ML20030D850

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Discusses Document Mgt Branch Procedures for Placing Documents in Document Control sys.Marked-up Revision 4 to Reg Guide 10.1 Encl
ML20030D850
Person / Time
Issue date: 08/20/1981
From: James O'Reilly
NRC OFFICE OF INSPECTION & ENFORCEMENT (IE REGION II)
To: Cobb L
NRC OFFICE OF INSPECTION & ENFORCEMENT (IE)
Shared Package
ML20030D839 List:
References
REF-SSINS-2110, RTR-REGGD-10.001 NUDOCS 8109170068
Download: ML20030D850 (17)
v • d • e


Text

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UhlTEo STATES uva u, m uua wv a.u.us m h.

' %7-REGION 11 t,*d(

[

101 MARIETT A ST., N W, SulT E 3100

,c" ATL ANT A. G E ORGI A 30303

~* /

AUG 2 01981 SSINS 2110 MEMORANDUM FOR:

Leonard I. Cobb, Director Training and Administration Staff, IE FROM:

James P. O'Reilly, Director, Region II

SUBJECT:

IMPACT OF DOCUMENT CONTROL SYSTEM PROCEDURES We believe that recent changes promulgated by the Document Management Branch (DMS) are excellent.

The initiative is strongly supported by Region II.

Notwithstanding, several procedure changes dictated by DMS as their solution to internal Document Control System (DCS) problems are not concurred in.

Specifically, the original copy of all incoming correspondence should not be sent by the receiving offices to DMB for incorporation into DCS.

The proceoure of sending DMB all original copies of correspondence, including all reports, presents operational problems to Regional Offices which could have been avoided if the scope and impact of such activities had been properly viewed.

In fact, relatively simple policy changes could have eliminated those problems.

Now the Regions will have to copy dcicuments to meet their operational needs while sending, and tracking the status of, those original documents to DMB.

For example, IE Bulletins show the, Regional Office as the primary recipient; I

therefore, all Bulletin responses coming to the Regional Office will have to be copied and sent to DMB, even though the licensees do provide copies of those responses to IE Headquarters.

An extreme example of the impact of that decision would be the EEQ responses to 79-01B.

That original would involve literally hundreds of man-hours of document copying time to satisfy our operational needs.

Concurrent with the publication of the DMB procedural requirements, a change to the IEB policy which would direct that the original copy of an IEB response be sent to DMB with copies to IE Headquarters and the Regional Office would have completely eliminated the need for additional bandling by the Regional Staff. or anyone else in NRC.

In the same vein, I call your attention to Regulatory Guide 10.1 (Rev. 2) which is a compilation of the reporting requirements for all persons subject to NRC regulations.

Appendix A to that Regulatory Guide identifies some 53 different reports for which the primary recipient is the Regional Office 1

8109170068'810828 PDR REGOD 10.001C PDR 1

7-Leonard I. Cobb Changes in the related Regulations which would call for the original copy to be transmitted directly to DMB would eliminate all that redundant handling.

Similarly, the reporting requirements under the Technical Specifications pla:e all LERs in the category of having the Regional Office be the primary recipient.

Thus, the Regional Office has additional handling en those reports despite the submittal of 30 copies of each report to Washington.

l DMS also stipulated, for correspondence originated from the Regional Office, that the original concurrence copy was to be provided to DCS, I question l

- the desirability of concurrence copies going to the PDR.

I believe infor-mation on the originator and concurrence chain of any piece of correspondence l

would probably be available upon request, but I perceive negative implications arising from routinely placing that information in the PDR.

Zf DOS is to provide NRC with administrative improvements, it would appear l

appropriate for the Agency to institutionalize that function.

By making it the primary recipient of original ccrrespondence, DCS can satisfy its I

needs to assure that the right material, without unnecessary duplication, is entered into the document system.

A truly centralized function, working effectively, could substantially reduce the burden on licensees and would certainly eliminate unnecessary wasting of resources in reproduction, j

tracking, mailing and handling at a time when resources are so hard to come by, f urge that you pursue this matter with the EDO or ADM without negative implications toward DMB, The line offices have to address the basic issues, f have been impressed with DMB so far,

(

l will be happy to discuss this matter with you further at your convenience.

l t

y s '..,

James P, O'Reilly cc:

V Stello, IE g

s l

l l

~

s R: vision 4 U.S. NUCLEAR REGULATORY COMMISSION July 1981 n

(@iO REGULATORY GUIDE

\\,~.8 CH OFFICE OF NUCa. EAR REGQLATORY RE[S A4L 7 /\\l U REGULATORY GUIDE 10.1 COMPILATION OF REPORTING REQUIREMENTS FOR PERSONS SUBJECT TO NRC REGULATIONS A. INTRODUCTION condition of license, or provision of the license technical specifications. In some cases, the information that is to be The Commission's regulations set forth in Title 10, -

submitted by licenseesis described in detailin other publica-Chapter 1. Code of Federal Regulations, require the submis-tions in the regulatory guide series. For example, Regulatory thn of variousreportsin connection with licensed actzvities.

Guide 1.16," Reporting of Operating Information - Appen-In addition, the Commission's regulations require that each dix A Technical Specifications," deals with the reperting of applicant for a license authorizing operation of a production operating information for nuclear power plants. This guide or utihtat2on facility include in the application proposed does riot include the requirements for records that must be te:hni:al specifi:stions. These technical specifications as maintained by the licensee or reports required for(I) license approved by the NRC are in:orporated into th: facility applications, (2) license amendments, and (3) license b:ense as conditions of the license and include a section on terminations.

reporting requirements. This guide is not intended to impose additional reporting requirements or to implement exi: ting requirements. The purposes of this guide are (1) to For the most part, neither the NRC's regu!ations no'r the provide a compilation of reporting requirements applicable technical specifications of a fa:ility li:ense specify the to the various types of NRC licensees and other persons subject number of copies of a report to be submitted by alicensee to NRC regulations and C) to provide information that would to the Commission. Submittal of the number of copies of assist in the timely and correct distribution of the reports.

each report as specified by numerals in parentheses under the headings " Primary Recipient" and

  • Secondary Recipient"
8. REPORT COMPILATION in Appendix A would aid in the timely review of the report by the staff.The NRC Document Management Branch should The reports listed in Appendix A to this guide reflect receive one copy of all written reports unless otherwise regulatory or licensing requirements existing at the time of specified. For any new or revised reporting requirement not issuance of this gUde and include an identification of listed in Appendix A and for which the appropriate number addressee or address, method of transmittal, timing, and of copies is not specified in the regulations, license condi-type of licensee. It h seted that revisions to this guide tion, or technical specification, contact the appropriate NRC will be made periodix

's the various reporting require-staff for the number of copies needed.

ments are revised or as re,

  • 1g requirements are added or delet'ed. The requirements s, tied in the regulations, con-The codes and ibbreviations used in Appendix A are ditions of license, or provision. -' license technical specifi-identified either by footnotes on the page on which they cations prevailif there is a conflic tween the requirements appear or in a comprehen'sive listing on page 10.1-15.

and the information in this guide.

The reports listed have been renumbered in this revision.

Appendix A does not discuss tht ecific information Therefore, the number of a specific report in this revision that should be contained in the report;. r this information, does not necessarily correspond to the number used for the the licensee should refer to the uno. 'ying regulation, same report in previous revisions to this guide.

USNRC REGULATORY GutOES Comments should be sent to tne Secretary of tne comen6ss6on.

U.S. Nuclear Re9ulatory Commission. Washington, D.C. 2055s.

Reoulatory Guides are issued to coscribe and make available to the Attention: Ducketing and Serv 6ce Branen.

pu%c metnoas acceptao6e to the NRC staff of emolementing specif6c parts of the Commstsson's regulat6ons. to ce64neate tech.

Tne pJldes are issued in the fottowing ten broac divisions:

nuues used Dy tne staff in evaluating specif6c problems or postu-tateo acctaents, or to oravios pu6cance to apostcants. Regulatory

1. ower Reactors
6. products Guices are not substitute. for regulations, and comofiance vntn
2. Research and Test Reactors
7. Transportation tnem ts not recuired. Metnods and solutions different from those set
3. Fuets and Materials Fachtitles
a. Oceupational Hasttn out in the guices w&41 De acceptaD6e if they provios a Desis for the 4 Environmental and Siting
9. Antitrust and Financial Rev6ew imfings escuesste to the assuance or contsnuence of a permit or
5. Materials and Plant Protection lo. General incense oy tne Commiss6on.

Coones of issued guides may be purenased at tne current Government Tnis gulee was laued after consideration of comments received from Pr6ntine Office ortce. A suoscriotton servtce for future guioes in spe.

the ouDelc. Coniments and suggestions for emorovements in these cif6c ctvisions is avallanee tnrougn tne Government onnting Off 6ca.

guedes are enco stagea at all times. and gu6ces will De rev6sec. as information on the subscription servsee and current GPO ortees may (M ropr6 ate, to a:commodate comments and to reflect new informe.

De ottamed oy writsng the U.S. fwuclear Regulatory Commissson, Wasnington, D.C. 2055 5, Attention Puni6 cations Sales Manager.

tion or e4oenents.

APPENDlX A COMPILATION OF REPORTINO REQUIREMENTS f OR PERSONS SUBJECT TO NRC REGl1LATIONS Primery Secon<lary Types of No.

Licensee Report Required By Timing Method Recipient Recipient 1.

All Radiation exposure data to employees i 19.I3(b)

Annually or when requested by worker W

Individual 4)MIMI)-%

2.

All Radiation exposure data to former employees 519.13(c) - Within 30 days of request or determination W Individual r>M n( l) _o of exposure W

Individual HMR(1) M%

3.

All Radiation exposure data to terminating 519.I3(e)

At termination employees W

RO(2)

I)MB(1) 4 All Respiratory protection program

$ 20.103(e) 30 days prior to use of equipment W

EDO (I)

HMit(I) C~

5.

All flionssay services

$ 20.108 As requested I y Commission 6.

All Report of excesshe radioactive contamination

$ 20.205 Immediately P,T RO Final deliver-ing carrier on package of radioactive material on receipt (b)(2) 7.

All Report of excessive radiation levels external

$ 20.205 Immediately P,T RO Final deliver-o ing carrier to the package on receipt (c)(2)

P RO None 8.

All

  • Ihef t or loss of licensed material

$ 20.402(a)

Immediately W

RO(2) lli(d);

9.

All Theft or loss of licensed material 5 20.402(b) 30 days DMB(4)C W

RO(2) lii(/);

10.

All Additional information on theft or ioss 5 20.402(c)

Within 30 days 4)M841)C 14.

All Report of incident

$ 20.403(a)

Immediately P,T RO None 12.

All Report of incident

$ 20A03(b) 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> P.T RO None W

RO(2) lli(I);

13, All Overexposure of Individual and excessive E $ 20.405(a), 30 days IIx powd levels and concentrations of radioactivity 20.409 individual (I)I

'HMHfI)-C.

W MPA (1) 4)MH(l) O.

14 All Personnel exposure and monitoring reports

$ 20.407 Annually, first calendar quester

  • Lines indicate changes from previous issue.

o APPENDIX A (Continued)

Primery Secondary Types of No.

Licensee Report Required By Timing Method Recipient Recipient 15.

All Personnel exposure at termination of 55 20.408(b), 30 days after determination of exposure or W MPA (I) lim posed individual (l);

employment 20.409 90 days af ter termination, whichever is earlier 14MM(tR 16.

All Failure to comply or existence of a defect 521.2i(b) 2 days P,T IE or RO None W

M DMB( t) 17.

All Failure to comply or existence of a defect 5 21.21(b) 5 days RO(l)

M061 l' "

,i) 18.

C Reports required as conditions of Parts 30-35 530.34 Specified in license condition Specified in licenses (eX4) license,

[

condition W

DOE (I)

Receiver (3);

19.

C Transfer of tritium; Form DOE /NRC-741;

$ 30.55(a)

Promptly HMD(l)-M_

report by shipper 20.

C Transfer of tritium; Form DOE /NRC-741; s 30.55(s) 10 days after receipt of material W

DOli(1)

Shipper (1);

U MR(4) d report by receiver 6

21.

C Tritium inventory report

$ 30.55(b)

Semiannually W

Doli(l)

.DMR(1) -(

22.

C Attempted theft or unlawful diversion of

$ 30.55(c)

Promptly P,T RO None tritium 23.

C Attempted theft or unlawful diversion of

$ 30.55(c) 15 days W

RO(2)

IE (/);

-D Mil (l). _O tritium 24 C

Failure of or damage to shielding, on-off 531.5 30 days W-RO(1)

DMH(I) mechanism or indicator; detection of (cX5) removable radioactive material W

NMSS(I) -DMB(I)-(

25.

C Transfer of derice to specific licensee 531.5(c)(8) 30 days W

NMSS(1)

I+MH( t) %

26.

C T ransfer of device to generallicensee 531.5 30 days (cK9XI) 27.

C Registration; Form NRC-483 531.II(b)

Prior io use of byproduct material W

NMSS(3)

DMil(l) D -

W NMSS (3)

HMH(1) d 28 C

Report of changes of information furnished

$31.ll(e) 30 days on Form NRC-483 es

a

~

APPENDIX A (Continued)

Yrimary Secon.lar y Types of No.

Licensee Report Required By Timing Method Recipient Recipient W

NMSS (.il RO (l);

29 C

Material transfer report by 5 32.I1 licensee

$ 3 2.12 Annually DMit(I) A...

W NMSS (3)

R O ( I ).

30 C

Transfer of material report by 5 32.I4 or

$ 32.16 Annually DMit(I) 4.,

5 32.17 licensee W

NMSS(3)

RO (l);

31.

C Transfer of material repcst by 5 32.18 licensee 532.20 Annually p

NMSS h)

RO (I);

W 32.

C Transfer c' material report by $ 32.22 llcensee 5 32.25(c)

Annually D M H( t).t*_

1 W

NMSS(3)

RO (l);

33.

C Transfer of meterial report by $ 32.26 licensee 532.29(c)

Annually DMil(I) C.

W NMSS (3)

ItO (I);

Transfer of deviceslicensed under 5 31.5 by 532.52(a)

Quarterly l'MIi( t ) C 34.

C

~ $ 32.51 licensee to generallicensee g

L W

State DMil(l}

A 35.

C Transfer of deviceslicensed under Agreement 5 32.52(b)

Quarterly Agency * (1)

State regulations equivalent to 5 31.5 W

NMSS (5)

RO (l);N 36.

C Transfer of tritium or promethium-147 E 32.56 Annually DMit(t Ilcensed under 5 31.7 by $ 32.53 licensee W

NMSS (1)

RO (1);

37.

C Leaking of scaled radiographic source

$ 34.25(d) 5 days DMit(l) C 38.

C IIxceedinglimit of removable contamination

$ 35.14 5 days W

RO(2)

III($);

-DM1t(l) # ~

hy Group VIlicensee (h)(5)(lii) 1 W

RO(2) lli($);

39.

C linceeding limit of removable contamination 535.14 5 days DM il(l)-D.,

revealed by leak test (e)(3) 40.

C Physician Registration Form NRC-482 535.31(h)

Prior to use of byproduct material W

NM3S (3)

DM19(t) C W

NMSS(2)

DMil(I ) A---

41.

C Changes of in'irmation furnished on Form

$ 35.31(d) 30 days N RC-482

  • Re=ponsible Arreement State Agency.

O APPENDIX A (Continued) reimney Secondsey Typesof No.

I.icensee Report Required By Timing Method Recipient Recipient 42.

C Herapy procedure misedministration 535.42(a)

Immediately P

RO None 43.

C Herapy procedure misadministration

$ 35.42(a) 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> P

Ref. Phy.*

Patient *

Ref. Phy. (I);

44.

C Therapy procedute misadministration

$ 35.42(b) 15 days Patient (1);

llMD(!)

45.

C Diagnostic procedure misadministration

$ 35.43 Quarterly W

Ref. Phy. (1) Ito (I).

DMp(l)

W IE(8)

DMit(l)

  • 46.

D Registration of generallicensee who receives, 540.25 30 days after first receirt acquires, possesses, or uses d pleted uranium (cXI) 47.

D Change to registrallon

$40.25(cK2) 30 days W

IE(/)

in4R(t)- C W

Transferee s>MU(l) 48.

D Registration certificate - filed by transferor

$ 40.25 Promptly (l)

P (dX3) 0, W

IE (f)

DMp(l)- G _

49.

D Registration certificate - transfer

$ 40.25(dX4) 30 days None-A m 50.

D Faihere of retention system 540.26(cX2) Immediately P.T y RO W

Receiver (1) DMil(I)-C S t.

D Transfer of materiallicensed under 540.25 540.35(d)

Promptly W

IEp)

DMp(l) - C 52.

D Transfer of materfallicenwd under $40.25 540.35(eXI) Quarterly W

State DMp(I) ". _ _ _

53.

D Transfer of devices under Agreement State 540.35 Quarterly A gency * *

  • regulations equivalent to 540.25 (e)(2)

W DOE (1)

R.*ceiver (314 54 D

Nuclear Material Transaction Report -

5 40.64(n)

Promptly DMit(I) --- g Form DOE /NRC-741 filed by shipper 55.

D Nuclear Material Transaction Report -

$ 40.64(a) 10 days after receipt of mate:Ist W

DOE (1)

Shipper (1);

DMP(l)

R._

l'orm DOE /NRC-741 filed by receiver

  • Prfer:Ing physician.
    • 0r responsible relative or guardian.
      • Responsible Agreement State Agency.

4 APPENDIX A (Continued)

Types of

.Timary Secondary NA Licenece Report Required By Timing Method Recipient Recipient 56.

D Statement of source materialinventory 5 40.64(b)

Annually W

DOE (I)

None 57 D

Unlawful diversion of source material 5 40.64(c)

Promptly PT RO None 58.

D Unlawfut diversion of source material 5 40.64(c) 15 days W

RO(2)

IE (1);

IDMB(1) -C-59 D

Effluent Monitoring Report 540.65 Semiannually W

RO(2) lE (6);

DM D(l) +. -._

62.

D Cessing operations due to emission controts

$ 40, 10 days subsequent to restart W

RO(2)

DMH(1)

A pp. A.I, Crit. R f 40, Immediately P,T RO or IE None 61.

D Failure of re* 7 tion system t

v. A.1, D' %A
5 62.

D Annual site inspection S n.

60 days W

NMSS RMD(I)-%

Jrp. A.IV 63.

A Effluent releases report 5 50.36a(aX2), Semiannually W

RO(2)

I)Mnti)

Tech Specs 64 A,B Changes in security plan made without prior 5 50.54(p)

Two months af ter change W

NR R or DMD(HP spproval NMSS (2) 65.

A,Il Changes in emergenc5 plan made without prior 5 50.54(q) 30 days after change or prano--d to NRC W

RO(2)

DMn(I) approval 66.

A,B Construction deficiency report 5 50.55(e)(2) 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> P,T RO None 67.

A,B Construction deficiency report 5 50.55(e)(3) 30 days W

RO(2)

DMD(1) 68.

A,B Facility changes, tests, and experiments 5 50.59(b)

Annually or :s riiher wise specified in W

RO(2)

DMH(l}

conducted without prio! approval lleense

/c 69.

A,B Financial report 5 50.71(b)

Annually W

NRR (f)

HM Ht R)--(_-

73.

A,B FSAR updating 5 50.71(c)(1) Annually W

NRR (12)

ItMD(1) N---

APPENDlX A (Continued)

Primary Secondary

~

No.

cen re Report Required By Timing Method Recipient Recipient P

OP CIR None 71.

A.R Significsnt events

$ 50.72(a)

Prompt (I hour)

W NRR (f DMH(8) M -

72.

A,B Financial report Part 50, Annually App. c, Sec. til 73.

A,B,F Fmergency notificathn Part 50, 15 minutes P

SA l, Gov.*

None App. I' Sec. IV.D.3 74 A

Fracture toughness Pert 50, At least 3 years prior to date when the W

NR R (/)

DMPil2) -L App.G, Fredicted fracture tour.hness leveh will no Sec. V.E longer satisfy requirements of Appendix G 75.

A Report of test results of specimens withdrawn Part 50, Variable W

NRR (/)

DMH(l?) b from capsules (fracture toughness teste)

App. II, Sec. IV. A

~

.o 76.

A Report of effluents released in excess of.

Part 50,.

Within 30 days from end of quarter W

RO(2)

DMII(I) design objectives App. I.,

Sec. IV. A 77.

A Heactor containment building integrated leak Part 50, 3 months W

NRR (/)

DMn(t 2PL rate test App. J.

Sec. V.B W

NRRor UMil(l)

  1. ~~-.

78 A,B Notification of disability of operator 555.41 15 days NMSS(2) 79 A.D Medical exami..illon 555.60(b)

W NRRor HMit(t) A NMSS (2) 80.

G Site characterfration

$ 60.1 f(g)

Semlannually W

NMSS (3)

DM H(l) -

W RO(3) lli(1);

81.

G Changes, tests, and experiments conducted 6 60.44(h)

Annually DMII(I) O without prior approval

  • State and local governments.

_ =.

~

APPENDIX A (Continued)

Types of Primary Secondary Ne.

Licensee Report Required By Timing Method Recipient Recipient 82.

G Notification of deficiencies

$ 60.71(c)

Promptly W

IEIf)

RO (3);

DMil(l) A_

83.

II Changes in material control and accounting 5 70.32(c) 2 months or 6 months (depending on W

NMSS (4)

RO (1);

program made without pr,r approval isotopes)

DMH(I) ',~ ~

84.

E Changes in plan for physical protection of

$ 70.32(d) 2 months W

NMSS (4)

RO ( t );

SNM in transit made without prior appsoval i>Mn(l) 4--.

T 85.

E Changes in security plan without prior approval 570.32(e) 2 months W

NMSS (3)

RO (1);

D M B( 1) J - ---

7.

86.

E Changes in safeguards contingency plans with-570.32(g) 2 months W

NMSS (3)

RO (l);

out prior approval I+MH(I)-C%

87 E

Changes in emergency plan made without prior $ 70.32(i) 6 months W

NMSS (4)

RO (I);

approval DMH(I) d--

68.

A,H,E Accidental criticality or loss of SNM

$ 70.52(a)

Immediately P.T RO None 89 A,D,E Theft or unlawful diversion of SNM or

$ 70.5 2(b)

Immediately PT RO None attempted theft or unlawful diversion of SNM 90.

A,B,E Material status report, Form DOE /NRC 742 5 70.53(a)

Semlannually W

DOE (1)

DMH( f) #%

and 742C 91.

A,B,E Unaccounted for SNM exceeding applicable 5 70.53(h) 30 days after start of ending phyAc W

RO(1)

IE (/);

limits inventory DMH(1) ~C-,,

92.

A.B E Noricar Material Transaction Report Form 570.54 Promptly W

DOE (I)

Receiver (3);

DOli/NRC-74i filed by shipper I)M n(1-) ~ ^~ d 93.

A,B,Il Nuclear Material Trans::cticn Report Form 570.54 10 days arter receipt of rnaterial W

DOli(1) shipper (1);

dol?/NRC-741 filed by receiver DM n(l)-

94.

E Effbient Monitoring Report 570.59 Semiannually W

RO(2)

IE (d);

I)Mp(I) ' g'-.

95.

AII Accident reports required by DOT on 5 71.5(h)

Immediate P.T NMSS (5)

RO (I);

transportation oflicensed material (Sec 49 CFR 15 days W

DMut I) c.C 171.15, 171.16)

t APPENDIX A (Continued)

Types of prinunty Secondary No.

Licensee Repost Required Ry Timing Method Recipient Recipient 96.

All Request for registration as user of guthortred 57f '2 Prior to use of package W

NMSS (d DMR(1)- -

packages (h)(1)(lii) 97.

All Reductions in effectiveness of authorired

$ 71.61 30 days W

NM5S (2)

DMil(I) b -,

package during use 98.

A,D,C, Fahilcation of package with excess decay heat 5 71.63(c) 45 days prior to fabrication W

IE (/)

DMil(I)-G E,F load or pressure 99.

F Effluent Report

$ 72.33(d)(3) Annually W

NMSS (4)

HMR(I)-E--,

100.

F Changes in physical security plan without prior 5 72.33(c) and 2 months W

NMSS (4)

RO (I);'

d' approval

$ 72.84(b) 101.

F Changes in emergency plan without prior 5 72.33(f) 6 months W

RO(l)

NMSS (4)(

approval DM el(f )

Q, 5y 102.

F CIIanges, tests, and experiments conducted

$ 72.35 Annually or as otherwise specil led W

RO(1)

NMSS(4)r e without prior approval (b)(2)

DM R(1)-

I' 103.

F SAR update 572.50(b)

Annually W

NMSS (12) DM R(I)J-104.

F Accidental criticality or loss of SNM

$ 72.52 Immediately P,T RO None 105.

F Material Status Report Form DOE /NRC-742 572.53 Semlannually W

- DOE (I)

DMR(1) d' 106.

F Niselear MaterialTransfer Report Form

$ 72.54 Promptly W

DOE (1)

Receiver (3)I s e._

DOli/NRC-14I filed by shipper DMil(I) -. O..

107.

F Nuclemr Material Transfer Report Form 672.54 10 days after received, unloaded, an.d W

DOE (1)

Shipper (1)f e.-

Iv)E/NRC-741 filed by receiver verified DMil(l)

-c 572.55(h)

Annually W

NMSS (4)

DMR(1) C, 108.

F Financial report 109.

F Preoperational test criteria and results

$ 72.56(e) 30 days prior to receipt of fisct W

NMSS (4)

DMil( l) 4 ~,

W NMSS (4)

ItO (l)I r l I 0.

F Changes in safegetards contingency plan with-

$ 72.84(h) 2 months C'

out pilor approval DMil(I)

APPENDIX A (Contloued)

~

Types of prims y Scenndary Re,pient Recipient No.

IIcensee Report Required By Timing Method r

i11.

A,B,E,F Failure to receive periodic calls during SNM 573.26 Immediately P

LEA

- shipment - road (IX6) 112.

A,B,E,F Failure to receive periodle calls during SNM 573.26 Immediately P

LE t*

RO shipment - rail (k)(4) 113.

A,B,E,F Delivery of SNM 5 73.27(sXI) Immediately P,T Consignee None 114.

A,D,E,F Receipt of shipment of SNM by licensee 5 73.27(b)

Immediately P.T Deliverer RO 115.

A,B,E,F Falinre of shipment of SNM to arrive at 573.27(b)

Immediately P,T RO Deliverer destinntion - notification by consignee 116.

A,B,E,F Action taken to trace shipment of SNM -

5 73.27(b)

Immediately P.T RO Nonc notification by licensee who made the physical protection arrangements

~oy 117 A.II,II,F Results of trace Investigation of lost or 573.67 Immediately PT RO None g

unaccounted for shipment of SNM (eX3Xvi) 573.67 (gX3Xiii) 5 73.71(a)

I18.

A,ft,E,F Results of trace investigation of lost or 573.71(a) 15 days W

RO(2)

IE(4)r ~ * -

unaccounted for shipment of SNM ltMft(l)- R -

l 19.

A,U,li,F Report of suspected theft or diversion of SNM 573.7 f(b)

Immediately P,T RO None or Industrial sabotage against plant i

120.

A,B,E,F Report of suspected theft or diversion of SNM 573.7I(b) 15 days W

RO(2)

IE (8)r-%

or industrial sabotage against plant DMil(I)-6 121.

A,B,E,F lixplicit threat 5 73.71(c)

Ihour P

RO None 122.

A,B,E,F Explicit threat 5 73.7 l(c) 5 days W

RO(2) lii(I)t- ~

HMH(1) C 123.

A,B,E,F Major loss of physical security effectivenest 573.7I(c)

Ihour F

RO None

' Appropriate law enforcement authority.

T APPENDIX A (Continued)

Primary Secondery Types of No.

t.icensee Report Required By Timing Method Recipient Recipient 124 A,B,II,F Major loss of physical security effectivenes?

573.7I(c) 5 days W

RO(2)

IE (1);.

lamb (1) = 2....

125.

A,B,E,F Potential threat

$ 73.71(c) 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> P

RO None 126.

A,B,E,F Potential threat 973.7 t(c) 5 days W

RO(2)

IE (I)t- %,

l>MD(I) C,

127.

A,B,E,F Major loss of physical security effectivenest 5 73.71(c) 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> P

RO None which has been properly compensated 128.

A,B,E,F Major loss of physical security effectivenes:

5 73.71(c) 5 days W

RO(2)

IE (1)t..

DMH(1) ZC which has been properly compensated 129.

A,B,F,F Moderate lots of physical security effectiveness $ 73.7 t(c) 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> P

RO None it) g 130.

A,B,E,F Moderate loss of physical security effectivt ness 5 73.7I(c) 5 days W

RO(2)

IErDMp(l)-(

L d'

131, A,B,E,F Advance notice of shipment

$ 73.72 7 days prior to shipment W

RO(2)

DMD(1) 132.

A,B,E,F Advance notice of shipment

$ 73.72 7 days prior to shipment P

RO None 133 A,n,F,F InitialInventory report Form DOE /NRC-7(I

$ 75.32 As specified by Commission W

DOE (1)

DMH( f)-(

134.

A,H,F Inventory change report Form DOE /NRC-741 575.34(e)

When change occurs W

- DOE (1)

DMit(l) - C-,.

135.

A,B,F Material status report Form DOE /NRC-742

$ 73.35 30 days after start of inventory W

DOE (1)

DMH(1) ' '(

and 742U 136.

A,n,F special report 575.36(b) tenmediately per license condition P.T RO None

.337.

A,B,F Advance notification; exports and domesuc 573.43(b) 20 days in advance of preparallon of W

NRRor RO (l)( > ~~'

NMSS f/)

DMn(i) ~ C transfers and (d),

material 5 75A4(a)(I) 138 A,B,F Advance notification; imports

$ 75.43(c) 12 days in advance of unpackaging of W

NRR or RO (l); #..,

5 75.44(a)(2) matesial NMSS (/)

DMir(I) 139.

A,II,P Delay in receipt or shipment i 75.44(c)

As soon as possible P

RO None a

APPENDIX A (Continued)

Primary Secondsry Types of No.

1,icensee Report Required By Timing Method Recipient Recipient 140.

All Practical application of invention 5 81.32(a)(10) Annually on anniverssry W

GC(2)

DMH(f)A -

W Sl!C D M pil) < _,

141.

All NRC security facility approval 595.15(a)

Promptly 142.

All Unattended security container found open 595.25(h)

Immediately P

Container None Custodian W

RO(1)

SEC (l): _.__ _

143.

All tinattended security container found open -

5 95.25(h)

DMil(l)

C._

actions taken 144.

All Security violation 595.57 Immediately P

RO None 145.

All Generation of classified document 595.57 When document classified or classification W

SI!C (1)

DMD(1) (,

changed 146.

All Packaging requirements do not meet Part 71 5 Il0.50(s)(7) Promp P

IP None

.Y I47.

A,8 Bodily Irtjury or property damage from 5140.6(a)

Promptly W

NRR or DM H( 1 )" '---

E>'

i NMSS (/)

U possession or use of radioactive material resulting in indemnity claim 148.

A,8 Proof of financialprotection 5140.15(a)

As required W

NRR or UMn(l)d:L.

NMSS(f) 149.

A,D Change in proof of financial protection 5140.15(e)

Promptly W

NRR or DMil(l) -C NMSS ($)

'W NRR or D M R( t ) 'C _,

150.

A,n Financial statement E 140.15 Annually NMSS($)

(b){l) 151.

A,B Policy renewal 5140.17(b) 30 days prior to termination of policy W

NRR or DMit(l)

'I' NMSS W

NRR or DMit(l) O 152.

A,B Guarantee of payment of deferred premiums 5140.21 Annual.y NMSS W

DOE (I)

Receiver (3)r *- -

153.

E Nuclear MaterialTransaction Report Form 5150.16(a)

Promptly DMH(1)'

DOE /NRC-741 filed by shipper l

154 E

Nuclear MaterialTransaction Report Form 5150.16(a) 10 days after receipt of material W

Don.il)

Shipper (1) i 1

DOE /NRC-741 filed by receiver

-._.- __ _ _.. - ~.

APPENDIX A (Continued)

Primasy Secondery Types of No.

Licenece Report Required By M ning Method Recipient Recipient 155.

E Theft or unlawful diversion of SNM or 5150.16(b)

Immediately P

RO None attempted theft or unlawful diversion of ENM W

RO(2)

IE (/h = ~

156.

F Theft or unlawful diversion of SNM or i 150.16(b) 15 days DMH(1) ^

attempted theft or unlawful diversion of SNM 157.

D Nuclear Material Transaction Report Forr1

$l50.17(a)

Promptly W

DOE (1)

Receiver (3)

DMH(1) t DOE /NRC-741 filed by shipper 158.

D Nuclear Material Transaction Report Forrs 5150.17(a) 10 days after receipt of material W

DOE (1)

Shipper (1)N5 DMH(I)%g Dol!/NRC-74I filed by receiver 159.

D Statement of source materialInventory ll50.17(b)

Annually W

DOI!(1)

DMH(1)

O_

160.

D Unlawful diversion or theft of source material

$ 150.17(c)

Promptly

, P.T RO None 5

161.

U Unlawful diversion or theft of source materlaa 9150.17(c) 15 days W

RO(2)

IE (/)F. L DMH(1) d U

162.

C Trillum transfer report Form DOE /NRC-141

$ 150.19(s)

Promptly W

DOE (1)

Receiver (1)W DMil(I)%

filed by shipper 163.

C Tritium transfer report Form DOE /NRC-741 5150.19(a) 10 days after receipt of material -

W DOE (1)

Shipper (1)b g DMH(1)" Q filed by receiver 164.

C Tritium inventory report 5150.19(b)

Semiannually W

DOE (1)

DMai(1)_ %

165.

C Unlawful diversion or theft of tritium 5150.19(c)

Promptly P,T RO Nonc 166.

C.

Uniswful diversion or theft of tritium iISO.19(c) 15 days W

RO(2)

IE(/)?- %

DMil(l)u C' 167.

C,D,E Repost of proposed activitiesin non-

$ 150.20 3 days prior to engaging in each such W

RO(4)

DMil(l)

Agreement States-Form NRC-241 (b)(1) activity 8-168 A

Startup of Reactor Tech 3pecs Within (1) 90 days following completion W

RO(2)

IE (36)r4 of the startup test program,(2) 90 days DMit(l) following resumption or commencement of commercial power operation, or (3) 9 months following initial criticality, which-m

o q

APPENDIX A (Continued)

~

Types of Prirnary Secomlary No.

Licensee Report Required By Timine Method Reelpient Recipient ever is earliest. If all three events are not completed, supplementary reporte every 3 months.

37 -

.169..

A,B Monthly Operating Report Tech Specs Monthly W

IF(f)

DMD(12P ' c '

170.

A,B Reportable occurrence Tech Specs 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> PT RO None t

171.

A,R Reportable occurrence Tech Specs 14 days W

,RO(I)

DMB(1) 172.

A,R Reportablo occurrence Tech Specs 30 days W

RO(l)

DMD(1) 173.

A,8 Source Leakage Report Tech Specs Annually W

RO(2)

IE(/)

174.

C Source leakage Report Tech Specs Annually W

RO(2) lei (/)

5 175.

A Annual Environmental Operating Report Tech Specs Annually W

RO(2)

DMD(18)

Y (Part A and Part B) 1 176.

A Nontoutine Environmental Operating Report Tech Specs 24 hours2.777778e-4 days <br />0.00667 hours <br />3.968254e-5 weeks <br />9.132e-6 months <br /> PT RO NRR 177.

A Nonroutine Environmental Operating Report Tech Specs 10 days W

RO(2)

DMil(l) 178.

A Nonroutine Environmental Operating Report Tech Specs 30 days W

RO(2)

DMD(I)

~

d ABBilEVIATIONS AND CODES Types of 1.lcensee' Recipients A

Nmiras Powre Rcactor licennes DMit Document M:mwment firanch, U.S. Nuclear Rerulatery Commis-sion, Washington, D.C. 20555 B

Other Production and Utilization Facility Licensees DOE

.U.S. Department of Energy, P.O. Dox E, Oak Ridge,Tennessec 37830 C

Byproduct Material Licensees EDO l'xecutive Ilirector for Operations,1156 Nuclear Regulatory Commission, D

Source Material Licensees Washington, D.C. 20555 E

Special Nuclear M.iterial Licensees GC General Counsci, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555 F

Inderemient Spent Fuel Storage Installation Licensees IE Director, Office of Inspection and Enforcement, U.S. Nudcar G

Geologic Repository Regulatory Commission, Washington, D.C. 20555 All All Licensees IP Assistant Director, Ex port-Import and Internatiensl Safeguards Of fice of International Programs, U.S. NucIcar Regulatory Commission, Reporting Method Washington, D.C. 20555 E

P Telephone MrA Director, Office of Management and Program Analysis, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555 T

Telegraph, mallgram, or facsimile NMSS Director, Office of Nuclear Material Safety and Safeguards, U.S.

W Wrillen repost Nuclear Regulatory Commission, Washinrton, D.C. 20555 Number of Copies NRR Director, Office of Nuclear Reactor Regsdation, U.S. Nuclear Regu.

latory Commission, Washington, D.C. 20555 The member of copies of each report is specified by numerals in parentheses stnder the headings " Primary Recipient" and " Secondary Recipient."

OP CI R USNRC Operations Center RO Appropriate NRC Regional Office (See Appendix D to Part 20 or Appendix A to Part 73)

It shoulJ be nested thet Nucteer rower Reactor Licensees and other reoduction and SEC Director, l>irisi<m of Security, U.S. Nuclear Regulatory Commission' IJtillretion l'ortlity Licensect may combine in e ein le license the activilles or other licensee c-tunwies that would otherwise he licensed separete Washington, D.C. 20555 pcb *lLe.,

...r-e nonavu t/!s-H,5 il,,l,,,

p,.

.l.., 4,v7 C e a,.... : <,, c q, ',. v., n,,,,g ; q r.c.

.,.3 T

-

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