ML18243A133
| ML18243A133 | |
| Person / Time | |
|---|---|
| Issue date: | 08/30/2018 |
| From: | Office of Nuclear Material Safety and Safeguards |
| To: | |
| Lynch J | |
| Shared Package | |
| ML18243A132 | List: |
| References | |
| Download: ML18243A133 (13) | |
Text
755 Nuclear Regulatory Commission
§ 37.73 the license verification provisions list-ed below instead of those listed in
§ 30.41(d) of this chapter:
(a) Any licensee transferring cat-egory 1 quantities of radioactive mate-rial to a licensee of the Commission or an Agreement State, prior to con-ducting such transfer, shall verify with the NRCs license verification system or the license issuing authority that the transferees license authorizes the receipt of the type, form, and quantity of radioactive material to be trans-ferred and that the licensee is author-ized to receive radioactive material at the location requested for delivery. If the verification is conducted by con-tacting the license issuing authority, the transferor shall document the verification. For transfers within the same organization, the licensee does not need to verify the transfer.
(b) Any licensee transferring cat-egory 2 quantities of radioactive mate-rial to a licensee of the Commission or an Agreement State, prior to con-ducting such transfer, shall verify with the NRCs license verification system or the license issuing authority that the transferees license authorizes the receipt of the type, form, and quantity of radioactive material to be trans-ferred. If the verification is conducted by contacting the license issuing au-thority, the transferor shall document the verification. For transfers within the same organization, the licensee does not need to verify the transfer.
(c) In an emergency where the li-censee cannot reach the license issuing authority and the license verification system is nonfunctional, the licensee may accept a written certification by the transferee that it is authorized by license to receive the type, form, and quantity of radioactive material to be transferred. The certification must in-clude the license number, current revi-sion number, issuing agency, expira-tion date, and for a category 1 ship-ment the authorized address. The li-censee shall keep a copy of the certifi-cation. The certification must be con-firmed by use of the NRCs license verification system or by contacting the license issuing authority by the end of the next business day.
(d) The transferor shall keep a copy of the verification documentation as a record for 3 years.
§ 37.73 Applicability of physical pro-tection of category 1 and category 2 quantities of radioactive material during transit.
(a) For shipments of category 1 quan-tities of radioactive material, each shipping licensee shall comply with the requirements for physical protection contained in §§ 37.75(a) and (e); 37.77; 37.79(a)(1), (b)(1), and (c); and 37.81(a),
(c), (e), (g) and (h).
(b) For shipments of category 2 quan-tities of radioactive material, each shipping licensee shall comply with the requirements for physical protection contained in §§ 37.75(b) through (e);
37.79(a)(2), (a)(3), (b)(2), and (c); and 37.81(b), (d), (f), (g), and (h). For those shipments of category 2 quantities of radioactive material that meet the cri-teria of § 71.97(b) of this chapter, the shipping licensee shall also comply with the advance notification provi-sions of § 71.97 of this chapter.
(c) The shipping licensee shall be re-sponsible for meeting the requirements of this subpart unless the receiving li-censee has agreed in writing to arrange for the in-transit physical protection required under this subpart.
(d) Each licensee that imports or ex-ports category 1 quantities of radio-active material shall comply with the requirements for physical protection during transit contained in §§ 37.75(a)(2) and (e); 37.77; 37.79(a)(1), (b)(1), and (c);
and 37.81(a), (c), (e), (g), and (h) for the domestic portion of the shipment.
(e) Each licensee that imports or ex-ports category 2 quantities of radio-active material shall comply with the requirements for physical protection during transit contained in
§§ 37.79(a)(2),
(a)(3),
and (b)(2);
and 37.81(b), (d), (f), (g), and (h) for the do-mestic portion of the shipment.
VerDate Sep<11>2014 11:44 Mar 12, 2018 Jkt 244030 PO 00000 Frm 00765 Fmt 8010 Sfmt 8010 Y:\\SGML\\244030.XXX 244030 rmajette on DSKBCKNHB2PROD with CFR
756 10 CFR Ch. I (1-1-18 Edition)
§ 37.75
§ 37.75 Preplanning and coordination of shipment of category 1 or cat-egory 2 quantities of radioactive material.
(a) Each licensee that plans to trans-port, or deliver to a carrier for trans-port, licensed material that is a cat-egory 1 quantity of radioactive mate-rial outside the confines of the licens-ees facility or other place of use or storage shall:
(1) Preplan and coordinate shipment arrival and departure times with the receiving licensee; (2) Preplan and coordinate shipment information with the governor or the governors designee of any State through which the shipment will pass to:
(i) Discuss the States intention to provide law enforcement escorts; and (ii) Identify safe havens; and (3) Document the preplanning and co-ordination activities.
(b) Each licensee that plans to trans-port, or deliver to a carrier for trans-port, licensed material that is a cat-egory 2 quantity of radioactive mate-rial outside the confines of the licens-ees facility or other place of use or storage shall coordinate the shipment no-later-than arrival time and the ex-pected shipment arrival with the re-ceiving licensee. The licensee shall doc-ument the coordination activities.
(c) Each licensee who receives a ship-ment of a category 2 quantity of radio-active material shall confirm receipt of the shipment with the originator. If the shipment has not arrived by the no-later-than arrival time, the receiv-ing licensee shall notify the originator.
(d) Each licensee, who transports or plans to transport a shipment of a cat-egory 2 quantity of radioactive mate-rial, and determines that the shipment will arrive after the no-later-than ar-rival time provided pursuant to para-graph (b) of this section, shall prompt-ly notify the receiving licensee of the new no-later-than arrival time.
(e) The licensee shall retain a copy of the documentation for preplanning and coordination and any revision thereof, as a record for 3 years.
§ 37.77 Advance notification of ship-ment of category 1 quantities of ra-dioactive material.
As specified in paragraphs (a) and (b) of this section, each licensee shall pro-vide advance notification to the NRC and the governor of a State, or the gov-ernors designee, of the shipment of li-censed material in a category 1 quan-tity, through or across the boundary of the State, before the transport, or de-livery to a carrier for transport of the licensed material outside the confines of the licensees facility or other place of use or storage.
(a) Procedures for submitting advance notification. (1) The notification must be made to the NRC and to the office of each appropriate governor or gov-ernors designee. The contact informa-tion, including telephone and mailing addresses, of governors and governors designees, is available on the NRCs Web site at https://scp.nrc.gov/special/
designee.pdf. A list of the contact infor-mation is also available upon request from the Director, Division of Material Safety, State, Tribal, and Rulemaking Programs, Office of Nuclear Material Safety and Safeguards., U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. Notifications to the NRC must be to the NRCs Director, Divi-sion of Security Policy, Office of Nu-clear Security and Incident Response, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001. The notifi-cation to the NRC may be made by email to RAMQClSHIPMENTS@nrc.gov or by fax to 301-816-5151.
(2) A notification delivered by mail must be postmarked at least 7 days be-fore transport of the shipment com-mences at the shipping facility.
(3) A notification delivered by any means other than mail must reach NRC at least 4 days before the trans-port of the shipment commences and must reach the office of the governor or the governors designee at least 4 days before transport of a shipment within or through the State.
(b) Information to be furnished in ad-vance notification of shipment. Each ad-vance notification of shipment of cat-egory 1 quantities of radioactive mate-rial must contain the following infor-mation, if available at the time of noti-fication:
VerDate Sep<11>2014 11:44 Mar 12, 2018 Jkt 244030 PO 00000 Frm 00766 Fmt 8010 Sfmt 8010 Y:\\SGML\\244030.XXX 244030 rmajette on DSKBCKNHB2PROD with CFR
757 Nuclear Regulatory Commission
§ 37.79 (1) The name, address, and telephone number of the shipper, carrier, and re-ceiver of the category 1 radioactive material; (2) The license numbers of the ship-per and receiver; (3) A description of the radioactive material contained in the shipment, in-cluding the radionuclides and quantity; (4) The point of origin of the ship-ment and the estimated time and date that shipment will commence; (5) The estimated time and date that the shipment is expected to enter each State along the route; (6) The estimated time and date of arrival of the shipment at the destina-tion; and (7) A point of contact, with a tele-phone number, for current shipment in-formation.
(c) Revision notice. (1) The licensee shall provide any information not pre-viously available at the time of the ini-tial notification, as soon as the infor-mation becomes available but not later than commencement of the shipment, to the governor of the State or the gov-ernors designee and to the NRCs Di-rector of Nuclear Security, Office of Nuclear Security and Incident Re-sponse, U.S. Nuclear Regulatory Com-mission, Washington, DC 20555-0001.
(2) A licensee shall promptly notify the governor of the State or the gov-ernors designee of any changes to the information provided in accordance with paragraphs (b) and (c)(1) of this section. The licensee shall also imme-diately notify the NRCs Director, Di-vision of Security Policy, Office of Nu-clear Security and Incident Response, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001 of any such changes.
(d) Cancellation notice. Each licensee who cancels a shipment for which ad-vance notification has been sent shall send a cancellation notice to the gov-ernor of each State or to the governors designee previously notified and to the NRCs Director, Division of Security Policy, Office of Nuclear Security and Incident Response, U.S. Nuclear Regu-latory Commission, Washington, DC 20555-0001. The licensee shall send the cancellation notice before the ship-ment would have commenced or as soon thereafter as possible. The li-censee shall state in the notice that it is a cancellation and identify the ad-vance notification that is being can-celled.
(e) Records. The licensee shall retain a copy of the advance notification and any revision and cancellation notices as a record for 3 years.
(f) Protection of information. State of-ficials, State employees, and other in-dividuals, whether or not licensees of the Commission or an Agreement State, who receive schedule informa-tion of the kind specified in § 37.77(b) shall protect that information against unauthorized disclosure as specified in
§ 37.43(d) of this part.
[78 FR 17007, Mar. 19, 2013; 78 FR 31821, May 28, 2013; 79 FR 58671, Sept. 30, 2014; 80 FR 74979, Dec. 1, 2015]
§ 37.79 Requirements for physical pro-tection of category 1 and category 2 quantities of radioactive material during shipment.
(a) Shipments by road. (1) Each li-censee who transports, or delivers to a carrier for transport, in a single ship-ment, a category 1 quantity of radio-active material shall:
(i) Ensure that movement control centers are established that maintain position information from a remote lo-cation. These control centers must monitor shipments 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> a day, 7 days a week, and have the ability to communicate immediately, in an emer-gency, with the appropriate law en-forcement agencies.
(ii) Ensure that redundant commu-nications are established that allow the transport to contact the escort ve-hicle (when used) and movement con-trol center at all times. Redundant communications may not be subject to the same interference factors as the primary communication.
(iii) Ensure that shipments are con-tinuously and actively monitored by a telemetric position monitoring system or an alternative tracking system re-porting to a movement control center.
A movement control center must pro-vide positive confirmation of the loca-tion, status, and control over the ship-ment. The movement control center VerDate Sep<11>2014 11:44 Mar 12, 2018 Jkt 244030 PO 00000 Frm 00767 Fmt 8010 Sfmt 8010 Y:\\SGML\\244030.XXX 244030 rmajette on DSKBCKNHB2PROD with CFR
761 Nuclear Regulatory Commission Pt. 37, App. A (b) The regulations in this part 37 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 37.1, 37.3, 37.5, 37.7, 37.9, 37.11, 37.13, 37.107, and 37.109.
APPENDIX A TO PART 37CATEGORY 1 AND CATEGORY 2 RADIOACTIVE MA-TERIALS TABLE 1CATEGORY 1 AND CATEGORY 2 THRESHOLD The terabecquerel (TBq) values are the regulatory standard. The curie (Ci) values specified are obtained by converting from the TBq value. The curie values are provided for practical usefulness only.
Radioactive material Category 1 (TBq)
Category 1 (Ci)
Category 2 (TBq)
Category 2 (Ci)
Americium-241......................................................................
60 1,620 0.6 16.2 Americium-241/Be.................................................................
60 1,620 0.6 16.2 Californium-252.....................................................................
20 540 0.2 5.40 Cobalt-60...............................................................................
30 810 0.3 8.10 Curium-244............................................................................
50 1,350 0.5 13.5 Cesium-137...........................................................................
100 2,700 1
27.0 Gadolinium-153.....................................................................
1,000 27,000 10 270 Iridium-192............................................................................
80 2,160 0.8 21.6 Plutonium-238.......................................................................
60 1,620 0.6 16.2 Plutonium-239/Be..................................................................
60 1,620 0.6 16.2 Promethium-147....................................................................
40,000 1,080,000 400 10,800 Radium-226...........................................................................
40 1,080 0.4 10.8 Selenium-75..........................................................................
200 5,400 2
54.0 Strontium-90..........................................................................
1,000 27,000 10 270 Thulium-170..........................................................................
20,000 540,000 200 5,400 Ytterbium-169........................................................................
300 8,100 3
81.0 NOTE:
Calculations Concerning Multiple Sources or Multiple Radionuclides The sum of fractions methodology for evaluating combinations of multiple sources or multiple radionuclides is to be used in de-termining whether a location meets or ex-ceeds the threshold and is thus subject to the requirements of this part.
I. If multiple sources of the same radio-nuclide and/or multiple radionuclides are ag-gregated at a location, the sum of the ratios of the total activity of each of the radio-nuclides must be determined to verify whether the activity at the location is less than the category 1 or category 2 thresholds of Table 1, as appropriate. If the calculated sum of the ratios, using the equation below, is greater than or equal to 1.0, then the ap-plicable requirements of this part apply.
II. First determine the total activity for each radionuclide from Table 1. This is done by adding the activity of each individual source, material in any device, and any loose or bulk material that contains the radio-nuclide. Then use the equation below to cal-culate the sum of the ratios by inserting the total activity of the applicable radionuclides from Table 1 in the numerator of the equa-tion and the corresponding threshold activ-ity from Table 1 in the denominator of the equation. Calculations must be performed in metric values (i.e., TBq) and the numerator and denominator values must be in the same units.
R1 = total activity for radionuclide 1 R2 = total activity for radionuclide 2 RN = total activity for radionuclide n AR1 = activity threshold for radionuclide 1 AR2 = activity threshold for radionuclide 2 ARN = activity threshold for radionuclide n VerDate Sep<11>2014 11:44 Mar 12, 2018 Jkt 244030 PO 00000 Frm 00771 Fmt 8010 Sfmt 8006 Y:\\SGML\\244030.XXX 244030 ER19MR13.000</GPH>
rmajette on DSKBCKNHB2PROD with CFR
369 Nuclear Regulatory Commission
§ 71.97 (i) Status of components or systems that were inoperable at the start of the event and that contributed to the event; (ii) Dates and approximate times of occurrences; (iii) The cause of each component or system failure or personnel error, if known; (iv) The failure mode, mechanism, and effect of each failed component, if known; (v) A list of systems or secondary functions that were also affected for failures of components with multiple functions; (vi) The method of discovery of each component or system failure or proce-dural error; (vii) For each human performance-re-lated root cause, a discussion of the cause(s) and circumstances; (viii) The manufacturer and model number (or other identification) of each component that failed during the event; and (ix) For events occurring during use of a packaging, the quantities and chemical and physical form(s) of the package contents.
(3) An assessment of the safety con-sequences and implications of the event. This assessment must include the availability of other systems or components that could have performed the same function as the components and systems that failed during the event.
(4) A description of any corrective ac-tions planned as a result of the event, including the means employed to re-pair any defects, and actions taken to reduce the probability of similar events occurring in the future.
(5) Reference to any previous similar events involving the same packaging that are known to the licensee or cer-tificate holder.
(6) The name and telephone number of a person within the licensees orga-nization who is knowledgeable about the event and can provide additional information.
(7) The extent of exposure of individ-uals to radiation or to radioactive ma-terials without identification of indi-viduals by name.
(d) Report legibility. The reports sub-mitted by licensees and/or certificate holders under this section must be of sufficient quality to permit reproduc-tion and micrographic processing.
[69 FR 3796, Jan. 26, 2004, as amended at 75 FR 73945, Nov. 30, 2010; 79 FR 75740, Dec. 19, 2014]
§ 71.97 Advance notification of ship-ment of irradiated reactor fuel and nuclear waste.
(a)(1) As specified in paragraphs (b),
(c), and (d) of this section, each li-censee shall provide advance notifica-tion to the governor of a State, or the governors designee, of the shipment of licensed material, within or across the boundary of the State, before the transport, or delivery to a carrier, for transport, of licensed material outside the confines of the licensees plant or other place of use or storage.
(2) As specified in paragraphs (b), (c),
and (d) of this section, after June 11, 2013, each licensee shall provide ad-vance notification to the Tribal official of participating Tribes referenced in paragraph (c)(3)(iii) of this section, or the officials designee, of the shipment of licensed material, within or across the boundary of the Tribes reserva-tion, before the transport, or delivery to a carrier, for transport, of licensed material outside the confines of the li-censees plant or other place of use or storage.
(b) Advance notification is also re-quired under this section for the ship-ment of licensed material, other than irradiated fuel, meeting the following three conditions:
(1) The licensed material is required by this part to be in Type B packaging for transportation; (2) The licensed material is being transported to or across a State bound-ary en route to a disposal facility or to a collection point for transport to a disposal facility; and (3) The quantity of licensed material in a single package exceeds the least of the following:
(i) 3000 times the A1 value of the radionuclides as specified in appendix A, Table A-1 for special form radio-active material; (ii) 3000 times the A2 value of the radionuclides as specified in appendix A, Table A-1 for normal form radio-active material; or VerDate Sep<11>2014 13:23 Feb 22, 2018 Jkt 244031 PO 00000 Frm 00379 Fmt 8010 Sfmt 8010 Y:\\SGML\\244031.XXX 244031
370 10 CFR Ch. I (1-1-18 Edition)
§ 71.97 (iii) 1000 TBq (27,000 Ci).
(c) Procedures for submitting advance notification. (1) The notification must be made in writing to:
(i) The office of each appropriate gov-ernor or governors designee; (ii) The office of each appropriate Tribal official or Tribal officials des-ignee; and (iii) The Director, Division of Secu-rity Policy, Office of Nuclear Security and Incident Response.
(2) A notification delivered by mail must be postmarked at least 7 days be-fore the beginning of the 7-day period during which departure of the ship-ment is estimated to occur.
(3) A notification delivered by any other means than mail must reach the office of the governor or of the gov-ernors designee or the Tribal official or Tribal officials designee at least 4 days before the beginning of the 7-day period during which departure of the shipment is estimated to occur.
(i) A list of the names and mailing addresses of the governors designees receiving advance notification of trans-portation of nuclear waste was pub-lished in the FEDERAL REGISTER on June 30, 1995 (60 FR 34306).
(ii) Contact information for each State, including telephone and mailing addresses of governors and governors designees, and participating Tribes, in-cluding telephone and mailing address-es of Tribal officials and Tribal offi-cials designees, is available on the NRC Web site at: https://scp.nrc.gov/spe-cial/designee.pdf.
(iii) A list of the names and mailing addresses of the governors designees and Tribal officials designees of par-ticipating Tribes is available on re-quest from the Director, Division of Material Safety, State, Tribal, and Rulemaking Programs, Office of Nu-clear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, DC 20555-0001.
(4) The licensee shall retain a copy of the notification as a record for 3 years.
(d) Information to be furnished in ad-vance notification of shipment. Each ad-vance notification of shipment of irra-diated reactor fuel or nuclear waste must contain the following informa-tion:
(1) The name, address, and telephone number of the shipper, carrier, and re-ceiver of the irradiated reactor fuel or nuclear waste shipment; (2) A description of the irradiated re-actor fuel or nuclear waste contained in the shipment, as specified in the reg-ulations of DOT in 49 CFR 172.202 and 172.203(d);
(3) The point of origin of the ship-ment and the 7-day period during which departure of the shipment is es-timated to occur; (4) The 7-day period during which ar-rival of the shipment at State bound-aries or Tribal reservation boundaries is estimated to occur; (5) The destination of the shipment, and the 7-day period during which ar-rival of the shipment is estimated to occur; and (6) A point of contact, with a tele-phone number, for current shipment in-formation.
(e) Revision notice. A licensee who finds that schedule information pre-viously furnished to a governor or gov-ernors designee or a Tribal official or Tribal officials designee, in accordance with this section, will not be met, shall telephone a responsible individual in the office of the governor of the State or of the governors designee or the Tribal official or the Tribal officials designee and inform that individual of the extent of the delay beyond the schedule originally reported. The li-censee shall maintain a record of the name of the individual contacted for 3 years.
(f) Cancellation notice. (1) Each li-censee who cancels an irradiated reac-tor fuel or nuclear waste shipment for which advance notification has been sent shall send a cancellation notice to the governor of each State or to the governors designee previously noti-fied, each Tribal official or to the Trib-al officials designee previously noti-fied, and to the Director, Division of Security Policy, Office of Nuclear Se-curity and Incident Response.
(2) The licensee shall state in the no-tice that it is a cancellation and iden-tify the advance notification that is VerDate Sep<11>2014 13:23 Feb 22, 2018 Jkt 244031 PO 00000 Frm 00380 Fmt 8010 Sfmt 8010 Y:\\SGML\\244031.XXX 244031
371 Nuclear Regulatory Commission
§ 71.101 being canceled. The licensee shall re-tain a copy of the notice as a record for 3 years.
[60 FR 50264, Sept. 28, 1995, as amended at 67 FR 3586, Jan. 25, 2002; 68 FR 14529, Mar. 26, 2003; 68 FR 23575, May 5, 2003; 68 FR 58818, Oct. 10, 2003; 74 FR 62683, Dec. 1, 2009; 75 FR 73945, Nov. 30, 2010; 77 FR 34204, June 11, 2012; 78 FR 17021, Mar. 19, 2013; 79 FR 75741, Dec. 19, 2014; 80 FR 74981, Dec. 1, 2015]
§ 71.99 Violations.
(a) The Commission may obtain an injunction or other court order to pre-vent a violation of the provisions of (1) The Atomic Energy Act of 1954, as amended; (2) Title II of the Energy Reorganiza-tion Act of 1974, as amended; or (3) A regulation or order issued pursuant to those Acts.
(b) The Commission may obtain a court order for the payment of a civil penalty imposed under section 234 of the Atomic Energy Act:
(1) For violations of (i) Sections 53, 57, 62, 63, 81, 82, 101, 103, 104, 107, or 109 of the Atomic En-ergy Act of 1954, as amended; (ii) Section 206 of the Energy Reorga-nization Act; (iii) Any rule, regulation, or order issued pursuant to the sections speci-fied in paragraph (b)(1)(i) of this sec-tion; or (iv) Any term, condition, or limita-tion of any license issued under the sections specified in paragraph (b)(1)(i) of this section.
(2) For any violation for which a li-cense may be revoked under section 186 of the Atomic Energy Act of 1954, as amended.
§ 71.100 Criminal penalties.
(a) Section 223 of the Atomic Energy Act of 1954, as amended, provides for criminal sanctions for willful violation of, attempted violation of, or con-spiracy to violate, any regulation issued under sections 161b, 161i, or 161o of the Act. For purposes of section 223, all the regulations in part 71 are issued under one or more of sections 161b, 161i, or 161o, except for the sections listed in paragraph (b) of this section.
(b) The regulations in part 71 that are not issued under sections 161b, 161i, or 161o for the purposes of section 223 are as follows: §§ 71.0, 71.2, 71.4, 71.6, 71.7, 71.10, 71.31, 71.33, 71.35, 71.37, 71.38, 71.39, 71.40, 71.41, 71.43, 71.45, 71.47, 71.51, 71.55, 71.59, 71.65, 71.71, 71.73, 71.74, 71.75, 71.77, 71.99, and 71.100.
[60 FR 50264, Sept. 28, 1995, as amended at 69 FR 3796, Jan. 26, 2004]
Subpart HQuality Assurance SOURCE: 69 FR 3796, Jan. 26, 2004, unless otherwise noted.
§ 71.101 Quality assurance require-ments.
(a) Purpose. This subpart describes quality assurance requirements apply-ing to design, purchase, fabrication, handling, shipping, storing, cleaning, assembly, inspection, testing, oper-ation, maintenance, repair, and modi-fication of components of packaging that are important to safety. As used in this subpart, quality assurance comprises all those planned and sys-tematic actions necessary to provide adequate confidence that a system or component will perform satisfactorily in service. Quality assurance includes quality control, which comprises those quality assurance actions related to control of the physical characteristics and quality of the material or compo-nent to predetermined requirements.
Each certificate holder and applicant for a package approval is responsible for satisfying the quality assurance re-quirements that apply to design, fab-rication, testing, and modification of packaging subject to this subpart.
Each licensee is responsible for satis-fying the quality assurance require-ments that apply to its use of a pack-aging for the shipment of licensed ma-terial subject to this subpart.
(b) Establishment of program. Each li-censee, certificate holder, and appli-cant for a CoC shall establish, main-tain, and execute a quality assurance program satisfying each of the applica-ble criteria of §§ 71.101 through 71.137 and satisfying any specific provisions that are applicable to the licensees ac-tivities including procurement of pack-aging. The licensee, certificate holder, and applicant for a CoC shall execute VerDate Sep<11>2014 13:23 Feb 22, 2018 Jkt 244031 PO 00000 Frm 00381 Fmt 8010 Sfmt 8010 Y:\\SGML\\244031.XXX 244031
489 Nuclear Regulatory Commission
§ 73.37 1 For purposes of 10 CFR 73.37, the terms irradiated reactor fuel and spent nuclear fuel are used interchangeably.
§ 73.28 Security background checks for secure transfer of nuclear mate-rials.
Licensees are excepted from the secu-rity background check provisions in Section 170I of the AEA if they have not received Orders from the Nuclear Regulatory Commission containing re-quirements for background checks for trustworthiness and reliability that in-clude fingerprinting and criminal his-tory record checks as a prerequisite for unescorted access to radioactive mate-rials.
[72 FR 3027, Jan. 24, 2007]
§ 73.35 Requirements for physical pro-tection of irradiated reactor fuel (100 grams or less) in transit.
Each licensee who transports, or de-livers to a carrier for transport, in a single shipment, a quantity of irradi-ated reactor fuel weighing 100 grams (0.22 pounds) or less in net weight of ir-radiated fuel, exclusive of cladding or other structural or packaging mate-rial, which has a total external radi-ation dose rate in excess of 1 Gray (100 rad) per hour at a distance of 1 meter (3.3 feet) from any accessible surface without intervening shielding, shall follow the physical protection require-ments for category 1 quantities of ra-dioactive material in subpart D of part 37 of this chapter.
[78 FR 17021, Mar. 19, 2013]
§ 73.37 Requirements for physical pro-tection of irradiated reactor fuel in transit.
(a) Performance objectives. (1) Each li-censee who transports, or delivers to a carrier for transport, in a single ship-ment, a quantity of irradiated reactor fuel 1 in excess of 100 grams (0.22 lbs) in net weight of irradiated fuel, exclusive of cladding or other structural or pack-aging material, which has a total ex-ternal radiation dose rate in excess of 1 Gy (100 rad) per hour at a distance of 1 meter (3.3 feet) from any accessible surface without intervening shielding, shall establish and maintain, or make arrangements for, and assure the prop-er implementation of, a physical pro-tection system for shipments of such material that will achieve the fol-lowing objectives:
(i) Minimize the potential for theft, diversion, or radiological sabotage of spent nuclear fuel shipments; and (ii) Facilitate the location and recov-ery of spent nuclear fuel shipments that may have come under the control of unauthorized persons.
(2) To achieve these objectives, the physical protection system shall:
(i) Provide for early detection and as-sessment of attempts to gain unauthor-ized access to, or control over, spent nuclear fuel shipments; (ii) Delay and impede attempts at theft, diversion, or radiological sabo-tage of spent nuclear fuel shipments; and (iii) Provide for notification to the appropriate response forces of any at-tempts at theft, diversion, or radio-logical sabotage of a spent nuclear fuel shipment.
(b) General requirements. To achieve the performance objectives of para-graph (a) of this section, a physical protection system established and maintained, or arranged for, by the li-censee shall include the following ele-ments:
(1) Preplan and coordinate spent nu-clear fuel shipments. Each licensee shall:
(i) Ensure that each armed escort, as defined in § 73.2, is instructed on the use of force sufficient to counter the force directed at the person, including the use of deadly force when the armed escort has a reasonable belief that the use of deadly force is necessary in self-defense or in the defense of others, or any other circumstances, as authorized by applicable Federal and State laws.
This deadly force training requirement does not apply to members of local law enforcement agencies (LLEAs) per-forming escort duties for spent nuclear fuel shipments.
(ii) Preplan and coordinate shipment itineraries to ensure that the receiver at the final delivery point is present to accept the shipment.
(iii) Ensure written certification of any transfer of custody.
(iv) Preplan and coordinate shipment information no later than 2 weeks prior to the shipment or prior to the first VerDate Sep<11>2014 13:23 Feb 22, 2018 Jkt 244031 PO 00000 Frm 00499 Fmt 8010 Sfmt 8010 Y:\\SGML\\244031.XXX 244031
490 10 CFR Ch. I (1-1-18 Edition)
§ 73.37 shipment of a series of shipments with the governor of a State, or the gov-ernors designee, of a shipment of spent nuclear fuel through or across the boundary of the State, in order to:
(A) Minimize intermediate stops and delays; (B) Arrange for State law enforce-ment escorts; (C) Arrange for positional informa-tion sharing when requested; and (D) Develop route information, in-cluding the identification of safe ha-vens.
(v) Arrange with local law enforce-ment authorities along the shipment route, including U.S. ports where ves-sels carrying spent nuclear fuel ship-ments are docked, for their response to a security-related emergency or a call for assistance.
(vi) Preplan and coordinate with the NRC to obtain advance approval of the routes used for road and rail shipments of spent nuclear fuel, and of any U.S.
ports where vessels carrying spent nu-clear fuel shipments are scheduled to stop. In addition to the requirements of this section, routes used for shipping spent nuclear fuel shall comply with the applicable requirements of the DOT regulations in Title 49 of the Code of Federal Regulations (49 CFR), in par-ticular those identified in § 71.5 of this chapter. The advance approval applica-tion shall provide:
(A) For road shipments, the route shall include locations of safe havens that have been coordinated with the appropriate State(s).
(B) The NRC approval shall be ob-tained prior to the 10-day advance noti-fication requirement in § 73.72 of this part.
(C) Information to be supplied to the NRC shall include, but is not limited to, the following:
(1)
- Shipper, consignee,
- carriers, transfer points, modes of shipment; and (2) A statement of shipment security arrangements, including, if applicable, points where armed escorts transfer re-sponsibility for the shipment.
(vii) Document the preplanning and coordination activities.
(viii) Ensure the protection of Safe-guards Information relative to spent nuclear fuel in transit in accordance with §§ 73.21 and 73.22 of this part, espe-cially the information described in
§ 73.22(a)(2), which would include, at a minimum, the protection of the fol-lowing information:
(A) The preplanning and coordination activities; (B) Transportation physical security plan; (C) Schedules and itineraries for spe-cific spent nuclear fuel shipments until the information is no longer controlled as Safeguards Information, that is until at least 10 days after the ship-ment has entered or originated within the state; or for the case of a shipment in a series of shipments whose sched-ules are related, a statement that schedule information must be pro-tected until 10 days after the last ship-ment in the series has entered or origi-nated within the state and an estimate of the date on which the last shipment in the series will enter or originate within the state; (D) Vehicle immobilization features, intrusion alarm devices, and commu-nications; (E) Arrangements with and capabili-ties of local police response forces, and locations of safe havens identified along the transportation route; (F) Limitations of communications during transport; (G) Procedures for response to secu-rity contingency events; (H) Information concerning the tac-tics and capabilities required to defend against attempted sabotage, or theft and diversion of irradiated reactor fuel, or related information; and (I) Engineering or safety analyses, se-curity-related procedures or scenarios and other information related to the protection of the transported material if the unauthorized disclosure of such
- analyses, procedures, scenarios, or other information could reasonably be expected to have a significant adverse effect on the health and safety of the public or the common defense and se-curity by significantly increasing the likelihood of theft, diversion, or sabo-tage of spent nuclear fuel in transit.
(2) Advance notifications. Prior to the shipment of spent nuclear fuel moving through or across the boundary of any State, outside the confines of the li-censees facility or other place of use or storage, a licensee subject to this VerDate Sep<11>2014 13:23 Feb 22, 2018 Jkt 244031 PO 00000 Frm 00500 Fmt 8010 Sfmt 8010 Y:\\SGML\\244031.XXX 244031
491 Nuclear Regulatory Commission
§ 73.37 section shall provide notification to the NRC, under § 73.72 of this part, and the governor of the State(s), or the governors designee(s), of the spent nu-clear fuel shipment. After June 11, 2013, the compliance date of the Tribal noti-fication final rule, a licensee subject to this section shall notify the Tribal offi-cial or Tribal officials designee of each participating Tribe referenced in
§ 71.97(c)(3) of this chapter prior to the transport of spent fuel within or across the Tribal reservation. Contact infor-mation for each State, including tele-phone and mailing addresses of gov-ernors and governors designees, and participating Tribes, including tele-phone and mailing addresses of Tribal officials and Tribal officials designees, is available on the NRC Web site at:
https://scp.nrc.gov/special/designee.pdf.
A list of the contact information is also available upon request from the Director, Division of Material Safety, State, Tribal, and Rulemaking Pro-grams, U.S. Nuclear Regulatory Com-mission, Washington, DC 20555. The li-censee shall comply with the following criteria in regard to each notification:
(i) Procedures for submitting advance notification. (A) The notification must be in writing and sent to the office of each appropriate governor or the gov-ernors designee and each appropriate Tribal official or the Tribal officials designee.
(B) A notification delivered by mail must be postmarked at least 10 days before transport of a shipment within or through the State or Tribal reserva-tion.
(C) A notification delivered by any other method must reach the office of the governor or the governors designee and any Tribal official or Tribal offi-cials designee at least 7 days before transport of a shipment within or through the State.
(ii) Information to be furnished in ad-vance notification of shipment. The noti-fication must include the following in-formation:
(A) The name, address, and telephone number of the shipper, carrier and re-ceiver of the shipment and the license number of the shipper and receiver; (B) A description of the shipment as specified by DOT in 49 CFR 172.202 and 172.203(d); and (C) A listing of the routes to be used within the State or Tribal reservation.
(iii) Separate enclosure. The licensee shall provide the following informa-tion, under § 73.22(f)(1), in a separate enclosure to the written notification:
(A) The estimated date and time of departure from the point of origin of the shipment; (B) The estimated date and time of entry into the State or Tribal reserva-tion; (C) The estimated date and time of arrival of the shipment at the destina-tion; (D) For the case of a single shipment whose schedule is not related to the schedule of any subsequent shipment, a statement that schedule information must be protected under the provisions of §§ 73.21 and 73.22 until at least 10 days after the shipment has entered or origi-nated within the State or Tribal res-ervation; and (E) For the case of a shipment in a series of shipments whose schedules are related, a statement that schedule in-formation must be protected under the provisions of §§ 73.21 and 73.22 of this part until 10 days after the last ship-ment in the series has entered or origi-nated within the State or Tribal res-ervation, and an estimate of the date on which the last shipment in the se-ries will enter or originate within the State or Tribal reservation.
(iv) Revision notice. A licensee shall notify by telephone a responsible indi-vidual in the office of the governor or in the office of the governors designee and the office of the Tribal official or in the office of the Tribal officials des-ignee of any schedule change that dif-fers by more than 6 hours6.944444e-5 days <br />0.00167 hours <br />9.920635e-6 weeks <br />2.283e-6 months <br /> from the schedule information previously fur-nished under paragraph (b)(2)(iii) of this section, and shall inform that indi-vidual of the number of hours of ad-vance or delay relative to the written schedule information previously fur-nished.
(v) Cancellation notice. Each licensee who cancels a shipment for which ad-vance notification has been sent shall send a cancellation notice to the gov-ernor or to the governors designee of each State previously notified, each Tribal official or the Tribal officials designee previously notified, and to the VerDate Sep<11>2014 13:23 Feb 22, 2018 Jkt 244031 PO 00000 Frm 00501 Fmt 8010 Sfmt 8010 Y:\\SGML\\244031.XXX 244031
492 10 CFR Ch. I (1-1-18 Edition)
§ 73.37 NRCs Director, Division of Security Policy, Office of Nuclear Security and Incident Response, U.S. Nuclear Regu-latory Commission, Washington, DC 20555. The licensee shall state in the notice that it is a cancellation and identify the advance notification that is being canceled.
(vi) Records. The licensee shall retain a copy of the preplanning and coordina-tion activities, advance notification, and any revision or cancellation notice as a record for 3 years under § 73.70 of this part.
(3) Transportation physical protection program. (i) The transportation phys-ical protection program established under paragraph (a)(1) of this section shall include armed escorts to protect spent nuclear fuel shipments and a movement control center, as defined in
§ 73.2 of this part, staffed and equipped to monitor and control spent nuclear fuel shipments, to communicate with local law enforcement authorities, and to respond to safeguards contingencies.
(ii) The movement control center must be staffed continuously by at least one individual who will actively monitor the progress of the spent nu-clear fuel shipment and who has the authority to coordinate the physical protection activities.
(iii) The movement control center personnel must monitor the shipment continuously, i.e., 24-hours per day, from the time the shipment com-mences, or if delivered to a carrier for transport, from the time of delivery of the shipment to the carrier, until safe delivery of the shipment at its final destination, and must immediately no-tify the appropriate agencies in the event of a safeguards event under the provisions of § 73.71 of this part.
(iv) The movement control center personnel and the armed escorts must maintain a written log for each spent nuclear fuel shipment, which will in-clude information describing the ship-ment and significant events that occur during the shipment. The log must be available for review by authorized NRC personnel for a period of at least 3 years following completion of the ship-ment.
(v) The licensee shall develop, main-tain, revise and implement written transportation physical protection pro-cedures which address the following:
(A) Access controls to ensure no un-authorized persons have access to the shipment and Safeguards Information; (B) Roles and responsibilities of the movement control center personnel, drivers, armed escorts and other indi-viduals relative to the security of the shipment; (C) Reporting of safeguards events under § 73.71 of this part; (D) Communications protocols that include a strategy for the use of au-thentication and duress codes, the management of refueling or other stops, detours, and the loss of commu-nications, temporarily or otherwise; and (E) Normal conditions operating pro-cedures.
(vi) The licensee shall retain as a record the transportation physical pro-tection procedures for 3 years after the close of period for which the licensee possesses the spent nuclear fuel.
(vii) The transportation physical pro-tection program shall:
(A) Provide that escorts (other than members of local law enforcement agencies serving as armed escorts, or ships officers serving as unarmed es-corts) have successfully completed the training required by appendix D of this part, including the equivalent of the weapons training and qualifications program required of guards, as de-scribed in sections III and IV of appen-dix B of this part, to assure that each such individual is fully qualified to use the assigned weapons; (B) Provide that shipment escorts communicate with the movement con-trol center at random intervals, not to exceed 2 hours2.314815e-5 days <br />5.555556e-4 hours <br />3.306878e-6 weeks <br />7.61e-7 months <br />, to advise of the status of the shipment for road and rail ship-ments, and for sea shipments while shipment vessels are docked at U.S.
ports; and (C) Provide that at least one armed escort remains alert at all times, main-tains constant visual surveillance of the shipment, and periodically reports to the movement control center at reg-ular intervals not to exceed 30 minutes during periods when the shipment vehi-cle is stopped, or the shipment vessel is docked.
VerDate Sep<11>2014 13:23 Feb 22, 2018 Jkt 244031 PO 00000 Frm 00502 Fmt 8010 Sfmt 8010 Y:\\SGML\\244031.XXX 244031
493 Nuclear Regulatory Commission
§ 73.37 (4) Contingency and response proce-dures. (i) In addition to the procedures established under paragraph (b)(3)(v) of this section, the licensee shall estab-lish, maintain, and follow written con-tingency and response procedures to address threats, thefts, and radio-logical sabotage related to spent nu-clear fuel in transit.
(ii) The licensee shall ensure that personnel associated with the shipment shall be appropriately trained regard-ing contingency and response proce-dures.
(iii) The licensee shall retain the con-tingency and response procedures as a record for 3 years after the close of pe-riod for which the licensee possesses the spent nuclear fuel.
(iv) The contingency and response procedures must direct that, upon de-tection of the abnormal presence of un-authorized persons, vehicles, or vessels in the vicinity of a spent nuclear fuel shipment or upon detection of a delib-erately induced situation that has the potential for damaging a spent nuclear fuel shipment, the armed escort will:
(A) Determine whether or not a threat exists; (B) Assess the extent of the threat, if any; (C) Implement the procedures devel-oped under paragraph (b)(4)(i) of this section; (D) Take the necessary steps to delay or impede threats, thefts, or radio-logical sabotage of spent nuclear fuel; and (E) Inform local law enforcement agencies of the threat and request as-sistance without delay, but not to ex-ceed 15 minutes after discovery.
(c) Shipments by road. In addition to the provisions of paragraph (b) of this section, the physical protection system for any portion of a spent nuclear fuel shipment by road shall provide that:
(1) The transport vehicle is:
(i) Occupied by at least two individ-uals, one of whom serves as an armed escort, and escorted by an armed mem-ber of the local law enforcement agen-cy in a mobile unit of such agency; or (ii) Led by a separate vehicle occu-pied by at least one armed escort, and trailed by a third vehicle occupied by at least one armed escort.
(2) As permitted by law, all armed es-corts are equipped with a minimum of two weapons. This requirement does not apply to local law enforcement agency personnel who are performing escort duties.
(3) The transport vehicle and each es-cort vehicle are equipped with redun-dant communication abilities that pro-vide 2-way communications between the transport vehicle, the escort vehi-cle(s), the movement control center, local law enforcement agencies, and one another. To ensure that 2-way communication is possible at all times, alternate communications should not be subject to the same failure modes as the primary communication.
(4) The transport vehicle is equipped with NRC-approved features that per-mit immobilization of the cab or cargo-carrying portion of the vehicle.
(5) The transport vehicle driver has been familiarized with, and is capable of implementing, transport vehicle im-mobilization, communications, and other security procedures.
(6) Shipments are continuously and actively monitored by a telemetric po-sition monitoring system or an alter-native tracking system reporting to a movement control center. A movement control center shall provide positive confirmation of the location, status, and control over the shipment. The movement control center shall imple-ment preplanned procedures in re-sponse to deviations from the author-ized route or a notification of actual, attempted, or suspicious activities re-lated to the theft, loss, diversion, or ra-diological sabotage of a shipment.
These procedures shall include, but not be limited to, the identification of and contact information for the appro-priate local law enforcement agency along the shipment route.
(d) Shipments by rail. In addition to the provisions of paragraph (b) of this section, the physical protection system for any portion of a spent nuclear fuel shipment by rail shall provide that:
(1) A shipment car is accompanied by two armed escorts (who may be mem-bers of a local law enforcement agen-cy), at least one of whom is stationed at a location on the train that will per-mit observation of the shipment car while in motion.
VerDate Sep<11>2014 13:23 Feb 22, 2018 Jkt 244031 PO 00000 Frm 00503 Fmt 8010 Sfmt 8010 Y:\\SGML\\244031.XXX 244031
494 10 CFR Ch. I (1-1-18 Edition)
§ 73.38 (2) As permitted by law, all armed es-corts are equipped with a minimum of two weapons. This requirement does not apply to local law enforcement agency personnel who are performing escort duties.
(3) The train operator(s) and each es-cort are equipped with redundant com-munication abilities that provide 2-way communications between the trans-port, the escort vehicle(s), the move-ment control center, local law enforce-ment agencies, and one another. To en-sure that 2-way communication is pos-sible at all times, alternate commu-nications should not be subject to the same failure modes as the primary communication.
(4) Rail shipments are monitored by a telemetric position monitoring system or an alternative tracking system re-porting to the licensee, third-party, or railroad movement control center. The movement control center shall provide positive confirmation of the location of the shipment and its status. The move-ment control center shall implement preplanned procedures in response to deviations from the authorized route or to a notification of actual, attempted, or suspicious activities related to the theft, diversion, or radiological sabo-tage of a shipment. These procedures shall include, but not be limited to, the identification of and contact informa-tion for the appropriate local law en-forcement agency along the shipment route.
(e) Shipments by U.S. waters. In addi-tion to the provisions of paragraph (b) of this section, the physical protection system for any portion of a spent nu-clear fuel shipment traveling on U.S.
waters shall provide that:
(1) A shipment vessel while docked at a U.S. port is protected by:
(i) Two armed escorts stationed on board the shipment vessel, or stationed on the dock at a location that will per-mit observation of the shipment vessel; or (ii) A member of a local law enforce-ment agency, equipped with normal local law enforcement agency radio communications, who is stationed on board the shipment vessel, or on the dock at a location that will permit ob-servation of the shipment vessel.
(2) As permitted by law, all armed es-corts are equipped with a minimum of two weapons. This requirement does not apply to local law enforcement agency personnel who are performing escort duties.
(3) A shipment vessel while within U.S. territorial waters shall be accom-panied by an individual, who may be an officer of the shipment vessels crew, who will assure that the shipment is unloaded only as authorized by the li-censee.
(4) Each armed escort is equipped with redundant communication abili-ties that provide 2-way communica-tions between the vessel, the move-ment control center, local law enforce-ment agencies, and one another. To en-sure that 2-way communication is pos-sible at all times, alternate commu-nications should not be subject to the same failure modes as the primary communication.
(f) Investigations. Each licensee who makes arrangements for the shipment of spent nuclear fuel shall immediately conduct an investigation, in coordina-tion with the receiving licensee, of any shipment that is lost or unaccounted for after the designated no-later-than arrival time in the advance notifica-tion.
(g) State officials, State employees, Tribal officials, Tribal employees, and other individuals, whether or not li-censees of the NRC, who receive infor-mation of the kind specified in para-graph (b)(2)(iii) of this section and any other Safeguards Information as de-fined in § 73.22(a) of this part shall pro-tect that information against unau-thorized disclosure as specified in
§§ 73.21 and 73.22 of this part.
[78 FR 29550, May 20, 2013, as amended at 79 FR 75741, Dec. 19, 2014; 80 FR 74981, Dec. 1, 2015]
§ 73.38 Personnel access authorization requirements for irradiated reactor fuel in transit.
(a) General. (1) Each licensee who transports, or delivers to a carrier for transport, in a single shipment, a quan-tity of spent nuclear fuel as described in § 73.37(a)(1) of this part shall comply with the requirements of this section, VerDate Sep<11>2014 13:23 Feb 22, 2018 Jkt 244031 PO 00000 Frm 00504 Fmt 8010 Sfmt 8010 Y:\\SGML\\244031.XXX 244031