ML20153F361
| ML20153F361 | |
| Person / Time | |
|---|---|
| Issue date: | 05/13/1988 |
| From: | Stello V NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| To: | |
| References | |
| FRN-52FR41442, RULE-PR-11, RULE-PR-110, RULE-PR-25, RULE-PR-30, RULE-PR-31, RULE-PR-32, RULE-PR-34, RULE-PR-35, RULE-PR-4, RULE-PR-40, RULE-PR-50, RULE-PR-60, RULE-PR-61, RULE-PR-70, RULE-PR-71, RULE-PR-73, RULE-PR-74, RULE-PR-75, RULE-PR-95 NUDOCS 8809070246 | |
| Download: ML20153F361 (91) | |
Text
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DOCKET H (7590 01)
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SY % h NUCLEAR REGULATORY COMMISSION ,
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-2 10 CFR Parts 4, 11, 25, 30, 31, 32, 34, 35, 40 60, 61, 70, 71. 73, 74, 75, 95, and 110 '
3 gd Retention Periods for Records AGENCY: Nuclear Regulatory Commission.
ACTION: Final rule.
SUtHARY: The Nuclear Regulatory Commission (NRC) is amending its regulations to establish a definite retention period for each record that an NRC applicant or licensee for a materials or facility license is required to maintain. This action is necessary to comply with the Of fice of Management and Budget require-ment that a specific retention period be identified for each record. The final rule also establishes a uniform standard acceptable to the NRC for the condition of a record throughout each speci,fied retention period. This action is expected to reduce the overall recordkeeping burden for NRC applicants and licensees by !
use of uniform and specific retention periode, for each recordkeeping requirement. !
l EFFECTIVE DATE: (Insert 60 days af ter publication),
. i FOR FURTHER INFORMATION CONTACT: Brenda J. Shelton, Acting Chief Records and Reports Management Branch, Division of Information Support Services, Office of '
Administration and Resources Manaaement, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone: 301-492-8132.
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8809070246 080513 4$2F 1442 PDC Db / 0 1
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SUPPLEMENTARY INFORMATION:
Background
The Nuclear Regulatory Commission's (NRC) regulations require that appli-cants and licensees retain a variety of records for various periods of time.
Licensees must also retain certain plant and procedures for routine operation and emergency situations and file reports of certain occurrences and events.
The NRC reviewed its recordkeeping requirements to determine how long the required records should be retained.
This rule reflects the results of that review and of the public comments received on the proposed rule. The NRC did not include 10 CFR Part 20 in its review. The record retention requirements contained in Part 20 were examined and modified as part of the proposed revision to Part 20 that was published for public comment in the Federal Register on December 20,1985 (50 FR 51992) and republished on January 9, 1986 (51 FR 1092).
Codification of these amendments and amendments in certain published proposed rules combined with this final rule will establish uniform retention periods for all NRC recordkeeping requirements.
NRC also intends to conform record retention requirements in future rules to the four uniform periods contained in this rule.
Previously, NRC regulations sometimes specified that a record be retained for a specific period of time. These periods varied widely from one or two years, to the 40 year life of a reactor license, or to the completion of de-commissioning for some licenses.
In other instances, the regulation specified that a record be kept until the Commission authorized its disposition, and in others, that it be retained indefinitely. Some parts of NRC regulations spec-ified the condition of a record acceptable to the NRC throughout its required retention period; others did not.
l This rule amends regulations in nineteen parts of Title 10 to require that certain records in these parts be retained for specific periods. The rule also i
provides for all parts of Title 10, Chapter I, the condition of a record acceptable to the NRC throughout its retention.
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This rule also establishes four specific retention periods to be used throughout 10 CFR Chapter 1. With the exception of one six month retention period at 10 CFR 70.5B(h), uniform retention periods of three years, five years, ten years, or the life of the component, activity, area, or facility are being codified to simplify the system for retaining NRC records. These part' ar four periods, although not ideal for every record retention requirest , seem to be the best choices for NRC record needs. Uniform periods were recommended to the NRC by the Nuclear Information and Records Management Association (NIRMA) based on the nuclear industry's input to NIRMA. Three of the uniform periods coincide with the retention periods for quality assurance (QA) records in Parts 50 and 71; the fourth coincides with the retention periods for records such as those covered by technical specifications.
The NRC recognizes that technical specifications for each nuclear power plant include record retention requirements that may, in some cases, differ from those set out in this rule. The requirements in this rule take precedence over and supersede any conflicting requirements presently in the technical specifications.
Therefore, the Office of Nuclear Reactor Regulation (NRR) !
intends to issue a generic letter that would provide guidance to licensees for revising their technical specifications to conform with this rule and would I include model technical specifications to follow for achieving this' conformance.
During the course of reviewing 10 CFR 50.36, "Technical Specifications,"
the staff found that this section does not clearly reflect the difference in recordkeeping and reporting requirements for reactors licensed under different sections of the regulations. Specifically, commercial and industrial facili-ties are licensed under $50.21(b) or $50.22 and have detailed notification and reporting requirements delineated in $50.72 and $50.73, respectively. There-fore, specific cross references to 550.72 and $50.73 have been added to 150.36 where appropriate. Facilities licensed under $50.21(a) for medical therapy uses and facilities licensed under $50.21(c) for research and development acti-l vities do not have separate sections dealing with notification and reporting.
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l The reporting requirements on the automatic safety system and for these types l
of reactors are contained within 550.36. Accordingly, language is being added
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to $50.36(c)(1)(ii)(A) to make it conform with $50.72(b)(2)(iii) and
$50.73(a)(2)(v). '
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An effort has been made to use consistent terminology with regard to paperwork throughout this multi part rule. For example, the term "retain" conveys the idea of keeping secure or intact and the term "maintain" continuing to preserve and update, in this case, a record. Consistent terminology and specific recordkeeping requirements and retention periods should assist an NRC applicant or a licensee in complying with these requirements.
The changes resulting from this rule should result in an overall reduction l in the recordkeeping burden imposed on the NRC applicant or licensee. The major reduction in burden results from establishing 126 specific retention periods, primarily three years or the life of a license, for records that up to now were '
retained indefinitely. This major reduction, plus four other reductions of retention periods by two years, offsets the increase in retention periods for '
54 records; 42 cases by one year,10 cases by two years,1 case by two and one half years, and 1 case by three years. Based on staff's understanding of cur-rent industry practices, the increases in retention periods would either not impose any additional burden or could be readily accommodated within current i
equipment configurations and, therefore, would represent no appreciable increase '
in burden.
A paragraph describing the form and condition of a record acceptable to the NRC for review is being codified in ten parts. This requirement is com-parable to similar provisions currently included *in other parts of the NRC !
regulations. '
Specifying clearly in NRC regulations what records to retain, how long to retain them, and the condition of a record required for NRC inspection is mutu-ally beneficial to the applicant or licensee and to the NRC. The Paperwork i
Reduction Act of 1980 (44 U.S.C. 3501 et seq.) added impetus to the NRC's interest in the regulatory burden imposed on an applicant or a licensee by the
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preparation and retention of records. Furthermore, 04's regulations implement-
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ing the Paperwork Reduction Act require that record retention requirements imposed by Federal regulations contain specific retention periods. The NRC com-plies with the Act's requirement for Office of Management and Budget (0M8) review of the information collection requirements in each rulemaking. In addithn, two l
documents on paperwork are being prepared for publication in the NUREG series one document will be based on Regulatory Guide 10.1, which is a compilation i
(7590-01) 1 of reporting requirements for persons subject to NRC regulations, and the other document will summarize the record retention periods for the recordkeeping requirements contained in NRC regulations. These companion documents should be useful to an NRC applicant or a licensee.
On October 28, 1987, the NRC published the proposed rule in the Federal Register ($2 FR 41442). The comment period ended on December 28, 1987.
Sumary of Public Coments Coments were received from sixteen respondents comprised of eight power reactor licensees, three industry groups, two law firms, one university, one fuel fabrication plant operator, and one private citizen. Copies of the coment l 1etters are availabic for public inspection and copying for a fee at the NRC Public Document Room at 1717 H Street NW., Washington, DC. Fifteen of the six-teen commenters generally agreed with the proposed amendments and one comenter l disagreed. {
The individual who disagreed did not identify any specific records but stated that "reduction of many record retentions to three years would invite cheating, criminal activity, and the ignoring of rules set up to protect the -
p ubli c. " The Commission does not agree with this comment. The Commission has an extensive compliance monitoring and inspection program. While examination of licensee records is an important part of the program, it is not the only means by which NRC determines whether licensees are operating safely. Moreover, for those requirements covered by the three year minimum period, the Comission believes that records covering the previous three year period will be sufficient to assist the agency in judging compliance or noncompliance, to act on possible noncompliance, and to examine facts as necessary following any incident. In the situation alluded to by the comenter, large irradiators and large medical licensees possessing significant quantities of radioactive material are inspected annually, hence the three year minimum period is adequate.
The remaining fifteen commenters agreed with the proposed changes with the following general comments:
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- 1. Coment. Three commenters recommended that the Commission specify in the "Statement of Considerations" that a Technical Specification amendment made to conform to this rule is not required and that "pen and ink" changes are l acceptable. Two commenters suggested that fees should not be required for i these changes.
Response.
The Comission agrees that a Technical Specification amendment to conform to the administrative requirements of this rule is not required and that "pen and ink" changes will suffice. However, should licensees desire to amend their Technical Specifications to confore to the administrative require-ments of this rule, the licensees would not be required to submit fees under 10 CFR Part 170. <
l 2.
Coment. One commenter suggested that the general statement appearing in the Supplementary Information which states that requirements in this rule take precedence over and supersede any conflicting requirements in the Technical Specifications should be addressed in 10 CFR 50.36 and, as appropriate, referenced in other 10 CFR Parts.
Response.
The Comission believes that the information provided in the "Supplementary Information" is adequate. 10 CFR 50.71(d)(2) currently addresses the precedence issue for 10 CFR Part 50 licensees and applicants.
Reference to $50.71(d)(2) in other 10 CFR Parts is not necessary. I
- 3. Coment.
Three comenters recomended that the maintenance of :
records in electronic media such as computerized records and optical disks be addressed. ,
Response.
The Comission does not object to the use of electronic medi6 for the storage of records as long as legible, accurate, and complete records '
can be produced in hardcopy throughout the duration of the required retention period.
Records such as letters, drawings, specifications, etc. must include all pertinent features such as stamps, initials, and signatures. Adequate safeguards against tampering with and loss of records must also be maintained.
The rule has been changed to address the use of electronic media.
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(7590-01)
- 4. Comment.
One commenter recommended that the records to be retained under 10 CFR Part 20 be addressed in this rule. i Response.
The Commission believes that the pending amendment to 10 CFR Part 20 is the most efficient and economical means for addressing the records contained in that part.
The amendment to 10 CFR Part 20 will meet all of the record retention requirements established by this rule. This approach will ensure that the recordkeeping requirements are consistent with changes to the technical and administrative aspects to Part 20 that may result from the public comments and additional staf f review of the requirements included in that part.
- 5. Comment.
One commenter recommended that the increased record reten-1 tion periods remain as they are currently specified in 10 CFR Chapter I and an-other specifically questioned the increased retention period for $3 records.
Response. The Commission has modified many retention periods to stream-line and standardize its record retention requirements and to reduce the burden imposed by those recuirements.
There are instances in which an individual rec- '
ord retention period has been increased.
However, we believe that, in gene.ral, the rule will result in an ultimate benefit to the majority of the applicants and licensees as well as to the NRC. -
- 6. Comment.
One commenter stated that the proposed rule changes the current requirements of $74.31 from a performance-orient'ed rule to one contain-ing specific recordkeeping requirements. The commenter believes that the pro-posed changes complicate the licensee's ability to devise its own recordkeeping system, compatible with its own operations, in accordance with a performance-oriented rule, and that the proposed changes are unnecessary and should be eliminated.
Response.
The Commission has reevaluated the proposed changes in light of this comment and has determined that the specific enumeration of records is not necessary.
The carrent performance-oriented rule adequately provides for retention of records to demonstrate compliance with the Commission's require-ments.
The proposed change to 574.31 has been deleted from the final rule.
(7590-01)
- 7. Coment. Two commenters stated that the records retention period for the Safety Analysis Report is not obvious and needs to be addressed.
Response.
Section 50.71(e) requires licensees to periodically update their FSAR's.
Implicit in this requirement is the retention of the updated FSAR by licensees for the duration of their licenses. The Comission believes that the retention period of an updated FSAR is inherent in its existing regulations.
Nevertheless,10 CFR 50.71(e)(6) has been added to the rule to specify that the updated Final Safety Analysis Report (FSAR) is to be retained by the licensees i until the NRC terminates their licenses.
- 8. Comment.
One comenter stated that the rule does not make it clear ,
that the retention periods specified are minimum requirements.
Response.
The Comission does not object to licensees / applicants retaining I
records beyond the retention period required by NRC regulations. The intent of re-tention periods for recordkeeping requirements is to establish the miniaum reten- '
tion necessary for compliance with NRC regulations. Should licensees or appli-cants elect to retain records beyond the retention period required by the NRC, they have that option.
Licensees should be avare, however, that NRC's recordkeep-ing requirements apply only to HRC requirements for the information. Other Fede State, or local agencies may have requirements that may apply now or in the future.
- 9. Comment.
One comenter stated that the recordkeeping requir6 ment pur-1 l
suant to $50.54(p)(2) has not been addressed and suggested that the retention be changed to three years. i Response. i The omission of the recordkeeping requirement contained at l
550.54(p)(2) was an oversight and has been included in the final rule with a i three year retention period.
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- 10. Comment.
One comenter suggested that the minism retention period i
' be changed to "three years or until the next inspection, whichever is longer,"
stating that three years is an insufficient retention period because some i records would be destroyed before the next inspection.
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Response. While some inspection frequencies are longer than three years, the Commission believes that records covering the previous three year period are suf ficient to permit the NRC to judge compliance or noncompliance, to act on possible noncompliance, and to examine necessary facts following an incident. Licensees possessing materials which could pose a significant risk to public health and safety, such as irradiators or large medical facilities, are inspected annually. The three year period, while not ideal for all situations, is a reasonable period which generally satisfies NRC's record needs and conforms to OMB guidelines by providing for the availability of records while not imposing any undue burden on the licensees.
- 11. Comment. One commenter stated that increases in retention periods f rom two to three years are unnecessary. The comenter believes that present inspection cycles make two years an adequate retention period and suggested that the current two year retention periods for records contained in $$70.22(k), '
71.9(a), and 110.53(b) be retained.
Response. As explained in the proposed rule, the three year period was selected as one of four periods to provide a uniform system for retention of all NRC required records. While it is not ideal for all situations, it is a reasonable period which generally satisfies NRC's record needs and conforms to OMB guidelines while not imposing any undue burden on licensees. The Commission believes that any added burden on licensees by an increase, such as from two to three years, is slight and is balanced by the benefit of a uniform system for overall records retention.
12.
I Comment. One commenter stated that the requirements in $71.135(a) to keep QA records for three years beyond the date the licensee last engages in the activity for which the QA procedures were developed and to keep superseded portions of written procedures for three years are unnectssary and Bould be deleted.
The commenter believes that it is sufficient to retain the QA records only for the life of the package to which they apply.
- Response.
The Commission disagrees with this coment. Quality assurance records, such as design, fabrication, or predeterstnation tests, must be re-tained beyond the end of the service life of the package so that they will be
I (759001) l availabls for examination by the Coa.nistion in any analysis following an accident, incident, or other problem involving public health and safety.
- 13. Comment.
One connenter stated that the requirement it Flo.24(a)(3) to retain the superseded portion of emergency procedures is unnecessary and should be deleted.
Response. The Commission disagrees with the comment. It is essential that, following any incident in which the use of emergency procedures may be involved NRC be able to examine ait of the facts that existed at the time of the incident, Mcluding the emergency procedures that were in effect at that time.
Because it is possible, if not probable, that emergency procedures may be revised following an emergency incident based on the licensee's experience in using the procedures, it is necessary that superseded portions be retained for the minimum period, three years.
- 14. Coment.
One commenter stated that the requirement in 570.42(d) to keep copies of licenses, certificates, and other documents used to verify that a recipient of licensed material is ruthorized to receive it is not necessary and should be deleted.
Response. The Commission disagrees with the coment and believes that NRC
.ieeds to be able to examine these records to ensure tha* licensees are complying !
with the requirement that they verify the authorization of the persons receiving licensed radioactive material. '
- 15. Coenent.
One commenter st ated that the backfit rule, 550.109, should apply because the recordkeeping rule adds new record retention requirements to various sections of 10 CFR Part 50.
Response. The Cosmission disagrees with the comment. Section 50.36 is ,
the only section within Part 50 that has been revised to clarify recordkeeping requirements.
However, all records specified in this section are currently required by other provisions contained in 10 CFR Chapter I. As stated on page 41443 of the "Federal Register Notice" for the proposed rule published October 28, w
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1987, the backfit rule,10 CFR 50.109, does not apply to the records retention rule.
- 16. Coment. One comenter stated that the specific uniform record retention periods being proposed do not conform to the retention periods for the Nuclear Liability Insurance Records identified in AN!/MAELU Information Bulletin 80-1A which requires the records to be maintained for the life of the nuclear liability insurance policy plus ten years.
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Response.
The record retentfois requirements set forth in the 10 CFR Chapter I establish the minimum retention periods necessary for NRC to ensure compilance with the safety and health aspects of the nuclear environment and for the NRC to accomplish its mission to protect the public health and safety.
Retention of records beyond the minimum period is at the option of the licensee.
Licensees should be aware, however, that NRC's recordkeeping requirements apply only to NRC requirements for the information. Other Federal, State, or local agencies may have requirements that may apply now or in the future.
- 17. Comment.
One comenter stated that the lack of clear definitions for terns such as "legible" and "authenticated" has the potential to create sub-1 stantial confusion as to what records are acceptable, i
Response.
The following definitions of "legible" and "authenticated" apply to records retained under the NRC's regulatory authority. The ters "legible" denotes that the records can be read and deciphered within a reason-able amount of O ne.
- "Authenticated" denotes that the data has been verified !
for completeness and accuracy by an authorized individuti and that it is a true i representation of the original dati..
This also addresses one commenter's con-cern about what constitutes a record capable of producing a clear copy (
- 18. Coment. One comenter stated that the requirement in 10 CFR Part 73 Appendix B, Criteria I.C., that a physical test be performed within thirty days of a physical examination was deleted in August 1987 and should not be reintroduced.
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(7590-01) i Response. The requirement to conduct. a medical examination within the !
l ' preceding 30 days of the physical fitness qualification was revised af ter I
! publication of the proposed rule On January 7, 1988 (53 FR 403) Criteria I.C. l was revised to state that subsequent to the medical examination, physical fitness shall be demonstrated. This revision is reflected in the final rule.
- 19. Coment. One commenter stated that the requirement in 573.7C;d) to f list the "reason for entry," into a vital area was deleted and should not be
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! reintroduced.
- Response. The Commission agrees with the comment. The requirement has i been deleted from the final rule. !
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l 20.
Coment. One comenter noted that 550.49(d) contains revised wording that apparently makes this section redundant with existing 550.49(j).
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Response. The Commission disagrees that the recordkeeping requirement contained in 550.49(d) is redundant to that contained in 550.49(j). Sec- l
! tion 50.49(d) requires the retention of the list of electrical equipment important to safety and information specified in paragraphs (d)(1), (2), and !
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(3) only. Section 50.49(j) r(quires the retention of records to support the
- qualification of equipment, but reiterates that there are qualific6 tion records contained in 550.49(d) that must be retained for the same period.
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- 21. Coment. One commenter recommended that the Commission update :
Regulatory Guide 10.1 to clarify and simplify recordkeeping requirements. The j commenter also recommended that all recordkeeping requirements be consolidated !
into a single location within the regulations.
Response.
Regulatory Guide 10.1 is a partial listing of regulatory reporting requirements. As indicated in the Supplementary Information NRC will publish a separate compilation of MRC regulatory reporting and record-keeping requirements in the NUREG series. The Commission believes the publica-tion of these compilations will preclude the need to group all recordkeeping requirent .s in a single location within the regulations.
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- 22. Comment.
One commenter questioned why the retention period for safeguards contingency plans varies depending upon uhether the special nuclear material is in transit or at a fixed location ano sited $73.26(e)(3) and l?3.40(b) as examples of this discrepancy. ,
Response.
'she record retention periods for il73.26(e)(3) and 73.40(b) differ because the individual requirements are different.
Section 73.26 covers licenses to transport special nuclear material (SNM) where possession of the material occurs at discrete times and terminates when the last shipment is !
completed through acknowledged receipt by the receiver. On the other hand, I 173.40(b) covers licenses to hold SNH at fixed sites where possession of mate-i rial is more continuous and it is more difficult to confirm that possession has ended and the license can be terminated.
1 Environmental Impact: Categorical Exclusion
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The NRC has determined that this regulation is the type of action described in categorical exclusions 10 CFR 51.22(c)(1) and (3). Therefore, neither an environmental impact statement nor an environmental assessment has been pre for this final regulation.
4 Paperwork Reduction Act Statement ,
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This final rule amends information collection requirements that are subject to the Paperwork Reduction Act of
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1980 (44 U.S.C. 3501 et seq.). This final I rule has ber.tn submitted to the Office of Management and Budget for review and approval.
Requirements in nineteen parts included in this rule were assigned approval numbers by the Office of Management and Budget as follows:
Part 4 -3150-0053; Part 11--3150-0062; Part 25 -3150 0046; Part 30--3150-00 Part 31--3150-0016; Part 32- 3150-0001; Part 34--3150-0007; Part 35--3150-0 Part 40--3150-0020; Part 50--3150-0011; Part 60--3150 0127; Part 51--3150 '
Part 70--3150-0009; Part 71--3150 0008; Part 73--3150-0002; Part 74 -3150-0
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, Part 75--3150 0055; Part 95--3150-0047; Part 110--3150-0036. '
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Regulatory Flexibility Certification As required by the Regulatory Flexibility Act of 1980, 5 U.S.C. 605(b),
and NRC Size Standards ,50 rR 50241; December 9, 1985), the Commission hereby certifies that this rule does not have a significant economic impact upon a substantial number of small entities. The rule amends parts of the NRC regula-tions by specifying a period to retain each required record.
The rule af fects most facility and materials licensees by reducing the regulatory burden of retaining records for an unnecessarily long or indefinite period. Therefore, it is not expected to have a significant economic is* pact on any licensee.
Comments on the expected economic impact of this rule on small entitts; were solicited; however, none were received.
Backfit Analysis The Commission has determined that the backfit rule,10 CFR 50.109, does not apply to the rule. The rule is purely administrative in nature, and therefore does not result in the "modification of or addition to systems, struc-tures, components, or design of a facility...or the procedures or organization required to design, construct, or operate a facility...".See 10 CFR 50.109(a)(1).
List of Subjects in 10 CFR Parts 4, 11, 25, 30, 31, 32, 34, 35, 40, 50, 60, 61, 70, 71, 73, 74, 75, 95, and 110.
Reporting and recordkeeping requirements, i
i For the reasons set out in the preamble and under the authority of the Atomic Energy Act of 1954, as amended, the Energy Reorganization Act of 1974 as amended, and 5 U.S.C. 553, the NRC is adopting the following amendments to 10 CFR Parts 95, and 110. 4, 11, 25, 30, 31, 32, 34, 35, 40, 50, 60, 61, 70, 71, 73, 74, 75, 14
l (759001) 1 PART 4 - NONDISCRIMINATION IN FEDERAL.LY ASSISTED Com !SSION PROGRAM 1
1.
The authority citation for Part 4 continues to read as follows.
AUTHORITY:
Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841).
2.
A new i 4.6 is added to read as follows:
$ 4.6 Maintenance of reco.is, .
t Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform provided that the copy or microform is i
authenticated by authorized personnel and that the microform is capable of pro- l ducing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent informa-tion such as stamps, initials, and signatures.
The licensee shall maintain ;
adequate safeguards against tampering with and loss of recordt, i 3.
Section 4.32 is revised to read as follows:
I l 4.32 Compliance reports.
1 (a) Each recinient shall keep records and submit to the responsible NRC official, timely, complete, and accurate compliance reports at the times and ir the form and containing the information that the responsible NRC official may j determine to be necessary to enable the official to ascertain whether the j
recipient has complied or is complying with this subpart, i l
(b) In the case of any program under which a primary recipient extends Federal financial assistance to any other recipient, the other recipient shall also submit necessary compliance reports to the primary recipient to enable the primary recipient to carry out its obligations under this subpart.
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(c) The primary recipient shall retain each record of information needed to complete i compliance report pursuant to paragraph (a) of this section for three years or as long as the primary recipient retains the status of primary recipient as defined in i 4.4, whichever is shorter.
4.
In 5 4.125, the introductory text of paragraph (d) is revised to read
- as follows
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4 i
) $ 4.125 Preemployment inquiries.
l a a a a a (d) Information obtained in accordance with this section as to the medical condition or history of the applicant must De collected on separate forms.
The recipient shall retain each form as a record for three years from the date the applicant's employrent ends, or, if not hired, from the date of application.
Each form must be accorded confidentiality as a medical record, except that: l n a a a a I
5.
In i 4.127, the introductory text of paragraph (d) is revised to read '
- as follows: '
i 5 4.127 Existina facilities, j n a a n' a i
- (d) Transition plan. In the event that structural changes to facilities are necessary to meet the requirement of paragraph (a) of this section, a recipient shall develop a transition plan setting forth the steps necessary to j complete the changes. The plan is to be developed with the assistance of i j
interested persons, including handicapped persons, or organizations representing j l handi apped persons, and the plan is to meet with the approval of the NRC. The l rect.aient shall retain a copy of the transition plan as a recard until any J ,
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(7590-01) structural change to a facility is complete. A copy of the transition plan is to be made available for public inspection. At a minimuu, the plan is to:
. e a a n i
PART 11 - CRITERIA AND PROCEDURES FOR DETERMINING ELIGIBILI CONTROL OVER SPECIAL NUCLEAR MATERIAL I
- 6. !
The authority citation for Part 11 continues to read as follows: l AUTHORITY:
Sec.161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, j B8 Stat.1242, as amended (42 U.S.C. 5B41).
I 4
5 11.9 (Amended) i 7.
Section 11.9 is atended by changing "two years" to "three years" in the last sentence, j 8.
1 A new $ 11.10 is added to read as follows: i 4
5 11.10 Maintenance of records.
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' Each record required by this part must be legible throughout the retention period specified by each Commission regulation.
The record may be the original or a reproduced copy or a microform provided that the copy or microfors 11
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i authenticated by authorized pertonnel and that the microforn is capable of pro-
! ducing a clear copy throughout the required roter. tion period. The record may I also be stored in electronic media with the capability for produef'g legible,
' accurate, and complete records during the required retention period. Records I
such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures etc.
The licensee shall saintain adequate safeguards against tampering with and loss of records.
4 9.
i In i 11.13, paragraph (b) is revised to read as follows:
i 11.13 Special requirements for transportation.
l
= a a a a 1
_ _ - _ _ . _ _ _ _ _ _ , _ . _ _ _ . _ - _ _ _ _ . . _ . ~ _
l
. l (7590 01)
(b) Each licensee who, 365 days af ter Commission approval of the amended sec. hy plan submitted in accordance with $11.11(a), transports or delivers to a carrier for transport special nuclear material subject to the physical pro-tection requirements of $573.20, 73.25, 73.26 or 73.27 of this chapter shall confirm and record prior to shipment the name and special nuclear beterial access authorization number of all individuals identified in paragraph (a) of this sec-tion assigned to the shipment. The licensee shall retain this record for three years af ter the last snipment is made. However, the licensee need not confirm and record the special nuclear material access authorization number in the case of any ir.dividuS1 for whom an application has been submitted and is pending before the NRC in accordance with paragraph (a) of this section.
PART 25 - ACCESS AUTHORIZATION FOR LICENSEE PEFSONNEL
- 10. The authority citation for Part 25 continues te read as follows:
AUTHORITY: Sec.161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, 88 Stat.1242, as amended (42 U.S C. 5841). !
$ 25.11 [ Amended) 4
- 11. Section 25.11 is amended by changing "two years" to "three years" in the east sentence. i i
' i
- 12. In i 25.13, the existing text is designated paragraph (a) and a new
- paragraph (b) is added and the section heading. revised to read as follows
1 25.13 Maintenance of Records, l
A A 2 2 4 (b) Each record required by tnis part must be legible throughout the retention period specified by each Conseission regulation. The record may be the original or a reproduced copy or a microfore provided that the copy or microform is authenticated by authorized personnel and that the microfore is capable of producing a clear copy throughout the required retention peried.
4
- - . - - - - - - - - , - - - , . , - . . . - . . .--.---- ,- - . ,---.-~ . , - - - . ,_
- l (759t-01)
The record may also be stored in electronic media with the capability for pro-oucing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee sha11 maintain adequate safeguards against tampering with and loss of records.
$ 25.23 (Amended) 13.
In i 25.23, the introductory text is amended by changing "one year" to "three years" in the fif th sentence.
5 25.35 (Amended) 14 In i 25.35, the last sentence of the existing text is amended by !
i changing "two years" to "three years."
PART 30 - RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF B HATERIAL
- 15. The authority citation for Part 30 continues to read as follows
AUTHORITY:
Sec.161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, 88 Stat.1242, as amended (42 U.S.C. 5841).
- 16. In i 30.34, paragraph (g) is revised to read as follows:
$ 30.34 Terms and conditions of licenses.
1 a a a a n 1
(g) Ea.h licensee preparing technetium-99m radiopharmaceuticals from molybdenum-99/ technetium-99e generators shall test the generator eluates for mo)"tdenum-99 breakthrough in accordance with 5 35.14(b)(4) (1) through (iv) of ti.i. chapter.
The licensee shall record the results of each test and retain each record for three years after the record is made.
A A 2 2 A
(7590 01) 17.
In 5 30.51, paragraph (c) is deleted, paragraph (d) is redesignated (c), and paragraphs (a), (b), and (c)(1) are revis.ed to read as follows:
5 30.51 Records.
(as Each person who receives byproduct material pursuant to a license issued pursuant to the regulations in this part and Parts 31 through 35 of this chapter shall keep records showing the receipt, transfer, and disposal of the byproduct material as follows:
(1)
The licensee shall retain each record of receipt of byproduct matorial as long as the material is possessed and for three years following transfer or disposal of the material.
(2)
The licensee who transferred the material shall retain each record transfer for three years af ter each transfer unless a specific requirement in another part of the regulatit.,ns in this chapter dictates otherwise.
(3)
The licensec who disposed of the material shall retain each record of disposal of byproduct material until the Comission terminates each license that authorizes disposal cf the material.
(b)
The licensee shall retain each record that is required b'y the regula-tions ir this part and Parts 31 through 35 of this chapter or by license condi-tion for the period specified by the appropriate regulation or license condition.
If a retention period is not otherwise specified by regulation or license condi-tion, the record must be retained until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement.
(c)(1) Records which must be maintained pursuant to this part and Parts 31 through 35 of this chapter may be the original or a reproduced copy or micro-form if such reproduced copy or microform is duly authenticated by authorized personnel and the microform is capabit of producing a clear and legible copy af ter storage for the period specified by Comission regulations. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the rtquired retention period. Records such as letters, drawings, specifications, u ast include all pertinent information such as stamps, initials, and signatures.
The licensee shall maintain adequate safeguards against taaperin., with and loss of records.
1 .
[7590-01)
PART 31 - GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL 18.
The authority citation for Part 31 continues to read as follows:
AUTHORITY:
Sec. 161, 68 St.at. 948, as amended (42 U.S.C. 2201); Sec. 201, 88 Stat.1242, as amended (42 U.S.C. 5841).
1 19.
In 5 31.5, paragraph (c)(4) is revised to read as i'ollows:
i
$ 31.5 Cettain measuring, caucino, or controllino devices.2 (c) * * *
(4)
Shall maintain records showing compliance with the requirements of paragraphs (c)(2) and (c)(3) of this section. ,
The records must show the
{ results of tests.
j The records also must show the dates of performance of, and the names of persons performing, testing, instal. ling, servicing, and removing i
from the installation radioactive material and its shielding or containment.
The licensee shall retain these records as follows:
) (i) i
! Each record of a test for leakage of radioactive material required by 1
paragraph (c)(2) of this section must be retained for three years after the !
next required leak test is performed or until the sealed source is transferred or disposed of.
(ii) i Each record of a test of the on-off mechanism and indicator required by paragraph (c)(2) of this section must be retained for three years after the next required test of the on-off mechanism and indicator is performed or until the sealed' source is transferred or disposed of.
(iii)
Each record that is required by aragraph (c)(3) of this section must be retained for three years from the date of the recorded event or until the device is transferrsd or disposed of.
t i
i 8 Persons possessing byproduct material in '!,evices under the ganeral license
. . . . in 5 31.5 before January 15, IS15, say continue to possess.
.........u.. . -
. , _ - _ . - - - . - - ~ . . , , , . . - --- -- - - --- - -
(7590-01) a a a a a I
- 20. A new $ 31.12 is added to read as follows:
$ 31.12 Maintenance of records. !
Each record required by this part must be legible throughout the retention i period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform provided that the copy or microfore is authenticated by authorized personnel and that the microfore is capable of pro- i ducing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible. l accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent informa-tion such as letters, stamps, initials, and signatures. The licensee shall ;
maintain adequate safeguards against tampering with and loss c,f records.
J t
PART 32 - SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERT ITEMS CONTAINING BYPRODUCT MATERIAL
- 21. The authority citatibn for Part 32 continues to read as follows
- ,
AUTHORITY: l Sec.161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201 (
88 Stat. 1242, as amended (42 U.S.C. 5841). i
, t
- 22. A new i 32.3 is added to read as fohlows:
$ 32.3 Maintenance of records.
Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record say be the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of 1
producing a clear copy throughout the required retention period. The record l may also be stored in electronic media with the capability for producing I
legible, accurate, and complete records during the required retention period.
Records such as letters, drawinos, specifications, must include all nortinant
(7590 01) information such as stamps, initials, and s*gnatures. The licensee shall maintain adequate safeguards against tampering with and loss of records.
PART 34 LICENSES FOR RADIOGRAPHY AND RADIATION SAFETY REQUIREMENTS FOR '
RADIOGRAPHIC OPERATIONS
- 23. The authority citation for Part 34 continues to read as follows:
AUTHORITY:
Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); Ser. 201, j 88 Stat.1242, as amended (42 U.S.C. 5841).
i 24 A new $ 34.4 is added to read as follows: ,
l 34.4 Maintenance of records.
l Each record required by this part must be legible throughout the retention period specified by each Commission regulat?on. The record may be the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of pro-i ducing a clear copy throughout the required retention period. The record may j also be stored in electronic media with the capability for producing legible, !
accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent informa-tion such as stamps, initials, and signatures.
The licensee shall maintain !
l adequate safeguards against tampering with and loss of records. '
l 2
5 34.24 (Amended) 25.
i Section 34.24 is amended by changing "two years" to "three years" in
, the next to last sentence.
{ 26. In 5 34.25, paragraph (c) is revised to read as follows:
i i
i 4
8 34.25 -teak testino, repair, tacaino, openino, modification, and replacement of sealed sources.
i
l (759001) l (c) The leak test must be capable of detecting the presence of 0.005 microcurie of removable contamination on the sealed source. An acceptable leak test for sealed sources in the possession of a radiography licensee would be to test at the nearest accessible point to the sealed source storage position, or other appropriate measuring point, by a procedure to be approved pursuant to 5 34.11(f). Each record of leak test results must be kept in units of micro-curies [or disintegrations per minute (dpm)]and retained for inspection by the Comnission for three years af ter it is made.
A A R R A 5 34.26 (Amended) 27 Section 34.26 is amended by changing "two years" to "three years" in the last sentence.
- 28. In 5 34.27, the introductory paragraph is revised to read as follows:
1 34.27 Utilization loos. ;
l Each licensee shall maintain current logs, which shall be kept available for three years from the date of the recorded event, for inspection by the i Coenission, at the address specified in the license, showing for each sealed i source the following information: >
i A A a a a
- 29. In 5 34.28, paragraph (b) is revised to read as follows:
$ 34.28 Inspection and maintenance of radicaraphic exposure devices, storage containers, and source changers, a a a a m
)
l l
I i p (7590-01) ;
(b) ;
The licensee shall conduct a program for inspection and maintenance of radiographic exposure devices, storage containers, and source changers at '
int,ervals not to exceed three months or prior to the first use thereaf ter to ensure proper functioning of components important to safety. The licensee shall retain records of these inspections and maintenance for three years.
I
- 30. '!
In 5 M.29, peregraph (c) is revised to read as follows: '
5 M.29 Permanent radiographic installations, a a e a R j
(c) !
The alarm system must be tested at intervals not to exceed three months or prior to the first use thereafter of the source in the installation.
l 4
The licensee shall retain records of these tests for three years.
4 I
- 31. i In 5 34.32, the introductory paragraph is revised to read as follows: !
i 1
i M.32 Operatino and emergency procedures.
i I j
! The licensee shall retain a copy of curr$nt operating and emergency procedures as a record until the Commission terriinates the license that author- )
ites the activity for which the procedures were ovveloped and, if superseded 4
j ,
retain the superseded material for three years after each chiange. These I procedures must include instructions in at least the following:
a a a e a 32.
In i M.13, paragraphs (b) and (e) are revised to read as follows:
4' 5 M.33 Personnel monitorino, l
I i 2 2 A A A (b)
Pocket dosimeters mus' M read and exposures recorded daily. The licensee shall retain <ach recati of these exposures for three years after the i
record is made.
[7590-01)
(e) ReportsreceivedfromthefilmbadgeorTLDprocessormustbe retained for inspection until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement.
1 PART 35 - MEDICAL USE OF 8YPRODUCT MATERIAL 33.
The authority citation for Part 35 continues to read as follows:
r AUTHORITY:
Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); sec. 201, 88 Stat.1242, as amended (42 U.S.C. 5841).
34.
A new $ 35.5 is added to read as follows:
5 35.5 Maintenance of records. l i t Each record required by this part must be legible throughout the retention period specified by each Commission regulation.
The record say be the original or a reproduced copy or a microform provided that the copy or microform is
- authenticated by authorized
- personnel and that the microform is capable of pro-
- ducing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible,
{
accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent informa- :
tion such as stamps, initials, and signatures.
The licensee shall maintain adequate safeguards against tampering with and loss of records.
j !
' $ 35.27 [ Amended) i j
35 Section 35.27, paragraph (c) is amended by changing "two years" to 5 35.29 [ Amended)
- 36.
Section 35.29, paragraph (b) is amended by changing "two years" to "three years." !
[7590-01) i 35.50 (Amended) 37.
Section 35.50, paragraph (e) introductory text is amended by changing "two years" to "three years."
5 35.51 (Amended) 38.
Section 35.51, paragraph (d) introductory text is amended by changing "two years" to "three years."
i i 5 35.53 (Amended) j 39.
Section 35.53, paragraph (c) introductory text is amended by changing "two years" to "three years." ,
$ 35.59 (Amended) 1 40.
Section 35.59, paragrcph (i) is amended by changing "two years" to "three years."
1 I 35.70 (Amended)
- 4 l
i
- 41. t Section 35.70, paragraph (h) is amended by changing "two years" to "three years."
J I
l 35.80 (Amended) i
- 42. !
Section 35.80, paragraph (f) is amended by changing "two years" to
'three years." !
, l
$ 35.92 (Amended) i 43.
Section 35.92, paragraph (b) is amended by changing "two years" to "three years." i l
I
_______n
(7590-01) i 35.204 (Amended) i 44.
Section 35.204, paragraph (c) is amended by changing "two years" to "three years."
I 35.310 (Amended)
- 45. ,
Section 35.310, paragraph (b) is amended by changing "two years" to "three years."
l 35.315 (Amended) 46.
Section 35.315, paragraph (a)(4) is amended by changing "two years" '
to "three years."
i I
i 35.404 (Amended]
l i
47.
Section 35.404, paragraph (b) is amended by changing "two years" to i "three years." ,
- j. I 35.406 (Amended)
- i i
1 48.
Section 35.406, paragraph (d) is amended by changing "two years" to i
"three years."
l 0
} l 35.410 [ Amended) 1
} 49.
Section 35.410, paragraph (b) is amended by changing "two years" to j "three years."
l 6 35.415 (Amended) l
- 50.
Section 35.415, paragraph (a)(4) is amended by changing "two years"
{ to "three years." l i
i I
(759001) I 5 35.610 (Amended) 51.
Section 35.610, paragraph (c) is amended by changing "two years" to "three years."
t i 35.615 (Amended)
V l
) 52.
Section 35.615, paragraph (d)(4) is amended by changing "two years" '
to "three years "
i l i 5 35.634 (Amended)
, 53.
Section 35.634, paragraph (c) is amended by changing "two years" to l "three years." ;
i 54 Section 35.634, paragraph (f) is amended by changing "two years" to
- "three years." l
, c 1
1 i
i 35.636 (Amended) ;
i i'
4
- 55. p Section 35.636, paragraph (c) is amended by changing "two years" to !
l "three years." l I
PART 40 - DOMESTIC LICENS!E OF SOURCE MATERIAL I
?
a1 56.
The authority citation for Part 40 continues to read as follows:
i
)
) AUTHORITY:
Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, 84 Stat.1242, as amended (42 U.S.C. 5841).
) i j 57.
In 5 40.26, paragraph (c)(2) is revised to read as follows: t i
' l l 40.26 !
General license for possession and storace of byproduct satorial !
3 as defined in this part. !
i
'i 6
(7590-01) a a a a a 1
(c) * * *
' (2) The documentation of daily inspections of tailings or waste retention systems and the insediate notification of the appropriate NRC regional office as indicated in Appendix 0 to 10 CFR Part 20 of this chapter, or the Director, j
)
Of fice of nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Coenission, Washington, D.C. 20555, of any failure in a tailings or waste reten- '
tion system that results in a release of tailings or waste into unrestricted '
areas, or of any unusual conditions (conditions not contemplated in the design of the retention system) that if not corrected could lead to failure of the system and result in a release of tailings cr waste into unrestricted areas; l
and any additional requirements the Cosnission may by order deem necessary.
The licensee shall retain this documentation of each daily inspection as a 1 !
.i record for three years aftar each inspection is documented.
i a a a i a a i
t 58.
In 5 40.35, paragraph (e)(3) is revised to read as follows:
1 ,
I 1
i 40.35 conditions of specific iicenses issued pursuant to' 5 40.34. l i
l e a a !
a a i
(g) a a a o
i I I I
(3) Keep records showing the name, address,na'd a point of contact for
- l each general licensee to whom he or she transfers depleted uranium in l
industrial products or devices for use pursuant to the general license provided l
in i 40.25 or equivalent regulations of an Agreement State. The records sust be retained for three years from the date of transfer and sust show the date of j
each transfer, the quantity of depleted uranium in each product or device )
transferred, and compliance with the report requirements of this section. !
4
(7590-01) 59.
In 5 40.61, paragraph (c) is deleted, paragraph (d) is redesignated i (c), and paragraphs (a), (b), and (c)(1) are revised to read as follows:
RECORDS, REPORTS, AND INSPECTIONS t
4 I 40.61 .Reco rds ,
l (a)
! Each person who receives source or byproduct material pursuant to a license issued pursuant to the regulations in this part shall keep records s ing the receint, transfer, and disposal of this source or byproduct materia follows:
) (1) 3 1
The licensee shall retain each record of receipt of source or byprod i
material as long as the saterial is possessed and for three years followin transfer or disposition of the source or byproduct material. )
(2) !
j The licensee who transferred the material shall retain ea {
i transfer or source or byproduct material until the Coenission terminates ea license that requirement. authorizes the activity that is subject to the recordkeeping i
(3)
! The licensee shall retain each record of disposal of source or {
byproduct material until the Commission terminates each license that a the activity that is subject to the recordkeeping requirement.'
l (4)
If source or byproduct material is combined or mixed with other j licensed material and subsequently treated in a manner that makes dire relation of a receipt record with a transfer, export, or disposition record impossible, the licensee may use evaluative techniques (such as first-i -
} out), to make the records that are required by this Part account for 100 percent of the material received.
I (b) j The licensee shall retain each record that is required by the regu-lations in this part or by license condition for the period specified by the appropriate regulation or license condition.
,' If a retention period is not
) otherwise specified by re;ulation or license condition, each record sust be i maintained until the Connission terminates the license that au activity that is subject to the recordkeeping requirement.
I 1
I l
< ('590-01)
(c)(1) Records which must be maintained pursuant to th's part may be the original or reporduced copy or microform if the reproduced copy or microform is duly authenticated by authorized personnel and the microform is capable of producing a clear and legible copy after storage for the period specified by Commission regulations. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as starps, initials, and signatures.
The licensee shall maintain adequate safeguards against tampering with and loss of records.
a a a a a I i
i 60. In Appendix A to Part 40, I. Technical Criteria, the second paragraph
) of Criterion 8 and Criterion 8A are revised to read as follows:
Appendix A to Part 40 J
a a a a a I. Technical Criteria t
a a a a a l
- l n
Criterion 8 * *
- i i
j Checks must be made and logged hourly of all parameters (e.g., differen- l l
tial pressures and scrubber water flow rates) that determine the efficiency of '
yellowcake stack emission control equipment operation. The licensee shall retain each log as a record for three years af ter the last entry in the log is i made. It must be determined whether or not conditions are within a range prescribed to ensure that the equipment is operating consistently near puk l efficiency; corrective action must be taken when perforsance is outside of i
pnscribed ranges. Effluent control devices must be operative at all times
- during drying and packaging operations and whenever air is exhausting from the l
~1 32
. (759001)
. I yellowcake stack. Drying and packaging operations must terminate when controls are inoperative. When checks indicate the equipment is not operating within the range prescribed for peak ef ficiency, actions must be taken to restore parameters to the prescribed range. When this cannot be done without shutdown and repairs, drying and packaging operations must cease as soon as practicable.
Operations may not be restarted af ter cessation due to off-normal performance until needed corrective actions have been identifled and implemented. All i
these cessations, corrective actions, and restarts must be reported to the appropriate NRC regional office as indicated in Criterion 8A, in writing, within ten days of the subsequent restart.
n a a a m Criterion 8A - Daily inspections of tailings or waste retention systems must be conducted by a qualified engineer or scientist and documented. The licensee shall retain the documentation for each daily inspection as a record (
for three years af ter the documentation is made. The appropriate NRC regional office as indicated in Appendix 0 to 10 CFR Part 20 of this chapter, or the ;
Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555, must be immediately notified of I
any failure in a tailings'or waste retention system that results in a release
- of tailings or waste into unrestricted areas, or of any unusual conditions I
(conditions not contemplated in the design of the retention system) that if not I ,
corrected could indicate the potential or lead to failure of the system and '
1 result in a release of tailings or waste into unrestricted areas.
I a a a a a 4
PART 50 - DOMESTIC LICENSING OF PRODUCTION AND UTILIZATION FACILITIE
! 61. The authority citation for Part 50 continues to read as follows:
i I
AUTHORITY:
Sec.161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, j 88 Stat.1242, as amended (42 U.S.C. 5841),
i
- 62.
In 5 50.36, the introductory text of paragraph (c) and paragraphs (c)
(1), and (c)(2), and (c)(7) are revised to read as follows:
- 33
(7590-01) l 5 50.36 Technical Specifications.
A A A $ A (c) Technical specifications will include items in the following categories:
(1) Safety limits, limitina safety system settinos, and limitina control, settinas. (i)(A) Safety limits for nuclear reactors are limits upon important process variables that are found to be necessary to reasonably protect the integ- t rity of certain of the physical barriers that guard against the uncontrolled release of radioactivity. If any safety limit is exceeded, the reactor must be ;
shut down. The licensee shall notify the Comission, review the matter, and record the results of the review, including the cause of the condition and the !
basis for corrective action taken to preclude recurrence. Operation must not I be ra umed until authorized by the Commission. The licensee shall retain the !
recort of the results of each review until the Commission terstnates the license for the reactor, except for nuclear power reactors licensed under i 50.21(b) or 5 50.22 of this part. For these reactors, the licensee shall notify the l Commission as required by $ 50.72 and submit a Licensee Event Report to the !
Comission as required by $ 50.73. Licensees in these cases shall retain the (
records.of the review for a period of three years following issuance of a I Licensee Event Report.
(B) Safety limits for fuel reprocessing plants are those bounds within i which the process variables must be maintained for adequate control of the operation and that must not be exceeded in order to protect the integrity of the physical system that is designed to guard against the uncontrolled release l of radioactivity. If any safety limit for a fuel reprocessing plant is exceeded, >
corrective action must be taken as stated in the technical specification or the l affected part of the process, or the entire process if required, must be shut )
down, unless this action would further redute the margin of safety. The licensee {
shall notify the Commission, review the matter, and record the results of the I review, including the cause of the condition and the basis for corrective action taken to preclude recurrence. If a portion of the process or the entire process has been shutdown, operation must not be resumed until authorized by the Commission. The licensee shall retain the record of the 34
i f- (7590 01) i
\
results of each revie= until the Commission terminates the license for the plant.
, (ii)(A) Limiting safety system settings for nuclear reactors are settings for automatic protective devices related to those variables having significant ,
safety functions. Where a limiting safety system setting is specified for a {
variable on which a safety limit has been placed, the setting must be so !
- chosen that automatic protective action will correct the abnormal situation before a safety limit is exceeded. If, during operation, it is determined l' I
that the automatic safety system does not function as required, the licensee j shall take appropriate action, which may include shutting down the reactor.
(
) The Itcensee shall notify the Commission, review the matter, and record the i results of the review, including the cause of the condition and the basis for corrective action taken to preclude recurrence. The licensee shall retain the !
record of the results of each review until the Connission terminates the license f l
for the reactor except for nuclear power reactors licensed under i 50.21(b) or l 50.22 of this part. For these reactors, the licensee shall notify the (
l l Commission as required by 5 50.72 and submit a Licensee Event Report to the Cosnission as required by 5 50.73. Licensees in these cases shall retain the records of the review for a period of three years following issuance of a [
Licensee Event Report. - i r
(B) Limiting control settings for fuel reprocessing plants are settings for automatic alars or protective devices related to those variables having !
significant safety functions. Where a limiting control setting is specified i
{
for a variable on which a safety limit has been placed, the setting must be so chosen that protective action, either automatic or manual, will correct the
) abnormal situation before a safety limit is exceeded, if, during operation, l
l the automatic alars or protective devices do not function as required, the licensee shall take appropriate action to maintain the variables within the i
- limiting control-setting values and to repair proeptly the automatic devices '
{ or to shut down the affected part of the process and, if required, to shut down j
the entire process fer repair of automatic devices. The licensee shall notify j
the Commission, review the matter, and record the results of the review, including the cause of the condition and the basis for corrective action taken I
! 35 l
(7590-01) !
to precluje recurrence.
The licensee shall retain the record of the results
- i of each ieview until the Commission terminates the license t'or the plant, i (2) Limiting conditions for operation. Limititig conditioni for operation are the lowest functional capability or performance levels of equipment retiuired for safe operation of the facility. When a limiting condition for operat.lon of a nuclear reactor is not met, the licensee shall shut down the reactor or follow any remedial action permitted by the technical specifications until the condl-tion can be met. When a limiting condition for c@eration of any process step in the system of a fuel reprocessing plant is not tet, the licensee shall shut down that part of the operation or follow any remedial action permitted by the technical specifications until the condition can be met. In the case of a nuclear reactor not licensed under i 50.21(b) or i 50.22 i f ,his part or fuel l
reprocessing plant, the licensee shal.' notify the Counission, review the satter, and record the results of the review, it.a.luding the cause of the condition and i the basis for corrective action taken to preclude recurrence. 7he licensee shall retain the record of the results of each review until the Comission terminates the license for the nuclear reactor or the fuel reprocessing plent. In the case of nuclear power reactors licensed under i 50.21(b) or 5 50.22, the l'icensee f shall notify the Comission if required by 5 50.72 anc shall submit a Licensee l Event Report to the Comission as required by $ 50.73. In this case, licensees l shall retain records associated with preparation of a Licensee Event Report for a period of three years following issuane.e of the report. For events which do j
not require 4 Licensee Event Report, the licensee shall retain each record as i required by the technical specifications. '
{ n a a a e i
I (7) Writ ten Reports._
Licensees for nuclear power reactors licensed under 5 50.21(b) and i 50.22 of this part shall submit written reports to the Ce> ants-sion in accordance with 5 50.73 of this part for events sescribed in paragrahs (c)(1) and (c)(2) of this section. For all licensees, the Censission may require j Special Reports as appropriate.
I )
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] A A A A A I
I l 36 i
i
(7590-01)
- 63. In 5 50.36a, paragraph (a)(1) is revised to read as follows: !
5 50.36a Technical specifications on effluents from t.uclear power reactors.
(g) a a a '
J, (1) That operating procedures develope' oursuant to 5 50.34a(c) ter the t i
control of of fluents be established and followed and that equipment installed
' in the radioactive waste systes, pursuant to i 50.34(a), be saintained and used. The licensee shall retain the operating procedures in effect as a record until the Commission terminates the reactor license and shall retain each superseded revision of the procedures for three years from thw date it
! was superseded.
a a a a a I
- 64. In 5 50.48, paragraph (a) is revised to read as follows
4 i 50.48 Fiee protection.
1 i . .
(a) Each operating nuclear power plait must have a fire protection plan that satisfies Criterion 3 of Appendix A to this part, This fire protection plan must describe the overall fire protection program for the facility, iden-tify the various positions within the licensee's organization that are respon-
{ sible for the prograc, state the authorities tnat are delegated to each of these q j positions to implement those responsibilities, and outline the plans for fire protection, fire detection aN suppression capability, and 11altation of fire damage.
i The plan must also describe specific features necessary to implement
{
the program described above, such as administrative controls and personnel re-quirements for fire prevention and manual fire suppression activitist, automatic j j
and manually operated fire detection and suppression systems, and the means j
4 to limit fire damage to structures, systems, or components important to safety
< 1 l
37 ,
1
(7590-01) so that the capability to safely shut dewn the plant is ensured.3 The licensee shall retain the fire protection plan anc t.M. 4a30e to the plan as a record until the Commission termir.ates the reactor 1 . :a s 5d it.all retain each superseded revision of the procedures for three y > rom the date it was superseded.
A A A A a
- 65. In S 50.49, the increductory text of paragraph (d) is revised to read as follows:
$ 50.49 Environmental Qualification of elptric ecuipment important to safety for nuclear power plants.
A A A A 2 (d) The applicant or licensee shall prepare a list of electric equipment important to safety : overed by this section. In addition, the applicant or licensee shall include the information in paragraphs (d)(1),(2), and (3) of this section for this electric equipment important to safety ,in a qualification file. T' e applicant or licensee shall keep the list and information in the file current and retain the file in auditable fort for the entire period during which the covered item is installed in the nuclear power olant or is stored for future use to permit verification that each ites of electric l equipment important to safety meets the requirements of peragraph (j) of this j section.
a n A A a 8 Basic fire protection guidance for nuclear power plants is contained in two l NRC documents:
' Branch Technical Position Auxiliary Power Conversion Systen Branch BTP APCSB 9.5 "Guidelines for Fire Protection for Nuclear Power Plants," for new p? ants docketed af ter July 1,1976, dated May 1976.
' Appendix A to 9T* APCSB 9.5-1, "Guidelines for Fire Protection' for Nuclear Power Plants Docketed Prior to July 1,1976 " for plants that were operating or under various stages of design or construction before .'uly 1,1976, dtted August 23, 1976.
Also see Note 4.
I
. (756000A]
66.
In i 50.54, the introductory text of paragraph (p)(2) and para 2raph (q) are revised to read as follows:
5 50.54 Conditions of licenses.
2 A R A A l
(p) * *
- 1 (2)
The licensee t V make changes to the plans referenced in paragraph (p)(1) without prior Oommission approvs1 if the changes do not decrease the safeguards effectiveness of the plan.
The licensee shall maintain records of changes to the plans made without prior Commission approval for a period of three years from the date of the change, and shall submit, as specified in $
50.4, a report containing a description of each change within two months after the change is =tade. Prior to the safeguards contingency plan being put into effect, the licensee shall have:
s n a a n l
(q) .
A licensee authorized to possess and operate a nuclear power reactor shall follow and maintain in effect emergency plans which teet the standards in '
S 50.47(b) and the requirements in Appendix E to this part. A licensee autho-rized to possess and/or operate a research reactor or a fuel facility shall follow and maintain in effect emergency plans which meet the requirements in Appendix E to this part.
The licensee shall retain the emergency plan and each change that decreases the effectiveness of the plan as a record until the Coa-mission terminates the license for the nuclear power reactor. The nuclear power reactor licensee may make changes to these plans without Cosn' 'on approval only if the changes do not decrease the sffectiveness of *. 'ane and the plans, as changed, continue to ineet the standards of f 50.47(b) requirements of Appendix E to this part.
The research reactor and/or the fuel facility licensee may make changes to these plans without Commission approval only if these changes do not decrease the effectiveness of the plans and the plans, as changed, continue to meet the requirements of Appendix E to this part. The nuclear power reactor, research reacter, or fuel facility licensee 39
~
[7590-01) shall retain a record of each change to the emergency plan made without prior Commission approval for a period of three years from the date of the change.
Proposed changes that decrease the ef fectiveness of the approved emergency plans may not be implemented without application to and approval by the Com-mission. The licensee shall submit, as specified in 550.4, a report of each proposed change fo.* approval. If a change is made without approval, the licensee shall submit, as specified in $50.4, a report of each change within 30 days af ter the change is made.
R A n a n
- 67. In 5 50.71, paragraphs (c) and (d)(1) are revised, and a new (e)(6) ,
is added so read as follows:
$ 50.71 Maintenance of records, making of reports, n n n a n 1 i
(c) Records that are required by the regulations in this part, by license condition, or by technical specification, must be retained fcr the period 1 l
specified by the appropriate regulation, license condition, or technical ,
specification. If a retention aeriod is not otherwise specified, these records l must be retainet until the Commission terminates the facility license.
(d)(1) Records which must be a ained pursuant to this part may be the eriginal or a reproduced copy or microform if such reproductd copy or microform is duly authenticated by autt.orized personnel and the microfors. is capable of producing a clear and legible copy after storage for the period specified by Commission regulations. The record may also be stored in electronic media with l the capability for producing legiole, accurate, and complete, records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures.
The licensee shall maintain adequate safeguards against tampering with and loss of records.
A A A A 2 40
[7590-01)
(e) * * *
(6)
The updated FSAR shall be retained by the licensee until the Ceamission te"ofnates their license.
68.
In Appendix R to Part 50,Section III, Specific Requirements, paragraph I.3.d is revised to read as follows:
APPENDIX R -- FIRE PROTECTION PROGRAM FOR NUCLEAR POWE OPERATING PRIOR TO JANUARY 1, 1979 2 A A A A III. * *
- I. * * *
- 2. * *
- d.
At 3 year intervals, a randomly selected unannounced drill must be critiqued by qualified individuals independent of the licensee's staff.A copy of the written report from these individuals must be available for NRC 4. 9 re and shall be retained as a record as specified in i III.I.4 of' this appenoix.
- *
- a a i
PART 60 - DISPOSAL OF HIGH LEVEL R/iDI0 ACTIVE WASTES IN REPOSITORIES 69.
The authority citation for Part 60 continues to read as follows:
AUTHORITY:
Sec.161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, 88 Stat.1242, as amended (42 U.S.C. 5841).
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[7590-01) i
- 70. Section 60.4 is revised to read as follows: '
5 60.4 sommunications and records.
l (a) Except where otherwise specified, all communications and reports l concerning the regulations in this part and applications filed under them should be addressed to the Director of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555. Communications, ;
reports, and applications may be delivered in person at the Commission's offices at 1717 H Street NW. , Washington D.C. , or 11555 Rockville Pike, Rockville, Maryland.
(b) Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The ecord may be the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period.
The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required reten-tion period. Records such as letters, drawings, specifications, must include i
all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records, i
- 71. In 5 60.71, the section heading and paracraph (b) are revised to read as follows: '
5 60.71 Records and reports, i
R R 2 R R (b) Records of the receipt, handling, and disposition of radioactive waste at a geologic repository operations area shall contain sufficient information to proside a complete history of the movement of the waste from the shipper through all phases of storage and disposal. DOE shall retain these records in a sanner that ensures their useability for future generations in accordance with I 60.51(a)(2).
42
. [7590-01)
- 72. In S 60.72, paragraph (a) is revise d to read as follows:
$ 60.72 construction records.
(a) DOE shall maintain records of construction of the geologic repository ,
operations area in a manner that ensures their useability for future generations in accordance with S 60.51(a)(2).
A A A A A
{
PART 61 -- LICENSING REQUIREMENTS FOR LAND DISPOSAL OF RADI0 ACTIVE WASTE I
- 73. The authority citation for Part 61 continues to read as follows:
AUTHORITY:
Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, I 88 Stat. 1242, as amended (42 U.S.C. 5841).
- 74. In S 61.80 of Subpart G, paragraphs (c), (e) and (f) are revised to I read as follows:
Subpart G--Records, Reports, Tests, and Inspections 5 61.80 Maintenance of records, reports, and transfers.
A A A A A (c) Records which must be maintained pursuant to this part may be the original or a reproduced copy or a microform if this reproduced copy or micro-fore is capable of producing copy that is clear and legible at the end of the required retentinn period. Tho record may also be stored in electronic media l
with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications.
~
l must inc1ude all pertinent information such as stamps, initials, and signatures.
The licensee shall maintain adequate safeguards against tampering with and loss of records.
. A A A A 43 i
[7590-01)
(e) Notwithstanding parag aphs (a) through (d) of this section, the licensee shall record the location and the quantity of radioactive wastes con-tained in the disposal site and transfer these records upon license termination to the chief executive of the nearest municipality, the chief executive of the county in which the facility is located, the county zoning board or land development and planning agency, the State governor and other State, local, and Federal governmental agencies as designated by the Commission at the time of license termination.
(f) Following receipt and acceptance of a shipment of radioactive waste, the licensee shall record the date of disposal of the waste, the location in the disposal site, the condition of the waste packages as received, any discrepancies between materials listed on the manifest and those received, and any evidence of leaking or damaged packages or radiation or contamination levels in excess of limits specified in Department of Transportation and Comission regulations. The licensee shall briefly oescribe any repackaging operations of any of the waste packages included in the shipment, plus any other information required by the Commission as a license condition. The licensee shall retain these records until the Commission transfers or terminates the license that authorizes the activities described in this section, i n a a e a PART 70 -- DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL
- 75. The authority citation for Part 70 contir.ues to read as follows:
AUTHORITY: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, 88 Stat.1242, as amended (42 U.S.C. 5841).
- 76. In S 70.22, paragraphs (g), (h), (1), (j), and (k) are revised to read as follows:
44
(7590-01)
$ 70.22 Contents of applications.
)
i a A A A a i I
(g)(1) Each application for a license that would authorize the transport or delivery to a carrier for transport of special nuclear material in an amount !
specified in S 73.1(b)(2) of this chapter must include (i) a description of the plan for physical protection of special nuclear material in transit in l accordance with $$ 73.20, 73.25, 73.26, 73.27, and 73.67(a), (e), and (g) for 10 kg or more of special nuclear material of low strategic significance, and S 73.70(g) of this chapter including, as appropriate, a plan for the selection, qualification, and training of armed escorts, or the specification and design ,
of a specially designed truck or trailer, and (ii) a licensee safeguards contingency plan or response procedures, as appropriate, for dealing with threats, thefts, and radiological sabotage relating to the special nuclear mate-rial in transit.
(2) Each application for such a license involving formula quantities of strategic special nuclear material must include the first four categories of information contained in the applicant's safeguards contingency plan. (The first four categories of information, as set forth in Appendix C to Part 73 of this chapter, are Background, Generic Planning Base, Licensee Planning Base, and Responsibility Matrix. The fifth category of information, Procedures, does not have to be submitted for approval.)
(3) The licensee shall retain this description of the plan for physical protection of special nuclear material in transit and the safeguards contin-gency plan or safeguards response procedures and each change to the plan or procedures as a record for a period of three years following the date on which the licensee last possessed the appropriate type and quantity of special nuclear staterial requiring this record under each license. I (h)(1) Each application for a license to possess or use at any site or contiguous sites subject to control by the licensee uranium-235 (cor tained in uranium enriched to 20 percent or more in tha uranium-235 isotope), uranium-233, or plutonium alone or in any combination in a quantity of 5,000 grams or more l computed by the formula, grams = (grams contained U-235) + 2.5 (grams U-233 +
grams plutonium), other than a license for 45
. i
[7590-01]
l f
possess,on or use of this material in the operation of a nuclear reactor licensed pursuant to Part 50 of this chapter, must include a physical security l plan, consisting of two parts. Part I must address vital equipment, vital areas, and isolation zones, and must demonstrate how the applicant plans to meet the requirements of SS 73.20, 73.40, 73.45, 73.46, 73.50, 73.60, 73.70, and 73.71 of this chapter in the conduct of the activity to be licensed, including the identification and description of jobs as required by s 11.11(a) of this chapter. Part II must list tests, inspections, and other means to demonstrate compliance with such requirements.
(2) The licensee shall retain a copy of this physical security plan and each change to the plan as a record fu a period of three years following the date on which the licensee last po nessed the appropriate type and quantity of special nuclear material requiring this record under each license.
(i) Each application for a license to possess and use special auclear material for processing and fuel fabrication, scrap recovery, or corversion of uranium hexafluoride must conta b , in addition to the other informatton required by this section, plans for coping with emergencies.8 The licensee sSall retain a copy of these plans for coping with emergencies as records until the Commission terminates each license obtained by this application or any application for renewal of a license, and each change to the plan for three years after M e date of change.
(j)(1) Each application for a license to possess or use at any site or contiguous sites subject to control by the licensee uranium-235 (contained in uranium enriched to 20 percent or more in the uranium-235 isotope), uranium-233, or plutonium alone or in any combination in a quantity of 5,000 grams or more l computed by the formula, grams = (grams contained U-235) + 2.5 (giams U-233 +
grams plutonium) other than a license for possession or use of this material 1
in the operation of a nuclear reactor licr ;ed pursuant to Part 50 of this 8 Emergency plans shall contain the elements that are listed in Section IV, l "Content of timergency Plans," of Appendix E to Part 50 of this chapter. l
\
46
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. [7590-01)
I chapter, must include a licensee safeguards contingency plan for dealing with threats, thefts, and radiological sabotage, as defined in Part 73 of this chapter, relating to nuclear facilities licensed under Part 50 of thi. chapter or to the possession of special nuclear material licensed under this part.
(2) Each application for such a license must include the first four cate-gories of information contained in the applicant's safeguards contingency plan.
(The first four categories of information, as set forth in Appendix C te Part 73 of this chapter, are Background, Generic Planc.ing Base, Licensee Planning Base, and Responsibility Hatrix.) The fif th category of information, Procedures, does not have to be submitted for approval.
(3) The licensee shall retain a copy of this safeguards contingency plan as a record until the Commission terminates each license obtained by this application or any application for renewal of a license and retain each change to the plan as a record for three years after the date of the change.
(k) Each application for a license to possess or use at any site or contiguotu sites subject to control by the licensee special nuclear material of moderete strategic significance or 10 kg or more of special nuclear material of low strategic significance as defined under S 73.2 (x) and (y) of this chapter, other than a license for possession or use of this material in the operation of a nuclear power reactor licensed pursuant to Part 50 of this chapter, must include a physical securit.y plan that demonstrates how the applicant plans to meet the requirements of S 73.67(d), (e), (f), and (g), as appropriate, of this chapter. The licensee shall retain a copy of this physical security plan as a record for the period during which the licensee possesses the appropriate type and quantity of special nuclear material requiring this record under each j license and each change to the plan for three years after the change.
A A A A A
- 77. In 6 70.28, paragraph (a)(3) is revised to read as follows:
$ 70.24 Criticality accident requirements.
(a) 1 l
47
1 l
I
. [7590-01]
(3) The licensee shall maintain emergercy proce';ures for each area in which this licensed special nuclear material is H adled, used, or stored to ensure that all personnel withdraw to an area of safety upon the sounding of l the alarm. These procedures must include the conduct of drills to familiarize personnel with the evacuation plan, plans and designation of responsible individuals for determining the cause of the alarm, and placement of radiation survey instruments in accessible locations for use in such an emergency. The i
licensee shall retain a copy of current procedures for each area as a record for as long as licensed special nuclear material is handled, used, or stored in the area. The licensee shall retain any superseded portion of the pro-cedures for three years after the portion is superseded.
A A A A A
- 78. In S 70.32, the introductory text of paragraph (c)(2) and paragraphs (d), (e), and (g) .tro revised to read as follows:
$ 70.32 Conditions of licenses.
A A A A A (c) * *
(2) The licensee shall maintain records of changes to the material control l and accounting program made without prior Commission approval, for three years after they are superseded, and shall furnish to the Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555, with a copy to the appropriate NRC Regional Office shown in Appendix A to Part 73 of this chaoter, a report containing a description of each change within:
R A A A A 48
. - . ~ . - - _
[7590-01) l (d) The licensee shall make no change which would decrease the effective-ness of the plan for physical protection of special nuclear material in transit pre pared pursuant to S 70.22(g) or S 73.20(c) of this chapter without the prior approval of the Comission. A licensee desiring to make such changes shall sub-mit an application for a change in the technical specifications incorporated in his or her license, if any, or for an amendment to the license pursuant to ,
S 50.90 or S 70.34 of this chapter, as appropriate. The licensee may make l changes to the plan for physical protection of special nuclear material without prior Comission approval if these changes do not decrease the effectiveness of the plan. The licensee shall retain a copy of the plan as a record for the period during which the licensee possesses a formula quantity of special noclear material requiring this record under each license and each change to the plan for three years from the effective date of the change. A report containing a description of each change must be furnished the Director of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Comission, Washington, D.C. 20555, with a copy to the appropriate NRC Regional Office shown in Appendix A to Part 73 of this chapter within two months after the change.
1 (e) The licensee shall make no change which would decrease the effective- l ness of a security plan prepaied pursuant to SS 70.22(h), 70.22(k), or 73.20(c) !
without the prior approval of the Commission. A licensee desiring to make such a change shall submit an application for an amendment to its license pursuant l
to S 70.34. The licensee shall maintain records of changes to the plan made without prior Comission approval, for three years from the effective date of the change, and shall furnish to the Director, Office of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Comission, Washington, D.C.
20555, with a copy to the appropriate NRC Regional Office shown in Appendix A to Part 73 of this chapter, a report containing a description of each change within two months af ter the change is made.
A A A A A l
(g) The licensee shall prepare and maintain safeguards conth.gency plan procedures in accordance witn Appendix C to Part 73 of this chapter for ef fecting the actions and decisions contained in the Responsibility Hatrix of its safeguards contingency plan. The licensee shall retain a copy of the 49
[7590-01]
safeguards contingency plan procedures as a record for the period during which the licensee possesses the appropriate type and quantity of special nuclear material requiring this record under each license for which the procedures were developed and each change to the plan fo* three years from the effective date of the change. The licensee shall make no change that would decrease the safeguards effectiveness of the first four categories of information (Background, Generic Planning Base, Licensee Planning Base, and Responsibility Matrix) contained in any licensee safeguards contingency plan prepared pursuant to
$$ 70.22(g), 70.22(j), 73.30(g), or 73.40 of this chapter without the prior l
approval of the Commission. A licensee desiring to make such a change shall submit an application for an amendment to its license pursuant to 5 70.34. The licensee may make changes to the licensee safeguards contingency plan without prior Commission approval if the changes do not decrease the safeguards effec-tiveness of the plan. The licensee shall maintain each change to the plan made without prior approval as a record during the period for which possession of a formula quantity of special nuclear material is authorized under a license and retain the superseded material for three years from the effective date of the change and shall furnish a report containing a description of each change within 60 days a.'ter the change is made to the Regional Administrator of the appropriate i NRC Regional Office specified in Appendix A to Part 73 of this chapter, with a copy to the Director of Nuclear Material Safety and Safeguards.
A A A A A
- 79. In S 70.42, paragraphs (d)(1), (2), (3), (4), and (5) are revised to read as follows:
$ 70.42 Transfer of special nuclear material.
l A A A A A 1 (d)
(1) The transferor may have in his or her possession, and read, a current copy of the transferee's specific license or registration certificate. The 50
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[7590-01]
transferor shall retain a copy of each license or certificate for tt ree years from the date that it was obtained.
(2) The transferor may have in its possession a written certification by the transferee that the transferee is authorized by license or registration certificate to receive the type, form, and quantity of special nuclear material to be transferred, specifying the license or registration certifi: ate number, issuing agency, and expiration date. The transferor shall retain the written certification as a record for three years from the date of receipt of the certification; '
(3) For emergency shipments the transferor may accept oral certification by the transferee that he or she is authorized by license or registration certificate to receive the type, form, and quantity of special nuclear material to be transferred, specifying the license or registration certificate number, issuing agency, and expiration date, provided that the oral certification is confirmed in writing within ten days. The transferor shall retain the written confirmation of the oral certification for three years from the date of receipt of the confirmation; (4) The transferor may obtain other sources of information compiled by a reporting service from official records of the Commission or the licensing agency of an Agreement State as to the identity of licensees and the scope and expiration dates of licenses and registrations. The transferor shall retain the compilation of information as a record for three years from the date that it was obtained; or (5) When none of the methods of verification described in paragraphs (d)
(1) to (4) of this section are readily available or when a transferor desires to verify that infort::ation received by one of these methods is correct or up-to-date, the transferor may obtain and record confirmation from the Commission or the licensing agency of an Agreement State that the transferee is licensed to receive the special nuclear material. The transferor shall retain the record of confirmation for three years from the date the record is made.
- 80. In $ 70.51, the paragraphs (b)(2), (3), (5), and (6), (c), the introductory text of (e)(1), (f)(2)(v), and (i)(1) are revised to read as follows:
i 51 )
J
[7590-01]
5 70.51 Material balance, inventory, and records requirements.
A A A A A (b)
(2) Each record that is required by the regulations in this part or by license condition must be maintained and retained for the period specified by the appropriate regulation or license condition. If a retention period is not otherwise specified by regulation or license condition, the licensee shall retain the record until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement.
(3) Each record of receipt, acquisition, or physical inventory of special nuclear material that must be maintained pursuant to paragraph (b)(1) of this section must be retained as long as the licensee retains possession of the material and for three years following transfer of such material.
n a a a m (5) Each record of transfer of special nuclear material to other persons must be retained by the licensee who transferred the material until the Commis-sion terminates tt.e license authorizing the licensee's possession of the saterial. Each record required by paragraph (e)(1)(v) of this section must be retained for three years after it is made.
(6) Each record of disposal of special nuclear material must be retained until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement.
(c) Each licensee who is authorized to possess at any one time special i 1
nuc1 car materiol in a quantity exceeding one effective kilogram of special ,
1 nuclear material shall establish, maintain, and follow written material control and accounting proc.2dures that are sufficient to enable the licensee to account l for the. special nuclear material in the licensee's possession under license.
The licensee shall retain these procedures until the Commission terminates the 52
[7590-01) license that authorizes possession of the material and retain any superseded portion of the procedures for three years after the portion is superseded.
- A A A A (e)
(1) Maintain procedures that include items listed in paragraphs (e)(1)(i), (ii), (iii), (iv), (v), (vi), and (vii) of this section and retain each recoro required in these paragraphs for three years after the record is made.
A A A A A (f) * *
(2)
(v) Documentation in compliance with the requirements of paragraphs (f)(2)(i), (ii), (iii), and (iv) of this section. Each record documenting compliance with these requirements must be retaired for three years after it is made.
n n n n n l
(i)(1) Records which must be maintained pursuant to this part may be the original or a reproduced copy or microform if such reporduced copy or microform is duly authenticated by authorized personnel and the microform is capable of producing a clear and legible copy after storage for the period specified by Commission regulations. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. l The licensee shall maintain adequa*.* safeguards against tampering with and loss of records. I a a a a a l I
53 l
[7590-01)
- 81. In S 70.57, the introductory text of paragraph (b) and paragraphs (b)(2), (3), (4), (6), (7), the introductory text of (8), (11), and (12) are revised to .ead as follows:
$ 70.57 Measuremet ceatrol program fc,r special nuclear materials control and accountina.
- A A A (b) In accordance with 5 70.58(f), each licensee who is authorized to possess at any one time and location strategic special nuclear material, or special nuclear material of moderate strategic significance, in a quantity exceeding one effective kilogram and to use such special nuclear material for activities other than those involved in the operation of a nuclear reactor licensed pursuant to Part 50 of this chapter, those involved in a waste dis-posal operation, or as sealed sources, shall establish and maintsin a measure-ment control program for spacial nuclear n.aterials control and accounting measurements. Each program function must be identified and assigned in the ,
licensee organization in accordance with 9 70.58(b)(2), and functional organizational relationships must be set forth in writing in accordance with 5 70.58 (b)(3). The program must be described in a manual which contains the procedures, instructions, and forms prepared to meet the requirements of this paragraph, including procedures for the preparation, review, approval, i and prompt dissemination of any program modifications or changes. The licensee shall retain the current program as a record until the Commission terminates the license authorizing possession of the nuclear materials.
The licensee's program shall include the following:
A A A A A (2) Provisions must be made for management reviews to determine the adequacy of the program and to assess the applicability of current procedures and for planned audits to verify conformance with all aspects of the program. !
These reviews and audits must be performed at intervals not to exceed 12 I 54
[7590-01]
months. Audits and reviews must be performed by trained individtals independent of direct responsibility for the receipt, custody, utilization, measurement, measurement quality, and shipment of special nuclear material. The risults of reviews and audits must be recorded and reported to licensee management. The licensee shall retain each record of a review or an audit for three years after the record is made.
(3) The licensee shall ensure that any person who contracts to perform materials control and accounting measurement services conforms with applicable requirements of paragraphs (b)(4) through (8) and (10) through (12) of this section. Conformance must include reporting by the contractor of sufficient error data to allow the licensee to calculate bias corrections and measurement limits of error. All statistical studies must be reported or references in the measurement report subuitted to the licensee, who shall have access to the con-tractor's supporting cont.rol data. The licensee shall perform reviews to determine the adequacy of the contractor's program and audits to verify conformance with all aspects of the program. Reviews and audits must be performed at intervals not to exceed 12 months. The results of reviews and audits must be documented and reported to licensee management. The licensee shall retain the record of the results of the licensee review and audit of the contractor's program for three years after the record is made.
(4) In order to ensure that potential sources of campling error are identified and that samples are representative, process and engineering tests must l be performed using well characterized materials to establish or to verify the l applicability of existing procedures for sampling special aclear materials and for maintaining sample inte0rity during transport and storage. The licensee shall record the results of the above process and engineering tests and shall maintain those results as a record for as long as that sampling systems is in use and for three years following the last such use. The program must ensure that such procedures are maintained and followed, and that sampling is included in the procedures for estimating biases, limits for systematic errors, and random error variancri.
a a a a a 55
\
- [7590-01) '
)
(6) To ensure the adequacy of each measurement system with respect to l process flows, sampling and measurement points, and nominal material compo- '
sitions, engineering analyses and evaluations must be made of the design, installation, preoperational tests, calibration, and the operation of each system. These analyses and evaluations must be repeated whenever a significant change is made in any component of a system. The licensee shall record the !
results of th:se r alyses and evaluations and retain these records for three years after the life of the process or equipment.
(7) Procedures and performance criteria must be established for the training, qualifying, and periodic requalifying of all personnel who perform sampling and measurements for materials control and accounting purposes. The licensee shall retain as a record the results of personnel qualification or requalification for three years after the record is made.
(8) The program must generate current data on the performance of measur-ing processes, including, as appropriate, values for bias corrections tad their uncertainties, random error variances, limits for systematic errors, and other ,
1 parameters needed to establish the uncertainty of measurements pertaining to materials control and accounting. The program data must reflect the current process and measurement conditions existing at the time the control measurements j are made. The licensee shall record this data and retain this record for three ;
years after the record is made. Measurements which are not controlled by the l program may not be used for materials control or for accounting proposes. The program must include:
A A A A A (11)(i) The licensee shall establish and maintain a statistical control system, including control charts and formal statistical procedures, designed to monitor the quality of each type of program measurement. The licensee shall retain a copy of the current statistical control system as a record until the !
Commission terminates each license that authorizes possession of the material I that the system affects and shall retain copies of such system documents for previous inventory periods as a record for three years after they are replaced.
I I
56
\
[7590-01)
(ii) Control chart limits must be established to be equivalent to levels Whenever control data exceed the 0.05 con- !
of significance of 0.05 and 0.001 trol limits, the licensee shall investigate the condition and take corrective action in a timely manner. The licensee shall record the results of these investigations and actions and retain each record for three years after the ,
record is made. Wnenever the control data exceed the 0.001 control limits, the f I
measurement system that generated the data must not be used for material control and accounting purposes until the deficiency has been corrected and the system has been brought into control at the 0.05 control level.
(12) The l'.censee shall provide a records system in which all data, infor- '
mation, reports, and documents generated by the measurement control program must be retained for three years. Records must include a sussary of the error data utilized in the limit of error calulations performed for each material balance period. The records system must be organized for efficient retrieval of program information. Each reported result must be readily relatable to the original measurement data and to all relevant measurement control information, including pertinent calibration data. Records must be available for NRC inspection, i A A A A A
- 82. In S 70.58, paragraphs (b)(3), (e), (f), (h), and (j) and the introductory text of paragraphs (i) and (k) are revisec' to read as follows:
S 70.58 Fundamental nuclear material controls.
A A A A A (b)
(3) Material control and accounting functional and organizational relationshipsmustbesetforthinwritinginjobdescriptions, organizational directives, instructions, procedure manuals, etc. This documentation must include position qualification requirements and definitions of authorities, responsibilities, and duties. Delegations of saterial control and accounting 57
[7590-01]
responsibilities and authority must be in writing. The licensee shall retain ;
this documentation as a record until the Commission termin:.tes each license that authorizes the activity that is subject to retention of the documentation, and if any portion of the documentation is superseded, retain the superseded material for three years af ter each change.
A A A A A l
i I
(e) A system must be established, maintained, and followed for the measurement of all special nuclear material received, produced, or transferred between MBAs, transferred from MBAs to ICAs, on inventory, or shipped, discarded, or otherwise removed from inventory and for the determination of the limit of error associated with each such measured quantity except for plutonium-beryllium sources; samples that have been determined by other means to contain less than 10 grams U-235, U-233, or plutonium each; and reactor-irradiated fuels involved in research, development, and evaluation programs in facilities other than irradiated-fuel reprocessing plants. The system must be described in writing and provide for sufficient measurements to substantiate the quantities of element and isotope measured and the associated limits of error. The licensee shall record the required measurements and associated limits of error and shall retain any record associated with this system for three years after the record is made.
(f) A program must be established, maintained, and followed pursuant to S 70.57(b) for the continuing determination and control of the systematic and l random errors of measurement processes at a level commensurate with the re-quirements of $ 70.51(e)(5). The licensee shall retain each completed record required by the program for three years after the record is made.
A A A A A (h) A system of storage and internal handling controls must be established, maintained, and followed to provide current knowledge of the identity, quantity, and location of all special nuclear material contained within a plant in discrete items and containers. The licensee shall include 1
58
l
[7590-01) procedures as specified in i 70.51(e)(1) and ratain any record associated with l the procedures for six months after the record is made; j (i) Procedures for special nuclear material scrap control must be estab-lished, maintained, and followed to limit the accumulation and the uncertainty ,
l of measurement of these materials on inventory. The licensee shall retain a copy of the current procedures as a racord until the Commission terminates each license that authorizes the activity that is subject to the retention of pro-cedures and, if any portion of the procedures is superseded, retain the superseded portion for three years after each change. Such procedures must l include:
A * *
- A l (j) Physical inventory procedures must be established, maintained, and followed so that spec'al nuclear r:terial balance and their measurement uncer-tainties can be determined on the basis of measurements in compliance with the material balance and inventory requirements and criteria specified in S 70.51.
The licensee shall retain a copy of the current procedures as a record until
! the Commission terminates each license that authorizes the activity that is subject to the retention of procedures and, if any portion of the procedures is superseded, retain the superseded portion for three years after each change.
(k) A system of records and reports must be established, maintained, and followed that will provide information sufficient to locate special nuclear material and to close a measured material balance around each material balance area and the total plant, as specified in $ 70.51. As required by $ 70.51, the licensee shall retain the records associated with this system for three years i
after the records are made. This system must include: )
l
\
) M A A A A i
I 1
1 l
i 1
59 l
- 1
[7590-01] l PART 71 - PACKAGING AND TRANSPORTATION OF RADI0 ACTIVE MATERIAL
- 83. The authority citation for Part 71 continues to read as follows:
AUTHORITY: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841).
- 84. In 5 71.1, the existing paragraph is designated (a), the section heading is revised, and a new paragraph (b) is added to read as follows:
$ 71.1 Communications and records.
A A A A 2 (b) Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microfom provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period.
The record may also be stored in electronic media with the capability for pro-ducing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee shall maintain adequate safeguards against tampering with and loss of records.
8S. Section 71.91 is revised to read as follows:
$ 71.91 Records.
l (a) Each licensee shall maintain for a period of three years after ship-ment a record of each shipment of licensed material not exempt under $ 71.10, j showing, where applicable: i
. 1 60 1
[7590-01)
( *, ) Identific6 tion of the packaging by model number; (2) Verification that there are no significant defects in the packaging, as shipped; (3) Volume and identification of coolant; (4) Type and quantity of licensed material in each package, and the total quantity of each shipment; (5) For each item of irradiated fissile material:
(i) Identification by model number and/or serial number; (ii) Irradiation and decay history to the extent appropriate to demon-strate that its nuclear and thermal characteristics comply with license conditions; and (iii) Any abnormal or unusual condition relevant to radiation safety.
(6) Date of the shipment; (7) For Fissile Class III and for Type B packages, any special controls exercised; (8) Name and address of the transferee; (9) Address to which the shipment was made; and (10) Results of the determinations required by 6 71.87 and by the condit-f ons of the package approval.
(b) The licensee shall make available to the Commission for inspection, upon reasonable notice, all records required by this part. Records are valid l only if stamped, initialed, or signed and dated by authorized personnel or otherwise authenticated.
(c) Each licensee shall maintain sufficient written records to furnir,h !
evidence of the quality of packaging. The records to be maintained include results of the determinations required by 5 71.85; design, fabrication, and assembly records; results of reviews, inspections, tests, and audits; results monitoring work performance and materials analyses; and results of mainten-ance, modification, and repair activities. Inspection, test, and audit records must identify the inspector or data recorder, the type of observation, the results, the acceptability and the action taken in connection with any defic-lencies noted. The records must be retained for three years after the life of the packaging to which they apply.
61 l
J
[7590-01]
- 86. In $ 71.97, paragraphs (c)(4), (e), and (f)(2) are revised to read as follows
$ 71.97 Advance notification of shipment of nuclear waste.
- *
- A A (c)
(4) The licensee shall retain a copy of the notification as a record for three years.
- * =
- a I
(c) Revision notice. A licensee who finds that schedule information previously furnished to a governor or governor's 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 governor's designee and inform that individual of the extent of the delay beyond the schedule originally reported. The licensee shall maintain a record of the name of the individual contacted for three years.
(f)
(2) The licensee shall state in the notice that it is a cancellation and ;
shall identify the advance notification which is being cancelled. The licensee shall retain a copy of the notice as a record for three years.
- 87. In $ 71.101, paragraph (b) is revised to read as follows: '
Subpart H-Quality Assurance
$ 71.101 Quality assurance requirements, a a
- a a 62 ,
[7590-01]
(b) Each licensee shall establish, maintain, and execute a quality assurance program satisfying each of the applicable criteria of $$ 71.101 through 71.137 of this subpart and satisfying any specific provisions that are applicable to the licensee's activities, including procurement of packaging.
The licensee shall apply each of the applicable criteria in a graded approach, i.e., to an extent that .s consistent with its importance to safety.
A A A A A
- 88. In i 71.115, paragraph (a) is revised to read as follows:
$ 71.105 Quality assurance program.
(a) The licensee shall establish, at the earliest practicable time, consistent with the schedule for accomplishing the activities, a quality assur-ance program that complies with the requirements of $$ 71.101 through 71.137 of this subpart. The licensee shall document the quality assurance program by written procedures or instructions and shall carry out the program in accordance with those procedures throughout the period during which packaging is used. The i licensee shall identify the material and components to be covered by the quality assurance program, the major organizations participating in the program, and the designated functions of these organizations.
2 A A A A
- 89. Section 71.135 is revised to rv.ad as follows:
5 71.135 Quality assurance records.
The licensee shall maintain sufficient written records to describe the
( activities affecting quality. The records must include the instructions, pro-cedures, and drawings required by $ 71.111 to prescribe qu&lity assurance acti-vities'and must include closely related specifications such as required quali-fications of personnel, procedures, and equipment. The records must include l the instructions or procedures whch establish a records retention program that l is consistent with applicable regulations and designates factors such as 1
63
~
[7590-01) duration, location, and assigned responsibility. The licensee shall retain I
these records for three years beyond the date when the licensee last engages in the activity for which the quality assurance program was developed. If any portion of the written procedures or instructions is superseded, the licensee shall retain the superseded material for three years after it is superseded.
PART 73 - PHYSICAL PROTECTION OF PLANTS AND MATERIALS
- 90. The authority citation for Part 73 continues to read as follows:
AUTHORITY: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5641).
! 91. In S 73.24, paragraph (b)(1) is revised to read as follows: '
S 73.24 Prohibitions. !
A A A A A (b)
(1) The licensee shall confirm and log the arrival at the final destina-tion of each individual shipment and retain the log for three years from the date of the last entry in the log. The licensee shall also schedule shipments to ensure that the total quantity for two or more shipments in transit at the i same time does not equal or exceed the formula quantity, or A A A A A I
- 92. In $ 73.26, paragraphs 'c)(1)(ii) and (2), the in Jctory text of paragraph (d)(3), and paragraphs (d)(4) and (e)(1) are revised to read as follows:
I 73.26 Tr,ansportation physical protection systems, subsystems, components, and procedures.
A A A A A 64
(7590-01]
- \
l (c) * *
- i (1)
(ii) The shipment must be protected at all times within the geographical l limits of the United States as provided in this section and $$ 73.25 and 73.27.
The licensee shall retain each record required by these sections for thne years after the close of period for which the licensee possesses the special ,
1 nuclear material under each license authorizing the licensee to ship this mate-rial, and superseded material for three years after each change.
(2) A licensee who exports a formula quantity of strategic special twelear material shall comply with the requirements of this sec. ion and $$ 73.25 and l
73.27, as applicable, up to the first point where the shipment is taken off the l transport outside the United States. The licensee shall retain each record required by these sections for three years after the close of period for which the licensee possesses the s acial nuclear material under each license authoriz-ing the licensee to export this material, and superseded material for three years after each change.
(d) * * *
(3) The 71censee or the licensee's agent shall establish, maintain, and follow a written management system to provide for the development, revision, irplementation, aird enforcement of transportation physical protection procedures. 1 The lice u m ?he agent shall retain as a record the current management system for thr e ye 'ter the close of period for which the licensee possesses the I special nuewar material under the license for which the system was developed and, if any portion of the system is superseded, retain the superseded material for three years after each change. The system shall include:
a a a a n (4) Neither the licensee nor the licensee's agent shall permit an indivi-dual to act as an escort or other security organization member unless the individual has been trained, equipped, and qualified to perform each assigned 65
[7590-01]
security job duty in accordance with Appendix B, of this part, "General Criteria for Secucity Personnel." Upon the request of an evthorized repre-sentative of the Commission, the licensee or the agent shall demonstrate the ability of the physical security personnel to carry out tt air assigned duties and responsibilities. Armed esce.ts shall requalify in accordance with Appendix B to this part at least every 12 months. Each requalification must be documented. The licensee or the agent shall retain do:umentation of the initial qualification for the term of employment and of each requalification as a record for three years from the date of the requalification.
A A A A A (e) Contingency and Response Plans and Procedures. (1) ihe licensee or the licensee's agent shall establ4h, maintain, and follow a written safeguart continger,t plar, for dealing with threats, thefts, and radiological sabotage related to strategic special nuclear material in transit subject to the pro-visions of this section. This safeguards continge' icy plan sust be in accordance with the criteria in Appandix C to this part, "Licensee $afeguards Contingency Plan." The licensee or the agent shall retain the contingency plan as a record for three years af ter the close of period for which the licensee possesses the special nuclear material under each licento for which the plan is used and superseded material for three years after each change.
A A A A A l
- 93. In S 73.37, part, ns (b)(?), p)(5), and the introductory text of paragraph (b)(3) are revised to read as follows:
l l
5 73.37 Requirements for physical protection of irradiated reactor feel )
in transit. I
.4
~M A A A a A
(', '.Q .
pyy
/
'i ch,7 (b) * *
- 0 Dil'
[7590-01)
(2) Include and retain a copy of current procedures for coping with cir-cuestances that threaten deliberate damage to a spent fuel shipment and with other safeguards emergencies as a record for three years after the clnse of per-iod for which the licensee possesses the special nuclear material uider each license for which the procedures were developed and, if any portion of the proce-dures is superseded, retain the supersedet material for three years after each change.
(3) Incivde instru:tions for each escort and retain a copy of the current i instructions as a reccrd for three years af ter the close of period for which the licensee possesses the special nuclear material under each license that author-izes the activity that requires the instruction and retain any superseded mate-rial for three years after each change. The instructions must direct that, upon detection of the abnormal presence of unauthorized persons, vehicles, or .'essels in the vicinity of a spent fuel shipment or upon detection of a deliberately I
induced situation that has the potential for damaging a spent fuel shipment, the i escort will:
R A A A A i (5) Provide for 'naintenance of a written log by the escorts and communi-cations center personnel for each spent fuel shipment, which will include infomation describing the shipment and significant events that occur during i
the shipment, and will be available for review by authorized NRC personnel for a period of at least three years following completion of the shipment.
I a a a a a
- 94. In l' 73.40, paragraphs (b), (c)(2), and (d) are revised to read as fo11cm I 3. 40 Physical protection: General requirements at fixed sites.
- a a a n (b) Each lican,ee subject to the requirements of $$ 75.20, 73.45, 7?.46, 73.50, 73.55, or 5 73.60 shall prepare a safeguards contingency plan in
' 67 4 - . - - -. - _. ,-.__, -
(7590-01)
B accordance with the criteria set forth in Appendix C to this part. The licensee shall retain the c irrent plan as a record until the Comaission terminates the license for which the plan was developed and, if any portion of the plan is superseded, retain the superseded material for three years after each change.
The safeguards contingency plan must include plans for dealing with threats, thef ts, and radiological sabotaga relating to nuclear facilities licensed under Part 50 or to the possession of special nuclear material licensed under Part 70 of this chapter. Each licensee subject to the requirements of this paragraph shall submit to the Comission for approval the first four categories of infor-nation contained in the safeguards contingency plan. (The first four cate-gories ot' information, as set forth in Appendix C to this part, are Rackground, Generic Planning Base, Licensee Planning Base, and Responsibility Matrix. The fifth category of information, Frocedures, does not have to be submitted for approval . )1 The plan becomes effective and must be followed by the licensee 30
- days af ter approval by the Commission.
(c')
t (2) Detailed procedures developed according to Appendix C to this part available at the licensee's site. The licensee shall retain a copy of the current procedures as a record until the Commission te minates the license for which the procedores were developed and, if any portion of the precedures is superseded, retain the superseded materici for three years after each change, and
. n a a n
) (d) The licensee shall provide for the implementation, revision, and maintenance of this safeguards contingency plan. To this end, the licensee 1 Licensees subject to 5 73.55 may modify their physical security plans to incor-porate contingency plan informathn specified in Appendix C to this part. A i physical security plan that contains all the information req'Jired in both 5 73.55 and Appendix C to Part 73 satisfies the requirement for a contingency j plan.
1 1
. . - =
[7590-01]
shall provide for ai review at least every twelve months of the safeguards contingency plan by individuals independenc of both security progran management and personnel who have direct responsibility for implementation of the security prog am. The review must include a review and audit of safeguards contingency procedures and practices, an audit of the security system testing and mainte-nance program, t.nd a test of the safeguards system along with commitmenti established for response by local law enforcement authorities. The results of the review and audit, along with recommendations for improvements must be docu-
. mented, reported to the licensee's corporate and plant management, and kept available at the plant for inspection for a period of three years from the date of the review or audit.
I
- 95. In S 73.46, paragraphs (b)(3)(1), (b)(4), (d)(3), (d)(10), (d)(13),
(h)(1), and (h)(2) are revised to read as follows:
5 73.46 Fixed site physical protection systems, subsystems, components,
.l and orocedures, a a a a
- I (b)
(
(3) r (i) Written security procedures thet document the structure of the secur- :
ity organization and detail th duties of guards, watchmen, and other individuals
- responsible for securi*,y. The licenste shdi retain a copy of the current pro . ;
i cedures as a record until th Comission terminates the license for which they j were developed and, if any portion of the procedures is superseded, retain the l l
swerseded material for three years after each change; j I
j a a a e n [
(4) The licensee may not permit an individual te ar.t as a guard, watchmen, armed response person, or other member of the security organization unless tre individual has been e Oned, equipped, and qualified to perform each aesignvd 69
l
- (7590-0?.)
security job duty in accordance with Appendix B to this part "General Criterie )
for Security Personnel." Upon the request of an authorized representative of the Commission, the licensee shall demonstrate the ability of the physical secu-i rity personnel, whether licensee or contractor employees, to carry out their
- assigned duties and responsibilities. Each guard, watchman, armed response person, or other member of the security organization, whether a licensee or contractor employee, shall requalify in accordance with Appendix B to this part at least every 12 months. This requalification must be documented. The lic-ensee shall retain the documentation of each requalification as a record for three years after the raqualification.
A A A A A ,
e l (d)
] (3) The licensee shall establish and follow written procedures that will permit access control personnel to identify those vehicles that are authorized and those materials that are not authorized entry to protected, material access, and vital areas. The licensee shall retain a copy of the current procedures as a record until the Commission terminates each license for which the procedures were developed and, if any portion of the procedures is superseded, retain the superseded material for three years after each change. t A A A A A (10) Before exfng from a material access area, containers of contam-inated wastes must be a um scanned and tamper sealed by at least two individ-cals, working and recording their findings as a team, who do not have access to material processing and sterage areas. The licensee shall retain the records of these findings for three years after the record is made.
9 A A A A (13) Individuals not permitted by the licensee to enter protested areas without escort must be escorted by a vatchman or other individual designated by the itcensee while in a protected area and must be bsdged to indicate that an 1
70
l 1
[7590-01] l l
l escort is requiren. In addition, the individual shall be required to register :
his or her name, date, time, purpose of visit and employment affiliation, citi-zenship, and name of the individual to be visited in a log. The licensee shall retain each log as a record for three years af ter the last entry is made in the [
log.
A A A A A (h)
(1) The licensee shall have a safeguards contingency plan for dealing !
with threats, thefts, and radiological sabotage related to the strategic f special nuclear material and nuclear facilities subject to the provisions of l this section. Safeguards contingency plans must be in accordance with the l
- criteria in Appendix C to this part, "Licensee Safeguards Contingency Plans."
j Contingency plans must include, but need not be limited to, the response !
- requirements in paragraphs (h)(2) tnrough (h)(5) of this section. The licensee I
shall retain a copy of the current safeguards contingency plan as a record until the Comission terminates the license and, if any portion of the plan is
- s@erseded, retain the superseded material for three years after each change.
(2) The licensee shall establish and document response arrangements that have been made with local law enforcement authorities. The licensee shall
) retain documentation of the current arrangements as a record until the l
Commission teminates each license requiring the arrangements and, if any arrangement is superseded, retain the superseded material for three years after l j each change. l l
a a a a a l
- 96. In E 73.50, caragraphs (a)(3) and (4), (c)(5), and (g)(1) and (2) ;
I
{ are revised to re s follows:
j i
! 5 73.50 Requirements for physical protection of licensed activities. l l
I A A A A R l
l 71 l
[7590-01)
(e) i (3) The licensee shall establish, naintain, and follow written security ,
procedures that document the structure of the security organization and detail the duties of guards, watchmen, and other individuals responsible for security.
The licensee shall retain a copy of the current procedures as a record until the Comnission terminates each license for which the procedures were developed and, if any portion of the procedures is superseded, retain the superseded material for three years af ter each change.
(4) The licensee may not parait an individual to act as a guard, watch-man, armed response person, or other member of the security organization unless the individual has been trained, equipped, and qualified to perform each assigned security job duty in accordance with Appendix B, General Criteria for ,
, Security Personnel," to this part. Upon the request of an authorized represen-tative of the Commission, the licensee shall demonstrate the ability of the physical security personnel to carry out their assigned duties and responsibi-lities. Each guard, watchman, armed response person, and other member of the l l security organization shall requalify in accordance with Appendix B to this l part at least every 12 months. This requalification must be documented. The licensee shall retain the documentation of each requalification as a record for 1 three years after the requalification, i
2 2 $ $ A 1
i 4
i l (c) 1 l
- i
) (5) Individuals not employed by the licensee must be escorted by a watch-man, or ower individual designated by the licensee, while in a protected area
! and must be badged to indicate that an escort is required. In addition, the licensee shall require that each individual not employed by the licensee register his or her name, date, time, purpose of visit, employment af filiation, citizen- I ship, name and badge number of the escort, and name of the individual to be visited. The licensee shall retain the register of information for three years j sfter the last entry is made in the register. Except for a driver of a delivery or service vehicle, an individual not employed by the licensee who requires I
I 72 4 l
[7590-01]
frequent and extended access to a protected area or a vital area need not be escorted if the individual is provided with a picture badge, which the individ-ual must receive upon entrance into the protected area and return each time he or she leaves the protected area, that indicates (i) nonemployee-no escort required, (ii) areas to which access is authorized, and (iii) the period for which access has been authorized.
A A A A A (g) Response requirement. (1) The licensee shall have a safeguards contingency plan for dealing with threats, thefts, and radiological sabotage related to the special nuclear material and nuclear facilities subject to the
) provisions of this section. Safeguards contingency plans must be in accordance with the criteria in Appendix C to this part, "Licensee Safeguards Contingency Plans." The licensee shall retain a copy of the plan and each change to the plan as a record until the Commission terminates each license for which the plan was developed and retain the superseded materials for three years after .
each change.
(2) The licensee shall establish and document liaison with law enforcement authorities. The licensee shall retain the documentation of the current liaison as a record until the Commission terminates each license for which the liaison was developed and, if any portion of the liaison documen- :
tation is superseded, retain the superseded material for three years af ter e.ach change.
A A A A A
- 97. In 5 73.55, paragraphs (b)(1) and (3)(i) and (ii) and (4), (d)(6),
and (h)(2) are revised to read as follows:
l I S 73.55 Requirements for physical protection of licensed ictivities in a
nuclear power reactors against radiological sabotage.
a a a a a 73 I __ _ -_ _ ..- - . - -- - . _ . _ . _ _ _ _
(7590-01)
I (b) Physical Securit3 Organization. (1) The licensee shall establish a l security organization, including guards, to protect his facility against radio- ;
logical sabotage. If a contract guard force is utilized for site security, the l f
- licensee's written agreement with the contractor that must be retained by the licensec as a record for the duration of the contract will clearly show that l (i) the licensee is responsible to the Commission for maintaining safeguards in
! accordance with Coenission regulations and the licensee's security plan, (ii) the NRC may inspect, copy, and take away copies of all reports and documents i
- required to be kept by Commission regulations, orders, or applicable license l conditions whether the reports and documents are kept by the licensee or the ;
contractor, (iii) the requirement in paragraph (b)(4) of this section that the <
licensee demonstrate the ability of physical security personnel to perfois their f l ,
1 1 assigned duties and responsibilities, includes demonstration cf the ability of l the contractor's physical security personnel to perform their assigned duties l l and responsibilities in carrying out the provisions of the Security Plan and these regulations, and (iv) the contractor will not assign any personnel to the j site who have not first been made aware of these esponsibilities.
- a a a m l
a (3) l q >
a (i) Written security procedures that document the structure of the !
i security organization and detail the duties of guards, watchmen, and other a individuals responsible for security. The licensee shall maintain a copy of f l the current procedures as a record until the Commis'. ion te'winates each license l for which the procedures were developed and, if anf cortion of the procedure is i superseded, retain the superseded material for three years after each change.
(ii) Provision for written approval of these procedures and any revisions l to the procedures by the individual with overall Msponsibility for the security l j functions. The licensee shall retain each written approval as a record for three l f
I yrics from the date of the approval, (4)(1) The licensee may not permit an individual to act a; a guard, f watchman armed response person, or other wober of the security organization ;
unless the individual has been trained, equipped, and qualified to perform each i j
- assigned security job duty in accordance with Appendix B, "General Criteria for l Security Fersonnel," to this part. Upon the request of an authorized representative i i
! 74 l l I
[7590-01]
of the Commission, the licensee shall demonstrate the ability of the physical security personnel to carry out their assigned duties and responsibilities.
Each guard, watchman, armed response person, and other member of the security organization shall requalify in accordance with Appendix B to this part at least every 12 months. This requalification must be documented. The licensee shall retain the documentation of each requalification as a record for three years after the requalification.
(ii) Each licensee shall submit a training and qualifications plan out-lining the processes by which guards, watchmen, armed response persons, and other members of the security organization will besselected, trained, equipped, tested, and qualified to ensure that these individuals meet the requirements of this paragraph. The licensee shell maintain a current copy of the training and qualifications plan as a record until the Commission terminates each license '
for which the plan was developed and, if any portion of the plan is superseded, retain the material that is superseded for three years after each change. The l training and qualifications plan must include a schedule to show how all secu-i rity personnel will be qualified two years after the submitted plan is approved.
The training and qualifications plan must be followed by the licensee 60 days after the submitted plan is approved by the NRC.
i a a a *
- i (d) l (6) Individuals not authorized by the licensee to enter protected areas without escort shall be escorteC by a watchman or other individual designated by the iicensee while in a protected area and shall be badged to indicate that an escort is required. In addition, the licensee shall require that each individual register his or her name, date, time, purpose of visit, employ.4ent affiliation, citizenship, and name of the individual to be visited. The licensee shall retain the register of information for three years after the last entry in the register. 1 1
i l a a a a a j i
y,, . . .
i 1
- 75 l l
. _ - _ _ - . .. .. _ _ _ - - - - ._-__a
(7590-01)
(2) The licensee shall establish and docament liaison with local law enforcement authorities. The licensee shall retain dor.umentation of the current liaison as a record until the Commission terminates each license for i which the liaison was developed and, if any portion of the liaison documenta-tion is superseded, retain the superseded material for three years after each I change. l A A A A A
- 98. In i 73.67, the paragraphs (c)(1); (d)(11); (e)(3)(iv), (e)(5), and (e)(6)(1), and the introductory text to (e)(4); (f)(4); and (g)(3)(1), (g)(4),
and (g)(5)(i) are revised to read as follows:
$ 73.67 Licensee fixed site and in-transit requirements for the physical protection of special nuclear material of moderate and low strategic significance.
2 A A A A (c)
(1) Submit a security plan or an amended security plan describing how the licensee will comply with all the requirements of paragraphs (d), (e), (f), and i (g) of this section, as appropriate, including schedules of implementation.
The licensee shall retain a copy of the effective security plan 6 record for three years after the close of period for which the licensee possesses the l special nuclear material under each license for which the original plan was submitted. Copies of superseded material must be retained for three years 1 after each change. I
= a e a A ,
(d) * *
- 1 76 i
9 (7590-01) l (11) Establish and maintair written response procedures for dealing with threats of thefts or thefts of these materials. The licensee shall retain a copy of the response procedures as a record for the period during which the
'icensee possesses the appropriate type and quantity of special nulcear material requiring this record under each license for which the original procedures were developed and, for three years therealter. Copies of superseded saterial must be retained for three years after each change.
(e)
(3) i (iv) Establish and maintain written response procedures for dealing with threats of thefts or thefts of this material. The licensee shall retain a copy of the current response procedures as a record for three years after the ,
close of period for which the licensee possesses the special nuclear material under each license for which the original procedures were developed and copies of superseded material must be retained for three years af ter each change.
n a n n a h
(4) Each licensee who arranges the physical protection of strategic special nuclear material in quantities of moderate strategic significance while
- in transit or who takes delivery of this material free on board (f.o.b.) the point at which it is delivered to a carrier for transport shall comply with the l requirements of paragraphs (e)(1), (2), and (3) of this section. The licensee i shall retain each record required by paragraphs (e)(1), (2), (3), and (4)(1)
I and (ii) of this section for three years after close of period licensee i ,
i 6
I 77
(7590-01] i l
possesses special nut. lear material under each license that authorizes these licensee activities. Copies of superseded material must be retained for three years after each change. In addition, the licensee shall -- i e A A A A
- ($) Each licensee who exports special nuclear material of moderate stra-tegic significance shall comply with the requirements specified in paragraphs l
j (c) and (e)(1), (3), and (4) of this section. The licensee shall retain each record required by these sections for thres years after the close of period !
l for which the licensee possesses the special nuclear material under each license l j that authorizes the licensee to export this material. Copies of superseded j material must be retained for three years after each change.
1 ,
(6) Each licensee who imports special nuclear material of moderste strategic significance shall -- .
l (i) Comply with the requirements specified in paragraphs (c) and (e)(2),
(3), and (4) of this section. The licensee shall retain each record required i by these sictions far three years after the close of period for which the li- '
- consee possesses the special nuclear material under each license that authorizes j
the licensee to import this matcrial. Copies of superseded material must be I i retained for three years after each change, l l l
(f) * *
(4) Estab'ish and maintain response procedures for dealing with threats of thefts or thefts of this material. The licensee shall retain a copy of the current response procedures as a record for three years after the close of period for which the licensee possesses the special nuclear material under each Itcense for which the procedures were established. Copies of superseded material must be retained for three years after each change.
l l
l l
78 l
- \
[7590-01] l 1
I
( g'. * * *
(3) i (i) Establish and maintain response procedures for dealing with threats or thefts of this material. The licensee shall retain a copy of the current response procedures as a record for three years after the close of period for ;
j which the licensee possesses the special nuclear material under each license for which the procedures were established. Copies of superseded material must j be retained for three years after each change.
J !
A A A A A l
(4) Each licensee who exports special nuclear material of low strategic
! significance shall comply with the appropriate requirements specified in para-graphs (c) and (g)(1) and (3) of this section. The licensee shall retain each
! record required by these sections for three years after the close of period i
! for which the licensee possesses the special nuclear material under each if cense
) that authorizes the licensee to export this material. Copies of superseded material must be retained for three years after each change.
l (5)
(i) Comply with the requirements specified in paragraphs (c) and (g)(2) and (3) of this section and retain each record required by these paragraphs '
1 fcr three years after the close of period for which the licensee possesses the special nuclear material under each license that authorizes the licensee to import this material. Copies of superseded material must be retained for three years after each change.
A A A A A
\
l
- 99. Section 73.70 is revised to read as follows: l l
l 79 1
(7550-01)
$ 73.70 Records.
Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original i
or a reproduced copy or a microform provided that the copy or microform is euthenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period. The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required retention period.
Records such as letters, drawings, specifications, must include all pertinent
- information such as stamps, initials, and signatures. The licensee shall main-tain adequate safeguards against tampering with and loss of records. Each .
j licensee subject to the provisions of $$ 73.20, 73.25, 73.26, 73.27, 73.45, 73.46, 73.55, or 73.60 shall ke:tp the 1011owing records: ,
(a) Names and addresses of all individuals who have been designated as authorized individuals. The licensee shall retain this record of currently j designated authorized individuals for the period during which the licensee pos-
! sesses the appropriate type and quantity of special nuclear material requiring i
this record under each license that authorizes the activity that is subject to i the recordkeeping requirement and, for three years thereafter. Copies of l
superseded material must be retained for three years after each change.
! l (b) Names, addreues, and badge numbers of all individuals authorized to j l have access to vital equipment or special nuclear material, and the vital areas
! and material access areas to whir.h authorization is granted. The licensee ,
~
j shall retain the record of individuals currently authorized this access for
- the period during which the licensee possesses the appropriate type and quan- ;
- tity of special nuclear material requiring this record under each license that [
i authorizes the activity that is subject to the recordkeeping requireeent and, '
for three years thereaf ter. Copies of superseded material must be retained for I three years af ter each change. l l
f (c) A register of visitors, vendors, and other individuals not employed by the licensee pursuant to il 73.46(d)(1), 73.55(d)(6), or $73.60. The
! M ,
[7590-01) licensee shall retain this register as a record for three years after the last entry is made in the register.
(d) A log indicating name, badge number, time of entry, and time of exit of all individuals granted access to a vital area except those individuals entering or exiting the reactor control room. The licensee shall retain this l log as a record for three years after the last entry is made in the log.
(e) Documentation of all routine security tours and inspections, and of all tests, inspections, and maintenance performed on physical barriers, intru-sion alares, communications equipment, and other security related equipment used pursuant to the requirements of this part. The licensee shall retain the documentation for these events for three yeart from the date of documenting each event.
(f) A record at each onsite alarm annunciation location of each alare, false alarm, alarm check, and tamper indication that identifies the type of alarm, location, alarm circuit, date, and time. In addition, details of response by facility guards and watchmen to each alars, intrusion, or othrr e security incident shall be recorded. The license shall retain each record for ;
three years after the record is made.
i
. (g) Shipments of special nuclear material subject to the requirements of l
- this part, including names of carriers, bajor roads to be used, flight numbers l l
l in the case of air shipments, dates and expected times of departure and arrival of shipments, verification 3) connunication equipment on board the transfer vehicle, names of individuals who are to communicate with the transport vehicle. l l
container seal descriptions and identification, and any other information to confirm the means utilized to comply with Il 73.25, 73.26, and 73.27. This information must be rer:orded prior to shipment. Information obtained during the course of the shipment such as reports of all communications, change of
) shipping plan, including monitor changes, trace investigations, and others must
) also be' recorded. The licensee shall retain each record about a shipment required by this paragraph (g) for three years after the record is made.
l l I I
81 1
[7590-01]
(h) Procedures for controlling access to protected areas and for control-l ling access to keys for locks used to protect special nuclear saterial. TSe licensee shall retain a copy of the current procedures as a record until the Ccamission terminates each licent.e for which the procedures were developed and, if any portion of the procedure is superseded, retain the superseded material for three years after each change.
100. In Appendix 8 to Part 73,Section I.C. E, and F and II.A. 8, C, and E, and the introductory text to Section IV are revised to read as follows: {
i APPENDIX 8 - GENERAL CRITERIA FOR SECURITY PERSONNEL 1
A A A A A
,i Criteria 1 1
! C. Medical examinations and physical fitness qualifications--Guards, arewd response personnel, armed escorts and other armed security force members I shall be given a medical examination including a determination and written certification by a licensed physician that there a.'e no medical contraindica-f tions as disclosed by the medical examination to participation by the individ- ;
ual in physical fitness tests. Subsequent to this medical examination, guards, l J
armed response personnel, armed escorts and other armed security force members l l shall demonstrate physical fitness for assigned security job duties by perfor-
- ming a practical physical exercise program within a specific time period. The exercise program performance objectives sha)) t,e descr!*.,ed
- n LN licemco training and qualifications plan and shall consider job-related functions such
! as strenuous activity, physical exertion, levels of stress, and exposure to the elements as they pertain to each individual's assigned security job duties for both normal and emergency operations. The physical fitness qualification of each guard, arsed response person, armed escort, and other security force member shall be documented and attested to by a licensee security supervisor.
82 l 1
l
! I
- - -. - -_ - - - - - - - - _ - . _ - - . . 1
[7590-01)
The licensee shall retain this documentation as a record for three years from the date of each qualification.
A A R A A I
E. Physical requalification--At least every 12 months, central alars I
station operators shall be required to meet the physical requirements of B.1.b of this section, and guards, armed response personnel, and armed escorts shall be required to meet the physical requirements of paragraphs B.1.b (1) and (2),
and C of this section. The license shall document each individual's physical requalification and shall retain this documentation of requalification as a record for three years from the date of each requalification.
- F. Documentation--The results of suitability, physical, and sental qualifications data and test results must be documented by the licensee or the licensee's agent. The licensee or the agent shall retain this documentation as
]
a record for three years from the date of obtaining and recording these 1
results.
I a a a a a II. Training and Qualifications.
r i
- A. Training requirements- Each individual who requires training to per-l form assigned security-related job tasks or job duties as identi.fied in the j licensee physical security or contingency plans shall, prior to assignsant, be
) trained to perform these tasks and duties in accordance with the licensee or
]
the licensee's agent's documented training and qualifications plan. The licensee l or the agent shall maintain documentation of the current plan and retain thin documentation of the plan as a record for three years af ter the close of period
) for which the licensee possesses the special nuclear saterial under each license j for which the plan was developed and, if any portion of the plan is superseded,
- retain the material that is superseded for three years after each change.
l Qualification requirements--Each person who performs security-related B.
! job tasks or job duties required to implement the licensee physical security or l
! l l
83 j
[7590-01) contingency plan shall, prior to being assigned to these tasks or du.ies, be qualified in accordance with the licensee's NRC-approved training end quali- '
fications plan, The qualifications of each individual must be documented and attested by a licensee sec1rity supervisor. The licensee shall retain this documentation of each individual's qualifications as a record for three years af ter the employee ends employment in the security-related capacity and for three years after the close of period for which the licensee possesses the a special nuclear esterial under each license, and superseded material for three years after each change, C, Contract personneb-Contract personnel shall be trained, equipped, and qualified as appropriate to their assigned security-related job tasks or job duties, in accordance with sections II, III, IV, and V of this appendix, The qualificetions of each individual must be documented and attested by a licensee security supervisor. The licensee shall retain this documentation of each individual's qualifications as a record for three years after the employee j
ends eeployuent in the security-related capacity and for three years after the close of period for which the licensee possesses the special nuclear material l
under each license, and superseded material for three years after each change.
A A A A A a
E. Requalification--Security personnel shall be requa'ified at least every j 12 months to pairform assigned security-related job tasks and duties for both l normal and contingency operations, Requalification shall be in accordance with i
- the NRC-approved licensee training and qualifications plan, The results of l
- requalification must be documented and attested by a licensee security super-visor. The licensee shall retain this documentation of each individual's requalification as a record for three years from the date of each requalification, 1
A A A A A I
IV, Weapons Qualification and Requalification Program.
Qualification firing for the handgun and the rifle sust be for daylight firing, and each individual shall perfore night firing for familiarization with 84
[7590-01]
assigned weapon (s). The results of weapons qualification and requalification ,
must be documented by the licensee or the licensee's agint. Each individual ,
shall oe requalified at least every 12 months. The licensee shall retain this documentation of each qualification and requaliffcation as a record for three yects from the date of the qualification or requalification, as appropriate. !
e n n a a l PART 74 - MATERIAL CONTROL AND ACCOUNTING OF SPECIAL NUCLEAR MATERIAL 101. The authority citation for Part 74 continues to read as follows:
1
{ AUTHORITY: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201,
{ 88 Stat. 1242, as amended (42 U.S.C. 5841).
i 102. In i 74.31, the existing text of paragraph (d) is redesignated as (d)(1) and paragraph (d)(2) is added to read as follows:
! I
)
- $ 74.31 Nuclear material control and accounting for special nuclear material l i of low strategic significance. l 1
- A A A a !
j f I
(d) Recordkeeping. * * * ,
l 1 i
) (2) Records which must be maintained pursuant to this part may be the l original or a reproduced copy or microform if such reproduced copy or microfore !
is duly authenticated by authorize 1 personnel and the microform is capable of l producing a clear and legible copy after storage for the period specified by ceanission regulations. The record may also be stored in electronic media with j I
i the capability for producing legible, accurate, and complete records during the i required retention period. Records such as letters, drawings, specifications, sust include all pertinent information such as stamps, initials, and signatures.
]
85
[7590-01)
The licensee shall maintain adequate safegt ards against tampering with and loss of records.
2 A A A A PART 75 - SAFEGUARDS ON NUCLEAR MATERIAL -- IMPLEMENTATION OF US/IAEA AGREEMENT 103. The authority citation for Part 75 is revised to read as follows:
AUTHORITY: Sees. 53, 63, 103, 104, 122, 161, 68 Stat. 930, 932, 936, 937, 939, 948, as amended (42 U.S.C. 2073, 2093, 2133, 2134, 2152, 2201); sec. 201, 88 Stat. 1242, as amended (42 U.S.C. 5841).
For the purposes of sec. 223, 68 Stat. 958, as amended (42 U.S.C. 2273);
the provisions of this part are issued under sec. 161o, 68 Stat. 950, as ;
amended (42 U.S.C. 2201(o)). i 104. The heading for i 75.6 is revised and a new paragraph (e) is added to read as follows: ,
1 l
i 75.6 Maintenance of records and delivery of information, reports, and ,
other communications.
- l A A A A A (e) Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be
! the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period.
! The record may also be stored in electronic media with the capability for producing legible, accurate, and complete records during the required reten-tion period. Records such as letters, dravings, specifications, must include all pertinent information such as stamos, initials, and signatures. The j licensee shall maintain adequ:tt safeguards against tampering with and loss
- of records.
1 i
! 86
(7590-01]
105. In 5 75.12, paragraphs (b)(1) and (4) are revised to read as follows:
$ 75.12 Comunication of information to IAEA.
n a a s a (b)(3) A licensee w request that information of particular sensitivity, which it customarily holds in confidence, not be transmitted physically to the {
IAEA. A licensee who makes such a request should, at the time the information ,
is submitted, identify the pertinent document or part thereof and make a full !
statement of the reasons supporting the request, The licensee shall retain a copy of the request and all documents related to the request as a record until !
the Commission teminates the license for each installation involved with the request or until the Comission notifies the licensee that the licensee is no l longer under the agreement. Superseded material must be retained for three !
years af ter each change is made.
l a a a
- a i
(4) If a request is granted, the Comission will determine a location l where the information will remain readily available for examination by the IAEA j and will so inform the licensee. The licensee shall retain this inforsation as ;
a record until the Conmission terminates the license for the installation involved with the request or until the Commission notifies the licensee that l the licensee is no longer under the agreement. Superseded material must be retained for three years after each change is made. i 1
4 e a e a a l l
106. In 5 75.21, paragraph (a) is revised to read as follows:
5 75.21 General requirew nts.
(a) Each licensee who has been given notice by the Commission in writing that its installatica has been identified under the Agreement shall establish, 87
. l
l (7590-01) saintain, and follow written material accounting and control procedures. The licensee shall retain as a record current material accounting and control procedures until the Commission terminates the license for the installation involved with the request or until the Commission notifies the licensee that the licensee is no longer under the agreament. Superseded material must be retained for three years af ter each change is made.
A A A A A PART 95 - SECURITY FACILITY APPROVAL AND SAFEGUARDING OF NATIONAL SECURITY INFORMATION AND RESTRICTED DATA 107. The suthority citation for Part 95 continues to read as follows: :
AUTHORITY: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, l 88 Stat.1242, as amended (42 U.S.C. 5841). '
108. Section 95.11 is revised to read as follows:
5 95.11 Specific exemptions.
The Cossaission may, upon application of any interested party, grant an l xemption from the requiremencs of Part 95. Exemptions will be granted only if they are authorized by law and will not constitute an undue risk to the common j defense and security. The licensee shall retain the documentation related to the request, notification, and processing of an exemption for three years beyond the period covrared by the exemption.
109. Section 95.13 is revised to r,ad as follows:
$ 95.13 Maintenance of records.
(a) Each licensee or organization granted security facility approval under this part shall maintain records prescribed within the part. These records are subject to review and inspection by NRC representatives during security surveys.
88
. (7590-01) l (b) Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform provided that they copy or microform is authenticated by authorized personnel and that the microform is ,
capable of producing a clear copy throughout the required retention period.
The record may also be stored in electronic media with the capability for pro-ducing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pertinent information such as stamps, initials, and signatures. The licensee !
shall maintain adequate safeguards against tampering with and loss of records.
110. In 5 95.25, paragraphs (a)(3), and (h) are revised to read as follows:
l 5 95.25 Protection of national security information and restricted data in storace, a a a n n (a) i (3) When protective personnel are used, physical checks of security con-l tainers must be made as soon as possible after the close of each normal workday l and at least once every eight hours thereafter during non-working hours. The i licensee shall record the results of these checks and retain each record for (
three years after it is made.
A A A A A (h) Unattended security container found opened: In the event that an unattended security container housing classified matter is fnund unlocked, the custodian or an alternate shall be notified immediately. The container must be secured by protective personnel and the contents inventoried as soon as pos-sible but not later than the next workday. A report reflecting all actions taken must be submitted to the responsible Regional Office (see Appendix A, 10 CFR Part 73 for addresses) with an information copy to the NRC Division of 89
[7590-01)
~
1 Security. The licensee shall retain records pertaining to these matters for three years after completion of final corrective action.
A A A A A l
5 95.33 (Amended) 111. Section 95.33 is amended by changing "one year" to "three years" in the last sentence. l 112. In 5 95.37, paragraph (i) is revised to read as follows:
q :
5 95.37 Classification and preparation of documents, a a a a a j
(i) Document which custodian believes is improperly classified or lacking appropriate classification markinas. If a person receives a document which, in his or her opinion, is not properly classified, or does not have appropriate I
- classification markings, he or she shall immedia.ely notify the sender and sug-gest to the originator the classification which he believes to be appropriate.
) Whenever requested, this challenge of classification marking must be handled in j a manner which will ensure the anonymity of the challenger. Pending final I i determination of proper classification, the document must be safeguarded in
) accordance with the procedures required for the highest classification in ques-l tion. Where unauthorized disclosure may have occurred, a report in accordance l l with 5 95.57 of this part is required. These reports must be retained for
! three years after final corrective action has been taken, ,
I I 95.41 (Amended) 113.Section 95.41 is amended by changing "two years" to "three years" in i
the last sentence.
I i
114. Section 95.47 is revised to read as follows:
a 90
[7590-01]
i 95.47 Destruction of matter containina national security inf,oymation and/or restricted data.
Documents conteining National Security Information and/or Restricted Data may be destroyed by burning, pulping, or another method that ensures complete destruction of the information which they contain. The method of destruction must preclude recognition or reconstruction of the classified information. Any do'ubts on methods should be referred to the NRC Division of Security. If the document contains Secret National Security Information and/or Restricted Data a record of the subject or title, document number, if any, originator, its date of origination, its series designation and copy number, and the dato of destruction must be signed by the person destroying the document and must be maintained in the office of the custodian at the time of destruction. These destruction records must be retained for three years after destruction.
PART 110 - EXPORT AND IMPORT OF NUCLEAR FACILITIES AND MATERIALS !
115. The authority citation for Part 110 continues to read as follows:
AUTHORITY: Sec. 161, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, j 88 Stat.1242, as amended (42 U.S.C. 5841).
i 116. In S 110.53, paragraph (b) is revised to read as follows:
$ 110.53 United Stat.es address, records, and inspections.
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(b)(1) Each licensee shall maintain records concerning his exports or imports. The licensee shall retain these records for five years after each export or import except that byproduct material records must be retained for three years af ter each export or import.
(2) Records which must be maintained pursuant to this part say be the original or a reproduced copy or microform if such reproduced copy or microform ic duly authenticated by authorized personnel and the microform is capable of producing a clear and legible copy after storage for the period specified by 91
[7590-01]
4 Commission regulations. The record may also be stored in electronic media with the capabilit: for producing legible, accurate, and complete records during the required retention period. Records such as letters, drawings, specifications, must include all pert':nent information such as stamps, initials, and signatures.
The licensee shall maintain adequate safeguards against tampering with and )
- loss of records. l
- a a a a Dated at Rockville. Maryland, this ay of MI,1988.
', For the Nuclear Regufatory Commission.
ctor I M o, J Executive Dire r for Operations.
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