(a) Definitions for the purposes of this section:
(1) Change means a modification or addition to, or removal from, the facility or spent fuel storage cask design or procedures that affects a design function, method of performing or controlling the function, or an evaluation that demonstrates that intended functions will be accomplished.
(2) Departure from a method of evaluation described in the FSAR (as updated) used in establishing the design bases or in the safety analyses means:
(i) Changing any of the elements of the method described in the FSAR (as updated) unless the results of the analysis are conservative or essentially the same; or
(ii) Changing from a method described in the FSAR to another method unless that method has been approved by NRC for the intended application.
(3) Facility means either an independent spent fuel storage installation (ISFSI) or a Monitored Retrievable Storage facility (MRS).
(4) The facility or spent fuel storage cask design as described in the Final Safety Analysis Report (FSAR) (as updated) means:
(i) The structures, systems, and components (SSC) that are described in the FSAR (as updated),
(ii) The design and performance requirements for such SSCs described in the FSAR (as updated), and
(iii) The evaluations or methods of evaluation included in the FSAR (as updated) for such SSCs which demonstrate that their intended function(s) will be accomplished.
(5) Final Safety Analysis Report (as updated) means:
(i) For specific licensees, the Safety Analysis Report for a facility submitted and updated in accordance with § 72.70;
(ii) For general licensees, the Safety Analysis Report for a spent fuel storage cask design, as amended and supplemented; and
(iii) For certificate holders, the Safety Analysis Report for a spent fuel storage cask design submitted and updated in accordance with § 72.248.
(6) Procedures as described in the Final Safety Analysis Report (as updated) means those procedures that contain information described in the FSAR (as updated) such as how SSCs are operated and controlled (including assumed operator actions and response times).
(7) Tests or experiments not described in the Final Safety Analysis Report (as updated) means any activity where any SSC is utilized or controlled in a manner which is either:
(i) Outside the reference bounds of the design bases as described in the FSAR (as updated) or
(ii) Inconsistent with the analyses or descriptions in the FSAR (as updated).
(b) This section applies to:
(1) Each holder of a general or specific license issued under this part, and
(2) Each holder of a Certificate of Compliance (CoC) issued under this part.
(c)
(1) A licensee or certificate holder may make changes in the facility or spent fuel storage cask design as described in the FSAR (as updated), make changes in the procedures as described in the FSAR (as updated), and conduct tests or experiments not described in the FSAR (as updated), without obtaining either:
(i) A license amendment pursuant to § 72.56 (for specific licensees) or
(ii) A CoC amendment submitted by the certificate holder pursuant to § 72.244 (for general licensees and certificate holders) if:
(A) A change to the technical specifications incorporated in the specific license is not required; or
(B) A change in the terms, conditions, or specifications incorporated in the CoC is not required; and
(C) The change, test, or experiment does not meet any of the criteria in paragraph (c)(2) of this section.
(2) A specific licensee shall obtain a license amendment pursuant to § 72.56, a certificate holder shall obtain a CoC amendment pursuant to § 72.244, and a general licensee shall request that the certificate holder obtain a CoC amendment pursuant to § 72.244, prior to implementing a proposed change, test, or experiment if the change, test, or experiment would:
(i) Result in more than a minimal increase in the frequency of occurrence of an accident previously evaluated in the FSAR (as updated);
(ii) Result in more than a minimal increase in the likelihood of occurrence of a malfunction of a system, structure, or component (SSC) important to safety previously evaluated in the FSAR (as updated);
(iii) Result in more than a minimal increase in the consequences of an accident previously evaluated in the FSAR (as updated);
(iv) Result in more than a minimal increase in the consequences of a malfunction of an SSC important to safety previously evaluated in the FSAR (as updated);
(v) Create a possibility for an accident of a different type than any previously evaluated in the FSAR (as updated);
(vi) Create a possibility for a malfunction of an SSC important to safety with a different result than any previously evaluated in the FSAR (as updated);
(vii) Result in a design basis limit for a fission product barrier as described in the FSAR (as updated) being exceeded or altered; or
(viii) Result in a departure from a method of evaluation described in the FSAR (as updated) used in establishing the design bases or in the safety analyses.
(3) In implementing this paragraph, the FSAR (as updated) is considered to include FSAR changes resulting from evaluations performed pursuant to this section and analyses performed pursuant to § 72.56 or § 72.244 since the last update of the FSAR pursuant to § 72.70, or § 72.248 of this part.
(4) The provisions in this section do not apply to changes to the facility or procedures when the applicable regulations establish more specific criteria for accomplishing such changes.
(d)
(1) The licensee and certificate holder shall maintain records of changes in the facility or spent fuel storage cask design, of changes in procedures, and of tests and experiments made pursuant to paragraph (c) of this section. These records must include a written evaluation which provides the bases for the determination that the change, test, or experiment does not require a license or CoC amendment pursuant to paragraph (c)(2) of this section.
(2) The licensee and certificate holder shall submit, as specified in § 72.4, a report containing a brief description of any changes, tests, and experiments, including a summary of the evaluation of each. A report shall be submitted at intervals not to exceed 24 months.
(3) The records of changes in the facility or spent fuel storage cask design shall be maintained until:
(i) Spent fuel is no longer stored in the facility or the spent fuel storage cask design is no longer being used, or
(ii) The Commission terminates the license or CoC issued pursuant to this part.
(4) The records of changes in procedures and of tests and experiments shall be maintained for a period of 5 years.
(5) The holder of a spent fuel storage cask design CoC, who permanently ceases operation, shall provide the records of changes to the new certificate holder or to the Commission, as appropriate, in accordance with § 72.234(d)(3).
(6)
(i) A general licensee shall provide a copy of the record for any changes to a spent fuel storage cask design to the applicable certificate holder within 60 days of implementing the change.
(ii) A specific licensee using a spent fuel storage cask design, approved pursuant to subpart L of this part, shall provide a copy of the record for any changes to a spent fuel storage cask design to the applicable certificate holder within 60 days of implementing the change.
(iii) A certificate holder shall provide a copy of the record for any changes to a spent fuel storage cask design to any general or specific licensee using the cask design within 60 days of implementing the change.
[64 FR 53615, Oct. 4, 1999, as amended at 66 FR 11527, Feb. 26, 2001]