ML20024E703

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Reg Guide 10.1,Rev 4, Compilation of Reporting Requirements for Persons Subj to NRC Regulations
ML20024E703
Person / Time
Issue date: 10/31/1981
From:
NRC OFFICE OF NUCLEAR REGULATORY RESEARCH (RES)
To:
References
REGGD-10.001, NUDOCS 8309060437
Download: ML20024E703 (15)
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Text

{{#Wiki_filter:_ Revision 4' %[ %% U.S. NUCLEAR REGULATORY COMMISSION October 1981 ?g R@"/ REGULATORY GUIDE \\ OFFICE OF NUCLEAR REGULATORY RESEARCH %.ee REGULATORY GUIDE 10.1 COMPILATION OF REPORTING REQUIREMENTS FOR PERSONS SUBJECT TO NRC REGULATIONS A, INTRODUCTION Appendix A does not discuss the specific information that should be contained in the report, for this information, The Com mission's regulations set forth in Title 10 the beensee snould refer to the underlying regulation, Chapter 1, Code of Federal Regulations, require the submis-condition of license, or provision of the beense technical sion of vanous reportsin connection with hcensed activities. specifications. In some cases, the information that is to be In addition, the Commission's regulations require that each subnutted by bcenseesis desenbed m detad in other pubhca-applicant for a license authonzing operation of a production tions in the regulatory guide senes. For example, Regulatory or utdization facdity include in the apphcation proposed Guide 1.16, " Reporting of Cperatmg Information Appen-technical specifications. These technical specifications as dix A Technical Specifications," deals with the reporting of approved by the NRC re inco.porated mto the facthty operating mformation for nuclear power plants. This guide beense as conditions of the hcense and include a section on does not include the requirements for records that must be reporting req uire m en ts. This guide is not intended to maintained by the beensee or reports retoured for t 1 ) hcense impose additional reporting requirements or to implement ap plications, (2) license amendments. and (3) heense existing requiremer.ts. The purposes of this guide are ( 1) to ternunations. provide a conipdation of reporting requirements appbcable to the vanous types of NRClicensees and other persons subject For the most part, netther the NRC's regulations nor the to NRC regulations and (2)to provide information that would technical specifications of a faedity heense specify the j assist in the timely and cort et distribution of the reports. number of copies of a report to be submitted by a licensee to the Commission. Submittal of the number of copies of B. REPORT COMPILATION each report as specified by numerals in parentheses under the headings "Pnmary Recipient"and Secondary Recipient" The reports listed in Appendix A to this guide reflect m Appendix A would aid m the timely review of the report regulatory or licensing requirements exnting at the time of by the staff. For any new or revised reporting requirement issuance of this guide and include an identification of not bsted in Appendix A and for which the appropncte addressee or addressees, method of transmittal, timing, and number of copies is not specified in the regulations, hcense tvn? of bcensee. It is expected that revisions to this guide condition, or technical specification, contact the appropriate sid be made renodically as the vanous reporting require. NRC staff for the number of copies needed. ments are revised or as reporting requirements are added or i deleted. The requirements specified in the regulations, ( on-The codes and abbreviations used m Appendix A are ditions of hecase, or provisions of license technical specifi-identified either by footnotes on the page on which they cattors prevail if there is a conflict between the requirements appear or in a comprehensive listing on page 10.1-15. 5 and the information in this guide. The reports listed have been renumbered m this revision. Therefore, the number of a specific report in ttus revision ' The substantial number of changes in this revision has rnaJe it impr,ctical to inJicate the changes with lines in the margin. same report in previous revisions to this guide. 8309060437 811031 PDR RECCD 10.001 R PDR USNRC REGUL ATOR Y GUiOE 7 Comments should be sent to the Secretary of the Commission, U.S. Nuclear Regulatory C om mission, Was hin gt o n, D.C. 20555, Regulatory Guldea are issued to describe and make available to the Attention. Doc keting and Service Branch. publ6c m et h ods accept a ble to the NRC staf f of im plemen ting specific parts of the Commission's regulations, to delineate tech. The guides are issued in the f ollowing ten broad divisions: 4 nlques used by the staf f in evaluating speClfic problems or postu-sat ed acc; 3en ts or to prov6de guidance to apphcants. Regulatory

i. Power Reactors
6. Products Guides are nol substitutes for regulations, and compliance with
2. Research and Test Reactors 7.

Transportation a them is not required. Methods and solutions dif ferent f rom those set

3. Fuels and Materials Facilities
8. Occupational Health out in the guides will be acceptable of they provide a basis f or the
4. Environmentai and Siting
9. Antitrust and Financial Review findings requisite to the issuance or c on tinu a nc e of a permit or
5. Materials and Plant protection 10. General license by the Commission.

Copies of issued guides may be Durr hased at the Current Government This guide was issued af ter consideration of comments received from Printing of fice price. A subscription service f or future guides in spe-the public. Comments aad suggestions f or improvements in these cif 6c divisions is available through the Government Printing Of fice. guides are encouraged at all times, and guides w611 be revised, as Information on the suoscription service and current GPO prices may appropriate, to accommodatt comments and to reflect new informa. be obtained by writing the U.S. Nuclear Regulatory Commission, tion or experience. Washington, D.C. 20555, Attention: Publications Sales Manager. 9

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APPENDilt A (Continued) Types of Primary Secondary No. Licensee Report Required By Timing Method Recipient Recipient 15. All Personnel exposure at termination of 5 5 20.408(b), 30 days after determination of exposure or W MPA (1) Exposed employment 20.409 e 90 days after termination, whichever is earlier individual (1) 16. All Failure to comply or existence of a defect 5 21.21(b) 2 days P,T IE or RO None 17. All Failure to comply or existence of a defect 521.21(b) 5 days W IE or DCD (1) RO (1) 18. C Reports required as conditions of Parts 30-35 530.34 Specified in license condition Specified in licenses (e)(4) license condition 19. C Transfer of tritium; Form DOE /NRC-741; 530.55(a) Promptly W DOE (l } Receiver (3) report by shipper 20. C Transfer of tritium; Form DOE /NRC-741; 5 30.5$(a) 10 days after receipt of material W DOE (1) Shipper (1) report by receiver 0 21. C Tritium inventory report $ 30.55(b) Semiannually W DOE (1) None 22. C Attempted theft or unlawful diversion of 5 30.55(c) Promptly P,T RO None tritium 23. C Attempted theft or unlawful diversion of $ 30.55(c) 15 days W RO(1) IE (1) tritium 24. C Failure of or damage to shielding, onoff 531.5 30 days W RO(1) DCD (1) mechanism orindicator; detection of (c)(5) removable radioactive material 25. C Transfer of device to specific licensee 5 31.5(c)(8) 30 days W NMSS (1) None 26. C Transfer of device to generallicensee 531.5 30 days W NMSS (1) None (c)(9)(i) 27. C Registration; Form NRC-483 531.11(b) Prior to use of byproduct material W NMSS (3) None 28. C Report of changes ofinformation furnished 5 31.11(c) 30 days W NMSS (3) None on Form NRC-483 l l l l l l l l HI I I N I H I l ll l l l l ll H l iI

i APPENDIX A (Continued) Primary Secondary Types of No. Licensee Report Required By Timing Method Recipient Recipient 29. C Material transfer report by 532.ll licensee 532.12 Annually W NMSS (2) RO (1) 30 C Transfer of material report by 532.14 or 532.15 Annually W NMSS (2) RO(1) 1 5 32.171icensee 31. C Transfer of material report by 532.181icensee 532.20 Annually W NMSS (2) RO(l) 32. C Transfer of materia 1 report by 532.221icensee 532.25(c) Annually W NMSS (2) RO(1) 33. C Transfer of material report by 532.26 licensee 5 32.29(c) Annually W NMSS (2) RO(1) 34. C Transfer of deviceslicensedunder 531.5 by 532.52(a) Quarterly W NMSS (2) RO(1) 532.51 licensee to Eenerallicensee W State DCD (1) 1 35. C Transfer of deviceslicensed under Agreement 5 32.52(b) Quarterly Agency * (1) State regulations equivalent to 531.5 _p I 36. C Transfer of tritium or promethium-147 532.56 Annually W NMSS (2) RO(1) licensed under 531.7 by 532.53 licensee 37. C Leaking of sealed radiographic source 5 34.25(d) 5 days W NMSS (1) RO(1) [ W RO(1) IE (1) Exceeding 1imit of removable contamination 535.14 5 days 38. C by Group VIlicensee (b)(5)(iii) i W RO(1) IE (1) = 39. C Exceeding 1imit of removable contamination 535.14 5 days revealed by leak test (e)(3) i 40. C Physician Registration Form NRC-482 535.31(b) Prior to use of byproduct material W NMSS (3) None I W NMSS (2) None ~ 41. C Changes ofinformation furnished on Form ij 35.31(d) 30 days NRC-482 ~

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y..,,.. = = APPENDIX A (Continued) 5 + Primary Secondary Types of No. Licensee Report Required By Timing Method Recipient Recipient 56. D Nuclear Material Transaction Report - 5 40.64f.a) 10 days after receipt of material W DOE (1) Shipper (1) Form DOE /NRC-741 filed by receiver 57. D Statement of source material inventory 540.64(b) Annually W DOE (1) None 58. D Unlawful diversion of source material 5 40.64(c) Promptly P,T RO None 59. D Unlawful diversion of source material 5 40.64(c) 15 days W RO(1) IE(1) 60. D Effluent Monitoring Report 540.65 Semiannually W 14 0 ( 1 )

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RO (1) DCD (1) App. A.1, Crit. 8 62. D Failure of retention system

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540, 60 days App. A.IV 64 A

Effluent releases report 5 50.36a(a)(2), Semiannually W RO(l) DCD (1 ) Tech Specs 65. A,B Changes in security plan made without prior 5 50.54(p) Two months af ter change W NRR or MPA (1) NMSS (2) approval 66. A,B Changes in emergency plan made without prior 5 50.54(q) 30 days after change or proposed to NRC W RO (1) DCD (1) approval 67 A,B Construction deficiency report 5 50.55(c)(2) 24 hours P,T RO None 68. A,B Construction deficiency report 5 50.55(e)(3) 30 days W RO(I) DCD (1) 69 A,B Facility changes, tests, and experiments 5 50.59(b) Annually or as otherwise specified in W RO(1) DCD (1) conducted without prior approval license W N RR (10) None 70. A,B Financial report 5 50.71(b) Annually

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A Fracture toughness Part 50, At least 3 years prior to date when the W NR R (1) None l* App.G, predicted fracture toughness levels will no k Sec. V.E longer satisfy requirements of Appendix G g + A Report of test results of specimens withdrawn Part 50, Variable W NRR (1) None f 76. '.c 4 from capsules (fracti're toughness tests) App. II, f Sec.IV.A l Y 77. A Report of effluents released in excess of Part 50, Within 30 days from end of quarter W RO(l) DCD (1) ~ design objectives App. I., P Sec.IV.A eg. 5 78. A Rcactor containment building integrated leak Part 50, 3 months W NRR (1) None rate test App. J, 7 Sec. V.B I 79. A,B Notification of disability of operator 555.41 15 days W NRR or None l NMSS (2) y .q 80. A,B Medical examination 5 55.60(b) W NRRor None NMSS (2) 3 ![ 81. G Site characterization 5 60.11(g) Semiannually W NMSS (3) None } 82. G Changes, tests, and experiments conducted 560.44(b) Annually W RO(l) IE(1) i ' II without prior approval k

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= APPENDIX A (Continued) Types of Primary Secondary No. Licensee Report Required By Timing Method Recipient Recipient 97. All Accident reports required by DOT on 5 71.5(b) Immediate P.T RO None transportation oflicensed material (See 49 CFR 15 days W NMSS (5) RO(1) 171.15, 171.16) 98. All Request for registration as user of authorized 571.12 Prior to use of package W NMSS (3) None packages (b)(1)(iii) 99 All Reductions in effectiveness of authorized 571.61 30 days W NMSS (2) None package during use 100. A,B,C, Fabrication of package with excess decay heat 5 71.63(c) 45 days prior to fabrication W IE (1) None E,F load or pressure 101. F Effluent Report 5 72.33(d)(3) Annually W NMSS (4) None 102. F Changes in physical security plan without prior $ 72.33(e) and 2 months W NMSS (4) RO(1) 8 approval 5 72.84(b) b 103. F Changes in emergency plan without pnor . 5 72.33(f) 6 months W RO (1) N MSS (4) . approssi 1 104. F Changes, tests, and experiments conducted 572.35 Annually or as otherwise specified 'N RO(!) N MSS (4) withot.i prior approval (b)(2) 105. F SAR update 5 72.50(b) Annually W NMSS (12) None 106. F Accidental criticality or lass of SNM S72.52 Immediately I',T RO None 107 F Material Status Report Form DOE /NRC-742 572.53 Semiannually W DOE (1) None 108. 12 Nuclear Material Transfer Report For:n 572.54. Promptly W DOE (1) Receiver '(3) DOE /NRC-741 filed by shipper 'lh9 F Nuclear Materiai Transfer Repon Form - 572.54 10 days after received, unloaded, and W DOE (l) Shipper (l, e DOFfNRC-741 filed by receiver. verified, 110. F Financi2 :cport 5 72.55(h) Annually _ W NMSS (4) None l 1 I 1. F Preoperationrd test criteria and results 5 72.56(e) 30 days prict to receipt of fuel W. NMSS(4) Nonc t \\ g b

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APPENDiH A (Continued) Primary Secondary Types of No. Licensee Report Required By Timing Method Recipient Recipient 125. A,B,E,F Wjor loss of physical secunty effectiveness 573.7i(c) Ihour P RO None 126. A,B,E,F Major loss of physicai secunty effectiveness 5 73.71(c) 5 days W RO(i) IE(1) 127. A,B,E,F Potential threat 5 73.71(c) 24 hours P RO None 128. A,B,E,F Potential threat 5 73.71(c) 5 den W RO (I) IE (I) 129. A,B,E,F Major loss of physical security effectivenm 5 73.71(c) 24 bours P RO None which has been properly compensated 130. A,B,E,F Major loss of physical security effectiveness 5 73.71(c) 5 days W RO(I) IE(I) which has been properly compensated 131. A,B,E,F Moderate loss of physical secunty effectiveness 5 73.71(c) 24 hwrs P RO None 132. A,B,E,F Moderate loss of physical security effectiveness 5 73.71(c) 5 days W RO (1) IE(I) ~ 133. A,B.E.F Advance notice of shipment 573.72 7 days pnor to shipment W RO(1) DCD (1) ~ I 134. A,B,E,F Advance notice of shipment $ 73.72 7 days prior to shipment P RO None j l 135. A,B,E,F Initialinventory report Form DOE /NRC-741 975.32 As specified by Commission W DOE (1) None 136. A,B,F Inventory change report Fonn DOE /NRC-741 5 75.34(a) Wlan change occurs W DOE (1) None 137. A,B,F Material status report Form DOE /NRC-742 573.35 30 days after start of inventory W DOE (1) None I and 742C 138. A,B,F Special report 5 75.36(b) Immediately perlicense condition P,T RO None 139. A,B,F Advance notification; exports and domestic 5 73.43(b) 20 days in advance of prtparation of W NRR or RO(1) tran fm and (d), materia NMSS(2) 5 75.44(a)(I) 140. A,B,F Advance notification; imports $ 75.43(c) 12 days in advance of unpackaging of W N R R or RO(1) 5 75.441a)(2) material NMSS (2) 141. A,B,F Delay in receipt or sh;pment 575.44(c) As soon as possible P RO None

APPENDIX A (Continued) Types of Primery Secondary No.- Licensee Report Required By Timing Method Recipient Recipient 142. All Practical application of invention 5 81.32(a)(IO) Annually on anniversary W GC(2) None 143. All NRC security facility approval 595.15(a) Promptly W SEC(l) None 144. All Unattended security container found open 595.25(h) Immediately P Container None Custodian 145. All Unattended security container found open - 5 95.25(h) W RO(1) SEC (1) actions taken I46. All. Security violation 595.57 Immediately P RO None 147 All Generation of classified document 595.57 When document classifacd or classification W SEC(l) None changed 148. All Packaging requirements do not meet Part 71 5110.50(a)(7) Promptly P IP None P E 149 A,B Bodily injury or property damage from - 5140.6(a) Promptly W NRR or None possession or use of radioactive material NMSS (3) resulting in indemnity claim 150. A,B Proof of financial protection 5140.15(a) As required W NRR or None NMSS (3) 151. A,B Otange in proof of financial protection 5140.15(e) Promptly W NRR or None NMSS (2) 152. A,B Financial statement 5140.15 Annually W NRRor None (by ' ) NMSS (3) 153. A,B Policy renewal 5140.17(b) 30 days prior to termination of policy W NRR or None NMSS (1) 154. A,B Guarantee of payment of deferred premiums 5140.21 Annually W NRR or None NMSS (1) 155. E Nuclear Material Transaction Report Form 5150.16(a) Promptly W DOE (1) Receiver (3) DOE /NRC-741 fded by shipper 156. E Nuclear Material Transaction Report Form 5150.16(a) 10 days after receipt of material W DOE (1) Shipper (I) DOE /NRC-741 filed by receiver

APPENDin A (Continued) Primary Secondary Types of No. Licensee Report Required By Timing Method Recipient Recipient 157. E Reft or unlawful diversion of SNM or 5150.16(b) Immediately P RO None attempted theft or unlawful diversion of SNM 158. E neft or unlawful diversion of SNM or 5150.16(b) 15 days W RO(1) IE(I) attempted theft or unlawful diversion of SNM 159. D Nuclear Material Transaction Report Form 5150.17(a) Promptly W DOE (1) Receiver (3) DOE /NRC-74I fded by shipper 160. D Nuclear Material Transaction Report Form 5150.17(a) 10 days after receipt of material W DOE (I ) Shipper (1) DOE /NRC-741 filed by receiver 161. D Statement of source materialinventory 5150.17(b) Annually W DOE (1) None 162. D Unlawful diversion or theft of source material 5150.17(c) Prompt!) P,T RO None 163. D Unlawful diversion or theft of source material 5150.17(c) 15 days W RO(1) IE (1) C 164 C Tritium transfer report Form DOE /NRC-741 5150.19(a) Promptly W DOE (1) Receiver (1) fded by shipper 165. C Tritium transfer report Form DOE /NRC-741 5150.19(a) 10 days after receipt of material W DOE (1 ) Shipper (l) fded by receiver 166. C Tritium inventory report 5150.19(b) Semiannually W DOE (I) Nonc 167 C Unlawful diversion or theft of tritium 5150.19(c) Promptly P,T RO None W RO(1) IE(1) 168. C Unlawful diversion or theft of tritiam 5150.19(c) 15 days 169. C,D,E Report of proposed activities an non-5150.20 3 days prior to engaging in each such W RO(4) DCD (1) Agreement States - Form NRC-24I (b)(1) activity 170. A Startup of Reactor Tech Specs Within (1) 90 days following completion W RO (2) IE (36) of the startup test program,(2)93 days following resumption or commencement of commercial power operation, or (3) 9

APPENDIX A (Continued) Types of Primary Secondary No. Licensee Report Required By Timing Method Recipient Recipient months following initial criticality, which-ever is earliest. If all three events are not completed, supplementary reports every 3 months. 171. A,B Monthly Operating Report Tech Specs Monthly W IE (12) Nonc 172. A,B Reportable occurrence Tech Specs 24 hom P,T RO None 173. A,B Reportable occurrence Tech Specs I4 days W RO(l) DCD (1) l 174 A,B Reportable occurrence Tech Specs 30 days W RO(1) DCD (1) 175. A,B Source Leakage Report Tech Specs Annually W RO(l) IE(1) 176. C Source leakage Report Tech Specs Annually W RO(l) IE (I) .o 5 177 A Annual Environmental Operating Repoit Tech Specs Annually W RO(1) DCD (18) (Part A and Part B) 178. A Nonroutine Environmental Operating Report Tech Specs 24 hours P,T RO NRR 179. A Nonroutine Environmenta! Operating Report Tech Specs 10 days W RO(l) DCD (1) 180. A Nonroutine Environmental Operating Report Tech Specs 30 days W RO(l) DCD (1) 181. A Radiation Exposure by Functions Tech Specs Annually W RO(1) Nonc

e ABBREVIATIONS AND CODES Recipients Types of Licensee. A Nuclear Power Reactor Ucensees DCD Document Control Desk, U.S. Nuclear Regulatory Commistaon, Washington, D.C. 20555 B Other Productiori and Util2ation Facility Ucensees DOE U.S. Department of Energy, P. O. Box E, Oak Ridge, Tennessee 37830 C Byproduct Material Ucensees Executive Director for Operations,U.Sm Nuclear Regulatory Commissicm, EDO Washington, D.C. 20555 D Source Material Ucensees GC General Cou nsel, U.S. Nuclear Regulatory Commission, Washington, E Special Nuclear Material bcusees D.C. 20555 F Independent Spent Fuel Storage Installation Ucensees Director, Office of Inspection and Enforcement,U.S. Nuclear Regula-IE j tory Commission, Washington, D.C. 20555, ATTN: Document G Geologic Repository Control Desk l All All Ucensees IP Assistant Director, Export-Import and International Safeguards, Office of International Programs, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555 Repcraing Method MPA Director, Office of Mznagement and Program Analysis, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555 P Telephone NMSS Director, Office of Nuclear Material Safety and Safeguards, U.S. T Telegraph, mailgram.or facsimile Nuclear Regulatory Commission, Washington, D.C. 20555 W Written report NRR Director, Office of Nuclear Reactor Regulation, U.S. Nuclear Regu-latory Commission, Washington, D.C. 20555, ATTN: Document Control Desk Number of Copies OP CTR USNRC Operations Center The number of copies of each report is specified by numerals in parentheses Appropriate NRC Regional Office (See Appendix D to Part 20 or RO under the headings " Primary Recipient" and " Secondary Recipient." Appendix A to Part 73) It shoulJ be noted that Nuclear Power Reactor Ucensees and other Production and SEC Direct 9r, Division of Secunty, U.S. Nuclear Regulatory Commission, Utdizatson Facility Ucensees may combine an a single license the actsvitses orother licensee Washington, D.C. 20555 categories that would otherwsse be lacensed separately.

UNITED STATES NUCl.E AH REGULATORY COMMISSION W ASHINGTON, D. C. 20585 POSTAGE AND FEES PAeO U.S. MuCLE A R REGU L A TO R Y OPPICIAL SUSINESS COMMesseON PEN ALTY POR PRIVATE USE, $300 .}}

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