Government Publications Review, Vol. 10, pp. 221-225, 1983 0177-9390/83/020221-05$03.00/O Printed in the USA. All rights reserved. Copyright o 1983 Pergamon Press Ltd

DOCUMENTATION OF NUCLEAR POWER PLANT AND U.S. NUCLEAR REGULATORY COMMISSION LOCAL PUBLIC DOCUMENT ROOMS

CHI SU KIM Head, Documents and Maps Department, R.E. Kennedy Library, California Polytechnic State University,

San Luis Obispo, California 93407

Abstract -Controversy over nuclear power plants is a constant topic in the media. As the controversy grows, the public seeks more technical and legal information. In assisting the public, the document librarians’ resources are generally limited to those selective NRC publications received from the Government Printing Office. The fact is that a tremendous number of additional documents are available through the NRC-Public Documents Room Program. The documentation of the licensing pro- cess is a complex one. This article briefly discusses the basic licensing proceedings and reviews the types of documents that are produced at different licensing stages.

Upon enactment of the Energy Reorganization Act of 1974, as amended, Public Law 93-438, all the licensing and regulatory functions of the Atomic Energy Commission were transferred to the Nuclear Regulatory Commission [l]. Its statutory responsibilities for regulating civilian use of nuclear material made the Commission one of the most powerful regulatory agencies ever created by Congress [2]. The Commission has authority to license and regulate facilities and materials associated with the production, processing, transport, and handling of nuclear materials, including the construction and operation of nuclear power plants. Public concern over the safety and the environmental issues of nuclear power plants has grown. The accident at Three Mile Island and the controversy over the design flaws at Diablo Canyon Nuclear Power Plant further prompted the public to seek govern- ment publications on the matter. Some Nuclear Regulatory Commission documents are distributed through the GPO depository program, but there are tremendous numbers of documents which are only made available to the public through the 121 NRC Local Public Document Rooms (LPDR) typically located in libraries in cities and towns near proposed and operating nuclear power plant sites [3].

The scope of the LPDR collection is enormous and consists of technical reports, en- vironmental reports, adjudicatory documents, transcripts of hearings, safety analysis reports, inspection reports, emergency plans, antitrust materials, transcripts of Commission meetings, etc. [4]. The LPDR document collection warrants every document librarians’ ap- prehension; here we shall review the nature of some of the key documents and the licensing process. Additionally, the arrangement of the collection, the filing system, and the construc- tion of the accession number used at the LPDR will be discussed to enhance a further understanding of the collection.

LICENSING PROCESS AND DOCUMENTATION

The Nuclear Regulatory Commission is headed by five members appointed by the Presi- dent and confirmed by the Senate, or a quorum thereof sitting as a body. The rule-making,

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decision-making, and the purely administrative authority on whether to issue a construction permit or an operating license are prerogatives of the Commission. Thus, a broad range of the Commission’s activities generate, in fact, quasi-legislative, quasi-judicial, and purely administrative types of documents.

Before a nuclear power plant can be built, utilities must first obtain a construction permit from the NRC. Following a completion of construction, the utilities must obtain an operating license. Obtaining a construction permit involves the following phases:

1. Filing and acceptance of the application. 2. The NRC staff review on safety, environmental, safeguard and antitrust matters. 3. A safety review by the Advisory Committee on Reactor Safeguard (ACRS). 4. A review and public hearings conducted by the Atomic Safety and Licensing Board (ASLB). 5. A decision by the Atomic Safety and Licensing Appeal Board (ASLAB) if it is necessary. 6. The final NRC decision by Commission. 7. A decision by the federal court, when necessary.

Besides the general and financial information, the application for a construction permit includes the class of license applied for, the financial qualifications of the applicant, a Preliminary Safety Analysis Report (PSAR), an Environmental Report (ER), site suitability information, and antitrust materials. The PSAR, which is probably the most impressive document due to its sheer physical size and accumulation of information, presents:

1. A description and safety assessment of the power plant site; 2. Design features and operating characteristics; 3. Preliminary analysis of the performance of structures, systems, and components of the

proposed facilities; 4. Plan for applicant’s organization, training of personnel, and conduct of operations; 5. A description of the quality assurance, program to be applied to the design, fabrication,

construction, and testing; 6. Technical qualification of the applicant; and 7. Preliminary plan for coping with emergencies and others [6].

The ER, which is entitled Applicant’s Environmental Report-Construction Permit State, contains:

1. A description of the proposed action; 2. A statement of its purposes; 3. Probable adverse environmental effects; 4. Alternatives to the proposed action; 5. Cost-benefit analysis; 6. Status of compliance of the facility with environmental quality standards imposed by fed-

eral, state, regional, and local agencies; and 7. Environmental effects of the transportation of cold fuel to the reactor, irradiated fuel to a

fuel reprocessing plant, and the transportation of a radioactive waste to waste sites.

As to the general information on and financial qualifications of the applicant, no specific form is prescribed for submittance to the NRC. However, the documents include the appli- cant’s estimate of the total cost of the proposed facility, nuclear fuel inventory accounts prescribed by the Federal Power Commission, a financial plan for financing the cost of the facility, the annual financial report or the balance sheet, and the operating statement of the utility [7].

Occasionally the Commission requests that the applicant submit additional information

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regarding any segment of the above documents. All these documents, including others men- tioned above, are docketed and sent to a designated LPDR. At the same time, a notice of public hearing is announced in the Federal Register at least 30 days before the date so that members of the public can petition to intervene in the proceeding [8].

The NRC staff reviews the Preliminary Safety Analysis Report to determine whether the proposed plant meets the NRC’s standards. One of the most important documents used at this reviewing process is entitled NUREG-7.5/087 Standard Review Plan for Safety Analysis Reports for Nuclear Power Plants, L WR ed. (Y3.N88:10/75/087). In accordance with 10 CFR 100 Reactor Site Criteria, the population center distance and the seismic and geologic siting criteria are also examined. The NRC staff requests the applicant to provide additional information as needed to complete the review; the LPDRs receive copies of all the cor- respondence and responses. The staff may also require modifications in design. When the criteria have been met, the staff prepares a Safety Evaluation Report (SER). Following publication of the SER, the Advisory Committee on Reactor Safeguard (ACRS) conducts a review. Actually, the review by the ACRS subcommittee begins far earlier because copies of the PSAR are provided to the ACRS as soon as the application for a construction permit is docketed. The Committee reviews safety studies and facility license applications and makes reports thereon which are part of the public record of the proceedings. The full committee meeting with the staff and the applicant present is open to the public, and the minutes of the meeting are sent to the LPDR. When the review is completed, the ACRS presents its inde- pendent recommendations and the results of the evaluation. A public hearing conducted by the Atomic Safety and Licensing Board (ASLB) can then be held. The NRC staff also begins the environmental review, with an analysis of the applicant’s Environmental Report (ER). Upon completion of its review the staff prepares a Draft Environmental Statement and distributes it among appropriate government agencies, the LPDR, and other members of the public, with specific requests for comment. After all comments are taken into account, the staff prepares a Final Environmental Statement. This publication is again distributed among interested parties, including GPO depository libraries. This document, and the NRC staff- prepared Safety Evaluation Report, with its supplements, become the most important documents used at the hearing. The accident at the Three Mile Island nuclear power station brought many changes in the licensing processes- one of which is that a construction permit cannot be issued until it is authorized by the NRC itself.

In advance of, or concurrently with, other licensing reviews, the NRC and the Attorney General carry out the antitrust review of license applications. The hearing on the antitrust matter which is mandatory by law, is held separately from those on safety and environmental aspects.

When the construction of the plant has progressed to the point where final design informa- tion and plans for operation are ready, the applicant submits the Final Safety Analysis Report (FSAR), in support of the application for an operating license. The FSAR sets forth the pertinent details on the final design of the facility, including final containment design, design of the nuclear core, and the waste handling system. In the case of Diablo Canyon nuclear power plant, its FSAR consisted of 13 volumes of 4” thick ring binders, each contain- ing 500 to 600 pages of documents, charts, and diagrams! The FSAR also provides plans for operation and procedures for coping with emergencies. Amendments to the application and reports may be submitted from time to time, and these are updated at the LPDR.

A public hearing is not mandatory with respect to an operating license application. However, soon after acceptance for review of the operating license application, the Commis- sion publishes a notice that it is considering issuance of the license. If a public hearing is held, the same decision process described for the construction permit hearing is applicable.

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The verbatim transcripts of all hearings are very voluminous because the hearing usually takes several days; however, the NRC manages to deliver them to the LPDR within 10 days.

The Commission must authorize issuance of an operating license. Each license contains technical specifications setting forth the particular safety and environmental protection measures to be imposed upon the plant as well as the conditions of its operation.

The documents mentioned above are basic titles generated during the licensing process of any nuclear power plant. In addition to these, the scope of the collection at the individual LPDR varies depending on the characteristics of geographical sites, problems of design and equipment, and, in general; the extent of involvement by intervenois. The documentation of the licensing is so thorough that it even includes copies of all letters and petitions that citizens send to the NRC, either in support or in opposition to the construction of the power plant.

The LPDR collection provides access to information beyond what the general public would expect to find. Though it may seem unlikely, the aforementioned FSAR contains detailed and updated personal resumes of plant operators and engineers. Emergency evacua- tion plans, reports on abnormal occurrences, and copies of periodic inspection reports also can be found in the collection. An elaborate security check of plant employees and visitors is far more stringent than in any military installation. Photographing any part of the plant is absolutely prohibited; however, ironically the LPDR collection contains hundreds of photo- graphs, designs and plans of the plant, including specification data of the equipment installed. All of these resources are open to the public.

ORGANIZATION OF COLLECTION AT THE LPDR

Prior to January 1981, the documents at the LPDR had been classified in one of 23 categories (e.g., antitrust file, applicant correspondence file, environmental statements, and Freedom of Information Act (FOIA) file),. with each individual document filed in chronological sequence in its respective category. At present, documents are arranged first by A through W categories and then by the ten-digit NRC accession number. The following descriptions exemplify the NRC system and augment our understanding of the character- istics of the collection:

A. Application/construction stage documents and correspondence B. Utility preliminary safety analysis report and amendments C. Utility environmental report, amendments, and correspondence D. NRC draft and final environmental statements, supplements and correspondence E. NRC safety evaluation report, supplements, and correspondence F. Security, medica emergency, and fire protection plan G. Legal and adjudicatory correspondence H. General correspondence I. Financial information J. Insurance and indemnity information K. Utility final safety analysis report and amendments L. Limited work authorization and related correspondence M. Antitrust review and antitrust correspondence N. Antitrust hearing transcripts, testimony, and briefings 0. Advisory Committee on Reactor Safeguard reports and correspondence P. Operating license stage documents and correspondence Q. Inspection reports: IE bulletins, Circulars, and Information Notices- civil penalties and

related correspondence

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R. Periodic operating reports and related correspondence S. Reportable occurrences, PNOs, PNSs and related correspondence T. Transcripts, testimony and briefing on non-antitrust matters U. Congressional/executive correspondence V. Licensing operators and related correspondence W. Decommissioning stage documents and correspondence

The NRC sends a weekly accession list to the LPDR, which pro&& bibliographic descrip- tions of the documents placed in individual LPDRs. For those whd do not have access to the accession list, depository item 1061-H-14, Title List of Documents Made Publicly Available (Y3.N88:21-2), can be used. This publication, which lists approximately 7,000 documents monthly, includes all docketed material associated with civilian nuclear power plants as well as covers other uses of radioactive materials, including nondocketed documents; incidentally the same accession numbers are used in the weekly accession list. A category notation and ac- cession number which are noted on the cover of each document held at the LPDR, serve as a key for retrieving a specific document from the collection. Some of the docketed informa- tion was formerly issued through Power Reactor Docket Information.

In conclusion, only a few of the LPDR documents are listed iti the Monthly Catalog of United States Government Publications, Government Reports Anhouncement and Index, Energy Research Abstracts, and other standard indexes. Consequently, an awareness of the LPDR collections is essential for any in-depth research on technical and legal issues. However, it should be noted that LPDR collections do not include some categories of records exempted by Executive Order 12065 [9] and classified in the interest of n&ion81 security. Still, readers should consult Title List of Documents Made Publicly Available in order to gain a more complete understanding of the scope of LPDR collections.

REFERENCES AND NOTES

1. 88 Stat. 1233 (42 U.S.C. 5891 et seq). 2. Stever, Jr., Donald W. Seabrook and the Nuclear Regulatory Commissidn: The' Licensing of a Nuclear Power

Plant. Hanover: University Press of New England, 1980. 3. U.S. Nuclear Regulatory Commission. 1981 Annual Report. Washington, D.C.: Government Printing Office,

1982, pp. 185-189. Updated listings of local PDRs may be obtained by writing to the Local Public Document Room Branch, Division of Rules and Records, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555.

4. See Appendix A: Definitions of Docket 50 Categories in any issue of U.S. Nuclear Regulatory Commission. Title List of DocumentS made Publicly Available. Washington, D.C.: Government Printing Office, monthly.

5. 10 CFR 50. 6. U.S. Nuclesit,Regulatory Commission. Regulatory Guides I. 70: Standard Format and Content of Safety Analysis

Reports for Nuclear Power Plants LWR Edition. Washington, D.C.: Government Printing Office, 1978. 7. 10 CFR 50.33. 8. 10 CFR 2.104. 9. EO 12065, 3 CRF, 1978.