---
kind: "range"
citation: "10 C.F.R. §§ 53.1360–53.1405"
title: "10"
from: "53.1360"
to: "53.1405"
count: 13
url: "https://uscodex.org/cfr/10/53.1360..53.1405"
---

# §53.1360. Operating licenses.


[Sections 53.1360 through 53.1405](/cfr/10/53.1360..53.1405.md) set out the requirements and procedures applicable to Commission issuance of an OL for a nuclear power facility.


# §53.1366. Contents of applications for operating licenses; general information.


An application for an OL must include the information required by [§ 53.1109](/cfr/10/53.1109.md) and, except for an electric utility applicant, information sufficient to demonstrate to the Commission the financial qualification of the applicant to carry out, in accordance with the regulations in this chapter, the activities for which the license is sought. As applicable, the applicant must submit information that demonstrates the applicant appears to be financially qualified to cover estimated operation costs for the period of the license. The applicant must submit estimates for total annual operating costs for each of the first 5 years of operation of the facility and a financial capacity plan and must indicate any source(s) of funds available at the time of application to cover these costs. If available funding at the time of application is 50 percent or less, the applicant should include proposed license conditions to facilitate verification that funding is available prior to the start of operations.


# §53.1369. Contents of applications for operating licenses; technical information.


Final Safety Analysis Report. The application must contain an FSAR that describes the facility and the limits on its operation and presents a safety analysis of the SSCs of the facility as a whole. The FSAR must include the following information, at a level of detail sufficient to enable the Commission to reach a final conclusion on all safety matters that must be resolved by the Commission before issuance of an OL:

- (a) **Site information.** An application for an OL for a commercial nuclear reactor must include the site information equivalent to that required for an early site permit in [§ 53.1146(a)(1)(iv) through (x)](/cfr/10/53.1146.md?p=a-1-iv..a-1-x), including all current information, such as the results of environmental and meteorological monitoring programs, which has been developed since issuance of the CP, relating to site evaluation factors identified in this part.
- (b) **Design information.** Except as specified in this [paragraph (b)](#b), an FSAR for an OL for a commercial nuclear plant must include the final design information equivalent to that required for a standard design certification as defined in § [53.1239(a)(2) through (7)](/cfr/10/53.1239.md?p=a-2..a-7), [(a)(9)](/cfr/10/53.1239.md?p=a-9), [(a)(11)](/cfr/10/53.1239.md?p=a-11) and [(12)](/cfr/10/53.1239.md?p=a-12), [(a)(14) through (21)](/cfr/10/53.1239.md?p=a-14..a-21), [(a)(23)](/cfr/10/53.1239.md?p=a-23), and [(a)(25)](/cfr/10/53.1239.md?p=a-25).
  - (1) The completed design, including any changes during construction, must be described.
  - (2) Where any design feature had not been fully developed or demonstrated at the time of application for the CP, the applicant must provide the analysis, research and development, test programs, gathering of experience, or a combination thereof to provide the required demonstration to fulfill the functional design criteria.
- (c) [Reserved]
- (d) **Integrity assessment program.** A description of an Integrity Assessment Program that addresses the elements described in [§ 53.870](/cfr/10/53.870.md).
- (e) **Safeguards information.** A description of the program to protect Safeguards Information against unauthorized disclosure in accordance with the requirements in §§ [73.21](/cfr/10/73.21.md) and [73.22](/cfr/10/73.22.md) of this chapter, as applicable.
- (f) **Emergency response facility or facilities.** Description of location and capabilities to be established for command and control, support, and coordination of onsite and offsite, as applicable, functions during reactor accident conditions.
- (g) **Role of personnel.**
  - (1) A description of the completed assessments related to the role of personnel in ensuring safe operations considering the analyses required by [§ 53.730](/cfr/10/53.730.md). These assessments must include the following:
    - (i) Human factors engineering design requirements of [§ 53.730(a)](/cfr/10/53.730.md?p=a);
    - (ii) Human system interface design requirements of [§ 53.730(b)](/cfr/10/53.730.md?p=b);
    - (iii) Concept of operations of [§ 53.730(c)](/cfr/10/53.730.md?p=c);
    - (iv) Functional requirements analysis and function allocation of [§ 53.730(d)](/cfr/10/53.730.md?p=d);
  - (2) A description of the program to be used for evaluating and applying operating experience as required by [§ 53.730(e)](/cfr/10/53.730.md?p=e);
  - (3) A staffing plan and supporting analyses as required by [§ 53.730(f)](/cfr/10/53.730.md?p=f).
- (h) **Training, examination, and proficiency programs.**
  - (1) A description of the training, examination, and proficiency programs required by [§ 53.730(g)](/cfr/10/53.730.md?p=g);
  - (2) A description of the training programs required by [§ 53.830](/cfr/10/53.830.md).
    - (i) **Emergency plan.** Emergency plans complying with the requirements of [§ 53.855](/cfr/10/53.855.md).
  - (1) Include all emergency plan certifications, as applicable, that have been obtained from the State, local, and participating Tribal governmental agencies with emergency planning responsibilities that are wholly or partially within the EPZ plume exposure pathway. These certifications must state that—
    - (i) The proposed emergency plans are practicable;
    - (ii) These agencies are committed to participating in any further development of the plans, including any required field demonstrations; and
    - (iii) These agencies are committed to executing their responsibilities under the plans in the event of an emergency.
  - (2) If certifications cannot be obtained after sustained, good faith efforts by the applicant, then the application must contain information, including a utility plan, sufficient to show that the proposed plans provide reasonable assurance that adequate protective measures can and will be taken in the event of a radiological emergency at the site.
  - (3) If complete and integrated emergency plans were approved as part of an early site permit, or submitted, reviewed, and approved as part of the CP application, new certifications that demonstrate compliance with the requirements of paragraph (i)(1) of this section are not required.
- (j) **Organization.** A description of the applicant's organizational structure, allocations of responsibilities and authorities, and personnel qualifications requirements for operation.
- (k) **Maintenance program.** A description of a maintenance program under [§ 53.715](/cfr/10/53.715.md).
- (l) **Quality assurance.** A description of the QAP that demonstrates compliance with the requirements under [§ 53.865](/cfr/10/53.865.md).
- (m) **Radiation protection program.** A radiation protection program description under [§ 53.850](/cfr/10/53.850.md).
- (n) **Security program.** A physical security plan that describes how the applicant will comply with [§ 53.860](/cfr/10/53.860.md) (and [10 CFR part 11](/cfr/10/part11.md), if applicable, including the identification and description of jobs as required by [§ 11.11(a)](/cfr/10/11.11.md?p=a) of this chapter, at the proposed facility). The plan must list tests, inspections, audits, and other means to be used to demonstrate compliance with the requirements of 10 CFR parts [11](/cfr/10/part11.md) and [73](/cfr/10/part73.md), if applicable.
- (o) **Safeguards contingency plan.** A safeguards contingency plan in accordance with the criteria set forth in appendix C to [10 CFR part 73](/cfr/10/part73.md). The safeguards contingency plan must include plans for dealing with threats, thefts, and radiological sabotage, as defined in [10 CFR part 73](/cfr/10/part73.md), relating to the SNM and nuclear facilities licensed under this chapter and in the applicant's possession and control. Each application for this type of license must include the information contained in the applicant's safeguards contingency plan. (Implementing procedures required for this plan need not be submitted for approval.) 1
- (p) **Security training and qualification.** A training and qualification plan that describes how the applicant will demonstrate compliance with the criteria set forth in [§ 73.100](/cfr/10/73.100.md) of this chapter or appendix B to [10 CFR part 73](/cfr/10/part73.md).
- (q) **Cybersecurity plan.** A cybersecurity plan in accordance with the criteria set forth in [§ 73.54](/cfr/10/73.54.md) or [§ 73.110](/cfr/10/73.110.md) of this chapter.
- (r) **Security, safeguards, and cybersecurity plan implementation.** A description of the implementation of the physical security plan, safeguards contingency plan, training and qualification plan, and cybersecurity plan. Each applicant who prepares a physical security plan, a safeguards contingency plan, a training and qualification plan, or a cybersecurity plan must protect the plans and other related Safeguards Information against unauthorized disclosure in accordance with the requirements of §§ [73.21](/cfr/10/73.21.md) and [73.22](/cfr/10/73.22.md) of this chapter.
- (s) **Fire protection program.** A description of the fire protection program under [§ 53.875](/cfr/10/53.875.md).
- (t) **Inservice inspection/inservice testing program.** A description of the inservice inspection and inservice testing programs under [§ 53.880](/cfr/10/53.880.md).
- (u) -(v) [Reserved]
- (w) **General employee training.** A description of the training program required to demonstrate compliance with [§ 53.830](/cfr/10/53.830.md) and its implementation.
- (x) **Fitness-for-duty program.** A description of the FFD program required by [10 CFR part 26](/cfr/10/part26.md) and its implementation.
- (y) **Other programs.** A description and evaluation of the results of the applicant's programs, including research and development, if any, to demonstrate that any safety questions identified at the CP stage have been resolved.
- (z) **Safety design feature performance.** A description of how the performance of each safety design feature has been demonstrated capable of fulfilling functional design criteria considering interdependent effects through either analysis, appropriate test programs, prototype testing, operating experience, or a combination thereof, in accordance with [§ 53.440(a)](/cfr/10/53.440.md?p=a).
- (aa) **Technical specifications.** Proposed technical specifications prepared in accordance with the requirements of [§ 53.710(a)](/cfr/10/53.710.md?p=a).

# §53.1372. Contents of applications for operating licenses; other application content.


In addition to the FSAR, the application must also include the following:

- (a) **Environmental report.** An environmental report in accordance with [§ 51.53(b)](/cfr/10/51.53.md?p=b) of this chapter.
- (b) **Availability controls (if not included in the FSAR).** A description of the controls on plant operations, including availability controls, to provide reasonable confidence of safe operation and that the configurations and special treatments for SR and NSRSS SSCs provide the capabilities and reliabilities required to satisfy the safety criteria of [§ 53.220](/cfr/10/53.220.md) if not addressed by Technical Specifications under [§ 53.1369(aa)](/cfr/10/53.1369.md?p=aa).

# §53.1375. Review of applications.

- (a) **Standards for review of applications.** Applications filed under this part will be reviewed according to the standards set out in 10 CFR parts [20](/cfr/10/part20.md), [26](/cfr/10/part26.md), 51, 53, 73, and 140.
- (b) **Administrative review of applications; hearings.** A proceeding on an OL is subject to all applicable procedural requirements contained in [10 CFR part 2](/cfr/10/part2.md), including the requirements for docketing ([§ 2.101](/cfr/10/2.101.md) of this chapter) and issuance of a notice of hearing ([§ 2.104](/cfr/10/2.104.md) of this chapter). All hearings on OLs are governed by the procedures contained in [10 CFR part 2](/cfr/10/part2.md).

# §53.1381. Referral to the Advisory Committee on Reactor Safeguards.


The Commission must refer a copy of the application to the ACRS. The ACRS must report on those portions of the application that concern safety and must apply the standards referenced in [§ 53.1375](/cfr/10/53.1375.md).


# §53.1384. Exemptions, departures, and variances.

- (a) Applicants for an OL under this part, or any amendment to an OL, may include in the application a request for an exemption from one or more of the Commission's regulations. The Commission may grant an exemption request if it determines that the exemption complies with [§ 53.080](/cfr/10/53.080.md).
- (b) An applicant for an OL who has filed an application referencing an NRC approval, permit, license, or certification issued under this part may include in the application a request for departures, variances, or exemptions related to the subject referenced NRC approval, permit, license, or certification. In determining whether to grant the departure, variance, or exemption, the Commission must apply the same technically relevant criteria as were applicable to the application for the original or renewed approval, license, or certification.

# §53.1387. Issuance of operating licenses.


Upon completion of the construction or alteration of a facility, in compliance with the terms and conditions of the construction permit and subject to any necessary testing of the facility for health or safety purposes, the Commission will, in the absence of good cause shown to the contrary, issue an OL or an appropriate amendment of the license, as the case may be.

- (a)
  - (1) After receiving the report submitted by the ACRS, the Commission may issue an OL if the Commission finds that—
    - (i) Construction of the facility has been substantially completed in conformity with the CP and the application as amended, the provisions of the Act, and the rules and regulations of the Commission;
    - (ii) Any required notifications to other agencies or bodies have been duly made;
    - (iii) The facility will operate in conformity with the application as amended, the provisions of the Act, and the rules and regulations of the Commission;
    - (iv) **There is reasonable assurance that—**
      - (A) The activities authorized by the OL can be conducted without endangering the health and safety of the public; and
      - (B) Such activities will be conducted in compliance with the regulations in this chapter.
    - (v) The applicant is technically and financially qualified to engage in the activities authorized, however, no finding of financial qualification is necessary for an electric utility applicant for an OL;
    - (vi) Issuance of the license will not be inimical to the common defense and security or to the health and safety of the public;
    - (vii) The applicable provisions of [10 CFR part 140](/cfr/10/part140.md) have been satisfied; and
    - (viii) **The findings required by 10 CFR part 51 have been made.**
  - (2) [Reserved]
- (b) [Reserved]
- (c) The OL will include appropriate provisions with respect to any uncompleted items of construction and such limitations or conditions as are required to assure that operation during the period of the completion of such items will not endanger public health and safety.
- (d) The Commission will issue an OL in such form and containing such conditions and limitations, including technical specifications, as it deems necessary and appropriate.

# §53.1390. Backfitting of operating licenses.


After issuance of an OL, the Commission may not modify, add, or delete any term or condition of the OL, except in accordance with the provisions of [§ 53.1590](/cfr/10/53.1590.md).


# §53.1396. Duration of operating licenses.


The Commission will issue an OL under this part for the term requested by the applicant, not to exceed 40 years from the date of issuance, or for the estimated useful life of the facility if the Commission determines that the estimated useful life is less than the term requested.


# §53.1399. Transfer of an operating license.


An OL may be transferred under [§ 53.1570](/cfr/10/53.1570.md).


# §53.1402. Application for renewal.


The filing of an application for a renewed license must be in accordance with [§ 53.1595](/cfr/10/53.1595.md).


# §53.1405. Continuation of an operating license.


Each OL for a facility that has permanently ceased operations continues in effect beyond the expiration date to authorize ownership and possession of the facility until the Commission notifies the licensee in writing that the license is terminated. During this period of continued effectiveness, the licensee must—

- (a) Take actions necessary to decommission and decontaminate the facility and continue to maintain the facility, including, where applicable, the storage, control, and maintenance of the spent fuel in a safe condition; and
- (b) Conduct activities in accordance with all other restrictions applicable to the facility in accordance with the NRC's regulations and the provisions of the OL for the facility.