Regulatory Guide 1.187

Guidance for Implementation of 10 CFR 50.59, Changes, Tests, and Experiments

ML003759710
Person / Time
Issue date:	11/30/2000
From:	Office of Nuclear Regulatory Research
To:
McKenna E M
References
DG-1095 RG-1.187
Download: ML003759710 (7)

1CopiesareavailableforinspectionorcopyingforafeefromtheNRCPublicDocumentRoomat11555RockvilleMD;thePDR'smailingaddressisMailStopPDR,Washington,DC20555;telephone(301)415-4737or(800)397-4209;fax(301)415-

3548;email<PDR@NRC.GOV>.RegulatoryguidesareissuedtodescribeandmakeavailabletothepublicsuchinformationasmethodsacceptabletotheNRCstaffforimplementingspecificpartsoftheNRC'sregulations,techniquesusedbythestaffinevaluatingspecificproblemsorpostulatedaccidents,anddataneededbytheNRCstaffinitsreviewofapplicationsforpermitsandlicenses.Regulatoryguidesarenotsubstitutesforregulations,andcompliancewiththemisnotrequired.MethodsandsolutionsdifferentfromthosesetoutintheguideswillbeacceptableiftheyprovideabasisforthefindingsrequisitetotheissuanceorcontinuanceofapermitorlicensebytheCommission.Thisguidewasissuedafterconsiderationofcommentsreceivedfromthepublic.Commentsandsuggestionsforimprovementsintheseguidesareencouragedatalltimes,andguideswillberevised,asappropriate,toaccommodatecommentsandtoreflectnewinformationorexperience.WrittencommentsmaybesubmittedtotheRulesandDirectivesBranch,ADM,U.S.NuclearRegulatoryCommission,Washington,DC20555-0001.Regulatoryguidesareissuedintenbroaddivisions:1,PowerReactors;2,ResearchandTestReactors;3,FuelsandMaterialsFacilities;4,EnvironmentalandSiting;5,MaterialsandPlantProtection;6,Products;7,Transportation;8,OccupationalHealth;9,AntitrustandFinancialReview;and10,General.Singlecopiesofregulatoryguides(whichmaybereproduced)maybeobtainedfreeofchargebywritingtheDistributionServicesSection,U.S.NuclearRegulatoryCommission,Washington,DC20555-0001,orbyfaxto(301)415-2289,orbyemailtoDISTRIBUTION@NRC.GOV.ElectroniccopiesofthisguideareavailableontheinternetatNRC'shomepageat<WWW.NRC.GOV>intheReferenceLibraryunderRegulatoryGuides.ThisguideisalsointheElectronicReadingRoomatNRC'shomepage,alongwithotherrecentlyissuedguides,AccessionNumberML003759710.U.S.NUCLEARREGULATORYCOMMISSIONNovember2000REGULATORYGUIDEOFFICEOFNUCLEARREGULATORYRESEARCHREGULATORYGUIDE1.187(DraftwasissuedasDG-1095)GUIDANCEFO

R. IMPLEMENTATION

OF10CFR50.59,CHANGES,TESTS,ANDEXPERIMENTS

A. INTRODUCTION

In10CFRPart50,"DomesticLicensingofProductionandUtilizationFacilities,"Section50.59,"Changes,TestsandExperiments,"containsrequirementsfortheprocessbywhichlicensees maymakechangestotheirfacilitiesandproceduresasdescribedinthesafetyanalysisreport,without priorNRCapproval,undercertainconditions.Therulewaspromulgatedin1962andrevisedin1968.Asaresultoflessonslearnedfromoperatingexperienceandotherinitiativesrelatedtocontrolofconformanceoffacilitieswiththeirfinalsafetyanalysisreport(FSAR)descriptions,theNRC determinedthatadditionalactionwasnecessarytoprovideclarityandconsistencyinimplementation oftherule.ThestaffrecommendedspecificactionsinSECY-97-205,"IntegrationandEvaluationof ResultsfromRecentLessons-LearnedReviews,"1datedSeptember10,1997.InastaffrequirementsmemorandumdatedMarch24,1998,1theCommissiondirectedthestafftoinitiaterulemakingtorevisetherequirementsof10CFR50.59toclarifytherequirementsandtoallowchangesinvolving only"minimalincreases"inprobabilityorconsequencestobemadewithoutpriorNRCapproval.TheproposedrulewaspublishedforcommentinOctober1998.Followingconsiderationofpubliccomments,onOctober4,1999(64FR53582),theNRCissuedafinalrevisionto 10CFR50.59thatbecomeseffective90daysafterapprovalofregulatoryguidance,whichis 2CopiesofNEI96-07areavailablethroughNRC'swebsite,<WWW.NRC.GOV>throughNRC'sElectronicReadingRoom,underAccessionNumberML003771157.CopiesareavailableforinspectionorcopyingforafeefromtheNRCPublicDocumentRoomat11555RockvillePike,Rockville,MD;thePDR'smailingaddressisWashington,DC20555;telephone (301)415-4737or(800)397-4209;fax(301415-3548;email<PDR@NRC.GOV>.1.187-2containedinthisRegulatoryGuide1.187.ThetextoftherevisedruleiscontainedinAppendixAtothisregulatoryguideforconvenience.Theinformationcollectionscontainedinthisregulatoryguidearecoveredbytherequirementsof10CFRPart50,whichwereapprovedbytheOfficeofManagementandBudget, approvalnumber3150-0011.Ifameansusedtoimposeaninformationcollectiondoesnotdisplay acurrentlyvalidOMBcontrolnumber,theNRCmaynotconductorsponsor,andapersonisnot requiredtorespondto,theinformationcollection.

B. DISCUSSION

OBJECTIVETheobjectivesof10CFR50.59aretoensurethatlicensees(1)evaluateproposedchangestotheirfacilitiesfortheireffectsonthelicensingbasisoftheplant,asdescribedintheFSAR,and (2)obtainpriorNRCapprovalforchangesthatmeetspecifiedcriteriaashavingapotentialimpact uponthebasisforissuanceoftheoperatinglicense.Thisregulatoryguide,throughits endorsementofaguidelinedocumentforlicensees,providesguidanceoncomplyingwiththe revisedrequirementsof10CFR50.59.DEVELOPMENTOFINDUSTRYGUIDELINE,NEI96-07Followingpublicationoftherevisedrule,theNuclearEnergyInstitute(NEI)submittedaguidancedocumentfortheimplementationof10CFR50.59andrequestedNRCendorsement througharegulatoryguide.FollowingaseriesofmeetingsbetweenNEIandtheNRC,arevised versionoftheguidancedocumentwassubmittedbyNEIonFebruary22,2000.TheNRC publishedforpubliccommentaDraftRegulatoryGuide,DG-1095,whichendorsed,withcertain clarifications,Revision1ofNEI96-07.Aspartoftheircommentsinresponsetothedraftguide, NEIproposedrevisionstoNEI96-07torespondtotheissuesraisedbytheNRCstaffinitsdraft guide.Subsequently,NEIsubmittedarevisedversionofNEI96-07,datedNovember2000,for endorsement.C.REGULATORYPOSITION1.NEI96-07Revision1ofNEI96-07,"Guidelinesfor10CFR50.59Evaluations,"2datedNovember2000,providesmethodsthatareacceptabletotheNRCstaffforcomplyingwiththeprovisionsof 10CFR50.5 .187-32.OTHERDOCUMENTSREFERENCEDINNEI96-07Revision1ofNEI96-07referencesotherdocuments,butNRC'sendorsementofRevision1shouldnotbeconsideredanendorsementofthereferenceddocuments.3.USEOFEXAMPLESINNEI96-07Revision1ofNEI96-07includesexamplestosupplementtheguidance.WhileappropriateforillustratingandreinforcingtheguidanceinRevision1ofNEI96-07,theNRC's endorsementofRevision1shouldnotbeconsideredadeterminationthattheexamplesare applicableforalllicensees.Alicenseeshouldensurethatanexampleisapplicabletoitsparticular circumstancesbeforeimplementingtheguidanceasdescribedinanexample.4.GUIDANCEFORFSARSUPPLEMENTSFORLICENSERENEWALTheguidanceinRevision1ofNEI96-07andinthisregulatoryguideisapplicabletoinformationaddedtotheFSARinaccordancewith10CFR54.21(d),thatis,forsummary descriptionsoftheprogramsandactivitiesformanagingtheeffectsofagingandtheevaluationof time-limitedaginganalyses.5.APPLICABILITYTONON-POWERREACTORSWhilemostoftheexamplesandspecificdiscussionfocusonpowerreactors,theguidancecontainedinRevision1ofNEI96-07isalsoapplicabletoevaluationsperformedbylicenseesfor non-powerreactors.Certainoftheprovisionsintheguidancethatdiscusstherelationshipofother regulatoryrequirementsto10CFR50.59maynotbefullyapplicabletonon-powerreactors becauseofdifferencesinthoseotherrequirements.Forexample,non-powerreactorsarenot subjectto10CFR50.65,andthus,theguidanceconcerninguseofriskassessmentsfortemporary alterationsassociatedwithmaintenanceinlieuof10CFR50.59reviewswouldnotbeapplicable.6.APPLICABILITYTO10CFR72.48EVALUATIONSTheguidancecontainedinRevision1ofNEI96-07isalsogenerallyapplicabletoevaluationsperformedbylicenseesofindependentspentfuelstoragefacilities(ISFSIs)orspent fuelstoragecaskdesigncertificateholdersforimplementationoftherevised10CFR72.48.The NRCplanstoissueguidancethatwouldendorse(withcommentifneeded)acompanionindustry guidancedocumentthathasadjustmentstotheexamplesandotherspecificaspectsastheypertain to10CFR72.48.7.APPLICABILITYOFPASTNRCCOMMUNICATIONSTheNRChasissuedanumberofcommunicationssuchasGenericLettersorBulletinsthatdiscussedorreferredto10CFR50.59.Inconsideringwhethertheinformationinthosedocuments remainsapplicable,itshouldbenotedthatthosedocumentswerebasedontherulerequirements thatexistedatthetimeofissuance.Totheextentthatthediscussionthereinrelatestospecific aspectsoftherule,suchasevaluationcriteriathathavebeenrevised,thesepastdocumentsmayno 1.187-4longerbefullyconsistentandthenewrulerequirementswouldprevail.Thestatusisunchangedofotherpartsofthesedocumentsthatarenotaffectedbytherevisionstotherule.8.USEOFOTHERMETHODSTomeettherequirementsof10CFR50.59,licenseesmayusemethodsotherthanthosesetforthinRevision1ofNEI96-07.TheNRCwilldeterminetheacceptabilityofothermethodsona case-by-casebasis.

D. IMPLEMENTATION

ThepurposeofthissectionistoprovideinformationtolicenseesandapplicantsregardingtheNRCstaff'splansforusingthisregulatoryguide.ExceptinthosecasesinwhichalicenseeproposesanacceptablealternativemethodforcomplyingwiththespecifiedportionsoftheNRC'sregulations,themethodsdescribedinthis guidewillbeusedintheevaluationoflicenseecompliancewiththerequirementsof 10CFR50.5 .187-A-1APPENDIXATEXTOF10CFR50.59§50.59Changes,Tests,andExperiments.(a)Definitionsforthepurposesofthissection:(1)Changemeansamodificationoradditionto,orremovalfrom,thefacilityorproceduresthataffectsadesignfunction,methodofperformingorcontrollingthefunction,oranevaluationthatdemonstratesthatintendedfunctionswillbeaccomplished.(2)DeparturefromamethodofevaluationdescribedintheFSAR(asupdated)usedinestablishingthedesignbasesorinthesafetyanalysesmeans(i)changinganyoftheelementsofthemethoddescribedintheFSAR(asupdated)unlesstheresultsoftheanalysisareconservative oressentiallythesame;or(ii)changingfromamethoddescribedintheFSARtoanothermethod unlessthatmethodhasbeenapprovedbyNRCfortheintendedapplication.(3)Facilityasdescribedinthefinalsafetyanalysisreport(asupdated)means:(i)Thestructures,systems,andcomponents(SSC)thataredescribedinthefinal safetyanalysisreport(FSAR)(asupdated),

(ii)ThedesignandperformancerequirementsforsuchSSCsdescribedintheFSAR (asupdated),and (iii)TheevaluationsormethodsofevaluationincludedintheFSAR(asupdated)

forsuchSSCswhichdemonstratethattheirintendedfunction(s)willbe accomplished.(4)FinalSafetyAnalysisReport(asupdated)meanstheFinalSafetyAnalysisReport(orFinalHazardsSummaryReport)submittedinaccordancewith§50.34,asamendedand supplemented,andasupdatedpertherequirementsof§50.71(e)or§50.71(f),asapplicable.(5)Proceduresasdescribedinthefinalsafetyanalysisreport(asupdated)meansthoseproceduresthatcontaininformationdescribedintheFSAR(asupdated)suchashowstructures, systems,andcomponentsareoperatedandcontrolled(includingassumedoperatoractionsand responsetimes).(6)Testsorexperimentsnotdescribedinthefinalsafetyanalysisreport(asupdated)meansanyactivitywhereanystructure,system,orcomponentisutilizedorcontrolledinamanner whichiseither:(i)Outsidethereferenceboundsofthedesignbasesasdescribedinthefinalsafety analysisreport(asupdated)or (ii)Inconsistentwiththeanalysesordescriptionsinthefinalsafetyanalysisreport (asupdated).(b)Applicability.Thissectionappliestoeachholderofalicenseauthorizingoperationofaproductionorutilizationfacility,includingtheholderofalicenseauthorizingoperationofa nuclearpowerreactorthathassubmittedthecertificationofpermanentcessationofoperations requiredunder§50.82(a)(1)orareactorlicenseewhoselicensehasbeenamendedtoallow possessionbutnotoperationofthefacility.(c)(1)Alicenseemaymakechangesinthefacilityasdescribedinthefinalsafetyanalysisreport(asupdated),makechangesintheproceduresasdescribedinthefinalsafetyanalysisreport(as 1.187-A-2updated),andconducttestsorexperimentsnotdescribedinthefinalsafetyanalysisreport(asupdated)withoutobtainingalicenseamendmentpursuantto§50.90onlyif:(i)Achangetothetechnicalspecificationsincorporatedinthelicenseisnot required,and (ii)Thechange,test,orexperimentdoesnotmeetanyofthecriteriainparagraph (c)(2)ofthissection.(2)Alicenseeshallobtainalicenseamendmentpursuantto§50.90priortoimplementingaproposedchange,test,orexperimentifthechange,test,orexperimentwould:(i)Resultinmorethanaminimalincreaseinthefrequencyofoccurrenceofan accidentpreviouslyevaluatedinthefinalsafetyanalysisreport(asupdated);

(ii)Resultinmorethanaminimalincreaseinthelikelihoodofoccurrenceofa malfunctionofastructure,system,orcomponent(SSC)importanttosafety previouslyevaluatedinthefinalsafetyanalysisreport(asupdated);

(iii)Resultinmorethanaminimalincreaseintheconsequencesofanaccident previouslyevaluatedinthefinalsafetyanalysisreport(asupdated);

(iv)Resultinmorethanaminimalincreaseintheconsequencesofamalfunctionof anSSCimportanttosafetypreviouslyevaluatedinthefinalsafetyanalysisreport (asupdated);

(v)Createapossibilityforanaccidentofadifferenttypethananypreviously evaluatedinthefinalsafetyanalysisreport(asupdated);(vi)CreateapossibilityforamalfunctionofanSSCimportanttosafetywithadifferentresultthananypreviouslyevaluatedinthefinalsafetyanalysisreport(as updated);

(vii)Resultinadesignbasislimitforafissionproductbarrierasdescribedinthe FSAR(asupdated)beingexceededoraltered;or (viii)ResultinadeparturefromamethodofevaluationdescribedintheFSAR(as updated)usedinestablishingthedesignbasesorinthesafetyanalyses(3)Inimplementingthisparagraph,theFSAR(asupdated)isconsideredtoincludeFSARchangesresultingfromevaluationsperformedpursuanttothissectionandanalysesperformed pursuantto§50.90sincesubmittalofthelastupdateofthefinalsafetyanalysisreportpursuantto

§50.71ofthispart.(4)Theprovisionsinthissectiondonotapplytochangestothefacilityorprocedureswhentheapplicableregulationsestablishmorespecificcriteriaforaccomplishingsuchchanges.(d)(1)Thelicenseeshallmaintainrecordsofchangesinthefacility,ofchangesinprocedures,andoftestsandexperimentsmadepursuanttoparagraph(c)ofthissection.Theserecordsmust includeawrittenevaluationwhichprovidesthebasesforthedeterminationthatthechange,testor experimentdoesnotrequirealicenseamendmentpursuanttoparagraph(c)(2)ofthissection.(2)Thelicenseeshallsubmit,asspecifiedin§50.4,areportcontainingabriefdescriptionofanychanges,tests,andexperiments,includingasummaryoftheevaluationofeach.Areport mustbesubmittedatintervalsnottoexceed24months.(3)Therecordsofchangesinthefacilitymustbemaintaineduntiltheterminationofalicenseissuedpursuanttothispartortheterminationofalicenseissuedpursuantto10CFRPart 54,whicheverislater.Recordsofchangesinproceduresandrecordsoftestsandexperiments mustbemaintainedforaperiodof5year VALUE/IMPACTSTATEMENTAseparateValue/ImpactStatementwasnotpreparedforthisregulatoryguide.TheValue/ImpactStatementthatwaspreparedaspartoftheRegulatoryAnalysisfortherulemakingin May1999isstillapplicable.CopiesoftheRegulatoryAnalysisareavailableforinspectionor copyingforafeeintheNRC'sPublicDocumentRoomat11555RockvillePike,Rockville,MD, Washington,DC,aspartofSECY-99-130,datedMay12,1999.ThePDRmaybereachedby telephoneat(301)415-4737orfaxat(301)415-3548.ADAMSAccessionNumberofRegulatoryGuide1.187:

ML003759710ADAMSAccessionNumberofRevision1ofNEI96-07:

ML003771157