 73, and 100, codified as of September 29, 
2021, that are applicable and technically relevant, as described in 
NUREG-1503, Supplement 2, for renewal amendments.
    3. Except as indicated in paragraphs A.1 and A.2 and B of this 
section, the regulations in Sec.  50.150 of this chapter, codified 
as of September 29, 2021, apply to the U.S. ABWR design, that are 
applicable and technically relevant, as described in NUREG-1503, 
Supplement 2.
    B. The U.S. ABWR design is exempt from portions of the following 
regulations:
    1. Paragraph (f)(2)(iv) of 10 CFR 50.34--Plant Safety Parameter 
Display Console--codified as of May 2, 1997;
    2. Paragraph (f)(2)(viii) of 10 CFR 50.34--Post-Accident 
Sampling for Boron, Chloride, and Dissolved Gases--codified as of 
May 2, 1997; and
    3. Paragraph (f)(3)(iv) of 10 CFR 50.34--Dedicated Containment 
Penetration--codified as of May 2, 1997.

VI. Issue Resolution

    A. The Commission has determined that the structures, systems, 
and components and design features of the U.S. ABWR design comply 
with the provisions of the Atomic Energy Act of 1954, as amended, 
and the applicable regulations identified in Section V of this 
appendix; and therefore, provide adequate protection to the health 
and safety of the public. A conclusion that a matter is resolved 
includes the finding that additional or alternative structures, 
systems, and components, design features, design criteria, testing, 
analyses, acceptance criteria, or justifications are not necessary 
for the U.S. ABWR design.
    B. The Commission considers the following matters resolved 
within the meaning of Sec.  52.63(a)(5) in subsequent proceedings 
for issuance of a COL, amendment of a COL, or renewal of a COL, 
proceedings held under Sec.  52.103, and enforcement proceedings 
involving plants referencing this appendix:
    1. All nuclear safety issues associated with the information in 
the final safety evaluation reports (NUREG-1503; NUREG-1503, 
Supplement 1; and NUREG-1503, Supplement 2), Tier 1, Tier 2, and the 
rulemaking records for original certification and renewal of the 
U.S. ABWR design, with the exception of generic TS and other 
operational requirements;
    2. All nuclear safety and safeguards issues associated with the 
referenced information in the 85 public and non-public documents in 
Tables 1.6-1 and 1.6-2 of Tier 2 of the generic DCD, or other 
referenced documents, which, in context, are intended as 
requirements in the generic DCD for the U.S. ABWR design;
    3. All generic changes to the DCD under and in compliance with 
the change processes in paragraphs VIII.A.1 and VIII.B.1 of this 
appendix;
    4. All exemptions from the DCD under and in compliance with the 
change processes in paragraphs VIII.A.4 and VIII.B.4 of this 
appendix, but only for that plant;
    5. All departures from the DCD that are approved by license 
amendment, but only for that plant;
    6. Except as provided in paragraph VIII.B.5.f of this appendix, 
all departures from Tier 2 under and in compliance with the change 
processes in paragraph VIII.B.5 of this appendix that do not require 
prior NRC approval, but only for that plant; and
    7. All environmental issues concerning severe accident 
mitigation design alternatives associated with the information in 
the NRC's environmental assessment for the U.S. ABWR design (ADAMS 
Accession No. ML21147A381) and GEH's supplemental evaluation of 
various severe accident mitigation design alternatives to prevent 
and mitigate severe accidents in ``Amendment to Technical Support 
Document for the ABWR'' (ADAMS Accession No. ML110040178), which 
updates information in the original ``Technical Support Document for 
the ABWR'' (ADAMS Accession No. ML100210563) for plants referencing 
this appendix whose averted risk person-rem value for each severe 
accident mitigation design alternative is less than or equal to the 
averted risk person-rem value for that severe accident mitigation 
design alternative provided in Table 5 of the original technical 
support document.
    C. The Commission does not consider operational requirements for 
an applicant or licensee who references this appendix to be matters 
resolved within the meaning of Sec.  52.63(a)(5). The Commission 
reserves the right to require operational requirements for an 
applicant or licensee who references this appendix by rule, 
regulation, order, or license condition.
    D. Except under the change processes in Section VIII of this 
appendix, the Commission may not require an applicant or licensee 
who references this appendix to:
    1. Modify structures, systems, components, or design features as 
described in the generic DCD;
    2. Provide additional or alternative structures, systems, 
components, or design features not discussed in the generic DCD; or
    3. Provide additional or alternative design criteria, testing, 
analyses, acceptance criteria, or justification for structures, 
systems, components, or design features discussed in the generic 
DCD.
    E. The NRC will specify, at an appropriate time, the procedures 
to be used by an interested person who wishes to review portions of 
the DC or references containing safeguards information or sensitive 
unclassified non-safeguards information (including proprietary 
information, such as trade secrets and commercial or financial 
information obtained from a person that are privileged or 
confidential (Sec.  2.390 of this chapter and 10 CFR part 9), and 
security-related information), for the purpose of participating in 
the hearing required by Sec.  52.85, the hearing provided under 
Sec.  52.103, or in any other proceeding relating to this appendix, 
in which interested persons have a right to request an adjudicatory 
hearing.

VII. Duration of this Appendix

    This appendix may be referenced for a period of 15 years from 
September 29, 2021, except as provided for in Sec. Sec.  52.55(b) 
and 52.57(b). This appendix remains valid for an applicant or 
licensee who references this appendix until the application is 
withdrawn, or the license expires or is terminated by the NRC, 
including any period of extended operation under a renewed license.

VIII. Processes for Changes and Departures

A. Tier 1 Information

    1. Generic changes to Tier 1 information are governed by the 
requirements in Sec.  52.63(a)(1).
    2. Generic changes to Tier 1 information are applicable to all 
applicants or licensees who reference this appendix, except those 
for which the change has been rendered technically irrelevant by 
action taken under paragraph A.3 or A.4 of this section.
    3. Departures from Tier 1 information that are required by the 
Commission through

[[Page 34923]]

plant-specific orders are governed by the requirements in Sec.  
52.63(a)(4).
    4. Exemptions from Tier 1 information are governed by the 
requirements in Sec. Sec.  52.63(b)(1) and 52.98(f). The Commission 
will deny a request for an exemption from Tier 1, if it finds that 
the design change will result in a significant decrease in the level 
of safety otherwise provided by the design.

B. Tier 2 Information

    1. Generic changes to Tier 2 information are governed by the 
requirements in Sec.  52.63(a)(1).
    2. Generic changes to Tier 2 information are applicable to all 
applicants or licensees who reference this appendix, except those 
for which the change has been rendered technically irrelevant by 
action taken under paragraph B.3, B.4, or B.5, of this section.
    3. The Commission may not require new requirements on Tier 2 
information by plant-specific order, while this appendix is in 
effect under Sec.  52.55 or Sec.  52.61, unless:
    a. A modification is necessary to secure compliance with the 
Commission's regulations applicable and in effect at the time this 
appendix was approved, as set forth in Section V of this appendix, 
or to ensure adequate protection of the public health and safety or 
the common defense and security; and
    b. Special circumstances as defined in Sec.  50.12(a) of this 
chapter are present.
    4. An applicant or licensee who references this appendix may 
request an exemption from Tier 2 information. The Commission may 
grant such a request only if it determines that the exemption will 
comply with the requirements of Sec.  50.12(a) of this chapter. The 
Commission will deny a request for an exemption from Tier 2, if it 
finds that the design change will result in a significant decrease 
in the level of safety otherwise provided by the design. The 
granting of an exemption to an applicant must be subject to 
litigation in the same manner as other issues material to the 
license hearing. The granting of an exemption to a licensee must be 
subject to an opportunity for a hearing in the same manner as 
license amendments.
    5.a. An applicant or licensee who references this appendix may 
depart from Tier 2 information, without prior NRC approval, unless 
the proposed departure involves a change to or departure from Tier 1 
information, Tier 2* information, or the TS, or requires a license 
amendment under paragraph B.5.b or B.5.c of this section. When 
evaluating the proposed departure, an applicant or licensee shall 
consider all matters described in the plant-specific DCD.
    b. A proposed departure from Tier 2, other than one affecting 
resolution of a severe accident issue identified in the plant-
specific DCD or one affecting information required by Sec.  
52.47(a)(28) to address aircraft impacts, requires a license 
amendment if it would:
    (1) Result in more than a minimal increase in the frequency of 
occurrence of an accident previously evaluated in the plant-specific 
DCD;
    (2) Result in more than a minimal increase in the likelihood of 
occurrence of a malfunction of a structure, system, or component 
important to safety and previously evaluated in the plant-specific 
DCD;
    (3) Result in more than a minimal increase in the consequences 
of an accident previously evaluated in the plant-specific DCD;
    (4) Result in more than a minimal increase in the consequences 
of a malfunction of a structure, system, or component important to 
safety previously evaluated in the plant-specific DCD;
    (5) Create a possibility for an accident of a different type 
than any evaluated previously in the plant-specific DCD;
    (6) Create a possibility for a malfunction of a structure, 
system, or component important to safety with a different result 
than any evaluated previously in the plant-specific DCD;
    (7) Result in a design-basis limit for a fission product barrier 
as described in the plant-specific DCD being exceeded or altered; or
    (8) Result in a departure from a method of evaluation described 
in the plant-specific DCD used in establishing the design bases or 
in the safety analyses.
    c. A proposed departure from Tier 2, affecting resolution of an 
ex-vessel severe accident design feature identified in the plant-
specific DCD, requires a license amendment if:
    (1) There is a substantial increase in the probability of an ex-
vessel severe accident such that a particular ex-vessel severe 
accident previously reviewed and determined to be not credible could 
become credible; or
    (2) There is a substantial increase in the consequences to the 
public of a particular ex-vessel severe accident previously 
reviewed.
    d. A proposed departure from Tier 2 information required by 
Sec.  52.47(a)(28) to address aircraft impacts shall consider the 
effect of the changed design feature or functional capability on the 
original aircraft impact assessment required by Sec.  50.150(a) of 
this chapter. The applicant or licensee shall describe, in the 
plant-specific DCD, how the modified design features and functional 
capabilities continue to meet the aircraft impact assessment 
requirements in Sec.  50.150(a)(1) of this chapter.
    e. If a departure requires a license amendment under paragraph 
B.5.b or B.5.c of this section, it is governed by Sec.  50.90 of 
this chapter.
    f. A departure from Tier 2 information that is made under 
paragraph B.5 of this section does not require an exemption from 
this appendix.
    g. A party to an adjudicatory proceeding for either the 
issuance, amendment, or renewal of a license or for operation under 
Sec.  52.103(a), who believes that an applicant or licensee who 
references this appendix has not complied with paragraph VIII.B.5 of 
this appendix when departing from Tier 2 information, may petition 
to admit into the proceeding such a contention. In addition to 
complying with the general requirements of Sec.  2.309 of this 
chapter, the petition must demonstrate that the departure does not 
comply with paragraph VIII.B.5 of this appendix. Further, the 
petition must demonstrate that the change bears on an asserted 
noncompliance with an ITAAC acceptance criterion in the case of a 
Sec.  52.103 preoperational hearing, or that the change bears 
directly on the amendment request in the case of a hearing on a 
license amendment. Any other party may file a response. If, on the 
basis of the petition and any response, the presiding officer 
determines that a sufficient showing has been made, the presiding 
officer shall certify the matter directly to the Commission for 
determination of the admissibility of the contention. The Commission 
may admit such a contention if it determines the petition raises a 
genuine issue of material fact regarding compliance with paragraph 
VIII.B.5 of this appendix.
    6.a. An applicant who references this appendix may not depart 
from Tier 2* information, which is designated with brackets, 
italicized text, and an asterisk in the generic DCD, without NRC 
approval. The departure will not be considered a resolved issue, 
within the meaning of Section VI of this appendix and Sec.  
52.63(a)(5).
    b. A licensee who references this appendix may not depart from 
the following Tier 2* matters without prior NRC approval. A request 
for a departure will be treated as a request for a license amendment 
under 10 CFR 50.90.
    (1) Fuel burnup limit (4.2).
    (2) Fuel design evaluation (4.2.3).
    (3) Fuel licensing acceptance criteria (Appendix 4B).
    c. A licensee who references this appendix may not, before the 
plant first achieves full power following the finding required by 10 
CFR 52.103(g), depart from the following Tier 2* matters except in 
accordance with paragraph B.6.b of this section. After the plant 
first achieves full power, the following Tier 2* matters revert to 
Tier 2 status and are thereafter subject to the departure provisions 
in paragraph B.5 of this section.
    (1) ASME Boiler & Pressure Vessel Code, Section III.
    (2) ACI 349 and ANSI/AISC N-690.
    (3) Motor-operated valves.
    (4) Equipment seismic qualification methods.
    (5) Piping design acceptance criteria.
    (6) Fuel system and assembly design (4.2), except burnup limit.
    (7) Nuclear design (4.3).
    (8) Equilibrium cycle and control rod patterns (Appendix 4A).
    (9) Control rod licensing acceptance criteria (Appendix 4C).
    (10) Instrument setpoint methodology.
    (11) EMS performance specifications and architecture.
    (12) SSLC hardware and software qualification.
    (13) Self-test system design testing features and commitments.
    (14) Human factors engineering design and implementation 
process.
    d. Departures from Tier 2* information that are made under 
paragraph B.6 of this section do not require an exemption from this 
appendix.

C. Operational Requirements

    1. Changes to U.S. ABWR DC generic TS and other operational 
requirements that were

[[Page 34924]]

completely reviewed and approved in the design certification 
rulemaking and do not require a change to a design feature in the 
generic DCD are governed by the requirements in Sec.  50.109 of this 
chapter. Changes that require a change to a design feature in the 
generic DCD are governed by the requirements in paragraph A or B of 
this section.
    2. Changes to U.S. ABWR DC generic TS and other operational 
requirements are applicable to all applicants who reference this 
appendix, except those for which the change has been rendered 
technically irrelevant by action taken under paragraph C.3 or C.4 of 
this section.
    3. The Commission may require plant-specific departures on 
generic TS and other operational requirements that were completely 
reviewed and approved, provided a change to a design feature in the 
generic DCD is not required and special circumstances, as defined in 
Sec.  2.335 of this chapter are present. The Commission may modify 
or supplement generic TS and other operational requirements that 
were not completely reviewed and approved or require additional TS 
and other operational requirements on a plant-specific basis, 
provided a change to a design feature in the generic DCD is not 
required.
    4. An applicant who references this appendix may request an 
exemption from the generic TS or other operational requirements. The 
Commission may grant such a request only if it determines that the 
exemption will comply with the requirements of Sec.  52.7. The 
granting of an exemption must be subject to litigation in the same 
manner as other issues material to the license hearing.
    5. A party to an adjudicatory proceeding for the issuance, 
amendment, or renewal of a license, or for operation under Sec.  
52.103(a), who believes that an operational requirement approved in 
the DCD or a TS derived from the generic TS must be changed, may 
petition to admit such a contention into the proceeding. The 
petition must comply with the general requirements of Sec.  2.309 of 
this chapter and must either demonstrate why special circumstances 
as defined in Sec.  2.335 of this chapter are present or demonstrate 
that the proposed change is necessary for compliance with the 
Commission's regulations applicable and in effect, as set forth in 
Section V of this appendix. Any other party may file a response to 
the petition. If, on the basis of the petition and any response, the 
presiding officer determines that a sufficient showing has been 
made, the presiding officer shall certify the matter directly to the 
Commission for determination of the admissibility of the contention. 
All other issues with respect to the plant-specific TS or other 
operational requirements are subject to a hearing as part of the 
licensing proceeding.
    6. After issuance of a license, the generic TS have no further 
effect on the plant-specific TS. Changes to the plant-specific TS 
will be treated as license amendments under Sec.  50.90 of this 
chapter.

IX. [Reserved]

X. Records and Reporting

A. Records

    1. The applicant for this appendix shall maintain a copy of the 
generic DCD that includes all generic changes that are made to Tier 
1 and Tier 2, and the generic TS and other operational requirements. 
The applicant shall maintain the sensitive unclassified non-
safeguards information (including proprietary information and 
security-related information) and safeguards information referenced 
in the generic DCD for the period that this appendix may be 
referenced, as specified in Section VII of this appendix.
    2. An applicant or licensee who references this appendix shall 
maintain the plant-specific DCD to accurately reflect both generic 
changes to the generic DCD and plant-specific departures made under 
Section VIII of this appendix throughout the period of application 
and for the term of the license (including any periods of renewal).
    3. An applicant or licensee who references this appendix shall 
prepare and maintain written evaluations which provide the bases for 
the determinations required by Section VIII of this appendix. These 
evaluations must be retained throughout the period of application 
and for the term of the license (including any periods of renewal).
    4.a. The applicant for the U.S. ABWR design shall maintain a 
copy of the aircraft impact assessment performed to comply with the 
requirements of Sec.  50.150(a) of this chapter for the term of the 
certification (including any periods of renewal).
    b. An applicant or licensee who references this appendix shall 
maintain a copy of the aircraft impact assessment performed to 
comply with the requirements of Sec.  50.150(a) of this chapter 
throughout the pendency of the application and for the term of the 
license (including any periods of renewal).

B. Reporting

    1. An applicant or licensee who references this appendix shall 
submit a report to the NRC containing a brief description of any 
plant-specific departures from the DCD, including a summary of the 
evaluation of each departure. This report must be filed in 
accordance with the filing requirements applicable to reports in 
Sec.  52.3.
    2. An applicant or licensee who references this appendix shall 
submit updates to its plant-specific DCD, which reflect the generic 
changes to and plant-specific departures from the generic DCD made 
under Section VIII of this appendix. These updates shall be filed 
under the filing requirements applicable to final safety analysis 
report updates in Sec. Sec.  50.71(e) of this chapter and 52.3.
    3. The reports and updates required by paragraphs X.B.1 and 
X.B.2 of this appendix must be submitted as follows:
    a. On the date that an application for a license referencing 
this appendix is submitted, the application must include the report 
and any updates to the generic DCD.
    b. During the interval from the date of application for a 
license to the date the Commission makes its finding required by 
Sec.  52.103(g) of this chapter, the report must be submitted semi-
annually. Updates to the plant-specific DCD must be submitted 
annually and may be submitted along with amendments to the 
application.
    c. After the Commission makes the finding required by Sec.  
52.103(g), the reports and updates to the plant-specific DCD must be 
submitted, along with updates to the site-specific portion of the 
final safety analysis report for the facility, at the intervals 
required by Sec. Sec.  50.59(d)(2) and 50.71(e)(4) of this chapter, 
respectively, or at shorter intervals as specified in the license.

    Dated: June 23, 2021.

    For the Nuclear Regulatory Commission.
Annette Vietti-Cook,
Secretary of the Commission.
[FR Doc. 2021-13801 Filed 6-30-21; 8:45 am]
BILLING CODE 7590-01-P