ML20213G609
| ML20213G609 | |
| Person / Time | |
|---|---|
| Issue date: | 03/01/1985 |
| From: | Norry P NRC OFFICE OF ADMINISTRATION (ADM) |
| To: | Stello V NRC OFFICE OF THE EXECUTIVE DIRECTOR FOR OPERATIONS (EDO) |
| Shared Package | |
| ML20213D984 | List: |
| References | |
| NUDOCS 8611180224 | |
| Download: ML20213G609 (108) | |
Text
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E NUCLEAR REGULATORY COMMISSION 4
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MEM0RANDUti FOR:
Victor Stello, Deputy Executive Director for Regional Operations and Generic Requirements FROM:
Patricia G. Norry, Director Office of Administration
SUBJECT:
OFFICE OF ADMINISTRATION'S NOTICE OF PROPOSED RULEMAKING RE: ESTABLISHMENT OF RECORD RETENTION PERIODS FOR REQUIRE-MENTS IN 10 CFR Enclosed for,your review and the Conmittee to Review Generic Requirements' consideration are fifteen copies of a notice of proposed rulemaking that would amend Ltwenty-one parts in Title 10 of the Code of Federal Regulations 4
.'t by establishing specific retention periods for NRC-required records that are currently kept indefinitely (enclosure 1). This proposed rule also would establish, uniform record retention periods of three years, five years, ten years, untiL,the Commission terminates the license authorizing the activity i or facility subject to the recordkeeping requirement, or if necessary, in the case of a postoperational period, beyond.
This rule represents NRC's comitment to bring NRC regulations into compliance with the Office of Management and Budget's (OMB) regulations governing paperwork activities (5 CFR 1320.6) that require a specific retention period for each re-quired record (see background). This proposed amendment is administrative in nature and does not address whether or not there is technical or legal need for the records. Rather, the objective is to ensure a specific retention period is provided for recordkeeping requirements that have already been codified in NRC regulations withoutg specific retention period.
Staff feels that establish-ing four unifornt retention' periods, as opposed to the existing nine, will simplify the licensee's recordkeeping activities and, therefore, has proposed retention periods consistent with those contained in industry codes and standards and en-dorsed by NRC for quality assurance records required by 10 CFR Parts 50 and 71.
i The Paperwork 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 preparation and retention of records. The NRC staff believes that the goalsiof this rulemaking, that of specifying clearly in the NRC regulations what records to retain, how long to retain them, and the condition of a record useful for NRC inspection, will be mutually beneficial to applicants and licensees and to the NRC.
Specific record retention requirements are being established in a revision to Part 20 and two new parts that are being developed; Part 74, Material Control and Accounting, and Part 39, Well-logging. Therefore, this proposed rule does not include requirements for those parts.
8611180224 860403 PDR REUGP NRCCRGR MEETINGO74 PDR L
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Victor Stello The proposed changes in this rule should result in an overall reduction of the recordkeeping burden imposed on licensees. The major decrease in burden will result from proposing 141 specific retention periods for records that must now be retained indefinitely. A paragraph describing the form of a record and the condition of a record acceptable to the NRC for review is proposed for fourteen parts. These paragraphs are comparable to similar provisions currently in other parts of the flRC regulations.
The Offices of Nuclear 11aterial Safety and Safeguards, Nuclear Reactor Regu-lation, Inspection and Enforcement, Nuclear Regulatory Research, Analysis and Evaluation of Operational Data, State Programs, International Programs, and Investigation have concurred in this proposed rulemaking. The Office of the Executive Legal Director has nc legal objection to its publication.
The proposed rule would be issued for a 60-day public comment period.
If you or your staff have any questions concerning this proposed rulemaking, please contact Steve Scott on extension 28585.
- ->f Patricia
. floi ry, ie r
Office of Administration
Enclosures:
- 1. flotice of Proposed Rulemaking
- 2. OllB Supporting Statement
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ENCLOSURE 1 W
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NUCLEAR REGULATORY COMMISSION 10 CFR Parts 4, 11, 21, 25, 30, 31, 32, 34, 35, 40, 50 60, 61, 70, 71, 72, 7'3, 75, 95, 110, and 140 Retention Periods for Records AGENCY: Nuclear Regulatory Commission.
ACTION:
Proposed rule.
SUMMARY
- The Nuclear Regulatory Commission proposes to amend 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.
The rule would also provide a uniform standard acceptable to the NRC for the condition of a record throughout each specified retention period.
This pro-posed rule is expected to reduce the overall recordkeeping burden for NRC applicants and licensees by use of uniform retention periods and establishing specific retention periods for each record requirement.
DATES:
Submit comments by Comments received after this date will be considered if it is practical to do so, but assurance of consideration cannot be given except for those comments received before this date.
ADDRESSES:
Send comments to: The Secretary of the Commission, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Attention:
Docketing and Service Branch. Copies of comments received may be examined at the NRC Public Document Room, 1717 H Street, NW., Washington, DC.
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s FOR FURTHER INFORMATION CONTACT:
R. Stephen Scott, Chief, Document Management Branch, Division of Technical Information and Document Control, Office of Administration, U.S. Nuclear Regulatory Commission, Washington, DC 20555, Telephone:
(301) 492-8585.
SUPPLEMENTARY INFORMATION:
The NRC's. regulations require that appli-cants and licensees retain a variety of records for various periods of time.
Licensees must also retain certain plans and procedures for routine operation and emergency situations and file reports of certain occurrences and events.
The regulations sometimes specify that a record be retained for a specific period of time. These periods vary widely from one or two years to the 40 year life of a reactor license to the completion of decommissioning for some licenses.
In other instances, they specify that a record be kept until the Commission authorizes its disposition, and in still others, that it be retained indefinitely.
Some parts of NRC regulations specify the condition of a record acceptable to the NRC throughout its required retention period, others'do not.
This proposed rule would amend regulations in twenty-one parts of Title 10 to require that an identified record be retained for a specific period.
The rule would also provide for all parts of Title 10, Chapter I, the condition of a record acceptable to the NRC throughout the retention period.
Regarding specific periods, uniform retention periods of three years, five years, ten years, or the 1ife of the component, activity, area, or faci _lity are proposed to simplify the system for retaining NRC records.
These uniform periods coincide with the retention periods for quality assurance (QA) records in Parts 50 and 71.
Quality assurance records are categorized into nonper-manent records (programmatic and product) and permanent records.
Evolving from the practical need for retention of QA records, programmatic records (e.g., superseded QA Program Manuals, completed Audit and Summary Reports) are retained for three years, product records (e.g., superseded Installation Pro-cedures, superseded Purchase Orders) for ten years, and permanent records 2
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4 (e.g., Design Specifications, Structural Integrity Test Reports) for the life of the license.
Industry currently conforms to a variety of codes and standards that reflect these retention periods for QA records.
Further, the NRC is now participating in the development of standards that involve 10 CFR Part 50 QA records.
Therefore, retention periods for 10 CFR Part 50 QA records are not included in this proposed rule.
The proposed changes in this rule result in an overall reduction of the recordkeeping burden imposed on the NRC applicant or licensee.
The major decrease in burden results from proposing 141 retent' ion periods, ranging from one year to the life of a license, for records that must now be retained indefinitely.
These reductions offset the proposed increase in retention periods for 42 records; 24 cases by one year, 9 cases by two years, 2 cases by three years,1 case by two and one-half years, and 1 case by four and one-half years.
A paragraph describing the form of a record and condition of a record acceptable to the NRC for review is proposed for fourteen parts.
These paragraphs are comparable to similar provisions currently 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 useful for NRC inspection is mutually beneficial to the applicant or licensee and the NRC.
The Paper-work 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 preparation and retention of records. Furthermore, OMB's regulations implementing the Paperwork Reduction Act require that record retention requirements imposed by Federal regulation contain specific retention periods.
The NRC complies with the Act's requirement for Office of Management and l
Budget (OMB) review of the information collection requirements in each rulemaking.
In addition, two documents on paperwork are being prepared l
for publication in the NUREG-series:
one document will be based on Regulatory Guide 10.1, which is a compilation of reporting requirements for persons subject to NRC regulations, and the other document will summarize the record retention periods for the reporting requirements 3
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s identified in the first document. These companion documents should be useful to an NRC applicant or a licenree.
An effort has been made to use consistent terminology with regard to paperwork throughout this multipart rule.
For example, the term " retain" conveys the idea of keeping secure or. intact.
" Maintenance" is the action of continuing to preserve and update if required, in this case, a record.
Consistency of terminology and specificity of recordkeeping require-ments and retention periods should assist an NRC applicant or a licensee in complying with these requirements.
ENVIRONMENTAL IMPACT:
CATEGORICAL EXCLUSION The NRC has determined that this proposed 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 prepared for this proposed regulation.
PAPERWORK REDUCTION ACT STATEMENT This proposed rule amends information collection requirements that are subject to the Paperwork Reduction Act of 1980 (44 U.S.C. 3501 et seq.).
Requirements in eighteen 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 21--3150-0035; Part 25--3150-0046; Part 30--3150-0017; Part 31--3150-0016; Part 32--3150-0001; Part 34--3150-0007;_Part 35--3150-0010; Part 40--3150-0020; Part 50--3150-0011; Part 70--3150-0009; Part 71--3150-0008; Part 73--3150-0002; Part 75--3150-0055; Part 95--3150-0047; Part 110--3150-0036; Part 140--3150-0039.
This proposed rule, including requirements in Parts 61 and 72, has been submitted to the Office of Management and Budget for review and approval.
The recordkeeping requirements in Part 60 apply only to the Department of Energy and, therefore, do not require approval by the Office of Management and Budget.
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s REGULATORY FLEXIBILILTY CERTIFICATION Based upon the information available at this stage of the rulemaking proceeding and in accordance with the Regulatory Flexibility Act of 1980, 5 U.S.C. 605(b), the Commission hereby certifies that, if promul-gated, this rule will not have a significant economic impact upon a substantial number of small entities. The proposed rule would amend parts of the NRC regulations by specifying a period to retain each required record.
The rule is expected to affect 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 impact on any licensee.
However, comments on the expected economic impact of this proposed rule on any small entity are welcome.
The authority citation for this document is:
Sec. 161, Pub. L.83-703, 68 Stat. 948, as amended (42 U.S.C. 2201).
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 proposing to adopt the following amendments to 10 CFR Parts 4, 11, 21, 25, 30, 31, 32, 34, 35, 40, 50, 60, 61, 70, 71, 72, 73, 75, 95, 110, and 140.
LIST OF SUBJECTS Reporting and recordkeeping requirements PART 4 - NONDISCRIMINATION._IN FEDERALLY ASSISTED COMMISSION PROGRAMS ___
1.
A new S 4.5 is added to read as follows:
S 4.5 Maintenance of records.
Each record required by this part must be legible throughout the retention period specified by each Commission regulation.
The record may be the 5
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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.
2.
In S 4.32, the existing paragraph is divided and redesignated as paragraphs (a) and (b) and a new paragraph (c) is added to read as follows:
$ 4.32 Compliance reports.
(a) Each recipient shall keep records and submit to the responsible NRC official timely, complete, and accurate compliance reports at the times, and in the form and containing the information that the responsible NRC official may determine to be necessary to enable the official to ascertain whether the recipient has complied or is complying with this subpart.
(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.
(c) The primary recipient shall retain each record of information needed to complete a 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 S 4.3, whichever is shorter.
3.
In S 4.125, the introductory text of, paragraph (d) is revised t.o,,
read as follows:
S 4.125 Preemployment inquiries, a
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(d) Information obtained in accordance with this section as to the medical condition or history of the applicant shall be collected on separate forms.
The recipient shall retain each form as a record for three years from the date the applicant's employment ends, or, it not hired, from the date of application.
Each form must be accorded confidentiality as a medical record, except that:
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a 4.
In S 4.127, the introductory text of paragraph (d) is revised to read as follows:
S 4.127 Existing facilities.
(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 complete the changes. The plan is to be developed with the assistance of interested persons, including handicapped persons, or organizations representing handi-capped persons, and the plan is to meet with the approval of the NRC. The recipient shall retain a copy of the transition plan as.a record until any structural change to a facility is complete.
A copy of the transition plan is to be made available for public inspection.
At a minimum, the plan is to:
PART 11 - CRITERIA AND PROCEDURES FOR DEIERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL S 11.9 [ Amended]
5.
Section 11.9 is amended by changing "two years" to "three years" in the last sentence.
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6.
A new S 11.10 is added to read as follows:
$11.i0 Maintenance of 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 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. -
7.
In S 11.13, paragraph (b) is revised to read as follows:
S 11.13 Special requirements for transportation.
(a)
(b)(1) Each licensee who, 365 days after Commission approval of the amended security plan submitted in accordance with S 11.11(a), transports or delivers to a carrier for transport special nuclear material-subject to'the physical' protection requirements of SS 73.20, 73.25, 73.26, or 73.27 of this chapter shall confirm and record prior to shipment the name and special nuclear material access authorization number of all individuals identified in paragraph (a) of this section assigned to the shipment.
The licensee shall retain this record for three years after the record is made.
(2) An exception to the requirement to confirm and record the SSNM access authorization number is provided for any individual employed on the effective date of these amendments and not yet in receipt of an approved acces.s,authoriza-tion from the Commission, provided that a complete application was sub:nitted for that employee in accordance with S 11.13(a) and the application has not been disapproved.
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PART 21 - REPORTING OF DEFECTS AND NONCOMPLIANCE 8.
In S 21.51, paragraphs (a) and (c) are revised to read as follows:
S 21.51 Maintenance of records.
(a) Each licensee of a facility or activity subject to the regulations in this part shall maintain such records in connection with the licensed facility or activity as may be required to ensure compliance with'the regulations in' this part.
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 rr. produced 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.
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n (c)(1) Each record that is prepared only for the purpose of ensuring compliance with the regulations in this part and is not related to an evaluation or a notification to the Commission may be destroyed after delivery of the facility or component.
(2) The licensee shall retain each record that is related to a notification or evaluation of a defect until the Commission terminates each license that authorizes the facility or activity that is subject to the recordkeeping requirement.
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w PART 25 - ACCESS AUTHORIZATION FOR LICENSEE PERSONNEL S 25.11 [ Amended]
9.
Section 25.11 is amended by changing "two years" to "three years" in the last sentence.
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10.
Section 25.13 is revised to read as follows:
S 25.13 Records maintenance.
l (a) Each licensee or organization' employing individuals approved for personnel security access authorization under th.is part shall maintain records as pre-scribed within the part.
These records are subject-to review and inspection by NRC representatives during security surveys. The licensee shall retain each record for three years after the record is made for inspection by the Commission.
(b) Each record required by this part must be legible throughout retention for the period specified by each Commission regulation.
The record may be the original or a reproduced copy or a microform provided that the copy or micro-form is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period.
S 25.23 [ Amended]
11.
In S 25.23, the introductory text-is amended by changing "one year" to "three years" in the second sentence.
PART 30 - RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL 12.
In S 30.34, paragraph (g) is revised to read as follows:
S 30.34 Terms and conditions of licenses.
(g) Each licensee preparing technetium-99m radiopharmaceuticals from molyb-denum-99/ technetium-99m generators shall test the generator eluates for molybdenum-99 breakthrough in accordance with 6 35.14(b)(4) (i) through (iv) of this chapter.
The licensee shall record the results of each test and retain each record for three years after the record 's made.
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13.
In S 30.51, paragraph (c) is deleted, paragraph (d) is redesignated (c),
and paragraphs (a) and (b) are revised to read as follows:
S 30.51 Records.
(a) 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 such byproduct material as follows:
(1) The licensee shall retain each record of receipt of byproduct material 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 of transfer for five years after each transfer unless a specific requirement in another part of the regulations in this chapter dictates otherwise.
(3) The licensee who disposed of the material shall retain each record of disposal of byproduct material until the Commission terminates each license that authorizes disposal of the material.
(b) The licensee shall retain each record that is required by the regulations in'this part and Parts 31 through 35 of this chapter or.by license condition 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 record must be retained until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement.
PART 31 - GENERAL DOMESTIC LICENSES FOR BYPRODUCT MATERIAL 14.
A new S 31.12 is added to read as follows:
S 31.12 Maintenance of 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 11
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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.
15.
In S 31.5, paragraph (c)(4) is revised to read as follows:
S 31.5 Certain measuring, gauging, or controlling devices.2 x
(c)
(4) Shall maintain records showing compliance with the requirements of para-graphs (c)(2) and (c)(3) of this section.
The records must show the results of tests.
The records also must show the dates of performance of, and the names of persons performing, testing, installing, servicing, and removal from installation concerning radioactive material and its shielding or containment.
The licensee shall retain these records as follows:
(i) Each record of a test for leakage of -radioactive material required by-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) 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 paragraph (c)(3) of this section must i
be retained for three years from the date of the recorded event or until the device is transferred or dfsposed of.
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2 Persons possessing byproduct material in devices under the general license in S 31.5 before January 15, 1975, may continue to possess, l
use, or transfer that material in accordance with the requirements of S 31.5 in effect on January 14, 1975.
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PART 32 - SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL
- 16. A new S 32.3 is added to read as follows:
S 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 may be'the original or a reproduced copy or a microform provided that the copy or microform is auth-enticated by authorized personnel and that the microform is capable of producing a clear copy throughout th'e required retention period.
PART 34 - LICENSES FOR RADIOGRAPHY AND RADIATION SAFETY REQUIREMENTS FOR RADIOGRAPHIC OPERATIONS 17.
A new S 34.4 is added to read as follows:
S 34.4 Maintenance of 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 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.
S 34.24 [ Amended]
18.
Section 34.24 is amended by changing "two years" to "three years" in the next to last sentence.
19.
In 6 34.25, paragraph (c) is revised to read as follows:
S 34.25 Leak testing, repair, tagging, opening, modification, and replacement of sealed sources.
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(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 radiog-raphy 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 S 34.11(f).
Each record of leak test results must be kept in units of microcuries a~nd retained for inspection by the Commission for three years after it is made or until the sealed source is transferred or disposed of.~
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S 34.26 [ Amended) 20.
Section 34.26 is amended by changing "two years" to "three years" in the last sentence.
21.
In 6 34.27, the introductory text is amended to read as follows:
S 34.27 Utilization logs.
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 Commission, at the address specified in the license, showing for each sealed source the following information:
a a
22.
In S 34.28, paragraph (b) is revised to read as follows:
5 34.28 Inspection and maintenance of radiographic exposure devices, storage containers, and source changers.
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(b) The licensee shall condu'ct a program for inspection and maintenance of radiographic exposure devices, storage containers, and source changers at intervals not to exceed three months or prior to the first use thereafter to assure proper functioning of components important to safety. The licensee j
shall retain records of these inspections and maintenance for three years.
23.
In S 34.29, paragraph (c) is revised to read a's follows:
S 34.29 Permanent radiographic installations.
(c) The alarm system shall be tested at intervals not to exceed three months or prior to the first use thereafter of the source in the installation.
The licensee shall retain records of these tests for three years.
24.
In S 34.32, the introductory text is revised to read as follows:
S 34.32 Operating and emergency procedures.
The licensee shall retain a copy of current operating and emergency procedures as a record until the Commission terminates the license that authorizes the activity for which the procedures were developed and, if superseded, retain the superseded material for three years after each change.
These procedures shall include instructions in at least the following:
25.
In S 34.33, paragraphs (b) and (e) are revised to read as follows:
S 34.33 Personnel monitoring.
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(b) Pocket dosimeters must be read and exposures recorded daily. The licensee shall retain each record of these exposures for three years after the record is made.
a (e) Reports received from the film badge or TLD processor must be retained for inspection until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement.- - "-
PART 35 - HUMAN USES OF BYPRODUCT MATERIAL
- 26. A new S 35.5 is added to read as follows:
S 35.5 Maintenance of 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 or a reprcduced 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.
27.
In S 35.14, paragraphs (b)(4)(ii); (5)(11), (iv), and (v); (e)(2);
and (f)(1) and (2) are revised to read as follows:
S 35.14 Specific licenses for certain groups of medical uses of byproduct material.
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(ii) Before administration to patients, cause each elution or extraction of technetium-99m from a molybdenum-99/ technetium-99m generator to be tested to determine either the total molybdenum-99 activity or the con-centration of molybdenum-99.
The testing must be conducted according to written procedures and by personnel who have been specifically trained to perform the test.
The licensee shall. retain a copy of current written procedures as a record until the Commission termina'tes each license that authorizes the activity that is subject to the recordkeeping requirement and, if any portion of the procedure is superseded, retain the superseded material for three years after each change.
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(ii) Ensure that the test required by paragraph (b)(5)(i) of this sec-tion is capable of detecting the presence of 0.005 microcurie of radio-active material on the test sample. The test sample must be taken from the source or from the surfaces of the device in which the source is permanently or semipermanently mounted or stored on which one might expect contamination to accumulate.
The licensee shall record the results of each leak test in units of microcuries for inspection by the Commission and retain the record for three years after it is made; a
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(iv) Follow the radiation safety and handling instructions approved by the Nuclear Regulatory Commission or an Agreement State and furnished.by
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the manufacturer on the label attached to the source, device, or permanent container thereof, or in the leaflet or brochure that accompanies the source or device, and maintain the instruction in a legible and conven-iently available form.
The licensee shall retain the instruction for the life of each source, device, or permanent container.
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(v) Conduct a quarterly physical inventory to account for all sources and devices received and possessed.
Records of the inventories must be maintained for inspection by the Commission and must include the quanti-ties and kinds of byproduct material, location of sources and devices, and date of the inventory. The licensee shall retain each record of a quarterly physical inventory for five years after the record is made.
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(2) The leak test must be capable of detecting the presence of 0.005 microcurie of radioactive material on the test sample. The test sample must be taken from the sealed source or from the surfaces of the device in which the sealed source is permanently mounted or stored on which contamination might be expected to accumulate.
The licensee shall keep a record of the results of each leak test in units of microcuries for inspection by the Commission and retain the record for three years after the record is made.
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(f) Any licensee who possesses and uses calibration and reference sources pursuant to paragraph (d)(4) of this section shall:
(1) Follow the radiation safety and handling instructions approved by the Atomic Energy Commission, the Commission, or an Agreement State and furnished by the manufacturer on the label attached to the source, or permanent container thereof, or in the Igaflet or brochure that accom.
panies the source, and maintain the instruction in a legible and conve-niently available form.
The licensee shall retain the instruction for each source or permanent container until the source or container is disposed of.
(2) Conduct a quarterly physical inventory to account for all sources received and possessed.
Records of the inventories must be maintained for inspection by the Commission and must include the quantities and 18
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kinds of byproduct material, location of sources, and the date of the inventory. The licensee shall retain each record of a quarterly inventory for five years after the record is made.
28.
In S 35.27, paragraph (b) is revised to read as follows:
S 35.27 Records.
a m
(b) The licensee shall retain records of (1) spot-check measurements and corrective actions under S 35.22 and (2) calibration of instruments used to make spot-check measurements under S 35.23 for tnree years after completion of the spot-check measurements and corrective actions.
29.
Section 35.44 is revised to read as follows:
S 35.44 Records of all misadministrations.
Each licensee shall maintain for Commission inspection, records of all misadministrations of radiopharmaceuticals or radiation from teletherapy or brachytherapy sources.
These records must contain the names of all individuals involved in the event (including the physician, allied health personnel, the patient, and the patient's referring physician), the patient's social security number, a brief description of the event, the effect on the patient, and the action taken to prevent recurrence.
The licensee shall retain each of these records for ten years after it is made.
PART 40 - DOMESTIC LICENSING OF SOURCE MATERIAL 30.
In S 40.26, paragraph (c)(2) is revised to read as follows:
6 40.26 General license for possession and storage of byproduct material as defined in this part.
19
,,c.n.---
- -... -, - - - - - -, ~. - - -. -. - - - - ---
--.--,.-.--..-,n,,
e 4
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(c)
(2) The documentation of daily inspections of tailings or waste retention systems and the immediate notification of the appropriate NRC regional office as indicated in Appendix DEto 10 CFR Part 20 of this chapter, or the Director, Office of Inspection and Enforcement, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555, of 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 (conditions'not j
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 or waste into unrestricted areas; and any additional requirements the Commission may by order deem necessary.
The licensee shall retain this documentation of each daily inspection as a record for three years after each inspection is documented.
n a
a a
n 31.
In 5 40.35, paragraph (e)(3) is revised to read as follows:
1 8 40.35 Conditions of specific licenses issued pursuant to S 40.34.
l n
n n
n n
(e)
(3) Keep records showing the name, address, and a point of contact for each general licensee to whom he transfers depleted uranium in industrial.ptoducts or devices for use pursuant to the general license provided in 5 40.25 or equivalent regulations of an Agreement State.
The records shall be retained for three years from the date of transfer and shall show the date of each transfer, the quantity of depleted uranium in each product or device transferred, and compliance with the report requirements of this section.
32.
In 5 40.61, paragraph (c) is deleted, paragraph (d) is redesignated (c), and paragraphs (a) and (b) are revised to read as follows:
20
[7590-01]
RECORDS, REPORTS, AND INSPECTIONS S 40.61 Records.
(a) Each person who receives source or byproduct material pursuant to a license issued pursuant to the regulations in this part chall keep records showing the receipt, transfer, and disposal'of this source or byproduct material as follows:
(1) The licensee shall retain each record of receipt.of_ source or by-product material as long as the material is possessed and for five years following transfer or disposition of the source or byproduct material.
(2) The licensee who transferred the material shall retain each record of transfer of source or byproduct material until the Commission terminates each license that authorizes the activity that is subject to the record-keeping requirement.
(3) The licensee shall retain each record of disposal of source or byproduct material until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement.
(4) If source or byproduct material is combined or mixed with other licensed material and subsequently treated in a manner that makes direct correlation of a receipt record with a transfer, export, or disposition record impossible, the licensee may use evaluative techniques (such as first-in-first-out), to make the records that are required account for 100 percent of the material received.
(b) 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 regulation or license condition, each record must be maintained until the Commission terminates the license that authorizes the activity that is subject to the recordkeeping requirement.
e 21
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[7590-01]
j; 1
g.
33.
In Appendix' A to Part 40, I. Technical Criteria, the second para-I graph of Criterion 8 and Criterion 8A are revised to read as follows:
Appendix A to Part 40 I. Technical Criteria Criterion 8--
Checks must be made and logged hourly of all parameters (e.g., differen-tial pressures and scrubber water flow rates) that determine the effi-ciency of yellowcake stack emission control equipment operation.
The licensee shall retain each log as a record for five years after the~1ast entry in the log is made.
It must be determined whether or not conditions are within a range prescribed to ensure that the equipment is operating consistently near peak efficiency; corrective action must be taken when performance is outside of prescribed ranges.
Effluent control devices must be operative at all times during drying and packaging operations and whenever air is exhausting from the 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 efficiency, 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 after cessation due to off-normal perfor-mance until needed corrective actions have been identified and implemented.
22
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All 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.
Criterion 8A - Daily inspections of tailings or was'te 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 five years after the documentation is made.
The.- appropriate - ---- --
NRC regional office as indicated in Appendix D to 10 CFR Part 20 of this chapter, or the Director, Office of Inspection and Enforcement, U.S. Nuclear Regulatory Commission, Washington, D.C., 20555, must be immediately notified of 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 (conditions not contemplated in the design of the retention system) that if not corrected could indicate the potential or lead to failure of the system and result in a release of tailings or waste into unrestricted areas.
PART 50 - DOMESTIC LICENSING OF PRODUCTION AND UTILIZATION FACILITIES 34.
In S 50.36, paragraphs (c)(1)(i)(A) and (B) and (ii)(A) and (8) and (C)(2) are revised to read as follows:
S 50.36 Technical specifications.
~
(c) Technical specifications will include items in the following categories:
(1) Safety limits, limiting safety system settings, and limiting control settings.
(i)(A) Safety limits for nuclear reactors are limits 23
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upon important pioces's' variables that are found to be necessary to reasonably proiect the integrity of certain of the physical barriers thatguardagalNttheuncontrolledreleaseofradioactivity.
If any safety limit is aceeded. the reactor must be shut down. The licensee shall notify the t[ommissicri, review the mat.ter, and ncord the results of the review, including'the cause of,the condition and the basis for i
corrective action taker, to preclude reoccurrence. Operatten must not be resumed uni.il authorized by the Commission. -The-licensee shall retain therecordoftheresultsofeachreviewuntil-thICommissionterminates--
the license for the reactor.
(B) Safet.hlimitsforfnelreprocessingplantsarethoseboundswithin s
which the process variaules must be maintained for adequatt control of
~
the operatign and.that mast'het be exceeded in order to protect the integrity of the physical system'that is desighed to guard aqainst the uncontrolled release of7 radioactivity.
If any ' safety limit for a fuel j
reprocessing plant is exceeded, corrective action must be taken as stated in the technical specification or the affected part of the process, or the entire process if required; must be shut ~down, unless^.this action would further reduce the margin of safety. The#1icensee shall notify the Commission, review the matter, and record the results of the review, including the cause of the conditien and the basis for coryective action taken to preclude reoccurrence.
If a portion of the process or the entire process has been shut down, 6peration must not be resumed until authorized by the Commission.
The licensee shall retain the record of the results of each review until the Commission terminates the license i
for the plant.
(ii)(A) Limiting safety system settings for nuclear reactors are settings
~
for automatic protective devices related to those variables having signif-icant safety functioris. Where a limiting safety system setting'is speci-fled for a variable on which a safety limit has been placed, tha setting must be so chosen that automatic protective action wi.ll correct the abnormal situation before a safety limit is exceeded.
If, during opera-tion, the automatic safety system does not function as required, the licensee shall take appropriate action, which may include shutting down 24
> --,-----+,
o
[7590-01]
the reactor. The licensee shall notify the Commission, review the matter, and record the results of the review, including the cause of the condi-tion and the basis for corrective action taken to preclude reoccurrence.
The licensee shall retain the record of the results of each review until the Commission terminates the license for the reactor.
(B) Limiting control settings for fuel reprocessin'g plants are settings forautomaticalarmorprotectivedevicesrelatedtothosevariabids having significant safety functions.--Where a" limiting' control" setting is specified 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, the automatic alarm or protective devices do not function as required, the licensee shall take appropriate action to maintain the variables within the limiting control-setting i
values and to repair promptly the automatic devices or to shut down the affected part of the process and, if required, to shut down the entire process for repair of automatic devices.
The licensee shall notify 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 to preclude reoccurrence.
The licensee shall retain the record of the results of each review until the Commission terminates the license for the plant.
(2) Limiting conditions for operation.
Limiting conditions for opera-tion are the lowest functional capability or performance levels of equipment required for safe operation of the facility. When a limiting condition fot operation of..a nuclear reactor is not met, the -licensee..
~
shall shut down the reactor or follow any remedial action permitted by the technical specification until the condition can be met. When a limiting condition for operation of any process step in the system of a fuel reprocessing plant is not me's, the licensee shall shut down that part of the operation or follow any remedial action permitted by the technical specification until the condition can be met.
In the case of either a nuclear reactor or a fuel reprocessing plant, the licensee shall notify the Commission, review the matter, and record the results 25
4 4
[75@0-01)
T of the review, including ti.a cause of the condition and the basis for corrective action taken to preclude reoccurrence.
The licensee shall retain the record of the results of each review until the Commission terminates the license for the nuclear reactor or the fuel reprocessing plant.
a a
a 35.
In S 50.36a, paragraph (a)(1) is revised to read as follows:--' '"-
S 50.36a Technical specifications on effluents from nuclear power _ _ __ _ _ _ _
reactors.
(a)
(1) That operating procedures developed pursuant to S 50.34a(c) fer the cont.rol of ef fluents be established and followed and that equipment installed in the radioactive waste system, pursuant to S 50.34(a) be maintained and used.
The licensee shall retain the operating procedures as a record until the Commission terminates the reactor license and each change to the procedures for three years from the date of the change.
a a
a 36.
In S 50.48, paragraph (a) is revised to read as follows:
S 50.48 Fire protection. _
(a) Each operating nuclear power plant 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, identify the_various positions within the licensee's organization that are responsible for the program, state the authorities that are delegated t
to each of these positions to implement those responsibilities, and outline the plans for fire protection, fire detection and suppression h
26
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1
-capability, and limitation of fire damage. The plan must also describe specific features necessary to implement the program described above, such as administrative controls and personnel requirements for fire prevention and manual fire suppression activities, automatic and manually operated fire detection and suppression systems, and the means to limit fire damage to structures, systems, or components important to safety so that the capability to safely shut down the plant is ensured.3 The lic'ensee shall retain the fire protection plan and each change to the plan as a record until the Commission 9
terminates the license for the nuclear power plant:-
37.
In S 50.49, the introductory text of paragraph (d) is revised to read as follows:
S 50.49 Environmental qualification of electric equipment important to safety for nuclear power plants.
(d) The applicant or licensee shall prepare a list of electric equipment important to safety covered 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 qualifica-tion file.
The applicant or licensee shall keep the list and information in the file current and retain the file as a record until the Commission terminates the license for which the file was established.
3 Basic fire protection guidance for nuclear power plants is contained in two NRC documents:
Branch Technical Position Auxiliary Power Conversion System Branch BTP APCSB 9.5-1, " Guidelines for Fire Protection for Nuclear Power Plants," for new plants docketed after July 1, 1976, dated May 1976.
Appendix A to BTP 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 July 1, 1976, dated August 23, 1976.
Also see Note 4.
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4 38.
In S 50.54, paragraph (q) is revised to read as follows:
S 50.54 Conditions of licenses.
A A
A A
A (q) A licensee authorized to possess or operate a ' nuclear power reactor shall follow and maintain in effect emergency plans that meet the stand-ards in S 50.47(b) and the requirements in-Appendix-E~to this part. A - ""
licensee authorized to possess or operate a research reactor or a fuel _-...
facility shall follow and maintain in effect emergency plans that 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 Commission terminates the license for the nuclear power reactor.
The nuclear power reactor licensee may make changes to these plans without Commission approval only if such changes do not decrease the effectiveness of the plans and the plans, as changed, continue to meet the standards of 9 50.47(b) and the requirements of Appendix E to~this part.-
The research reactor or fuel facility licensee may make changes to these plans without Commission approval only if such changes do not decrease the effectiveness of the plans and the plans, as changed, continue to meet the requirem'ents of Appendix E to this part.
The nuclear power reactor, research reactor, or fuel facility licensee 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 effectiveness of the approved emergency plans must not be implemented without application to and approval by the Commission._ The licensee.shall furnish one copycof gac_h proposed change for approval to the Administrator of the appropriate NRC Regional Office specified in Appendix D to Part 20 of this chapter and two copies to the Document Control Desk, U.S. Nuclear Regulatory Commis-sion, Washington, DC 20555.
If a change is made without approval, the licensee shall furnish one copy to the Administrator of the appropriate NRC Regional Office specified in Appendix D to Part 20 of this chapter 28
[7590-01]
and two copies to the Document Control Desk, U.S. Nuclear Regulatory Commission, Washington, DC 20555 within 30 days after the change is made.
39.
In S 50.71, paragraph (c) is revised to read a's follows:
S 50.71 Maintenance of records, making of reports.
~
A
=
A R
a (c) Records that are required by the regulations in this part, by license condition, or by technical specification, must be retained for the period specified by the appropriate regulation, license condition, or technical specification.
If a retention period is not otherwise specified, these records must be retained until the Commission terminates the facility license.
a a
40.
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 POWER FACILITIES OPERATING PRIOR TO JANUARY 1, 1979 I.
III.I.3.
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 retained by
~
29
[7590-01]
the licensee as a record for three years after the report is completed and available for NRC review, s
a n
n n
PART 60 - DISPOSAL OF HIGH LEVEL RADI0 ACTIVE WASTES IN GE0 LOGIC REPOSITORIES
- 41. The S 60.4 heading and the section are revised to' read as 'follows:-'"'
- S 60.4 Communications and records.
(a) Except where otherwise specified, all communications and reports 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 7915 Eastern Avenue ~, Silver Spring,~ Maryland ~
(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 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.
42.
In S 60.71, paragraph (b) is revised to read as follows:
S 60.71 Records and reports.
=
a (b) Records of the receipt', handling, and disposition of radioactive waste at a geologic repository operations area shall contain sufficient information to provide a complete history of the movement of the waste 30
[7590-01]
from the shipper through all phases of storage and disposal.
00E shall retain these records until the Commission terminates the license for the repository.
43.
In S 60.72, paragraph (a) is revised to read a's follows:
S 60.72 Construction records. - --
(a) DOE shall maintain records of construction of the geologic reposi-tory operations area until the Commission terminates the license for the repository.
PART 61 -- LICENSING REQUIREMENTS FOR LAND DISPOSAL OF RADI0 ACTIVE WASTE 44.
In S 61.80 of Subpart G, paragraphs (e) and (f) are ' revised to read as follows:
Subpart G--Records, Reports, Tests, and Inspections S 61.80 Maintenance of records, reports, and transfers.
a (e) Notwithstanding paragtaphs (a) through (d) of this section,ethe___
licensee shall record the location and the quantity of radinactive wastes contained 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.
31
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- f C. m2fO s--
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gj 13 ;.
j.
'(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 l
Department of Transportation and Commission regulations.
The licensee shall briefly describe 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 terminates the license that authorizes the activities described in this section or until the licensee transfers a record required by paragraph (e) of this section.
PART 70 -- DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL 45.
In S 70.22, paragraphs (g),-(h), (i), (j),~and (k) are revised to read as follows:
S 70.22 Contents of applications.
(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. (1) a de _
scription of the plan for physical protection of special nuclear material in transit in accordance with SS 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 (2) a licensee safeguards contingency plan or response procedures, 32
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[7590-01]
as appropriate, for dealing with threats, thefts, and industrial sabotage relating to the special nuclear material 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 Pl~anning Base, Licensee Planning Base, and Responsibility Matrix.
The fifth cate' gory of infor-
^
mation, 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 until the Commission terminates each license obtained by this application or any application for renewal of a license.
(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 (con-tained 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 computed by the formula, grams = (grams contained U-235) + 2.5 (grams U-233 + grams plutonium), other than a license for possession 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 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 l
the conduct of the activity to be licensed, including the identi.ficat. ion l
and description of jobs as required by S 11.11(a) of this chapter.
l 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 until the Commission terminates each license obtained by this application or any application for renewal of a license.
i l
33 i
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s (i) Each application for a license to possess F.nd use special nuclear material for processing and fuel fabrication, scrap recovery, or conver-sion of uranium hexafluoride must contain, in addition to the other information required by this section, plans for coping with emergencies.3 The licensee shall retain a copy of these plans for coping with emergen - --
cies and each change to the plan as records until the Commission terminates each license obtained by this application or any ap'lication for renewal p
of a license.
(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 (con-tained 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 computed by the formula, grams = (grams contained U-235) + 2.5 (grams U-233 + grams plutonium) other than a
' license for possession or use of this material in the operation of a nuclear reactor licensed pursuant to Part 50 of this chapter, must include a licensee safeguards contingency plan for dealing with threats, thefts, and industrial sabotage, as defined in Part 73 of this chapter, relating to nuclear facilities licensed under Part 50 of this 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 categories of information contained in the applicant's safeguards con-tingency 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 a copy of this safeguards contingency plan and each change to the plan as a record until the Commission termi-nates each license obtained by this application or any application for renewal of a license.
Emergency plans shall contain the elements that are listed in Section IV, 3
" Content of Emergency Plans," of Appendix E to Part 50 of this chapter.
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(k) Each application for a license to possess or use at any site or contiguous sites subject to control by the licensee special nuclear material of moderate 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 Sn of this chapter, must include a' physical security 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 and-eachschange- -- -- --
to the plan as a record until the Commission terminates each license obtained by this application or any application for renewal of a license.
a 46.
In S 70.24, paragraph (a)(3) is revised to read as follows:
S 70.24 Criticality accident requirements.
~
(a)
(3) The licensee shall maintain emergency procedures for each area in which this licensed special nuclear material is handled, used, or stored to ensure that all personnel withdraw to an area of safety upon the sounding of 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 loca.-
tions for use in such an emergency.
The 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 procedures for five years after the portion is superseded.
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47.
In S 70.32, paragraphs (e) and (g) are revised to read as follows:
S 70.32 Conditions of licenses.
a a
(e) The licensee shall make no change which would~ decrease the effectiveness j
of a security plan prepared pursuant to SS 70.22(h), 70.22(k)', or 73.20(c)
~
'I 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 to S 70.34.
The licensee shall maintain records of changes to the plan made without prior Commission approval, retain these records for a period of three years from the date of the change, and shall furnish to the Director 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 of Part 73 of this chapter, a report containing a description of each change within two months after the change is made.
a a
(g) The licensee shall prepare and maintain safeguards contingency plan procedures in accordance with Appendix C to Part 73 of this chapter for effecting the actions and decisions contained in the Responsibility Matrix of its safeguards contingency plan.
The licensee shall retain a copy of the safeguards contingency plan procedures and each change to the procedures as a record until the Commission terminates each license for which the procedures were developed.
The licensee shall make no change that would decrease._the safeguards. effectiveness of the f.irst_ _
four categories of information (Background, Generic Planning Base, Licensee Planning Base, and Responsibility Matrix) contained in any licensee safe-guards contingency plan prepared pursuant to SS 70.22(g), 70.22(j), 73.30(g),
or 73.40 of this chapter 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 to S 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 effectiveness of the plan. The 36
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[7590-01]
3
- jj' licensee shall maintain a record of each change to the plan made without prior 2
approval until the Commission terminates the license requiring the plan and retain the superseded material for three years from the date of the change and 4-shall furnish a report containing a description of each change within 60 days after the change is made to the Regional Administrator of the appropriate NRC
}
Regional Office specified in Appendix A to Part 73 of this chapter,-with a copy
~
to the Director of Nuclear Material Safety and Safe ~ guards.
s a
a a
a a
48.
In S 70.42, paragraphs (d)(1), (2), (3), (4), and (5) are revised to read as follows:
S 70.42 Transfer of special nuclear material.
a a
(d)
(1) The transferor may have in his possession, and read, a current copy of the transferee's specific license or registration certificate. The trans-feror shall retain a copy of 'each license or certificate for five 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 certi-ticate to receive the type, form, and quantity of special nuclear material to be transferred, specifying the license or registration certificate number, issuingagency,andexpjrationdate. The.transferor shq11 retain th3_ written certification as a record for five 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 certi-ficate number, issuing agency, and expiration date, provided that the oral 37
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[7590-01]
4 certification is confirmed in writing within ten days.
The transferor shall retain the written confirmation of the oral certification for five 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 five 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 information 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 five years from the date the record is made.
49.
In S-70.51, the following paragraphs are revised to read as follows:
(b)(2), (3), (5), and (6);
(c);
the introductory text of (e)(1); and (f)(2)(v)
S 70.51 Material balance, inventory, and records requirements.
(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 speci-tied by the appropriate regulation or license condition.
If a retention period is not otherwise specified by regulation or license condition, 38
i 7
! 6
[7590-01]
the licensee shall retain the record until the Commission terminates each license that authorizes the activity that is subject to the record-keeping 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 five years following transfer of such material.
The licensee shall retain each record of inventory to demonstrate compliance with paragraph -(h) of S 70 58 as long as 'the licensee retains possession of the material and for five years after. transfer. or disposal.-.
of any material.
(4) [ Reserved]
(5) Each record of transfer of special nuclear material to other persons must be retained by the licensee who transferred the material until the Commission terminates the license authorizing the licensee's possession of the material.
Each record required by paragraph (e)(1)(v) of this section shall be retained for five years after it is made.
(6) Each record of disposal of special nuclear material must be retained until the Commission terminates each licensa that authorizes the activity that is subject to the recordkeeping requirement.
(c) Each licensee who is authorized to possess at any one time special nuclear material in a quantity exceeding one effective kilogram of special nuclear material shall establish, maintain, and follow written material control and accounting procedures that are sufficient to enable the licensee to account for the spe.cial nuclear material in the licensee's possession under license. The licensee shall retain these procedures until the Commission terminates the license that authorizes possession.-of Abe
.~
material and retain any supersaded portion of the procedures for three years after the portion is superseded.
(e) 39
i e
[7590-01]
(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 record required in these paragraphs for five years after the record is made:
n n
n n
n (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 retained for five years after it is made.
A 50.
In S 70.57, paragraphs (b)(2), '(3), '(6),- (7), (11), and ~(12) are'~ revised to read as follows:
S 70.57 Measurement control program for special nuclear materials control and accounting.
(b)
(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 months. Audits and reviews must be performed by trained individuals independent of direct responsibility for the receipt, custody, utilization, measurement, measurement quality, and shipment of special 40
1
[7590-01]
i nuclear material.
The results 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 five 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 correc-tions and measurement limits of error. All statistical-studies must be -_-.--
reported or references in the measurement report submitted to the licensee, who shall have access to the contractor's supporting control 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 five years after the~ record is made.
(6) To ensure the adequacy of each measurement system with respect to process flows, sampling and measurement points, and nominal material compositions, engineering analyses and evaluations must be made of the design, installation, preoperational tests, calibration, and the opera-tion of each system.
These analyses and evaluations must be repeated whenever a significant change is made in_any component of a-system. _Jhe licensee shall record the results of these analyses 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 l
41 l
[7590-01]
shall retain as a record the results of personnel qualification or requalifica-tion for three years after the record is made.
n n
n n
n (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 4
retain a copy of the statistical control system and'each change-to-the system' '- '"~
as a record until the Commission terminates each. license that authorizes _ -...-..
possession of the material that the system affects.
(ii) Control chart limits must be established to be equivalent to levels of significance of 0.05 and 0.001.
Whenever control data exceed the 0.05 control 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 five years after the record is made. Whenever the control data exceed the 0.001 control limits, the 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.
(iii) The licensee shall provide a records system in which all data, informa-tion, reports, and documents generated by the measurement control program must be retained for five years, except for those records pertaining to the training and qualification of personnel who perform measurement activities pursuant to S 70.57(b)(7).
Those records must be retained for three years.
(12) Records identified in S 70.57(b)(11)(iii) must include a summary of the error data utilized in the_ limit of errqr calculations performed,for_gach 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.
42
[7590-01]
51.
In S 70.58, paragraphs (b)(3), (e), (f), (h), and (j) and the introductory text of paragraphs (i) and (k) are revised to read as follows:
S 70.58 Fundamental nuclear material controls.
(b) *
(3) Material control and accounting functional and organizational. relation ships must be set forth in writing in job descriptions, organizational directives, instructions, procedure maauals, etc.
This documentation must include position qualification requirements and definitions of authorities, responsibilities, and duties.
Delegations of material control and accounting responsibilities and authority must be in writing. The licensee shall retain this documentation as a record until the Commission terminates 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 after each change.
(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 in. writing and provide for sufficier.t 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 the record for five years after the record is made.
43
^
~
.:.lL'i:,-
' u.dlL5 :Q
[7590-01]
=
(f) A program must be established, maintained, and followed pursuant to S70.57(b) for the continuing determination and control of the systematic and rancom errors of measurement processes at a level commensurate with the requirements of S 70.51(e)(5).
The licensee shall retain each completed record required by the program for five years after the record is made.
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 procedures as specified in S 70.51(e)(1) and retain any record associated with the procedures for five years after the record is made; (i) Procedures for special nuclear material scrap control must be established, maintained, and followed to limit the accumulation and the uncertainty of measurement of these materials on inventory.
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. Such procedures must include:
a a
a a
(j) Physical inventory procedures must be established, maintained, and followed so that special nuclear material balance and their measurement uncertainties 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 pro-cedures is superseded, retain the superseded portion for three years after each change.
v 44
e e
[7590-01]
(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 S 70.51.
As required by S 70.51, the licensee shall retain the records associated with this systen for five years after the records are made.
This system shall include:
A A
R A
A 52.
In S 70.60, paragraph (a) is revised to read as follows:
S 70.60 Well-logging operations using sealed sources.
(a) A licensee may perform well-logging operations with a sealed source only after the licensee executes a written agreement with the well owner or operator that, within thirty (30) days after a well-logging source has been classified as irretrievable, the following requirements will be implemented.
The licensee shall retain this written agre'ement as a record for three years after completion of the well-logging operations that are the subject of the agreement.
n n
x x
PART 71 - PACKAGING AND TRANSPORTATION OF RADI0 ACTIVE MATERIAL 53.
In S 71.1, the existing paragraph is designated (a) and the section heading is revised and a new paragraph (b) is added to read as follows:
S 71.1 Communications and records.
(a)
(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 the copy or 45
e
[7590-01]
4 microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period.
54.
Section 71.91 is revised to read as follows:
$ 71.91 Records.
(a) Each licensee shall maintain for a period of three years after shipment a record of each shipment of licensed material not exempt under S 71710' showing, where applicable:
(1) Identification 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 demonstrate 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 S 71.87 and by the conditions of the package approval.
o 46
=
[7590-01]
(b) The licensee shall make available to the Commission for inspection, upon reasonable notice, all records required by this part.
Records shall be considered valid only if stamped, initialed, or signed and dated by authorized personnel or otherwise authenticated.
(c) Each licensee shall maintain sufficient written records to furnish evidence of the quality of packaging.
The records to be maintained---
include results of the determinations required by s 71.85; design, fabrication, and assembly records; results of reviews, inspections, tests, and audits; results'of monitoring of work performance and materials' analyses; and results of maintenance, modification,.and repair.
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 deficiencies noted.
The records must be retained for the life of the packaging to which they apply and three years thereafter.
55.
In S 71.97, paragraphs (c)(4),(e), and (f)(2) are revised to read as follows:
S 71.97 Advance notification of shipment of nuclear waste.
a a
a (c)
(4) The licensee shall retain a copy of the notification as a record l
for three years.
l (e) Revision notice.
A licensee who finds that schedule information f
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 47 i
i
t
[7590-01]
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 n.otice 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.
56.
In S 71.101, paragraph (b) is revised to read as follows:
Subpart H-Quality Assurance S 71.101 Quality assurance requirements.
a a
(b) Each licensee shall establish, maintain, and execute a quality assurance program satisfying each of the applicable criteria of SS 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 is consistent with its importance to safety.
57.
In S 71.105, paragraph (a) is revised to read as follows:
S 71.105 Quality assurance program.
(a) The licensee shall establish, at the earliest practicable time, con-sistent with the schedule for accomplishing the activities, a quality assurance program that complies with the requirements of SS 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 48
l
~.
O.w. 4 lim. ::
~
-[7590-01]
'l in accordance with those procedures throughout the period during which pat.kaging is used. The licensee shall identify the material and components to be covered by the quality assurance program, the major organizations par-ticipating in the program, and the designated functions of these organizations.
=
58.
Section 71.135 is revised to read as-follows: -
S 71.135 Quality assurance records._
The licensee shall maintain sufficient written records to describe the activities affecting quality. The records must include the instructions, procedures, and drawings required by S 71.111 to prescribe quality assurance activities and must include closely related specifications such as required qualifications of personnel, procedures, and equipment.
The records must include the instructions or procedures which establish a records retention program that is consistent with applicable regulations and designates factors such as duration,~ location, and assigned responsi-bility.
The licensee shall retain 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 72 - LICENSING REQUIREMENTS FOR THE STORAGE OF SPENT FUEL IN AN INDEPENDENT SPENT FUEL STORAGE INSTALLATION 59.
In S 72.33, paragraph (e) is revised to read as follows:
S 72.33 License conditions.
(e) The licensee shall make no change that would decrease the effectiveness of the physical security plan prepared pursuant to S 72.81 of this part without the prior approval of the Commission.
A licensee desiring to make 49
[7590-01]
such a change shall submit an application for an amendment to the license pursuant to S 72.39 of this part. A 1.icensee may make changes to the physical security plan without prior Commission approval, provided that such changes do not decrease the effectiveness of the plan.
The licensee shall furnish to the Commission a report containing a description-of each change within two months --
after the change is made, and shall retain records of changes to-the plan made without prior Commission approval for a period of three years from the date of the change.
A A
A A
A 60.
In S 72.51, paragraphs (b) and (c) are revised to read as follows:
S 72.51 Material balance, inventory, and records requirements for stored materials.
~
(b) Each licensee shall conduct a physical inventory of all spent fuel in storage at intervals not to exceed twelve months unless otherwise directed by the Commission. The licensee shall retain a copy of the current inventory as a record until the Commission terminates the license for the installation.
(c) Each licensee shall establish, maintain, and follow written material control and accounting procedures that are sufficient to enable the li-censee to account for the spent fuel in storage.
The licensee shall retain a copy of the current material cqotrol and accounting procedurgs.
until the Commission terminates the license for the installation.
a p
50 t
l
i
[7590-01]
61.
In S 72.55, paragraph (c) is revised to read as follows:
S 72.55 Other records and reports.
a a
(c) Records that are required by the regulations in this part or by the license conditions must-be maintained for the period specified by'the'
~
appropriate regulation or license condition: 'If a retention period is -
not otherwise specified, these records must be maintained until the.--
Commission terminates the installation license.
a a
62.
In S 72.62, paragraph (b) is revised to read as follows:
S 72.62 Design basis external natural events.
x x
(b) Records of the occurrence and severity of those important natural phenomena must be collected for the region and evaluated for reliabil-ity, accuracy, and completeness.
The licensee shall retain these records until the Commission terminates the license for the installation.
n a
a 63.
Section.72.81 of Subpart H is revised to read as follows:
~
Subpart H--Physical Protection i
S 72.81 Physical security plan.
The licensee shall establish a plan for detailed security measures for physical protection. The licensee shall retain a copy of the current plan as a record until the Commission terminates the installation license 51
,4 r
e
[1590-01]
for which the proceduras-were developed and, if any' portion of the plan is superseded, retain the superseded material for three years after each change.
Part I must demonstrate how the applicant plans to comply with the applicable requirements of Part 73 of this, chapter and during transportation to and from the proposed ISFSI and shall include the design for physical protection and-l the licensee's safeguards contingency plan and guard ~ training ~ plan.~
Part-II - ' =
must list tests, inspections, audits, and other meant to be used to deionstrate compliance with suc'h' requirements.
~64.
In S 72.f 3, paragraph.(b) is revised to read'as. fol. lows: ~
- ~
S 72.83 Safeguards contingency plan.
\\
n n
n n
(b) The licensee shall prepare and maintain safeguards' contingency plan procedures in accordance with Appendix C to Part 73 of this chapter for effecting the, actions and decisions contained in the Responsibility Matrix of the licens'ee't-safeguards contingency plan.
The licensee shall retain a copy of the current procedures as a record Until the Commission terminates the' installation license for which the procedureh were daveloped and, if any portion of the procedurec is superseded, retain the suaers'eded material for three years after each change.
65.
In S 72.84, paragraph (b) is revised to read as follows:
S 72.84 Change to physical security, and safeguards contingency plans.
9 J
-(b) The licensee may, without prior Commission approval, make changes to the physical security plan or the safeguards contingency plan, if the changes do not' decrease the ;afeguar's effectiveness of these olans.
The licensee shall d
retain records of changes to any.such plan made without prior aaproval for a period of three years from the date of the change and shall furdsh to the' t
52 l
--7
[7590-01]
Director of Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washingon, D.C. 20555, with a copy to the appropriate NRC Regional Office specified in Appendix A to Part 73 of this chapter, a report containing a description of each change within 2 months after the change is made.
\\
PART 73 - PHYSICAL PROTECTION OF PLANTS AND MATERIA ~LS 66.
In S 73.24, paragraph (b)(1) is revised to read as follows:
S 73.24 Prohibitions.
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 five 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 same time does not equal or exceed the formula quantity, or
+,
a 67.
In S 73.25, the introductory text to paragraphs (b)(3) and (c)(1) are revised to read as follows:
\\
S 73.25 Performance capabilities for physical protection of strategic special nuclear mateciyt in transit.
. ~
n n
n n
(b) i (3) Detect attempts to gain unauthorized access or introduce unauthorized materials into the vicinity of transports by deceit using the following subsystems and subfunctions.
The licensee shall retain a copy of the current 53
),
t
[7590-01]
s a
~t procedures required in paragraphs (b)(3)(i) and (ii) of this section as a record unti.1 the Commission terminates each license for which the procedures were de,veloped and, if any portion of the procedures is superseded, retain the superseded material for three years after each change.
W.
(c)
(1) Detect attempts to gain unauthorized entry or introduce unauthorized materials into transports by deceit using the following subsystems and subfunctions.
The licensee shall retain a copy of the current procedures required in paragraphs (c)(1)(i) and (ii) of this section as a record until the Commission terminates each license for which the procedures were developed and, if any pcrtion of the procedures is superseded, retain the superseded material for three years after each change.
i s
a n
n
> n n
68.
In S 73.26, paragraphs (c)(1)(ii) and (2), the introductory text of paragraph (d)(3), and paragraphs (d)(4) and (e)(1) are revised to read as follows:
S 73.26 Transportation physical protection systems, subsystems, components, and procedures.
(c)
(1)
(ii) The shipment shell be protected at all times within the geographical limits of the United States as provided in this section and SS 73.25 and 73.27.
The licensee shall retain each record required by these sections 6
54
[7590-01]
until the Commission terminates each license authorizing the licensee to ship this material.
(2) A licensee who exports a formula quantity of strategic special nuclear material shall comply with the requirements of this section and SS 73.25 and 73.27, as applicable, up-to the first point where the shipment is taken off the transport outside the United States. The licensee shall retain each record required by these sections until the Commission terminates each license authorizing the licensee to export this material.
(d)
(3) The licensee or the licensee's agent shall establish, maintain, and follow a written management system to provide for the development, revision, implementation, and enforcement of transportation physical protection procedures. The licensee or the agent shall retain as a record the current management system until the Commission terminates 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 2ach change.
The system shall include:
a a
a (4) Neither the licensee nor the licensee's agent shall permit an individual to act as an escort or other security organization member unless the individual has been trained, equipped, and qualified to perform each. assigned security job duty 4n accordance with Appendix a,-
~
of this part, " General Criteria for Security Personnel." Upon the request of an authorized representative of the Commission, the licensee or the agent shall demonstrate the ability of the physical security personnel to carry out their assigned duties and responsibilities. Armed escorts shall requalify in accordance with Appendix B to this part at least every 12 months.
Each requalification must be documented.
The 55
2._
.a s.
.. n;.
a-.
.m
[7590-01]
~
licensee or the agent shall retain this documentation of each requali-fication as a record for three years after the requalification.
a (e) Contingency and Response Plans and Procedures.
(1) The licensee or- ---
the licensee's agent shall establish, maintain, and follow a written safeguards contingency plan for dealing with threats, thefts, and~ radio-logical sabotage related to strategic special nuclear material in-transit -
subject to the provisions of this section.
This safeguards contingency.
plan must be in accordance with the criteria in Appendix C to this part,
" Licensee Safeguards Contingency Plan." The licensee or the agent shall retain the contingency plan and each change to the plan as a record until the Commission terminates each license for which the plan is used.
69.
In S 73.37, paragraphs (b)(2), (b)(5), and the introductory text of paragraph (b)(3) are revised to read as follows:
S 73.37 Requirements for physical protection of irradiated reactor fuel in transit.
I (b)
(2) Include.and retain a copy of current. procedures for coping with__ _
~
circumstances that threaten deliberate damage to a spent fuel shipment and with other safeguards emergencies 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.
(3) Include instructions for each escort and retain a copy of the current instructions as a record until the Conimission terminates each license that authorizes the activity that requires the instruction.
The instructions i
56
.n
.,n--
[7590-01]
must direct that, upon detection of the abnormal presence of unauthorized persons, vehicles, or vessels in the vicinity of a spent fuel shipment or upon detection of a deliberately induced situation that has the potential for damaging a spent fuel shipment, the escort will:
(5) Provide for maintenance of a written log by the escorts and commu-nications center personnel for each spent fuel shipment, which will include'in' formation describing the_ shipment and significant-events.that - -
occur during 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.
70.
In S 73.40, paragraphs (b), (c)(2), and (d) are revised to read as follows:
S 73.40 Physical protection:
General requirements at fixed sites.
x (b) Each licensee subject to the requirements of SS 73.20, 73.45, 73.46, 73.50, 73.55, or S 73.60 shall prepare a safeguards contingency l
plan in accordance with the criteria set forth in Appendix C to this i
part. The licensee shall retain the current plan as a record until the l
Commission 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 shall include plans for dealing with threats, thefts, and industrial sabotage relating to nuclear facilities licensed under Part 50 or to the possession of special nuclear material licensed under 'iart 70 of this chapter.
Each licensee subject to the requirements of this paragraph shall submit to the Commission for approval the first four categories of information contained 57 l
[7590-01]
in the safeguards contingency plan.
(The first four categories of informa-tion, as set forth in Appendix C.to this part, 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.)1 The plan shall become effective and be followed by the licensee 30 days after approval by the Commission.
(c)
(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 terminates the 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, and (d) The licensee shall provide for the implementation, revision, and mainte-nance of this safeguards contingency plan.
To this end, the licensee shall provide for a review at least every twelve months of the safeguards contingency plan by individuals independent of both security program management and per-sonnel who have direct responsibility for implementation of the security pro-gram. The review shall include a review and audit of safeguards contingency procedures and practices, an audit of the security system testing and mainte-nance program, and a test of the safeguards system along with commitments established for response by local law enforcement authorities. The results of the review and audit, along with recommtDdations for improvements sha]l be documented, 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.
Licensees subject to S 73.55 may modify their physical security plans to 1
incorporate contingency plan information specified in Appendix C to this part.
A physical security plan that contains all the information required in both 5 73.55 and Appendix C to Part 73 satisfies the require tent for a contingency plan.
58
[7590-01]
71.
In S 73.46, paragraphs (b)(3)(i), (b)(4), (d)(3), (d)(10), (d)(13),
(h)(1), and (h)(2) are revised to read as follows:
S 73.46 Fixed site physical protection systems, subsystems, components, and procedures.
n a
a (b) *
(3)
(i) 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 Commission terminates the license for which they were developed and, if any portion of the procedures is superseded, retain the superseded material for three years after each change; a
a a
(4) The licensee shall not permit 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 to this part " General Criteria for Security Personnel." Upon the request of an authorized representative of the Commission, the licensee shall--
~
demonstrate the ability of the physical security 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
=
59
e 2
[7590-01]
least every 12 months. This requalification shall be documented. The licensee sha'll retain the documentation of each requalification as a record for three years after the requalification.
n n
a n
n (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 proce-dures is superseded, retain the superseded material for three years after each change.
(10) Before exiting from a material access area, containers of contami-nated wastes shall be drum scanned and tamper sealed by at least two indi-viduals, working and recording their findings as a team, who do not have access to material processing and storage areas.
The licensee shall retain the records of these findings for three years after the record is made.
a a
a a
(13) Individuals not permitted by the licensee to enter protected areas without escort shall be escorted by a watchman or other individual designated by the licensee while in a protected area and shall be badged to indicate that an escort is required.
In addition, the individual shall be required to register his or her name, date, time, purpose of visit and employment affiliation, citizenship, and name of the individual to be visited in a log.
The licensee shall retain each log as a record for five years after the last entry is made in the log.
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s (h)
(1) The licensee shall have a safeguards contingency plan for dealing with threats, thefts, and radiological sabotage related to the strategic 4
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." Contingency plans must include, but need not be limited to, the --
response requirements in paragraphs (h)(2) through-(h)(5) of'this section.
The licensee shall. retain a_ copy of_the current. safeguards contingency plan-- ------ -----
as a record and, if any portion of the plan is superseded, retain the. super. _-- -_
seded 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 Commission terminates each license requiring the arrangements and, if any arrangement is superseded, retain the superseded material for three years after each change.
A A
A A
A 72.
In S 73.50, paragraphs (a)(3) and (4), (c)(5), and (g)(1) and (2) are revised to read as follows:
S 73.50 Requirements for physical protection of licensed activities.
A A
A A
A
~
(a)
(3) The licensee shall establish, maintain, 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 61
[7590-01]
as a record until the Commission terminates each license for which the procedures were developed and, if any portion of the procedures is super-seded, retain the superseded material for three years after each change.
(4) The licensee shall not permit-an individual to act as a guard,- < -- --
watchman, armed response person, or other member of-the security'organi- --~~--
zation 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 representative 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.
A A
A A
A (c)
(5) Individuals not employed by the licensee must be escorted by a watchman, or other individual designated by the licensee, while in a protecteo 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 affiliation, citizenship,.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 after 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 frequwat 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 individual must receive upon entrance into the protected area and return each
=
62
[7590-01]
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.
(g) Response requirement. (1) The licensee shall h' ave a safeguards contingency plan for dealing with threats, thefts, and industrial 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.
(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 documentation is superseded, retain the superseded material for three years after each change.
=
a a
73.
In S 73.55, paragraphs (b)(1) and (3)(i) and (ii) and (4), (d)(6),
and (h)(2) are revised to read as follows:
S 73.55 Requirements for physical protection of licensed activities in nuclear power reactors against_ radiological sabotage.
2._
a a
a (b) Physical Security Organization.
(1) The licensee shall establish a j
security organization, including guards, to protect his facility against radiological sabotage.
If a contract guard force is utilized for site security, the licensee's written agreement with the contractor that must be retained by the licensee as a record for the duration of the contract 63
e a
[7590-01]
will clearly show that (i) the licensee is responsible to the Commission for maintaining safeguards in accordance with Commission regulations and the licensee's security plan, (ii) the NRC may inspect, copy, and take away copies of all reports and documents required to be kept by Commission regulations, orders, or applicable license conditions.whether such---
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 perform their.
assigned duties and responsibilities," includes ~ demonstration of-the-- "
ability of the contractor's physical security personnel to perform their assigned duties 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 site who have not first been made aware of these responsibilities.
(3)
(i) 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 maintain 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.
(ii) Provision for written approval of these procedures and any revisions thereto by the individual with overall responsibility for the securtly_
functions. The licensee shall retain each written approval as a record for three years from the date of the approval.
(4)(i) The licensee shall not permit an individual to act as a guard, watchman, armed response person, or other member of the security organi-zation 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 representative of the Commission, the licensee 64
[7590-01]
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 shall-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 outlining the processes by which guards, watchmen, armed response persons, and other members of the security. organization will -be - selected,-trained,' equipped r--- --'-'
tested, and qualified to ensure that these. individuals-meet.the requirements- ~ ~ -
of this paragraph.
The licensee shall 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 training and qualifications plan must include a schedule to show how all security 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.
a a
(d)
(6) Individuals not authorized by the licensee to enter protected areas without escort shall be escorted by a watchman or other individual designated by the licensee while in a protected area and shall be badged to indicate that an escort-is required. --In addition, the licensee shaki
~
require that each individual register his or her name, date, time, purpose of visit, employment 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.
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(h)
(2) The licensee shall establish and document liaison with local law enforcement authorities.
The licensee shall retain documentation of the current liaison as a record until-the Commission terminates.each-license -
g
'j '
for which the liaison was developed and, if any-portion of the liaison documentation is superseded, retain the superseded ~ material for three years after each change.
4 s
n n
n n
74.
In S 73.67, the following paragraphs are revised to read as follows:
(c)(1);
(d)(5) and (11);
(e)(3)(iv), (e)(5), and (e)(6)(i), and the introductory text to (e)(4);
(f)(4); and (g)(3)(i), (g)(4), and (g)(5)(i).
S 73.67 Licensee fixed site and in-transit requirements for the physical protection of special nuclear material of moderate and low strategic significance.
n (c) l l
(1) Submit a security plan or an amended security plan describing how.
the licensee will comply with all the requirements of paragraphs (d),
i (e), (f), and (g) of this section, as appropriate, including schedules of implementation.
The licensee shall retain a copy of the effective j
security plan and each change to the plan as a record until the Commission terminates each license for which the original plan was submitted.
66 i
7
[7590-01]
(d)
(5) develop and maintain a written controlled badging and lock system to identify and limit access to the controlled access areas to authorized individuals. The licensee shall-retain the system as a record until~the-~~
Commission terminates each 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.
(11) establish and maintain 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 until the Commission terminates each license for which they were developed and, if any portion of the procedures is superseded, retain the superseded material for three years after each change.
(e)
(3)
(iv) establish and maintain written response procedures for dealing with threats of thefts or thefts of such material.
The licensee shall retain a copy of the current response procedures as a record until the Commission terminates each license for which they were developed and, if any portion of the procedures is superseded, retain the superseded material for three
~
years after each change. --
(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 requirements of paragraphs (e)(1), (2), and (3) 67
[7590-01]
of this section.
The licensee shall retain each record required by paragraphs (e)(1), (2), (3), and (4)(1) and (ii) of this section until the Commission terminates each license authorizing these licensee activities.
In addition, the licensee shall --
a (5) Each licensee who exports special nuclear material of moderate
~
strategic significance shall comply with the requirements specified in paragraphs (c) and (e)(1), (3), and (4) of this.section._-The licensee shall retain each record required by these sections until the Commission- -- -
terminates each license authorizing the licensee to export this material.
(6) Each licensee who imports special nuclear material of moderate strategic significance shall --
(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 by these sections until the Commission terminates each license authorizing the licensee to import this material, a
a a
a (f)
(4) establish 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 until the Commission terminates each license for which the pcocedures were established-and, _if -
any portion of the response procedures is superseded, retain the superseded material for three years after each change.
(g)
(3) e 68 i
s
[7590-01]
.o (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 until the Commission terminates each license for which the procedures were established and, if any portion of the procedures is superseded, retain-the -superseded materiaP for three~~ -~-~-
years after each change.
(4) Each. licensee who exports.special. nuclear-material-of. low strategic--------
significance shall comply with the appropriate requirements.specified in. - - - - ~
paragraphs (c) and (g)(1) and (3) of this section.
The licensee shall retain each record required by these sections until the Commission terminates each license authorizing the licensee to export this material.
(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 until the Commission terminates each license authorizing the licensee to import this material.
75.
In S 73.71, paragraph (c) is revised to read as follows:
S 73.71 Reports of unaccounted-for shipments, suspected thefts, unlawful diversion, radiological sabotage, or events which significantly--
~.
threaten or lessen the effectiveness of safeguards.
a (c) Each licensee under either a specific or general license shall notify the NRC Operations Center via the Emergency Notification System as soon as possible, and in all cases within one hour, of any event that significantly threatens or lessens the effectiveness of a physical 69
[7590.-01]
security system as established by regulations in this chapter, or by the licensee's approved physical security, contingency, and security person-nel qualification and training plans, or by both.
If the Emergency Notification System is inoperative or unavailable, the licensee shall make the required notifications via commercial-telephone service, othen --
dedicated telephone systems, or.any other method that will ensure a -
=
report being made promptly to the NRC Operations Ce'nter.
This notifica-tion must be made within the time period specified below.
The time period begins upon discovery of-the event-by any member of-the security'- -
organization or any other employee of the licensee..The. licensee shall.-
submit a written report to the appropriate NRC Regional Office, listed in Appendix A to this part, describing-the event in detail within five days of the time of discovery. A copy of this written report must be sent to the Director of Inspection and Enforcement, U.S. Nuclear Regula-tory Commission, Washington, D.C. 20555.
This notification and these reports satisfy both the notification requirements of Part 21 of this chapter, if the event is also reportable under Part 21, and S 50.72(a)(4) of this chapter, if applicable. A separate log must be maintained to record events reportable under this section.
Licensees need not report any event that is designated as not reportable in their security or contingency plans.
The licensee shall retain the log of events reported under this section as a record for three years after the last entry is made in each log.
76.
In Appendix B to Part 73,Section I.C, E, and F and II.A, B, C, and E, and the introductoty text.to Section IV-are revised to read as _ -
follows:
APPENDIX B - GENERAL CRITERIA FOR SECURITY PERSONNEL 70
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[7590-01]
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Criteria 3
I.
C.
Physical fitness qualifications--Subject to.a medical-examination-~~- - -
conducted within the preceding 30 days and to.a determination and written * ~ *^ ~
certification by a licensed physician that there are no medical contra-indications to participation by-the individual as ' disclosed'by the- - ~ ~ ~ ~
medical examination, guards, armed response personnel";~and armed' escorts -"~ ~''
shall demonstrate physical. fitness for assigned security job. duties.by - -
performing a practical physical exercise program within a specific time period.
The exercise program performance' objectives must be' described-'
in the licensee training and qualifications plan and must consider such job-related functions as strenuous activity, physical exertion, levels of stress, and exposure to the elements as they pertain to each indivi-dual's assigned security job duties for both normal and emergency operations.
The physical fitness qualification of each guard, armed response person, and armed escort must be documented and attested by a licensee security supervisor.
The licensee shall retain this documen-tation as a record for three years from the date of each qualification.
E.
Physical requalification--At least every 12 months, central alarm 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 o.f this sectiork The licensee shalLdocumest_. -
each individual's physical requalification and shall retain this docu-mentation of requalification as a record for three years from the date of each requalification.
F.
Documentation--The results of suitability, physical, and mental qualifications data and test results must be documented by the licensee or the licensee's agent.
The licensee or the agent shall retain this 71
[7590-01]
documentation as a record for three years from the date of obtaining and recording these results.
A A
A A
A e
II.
Training and Qualifications.
=-
A.
Training requirements--Each~ individual who requires training to perform assigned security-related -job tasks or -job" duties ~as~ identified- '"----'-"
in the licensee physical security or contingency plans shall,-prior.to - -...~.
assignment, 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 or the agent shall maintain documen-tation of the current plan and retain this documentation of the 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.
B.
Qualification requirements--Each person who performs security-related job tasks or job duties required to implement the licensee physical security or contingency plan shall, prior to being assigned to these tasks or duties, be qualified in accordance with the licensee's NRC-approved training and qualifications plan.
The qualifications of each individual must be documented and attested by a licensee security super-visor.
The licensee shall retain this documentation of each individual's qualifications as a record as long as the individual is employed in the security-related capacity.
C.
Contract personnel--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 qualifications of each individual must be documented and attested by a licensee security supervisor..The licensee shall 72
[7590-01]
retain this documentation of each individual's qualifications as a record as long as the individual is employed in the security-related capacity.
a E.
Requalification--Security personnel shall be r'equalified at least every 12 months to perform assigned security-rela'ad job tasks and duties for both normal and' contingency operations; Requalification' shall be in accordance with the NRC-approved licensee training.and.
qualifications plan.
The results of requalification must be documented-_ _
and attested by a licensee security supervisor. The licensee shall retain this documentation of each individual's requalification as a record for three years from the date of each requalification.
m a
a a
a IV. Weapons Qualification and Requalification Program.
Qualification firing for the handgun and the rifle must be for daylight firing, and each individual shall perform night firing for familiarization with assigned weapon (s).
The results of weapons qualification and requalification must be documented by the licensee or the licensee's agent.
Each individual shall be requalified at least every 12 months.
The licensee shall retain this documentation of each qualification and requalification as a record for three years from the date of the qualification or requalification, as appropriate.
PART 75 - SAFEGUARDS ON NUCLEAR MATERIAL -- IMPLEMENTATION OF US/IAEA AGREEMENT 77.
The heading for S 75.6 is revised and a new paragraph (e) is added to read as follows:
73
[7590-01]
S 75.6 Maintenance of records and delivery of information, reports, and other communications.
(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 personneb and-that-the microform--~~~ -~~
is capable of producing a clear copy throughout the required retention period.
78.
In S 75.12, paragraphs (b)(1) and (4) are revised to read as follows:
S 75.12 Communication of information to IAEA.
A A
A A
(b)(1) A licensee may 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 terminates the license for each installation involved with the request.
(4) If a request is granted, the Commission will determine a location where the information will remain readily available for examination by the IAEA and will so inform the licensee.
The licensee shall retain this information as a record until the Commission terminates the license for the installation involved with the request.
k k
k k
k 74
[7590-01]
79.
In S 75.21, paragraph (a) is revised to read as follows:
S 75.21 General requirements.
i (a) Each licensee who has been given notice by.the Commission -in-writing that its installation has been. identified under the Agreement shall
"+-
establish, maintain, and follow written material accounting and control procedures. The licensee shall-retain as~a-record current material and accounting procedures ~ for-f-ive years after each thange"or untiMhe~-**~' --
Commission notifies the licensee that the licensee is no longer under
- ~.
the agreement.
PART 95 - SECURITY FACILITY APPROVAL AND SAFEGUARDING OF NATIONAL SECURITY INFORMATION AND RESTRICTED DATA 80.
Section 95.11 is revised to read as follows:
S 95.11 Specific exemptions.
The Commission may, upon application of any interested party, grant an exemption from the requirements of Part 95.
Exemptions will be granted only if they are authorized by law and will not constitute an undue risk to the common 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 covered by the exemption.
81.
Section 95.13 is revised to read as follows:
S 95.13 Records maintenance.
l (a) Each licensee or organization granted security facility approval l
under this part shall maintain such records as prescribed within the part.
These records shall be subject to review and inspection by NRC I
representatives during security surveys.
75
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[7590-01]
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. ~(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.. -
82.
In S 95.25, paragraphs (a)(3), (c)(1), (d), (g)(1), and (h) are revised to read as follows:
S 95.25 Protection of national security information and restricted data in storage.
(a)
(3) When protective personnel are used, physical checks of security containers must be made as soon as possible after the close of each normal workday and ~at least once every eight hours thereaf ter during non-working hours.
The licensee shall record the results of these checks and retain each record for three years after it is made.
a a
(c) Classified lock combinations:
(1) The licensee shall limit knowledge of lock combinations protecting classified information to.a minimum numb _er of personnel necessary for,oper-ating purposes, with a need-to-know, and possessing the highest access authorization of the matter stored or authorized to be stored in the container.
The licensee shall maintain records identifying personnel having knowledge of these lock combinations until superseded by a new form or list or until the container is removed from service.
The licensee shall retain each superseded record for three years after the record is superseded.
76
a
[7590-01]
c (d) Records of combinations: The licensee shall classify, mark, and safeguard records of combinations in a manner appropriate for the highest classification of the matter authorized to be stored in the security container. ^ The-licensee shall retain each record of combinations until it is superseded by a new or revised record or until the container is removed from service and -shall retain each superseded record for three years after each change.
=
a a
(g) Posted information.
(1) The licensee shall post the names, addresses, and telephone numbers of the custodian and all alternates having knowledge of the combination on the outside or inside of each security container;--The- -
licensee shall post the castodian list until it is superseded by a new or revised list or until the container is no longer in use and shall retain the superseded list for three years after the list is superseded.
(h) Unattended security container-found opened: 'In the event that an unattended security container housing classified matter is found unlocked, the custodian or an alternate shall be notified immediately.
The container shall be secured by protective personnel and the contents shall be inventoried as soon as possible but not later than the next workday.
A report reflecting all actions taken shall 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 Security. The licensee shall retain records pertaining to these matters for three years after completion of final corrective action.
S 95.33
[ Amended]
83.
Section 95.33 is amended by changing "one year" to "three years" in the last sentence.
9 e
77
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[7590-01]
t 84.
In S 95.37, paragraph (i) is revised to read as follows:
~
$ 95.37 Classification and preparation of documents.
A A
A A
A (i) Document which custodian believes is improperly classified or~1acking
~
appropriate classification markings.- If a person receives si document which,------
in his or her opinion, is not properly classified, or does not have
-o appropriate classification markings, he or she shall immediately notify the sender and suggest to the originator the classification which he believes to be appropriate. Whenever requested, this challenge of classification marking -- ------
shall be handled in a manner which will ensure the anonymity of the challenger.
Pending final determination of proper classification, such document shall be safeguarded in accordance with the procedures required for the highest classification in question. Where unauthorized disclosure may have occurred, a report in accordance with Section 95.57 of this part is required.
These reports shall be retained for three years after final corrective action has been taken.
S 95.41 [ Amended]
85.
Section 95.41 is amended by changing "two years" to "three years" in the last sentence.
86.
Section 95.47 is revised to read as follows:
S 95.47 Destruction of matter containing national security information_ _,
and/or restricted data.
Documents containing National Security Information and/or Restricted Data may be destroyed by burning, pulping, or another method that assures complete destruction of the information which they contain.
The method of destruction must preclude recognition or reconstruction of the classified information.
Any doubts on methods should be referred to the NRC Division of Security.
If the document contains Secret National Security Information and/or Restricted 78
o
[7590-01]
Oata a record of the subject or title, document number, if any, originator, its date of origination, its series designation and copy number, and the date of destruction shall be signed by the person destroying the document and shall -
be maintained in the office of the custodian at the time of destruction.
These destruction records shall be retained for three years after destruction..
PART 110 - EXPORT AND IMPORT OF~ NUCLEAR FACILITIES AND~ MATERIALS ~~~~
t 87.
In S.110.53, paragraph -(b)-is -revised to read-as-follows:
~ --" ~- -
t S 110.53 United States address, records, and inspections.
(b) 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 shall be retained for three years after each export or import.
PART 140 - FINANCIAL PROTECTION REQUIREMENTS AND INDEMNITY AGREEMENTS 88.
In S 140.6, the heading is revised and a new paragraph (c) is added to read as follows:
S 140.6 Reports and records.
(c) 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.
79
a
[7590-01]
1
,)
t 89.
In S 140.91, Appendix A, pa agraph 1.(2) under center heading,
~ " Conditions," is revised to read as folicws:
A A
A A
A
3
's Conditions 1.
(2) Payments of advance and standard premiens. The named insured shall pay the companies the advance premium stated in the declarations for the period from the effective date of this policy through December 31 following. Thereafter, at the beginning of each calendar: year while this policy is in force, tha named insured shall pay the advance pretium J
for that year to the companies.
The advance premium for each calendar ~
yearmustbestatedintheAdvancefdremiumEndorsementforsuchcalendar year issued to the n?med insured as soon as, practicable prior to or after the beginning of such year.
As soon as practicable aft 6r each December' 31 and after the termination'of this polidy, the standard premium for the preceding calendar year shall be finally determineu,and stated in the Stan-dard Premium Endorsement for thht calendar year.
If the standard premium so determined exceeds the ativi,nce premium previously paid for such calendar year, the named insured shall pay 'he excess to the' companies; if 'ess, the companies t
l shall return to the named insured the excess portion paid by such insured.
i The naned insured shall maintain roccrds of the inform.3 tion necessary for premium computation and shall send copies of these records'to the companies as directed, at the7end of each calendar year, at.t.he end of the policy period, ard at such other times during the policy period as the companies may direct.
The named. insured shall retain the records of 4
e 80 4
n..
i
,F
[7590-01]
?
information until the Con.:ission terminates the license 1or each r.
facility covered by the policy.
r i
i Dated at Bethesda, Maryland, this day of 1985.
For the Nuclear Regulatory Commission.
William J. Dircks, Executive Director for Operations.
i i
t I
~
l l
l f
81
I
-,' s o.sq g ;
g TABLE OF PROPOSED CHANGES TO RECORD RETENTION PERIODS e
O e
e I
s
.~.
Table of Proposed Chrages Retention Period Part/Section/ Record Existing Proposed 4.32(c) Compliance reports.
None Three years or as long as primary recipient retains that status.
4.125(d) Medical History Forms None Three years from date of for applicants.
application if not hired; date employment ends, if hired.
4.127(d) Transition plan for None Until structural changes structural change of facility.
are complete.
11.9 Documentation related to a Two years beyond Three years.*
request for exemption from Part period of exemption.
11.
11.13(b)(1) SNM access None Three years after record authorization number for all is made.
individuals assigned to shipment.
21.51(c)(1) Records of design, Destroy after delivery Reorganized; same.
manufacture, fabrication, of facility or placement, erection, component.
installation, modification, inspection, or testing of facility or component for licensed facility or activity not related to an evaluation or notification.
21.51(c)(2) Notification or None Until Commission evaluation of defects or terminates the license.
noncompliance.
25.11 Documentation
~
Two yeaYs beyond Threefears.r
~
related to a request for exemption from Part 25.
25.13 Personnel security None Three years after the access authorization.
record is made.
25.23 Termination of access J0ne year Three years.*
authorization by Commission.
- Indicates increase in retention period to conform to four uniform periods.
2
Retention Period Part/Section/ Record Existing Proposed 30.34(g) Test results of None Three years after the generator eluates for record is made.
molybdenum-99 breakthrough.
30.51(a)(1) Receipt of, Two years following Three years following byproduct material.
transfer or disposal.
transfer or disposal; --
reorganized $30.51.*
30.51(a)(2) Transfer Five years after Same; of byproduct material.
each transfer, w v --
reorganized-930:51r w e -
30.51(a)(3) Disposal Referenced $20.401(c)
Until Comission of byproduct material.
Part 20 is being terminates license.
revised.
30.51(b) Par,ts 31 through Until the Commission Until the Connission 35 records not otherwise authorizes their terminates license.
specified, disposition.
31.5(c)(4)(1) Test for One year after test Three years after leakage of radioactive is performed or until test; rest the same.*
material from sealed source.
sealed source is transferred or disposed of.
31.5(c)(4)(ii)Testofon-off One year after next Three years after next mechanism and indicator for test or until sealed test; rest same.*
sealed source.
source is transferred or disposed of.
31.5(c)(4)(iii) Records Two years from date Three years from date required by 931.5(c)(3) for of event or until of event or until device device.
device is transferred is transferred or disposed or disposed of, of; section reorganized.*
l 34.24 Results and date of Two years after Three years after
~
each instrument calibration.
~
date of calibration.
date of cattbration.*
l f
34.25(c) Results of leak Six months after next Three years after test; l
tests for sealed sources.
test or until source rest same.*
is transferred or disposed of.
34.26 Inventory of sealed Two years from Three years from date sources.
date of inventory.
of inventory.*
34.27 Information about use Two years from Three years from date or storage of sealed source.
date of event.
of event.*
" Indicates increase in retention period to conform to four uniform periods.
3
Retention Period Part/Section/ Record Existing Proposed 34.28(b) Inspection and Two years from date Three years from date maintenance of radiographic of inspection or of inspection or exposure devices, storage maintenance, maintenance.*
containers, and source changers.
34.29(c) Test of alarm system Two years--from - -- --
- ~ Three years-from-date --- --- -
in location where source is date of test.
of test.*
installed.
34.32 Operating and emergency - --
None
~ -~
Until the Comission procedures.
terminates the. license; if.__..-
superseded, retain superseded material for three years.
34.33(b) Personnel exposures None Three years after record registered on pocket dosimeters.
is made.
34.33(e) Reports from film Until Comission Until the Commission badge or TLD processor.
authorizes disposal.
terminates license.
34.43(c) Survey of sealed Two years.
Three years -from the-source in its shielded position date of the survey.*
prior to locking device and ending direct surveillance of operation.
35.14(b)(4)(ii) Written None Until Comission procedures for testing elution terminates license; if or extraction of technetium-99m
_ superseded, retain from generator.
superseded material for i
three years.
35.14(b)(5)(ii) Results of leak Until inspected by Three years after record tests for sources or devices the Comission.
is made, containing byproduct material.
35.14(b)(5)(iv) Instruction for None Life of the source, device, use of source, device, or or permanent container.
permanent container.
l 35.14(b)(5)(v) Quarterly For inspection by Five years after the record inventory for all sources the Comission is made.
and devices received and possessed oIndicate increase in retention period to conform to four uniform periods.
4
i Retention Period Part/Section/ Record Existing Proposed 35.14(e)(2) Results of leak test For inspection by Three years after record of sample from sealed source or the Comission, is made, surface of the device.
35.14(f)(1) Instructions for use None Until the source or of source or permanent containerr--- -
permanent container ~is
~
disposed of.
35.14(f)(2) Inventory to account None Five years after the for all sources received and record is made.
possessed.
35.27(b)(1) and (2) Spot-check Two years after Three years after measurements and corrective completion of completion of measurements actions of teletherapy units used measurements and and actions.*
for treating humans and calibration actions.
of instruments used for spot-checks.
35.44 Misadministrations of Until the Commission Ten years after the radiopharmaceuticals, authorizes their record is made.
disposition.
40.26(c)(2) Documentation of None Three years after each daily inspections of tailings inspection is documented, or waste retention systems.
40.35(e)(3) Information on Two years.
Three years from date transfer of depleted uranium of transfer.*
in industrial products or devices.
l 40.61(a)(1) Receipt of source As long as material Same; reorganized section.
l or byproduct material.
is possessed and for five years following its i
transfer or disposition.
~
40.61(a)(2) Transfer of source ~
Until Comission Until the ConImission l
or byproduct material.
authorizes their terminates the license.
l disposition.
40.61(a)(3) Disposal of Reference $20.401(c);
Until the Comission source or byproduct material.
Part 20 is being terminates the license.
revised.
40.61(a)(4) Transfer, export, Evaluative techniques Evaluative techniques or disposition of mixtures of such as first-in-(such as first-in-first-source or byproduct material.
first-out to determine out) to make records that disposition.
account for 100 percent l
of the material received.
CIndicates increase in retention period to conform to four uniform periods, b
~
Retention Period Part/Section/ Record Existing. _ _ _. _ __ Proposed _ _ _.
40.61(b) Retention Until Commission Until Commission terminates periods not otherwise covered.
authorizes their the license authorizing disposition.
activity.
Appendix A to Part 40, I.,
None Five years after last entry Criterion 8, Log of hourly checks is made in log.
of yellowcake stack emission--
controls.
Appendix A to Part 40.
I.,
None Five years after documenta-Criterion 8A, Documentation tion is made, for daily inspection of. - -. _ -
tailings or waste retention systems.
50.36(c)(1)(1)(A) Results None Until the Commission of review of exceeding safety terminates the license limits for uncontrolled release for the reactor.
of radioactivity for a nuclear reactor.
50.36(c)(1)(1)(B) Results None Until Commission of review of exceeding safety terminates the license for limits for uncontrolled release --
the plant'.
^=-r of radioactivity for a fuel reprocessing plant.
50.36(c)(1)(ii)(A) Results of None Until Commission review of exceeding safety terminates the license limits for nuclear reactor for the reactor, automatic protective devices.
50.36(c)(1)(ii)(B) Results of None Until Commission-review of exceeding safety terminates the license limits for fuel reprocessing for the plant.
plant automatic protective device.
50.36(c)(2) Results of None Until Commission review of exceeding limiting terminates the license condition for equipment in a for the plant.
nuclear reactor or fuel reprocessing plant.
50.36(a)(1) Operating None Until Commission procedures for control of terminates the reactor effluents from a nuclear license and superseded power plant.
material for three years.
m 6
'A. w._.
j (7
_.. q_. ~ n a.
1
-l i
Retention Period j
l Part/Section/ Record Existing Proposed.
50.48 Fire protection None Until commission plan for nuclear power plant.
terminates the license for the nuclear power plant.
50.49(d) File on electric - ---
-None Until Connission-- -----"~- -
equipment important to safety terminates the.. license.
for nuclear power plant.
for which file was established.
50.54(q).Emergencyplan.. _. - -.
None Until Commission 4
- 4. n. -
and each change that decreases terminates the license
-- the effectiveness of plan r
~ '
for the nuclear power- ---
reactor.
Change to the Emergency
.None Clarified. Until plan that does not require Commission terminates the prior Commission approval.
license for the facility and superseded material for three years.
50.71(c) Retention periods None Until Commission not specified by license condition terminates facility license, or technical specification'.
Appendix R to Part 50, None Three years after report Section III.I.3.d. Critique is completeo.
of unannounced fire brigade drills.
60.71(b) Receipt, handling, and None Until Commission disposition of radioactive waste terminates the license at a geologic repository operations for the repository.
area.
60.72(a)Ccnstruction None Until Commission geologic repository operations terminates the license area.
for the repos.itory.
~
61.80(e) Location and quantity Transfer upon Unchanged; editorial of radioactive wastes contained license termination, revision.
in the disposal site.
61.80(f) Date of disposal, None Until Commission location, condition of package, terminates the license or discrepancies between manifest transfers records.
and received materials, and contamination from leaking or damaged package.
l 7
Retention Period Part/Section/ Record Existing
, Proposed 70.22(g) Description of plan None Until Comission for physical protection of ~~
terminates each license 10 kg or more of SNM of low obtained from the
.._ strategic significance.in_ transit, application or-a -renewal--- -- -
safeguards contingency plan or application; reorganized.
response-procedures. - -
70.22(h) Physical security None Until the Commission plan for protection'of 235U,- ~~~
~
terminates each license obtained from.applica-a-~~
. 233U, or. 5000g or_more. computed, ~.._
.m..
by given formula.
tion or a renewal ~applica-tion; reorganized.
70.22(i) Emergency plans None Until Comission related to possessing and using terminates each license SNM for fuel fabrication, scrap obtained from application recovery or conversion of uranium or a renewal application.
hexafluoride.
70.22(j) Safeguards contingency None Until comission terminates each license obtained -- -
plan for protection of 235U, 233U or 5000, or more computed from application or a by given fannula.
renewal application; reorganized.
70.22(k) physical security None Until Comission plan for protection of SNM of terminates each license moderate strategic significance obtained from application or 10 kg or more of SNM of low or a renewal application.
strategic significance.
70.24(a)(3) Emergency procedures None As long as SNM is handled, for each area where SNM is handled, used, or stored in area used, or stored.
and superseded material for five yurs.
70.32(e) Changes to a security Two years from the Three years from the l
plan made without prior date of the change.
date of the change.*
Comission approval.
70.32(g) Safeguards None Until the Comission contingency plan procedures.
terminates each license for which the procedures were deveJoped.
l oindicates increase in retention period to conform to four uniform periods.
8
Retention Period Part/Section/ Record Existing Proposed -- -- - -
Safeguards contingency plan None Clarified. Until Comission terminates.
procedures that do not require m
the license and superseded Comission approval.
material for three years.
Five years.from dater _ : = +
70.42(d)(1) Transferee'.s_ _ta _-
.. None
- 2. =
specific license or registration it was obtained.
certificate.
Five years"from *datemf"'"" "~
None n
- 70.42(d)(2) Winter
-=
=
~-
certification that transferee receipt of certification.
is authorized to receive SNM.
70.42(d)(3) Written certification None Five years from date of of verbal certification that receipt of certification transferee is authorized to receive SNM.
70.42(d)(4) Official None Five years from date records confirming that that compilation of transferee is authorized to information was obtained.
receive SNM.
70.42(d)(5) Confirmation None Five years from date from Comission or licensing record of confirmation agency or Agreement State is made.
that transferee is authorized to receive SNM.
70.51(b)(2) Retention Until Comission Until the Comission authorizes their terminates the license.*
periods not specified in
~ disposition.
license condition.
70.51(b)(3) Inventory to Six months As long as licensee comply with 670.58(h).
retains possession of material and for five
~
years ifter transfer
~
~
or disposal.*
l 70.51(b)(5) Transfer of Until Comission Until Comission terminates SNM to other persons, authorizes their the license authorizing disposition possession.
70.51(b)(6) Disposal of SNM.
References Until Comission
$20.401(c);
terminati:s license t
Part 20 is being authorizing possession l
revised.
of the material.
oIndicates increase in retention period to conform to four uniform periods.
9 L
~.
Retention Period Part/Section/ Record Existing Proposed 70.51(c) Material control None Un'.il Comission terminates and accounting procedures for license authorizing licensee possessing quantity possession; if superseded,-
exceeding one kilogram of SNM.
retain superseded material three years.
70.51(e)(1) Process records for_._
None Five years after record licensee possessing quantity is made, exceeding one kilogram of SNM as stated in subparagraphs (i), (ii), (iii), (iv), (V),
(vi), and (vii).
70.51(f)(2)(v) Inventory None Five years after record procedures for sealed sources is made, and containers or vaults of SNM.
70.57(b)(2) Results None Five years after record of reviews and audit of is made, program.
70.57(b)(3) Results of None Five years after record reviews and audit of contractor is made, program.
70.57(b)(6) Results of None Three years after the program measurement system life of the process or analyses and evaluation.
equipment.
70.57(b)(7) Results of None Three years after record personnel qualification or is made, requalification.
70.57(b)(11)(i)
None Until Comission terminates Statistical control system.
license for material system affects; reorganized.
70.57(b)(11)(ii)- Results None Five years-after record of investigation of exceeding is made.
control chart limits.
70.57(b)(11)(iii) Records Five and two years, Five and three years, system of documents generated respectively, respectively.*
by measurement control program:
information, reports, and documents and records of training and qualification of personnel.
- Indicates increase in retention period to conform to four uniform periods.
10
Retention Period Part/Section/ Record Existing - --
- Proposed 70.57(b)(12) Description No change Reorganized.
of records.
70.58(b)(3) Written MCA None Until Commission organizational responsibilities terminates the license
-and authorities.-
and superseded material:for u ;-
r three years.
70.58(e) Written system for None Five years after producing and; moving-SNM-record isemade.'~ ^*"2 among MBAs, ICAs; inventory, transfer, and disposal.
70.58(f) Program for None Five years after record documenting control of errors is made.
of measurement processes.
70.58(h) Procedures for None Five years after record system of storage and internal is made.
handling controls.
70.58(i) Procedures for None Until Connission- -
SNM scrap control.
terminates the license and superseded material for three years.
70.58(j) Procedures for None Until Commission physical inventory of SNM.
terminates the license and superseded material for three years.
70.58(k)Recordsand None Five years after record reports necessary to locating is made.
SNM.
licensee and well'-logging Thr.ee years after 70.60(a) Agreement between None ccmpletion of well-operator or owner of the logging operations subject well.
to the agreement.
71.91(a) Information Two years after Three years after about shipments.
shipments shipment.*
71.91(c) Documentation on Life of packaging Life of packaging quality of components in and three years packaging and results of thereafter.
determinations of markings on package in 571.85(c).
l l
- Indicates increase in retention period to conform to four uniform periods.
11
~
-. ~ -
.; ;, -, ~ -
.~
j" vz' Retention Period Part/Section/ Record Existing -
Proposed -------'
71.91(c)(4) Copy of advance One year Three years after notification to state of notification.*
transport of licensed material through state.
~
71.97(e) Name of individual -
One year --
Three years;after
-::;r--
in state contacted about contact.*
delay of transport.
One year-e--
Three years after = -rar 71.97(f)(2)= Copy of
-- u
" - ~
.w notification to state of notification.*
cancellation of transport.
71.101(b) Establishment of None Revised to add 0.A. Program.
$$71.101-71.137 that contain applicable criteria and retention periods.
71.105 Documentation of None Revised to add Q.A. Program.
6971.101-71.137..that.._ _ __.
contain applicable criteria and retention periods.
71.135 Documentation of None Three years beyond Q.A. Program, including licensee's engaging in records retention program.
activity requiring program and superseded material for three years.
72.33(e) Changes to the Two years from Three years from the physical security plan made date of the change.
date of the change.*
without prior approval of the Commission.
72.51(b) Current inventory None Until Commission of all spent fuel in storage.
terminates license for the installation.
72.51(c) Material control None Until Commission and accounting procedures for terminates license for spent fuel in storage.
the installation.
- Indicates increase in retention period to conform to four uniform periods.
12
d % *
- %9%N Retention Period Part/Section/ Record Existing Proposed 72.55(c) Retention periods None Until Commission -
not specified-for records terminates license for and reports in Part 72.
the installation. -
72.62(b) Records of None Until Commission natural phenonena-that - --- ~ --
terminates license "----
' ~
affect ISFSI design.
for the installation.
72.81 Physical security None Until Commission..._ _
plan'for protection of
^
terminates license and superseded material *-' --~ ' ' ~
.ISFSI..
for three years.
72.83(b) Procedures for None Until Commission safeguards contingency plan terminates license for for ISFSI.
installation and superseded material for three years.
j l
72.84(b) Changes to the Two years from the Three years from the physical security plan or date of the change date of the change.*
safeguards contingency plan cr- - r made without prior Commission approval.
73.24(b)(1) Log of None Five years from date arrival of SNM at its of last entry in log.
destination.
73.25(b)(3) Access None Until Commission authorization controls terminates license and and procedures to protect superseded material SSNM.
for three years.
73.25(c)(1) Access and entry None Until Commission terminates _ltgense and authorization controls and superseded material for procedures to transports for SSNM.
three years.
73.26(c)(1)(ii) Protection None Until Commission of imported formula quantity terminates license.
of SSNM within U.S.
73.26(c)(2) Protection None Until Commission of exported formula quantity terminates license.
of SSNM to point outside the U.S.
- Indicates increase in retention period to conform to four uniforms periods.
13
Retention Period Part/Section/ Record Existing-Proposed-73.26(d)(3) Transportation None Until Comission physical protection procedures
~~
terminates license- ~-
for SSNM.
and superseded material for three years.
73.26(d)(4) Documentation None Three years-after each-of qualification and qualification or requalification for security-requalification. --
organization members.
73.26(e)(1) Safeguards None Until Comission contingency plan against - -
~~
terminates licenseI thefts or threats of theft a ted to SSNM in transit.
a r
73.37(b)(2) Procedures None Until Comission for coping with threats terminates license and to shipments of spent fuel.
superseded material for three years.
73.37(b)(3) Instructions for None Until Commission escorts for shipments of spent terminates license, fuel.
73.37(b)(5) Log for each One year Three years after each shipment of spent fuel.
shipment.*
i 73.40(b) Safeguards None Until Comission contingency plan for SNM for terminates license and Parts 50 and 70 licensees.
superseded material for three years.
l 73.40(c)(2) Safeguards None Until comission contingency plan procedures, terminates license and superseded material for three years' 73.40(d) Results of review Two years Three years from the l
and audit of safeguards date of the review or contingency plan and procedures, audit.*
73.46(b)(3)(1) Written None Until Comission security procedures that terminates license and l
document security organization superseded material for l
and responsibilities.
three. years.
OIndicates increase in retention period to conform to four uniform periods.
14 l
l
Retention Period Part/Section/ Record Existing Proposed 73.46(b)(4) Documentation None Three years after the of requalification of each requalification. --
security organization member.
73.46(d)(3) Written access None Until Comissior-----
procedures for entries into terminates license and protected, material access, superseded material.for and vital areas.
three years.
73.46(d)(10). Findings from.
None Three years.after record --~.-
drum-scanning and tamper-sealing is made, containers of wastes in MAA.'~~'
~- -
73.46(d)(13) Registration None Five years after of escorted individuals in a record is made, protected area.
73.46(h)(1) Safeguards None Until Comission contingency plan against thefts, teminates licenses and threats, and sabotage of SNSM and superseded material for nuclear facilities.
three years.
73.46(h)(2) Documentation ~ -
None
' Until Comission""
of response arrangements terminates license and between local law enforcement superseded material authorities and licensee.
for three years.
73.50(a)(3)Writtensecurity None Until Comission procedures for licensed activities.
terminates license and superseded material for three years.
i f
73.50(a)(4) Documentation None Three years after of requalification of each the requalification.
security organization member.
73.50(c)(5) Registration None Three years-after of escorted individuals in a record is made.
protected area.
73.50(g)(1) Safeguards None Until Comission contingency plan against terminates the thefts, threats, and sabatoge license.
of SNM and nuclear facilities.
73.50(g)(2) Documentation None Until Comission of liaison with law enforcement terminates license authorities, and superseded material for three years.
15 O
Retention Period Part/Section/ Record Existing Proposed._....
73.55(b)(1) Licensees's None For duration of the written agreement with contractor contract.
providing a security organization.
73.55(b)(3)(1) Written None Until Comission security procedures documenting terminates license and security-organization and-- --
- ~ -
superseded material for' ' ~
responsibilities three years.
73.55(b)(3)(fi) Written approval None Three years.from.date._.-....-
of procedures by individual of approval.
responsible for. security,_~ -. -
73.55(b)(4)(1) documentation None Three years after each of requalification of each requalification.
security organization member.
73.55(b)(4)(ii) Training and None Until Comission qualifications plan for terminates license and security personnel.
superseded material for three years.
73.55(d)(6) Registration of-
- -' -.None Three years <after record
escorted individuals in a is made.
protected area.
73.55(h)(2) Documentation None Until Comission of liaison with law terminates license and enforcement authorities.
superseded material for three years.
73.67(c)(1) Security plan None Until Comission for licensees handling 10 kg terminates license.
or more of SSN of moderate strategic significance.
73.67(d)(5)Writtencontrolled__
None Until Comiss. ion badging and lock system.
tenninates license and superseded material for three years.
73.67(d)(11) Written response None Until comission procedures dealing with thefts terminates license and or threats of thefts at fixed sites, superseded material for three years.
73.67(e)(3)(iv) Written None Until ComInission response procedures dealing terminates license and with thefts or threats of thefts superseded material while in transit.
for three years.
~
16
l a j.E.ii.j. ;
G g g.,. :. ~
L h..
c',.
y:.-
Retention Period
'Part/Section/ Record Existing Proposed I-73.67(e)(4) Records in None Until Comission specified sections.
terminates license..._
73.67(e)(5) Exports of SNM None Until Comission
]
of moderate strategic terminates license - ----
significance.
authorizing exports.
73.67(e)(6) Imports of SNM None Until Comission of moderate strategic terminates license e_.
significance.
authorizing imports. -.
L.
73.67(f)(4) Response procedures u. ~None,- - -,- ~~
~ Until Comissionm - -
- 4 for thefts and threats of -thefts ~---
terminates--license and---
of SNM of low strategic significance.
superseded material for three years.
73.67(g)(3)(i) Response None Until Comission procedures for thefts and terminates license and threats of theft of SNM of superseded material low strategic significance for three years.
in transit.
73.67(g)(4) Imports of SNM - - '-None 1~
Until Comission-of low strategic terminates license significance.
authorizing imports.
73.67(g)(5)(i) Records in None Until Comission specified sections.
terminates license authorizing imports.
73.71(c) 1.og of reportable None Three years after last events about unaccounted-for entry is made in each SNM.
log.
l Appendix B to Part 73, None Three years from date I
Section I.C. Physical fitness of each qualtfication.
qualification for security l
personnel.
Appendix B to Part 73, None Three years from date of Section I.E., Physical each requalification.
requalification of security personnel.
Appendix B to Part 73, None Three years from date Section I.F., Results of of obtaining and l
suitability, physical, and recording results.
l mental qualifications data
~
and test results.
17 t
Retention Period Part/Section/ Record Existing Proposed Appendix B to Part 73, None Until Commission-Section II.A.,-Training and terminates the license-qualification plan for and superseded material individuals performing certain for three years.
security-related job tasks.~ -- -
Appendix ~B to Part 73,
~~
None As long as individual Section II.8,. Documentation..... _ _.
is employed in security...
of qualification of-individuals -
- ~
related capacity. ~'-- -
--~
performing certain security --.
related tasks or duties.
Appendix B to Part 73, None As long as individual Section II.C, Documentation is employed in security-of qualification of contracted related capacity.
security personnel.
Appendix B to Part 73, None Three years from date of Section II.E, Documentation of each requalification requalification of security personnel.
None
-Three yea ~rs-from-date of-- --
~"
Appendix-B to Part 73,-
' ~
Section IV, Documentation of each qualification or qualification and requalification requalification.
for firing of handguns and rifles.
75.12(b)(1) Request for not None Until Commission physically transmitting certain terminates license for sensitive information to IAEA.
installation involved with request.
l 75.12(b)(4) Availability of None Until Commission untransmitted information.
terminates license for installation involved with request.
75.21(a) Written MCA Nor,e Current procedures for procedures for installation five years after each identified under IAEA Agreement.
change or until Commission notifies licensee that installation is no longer identified under the agreement.
=
18
2.-
~~
Retention Period Part/Section/ Record Existing Proposed 95.11 Exemption to the Two years beyond Three years beyond the requirements of Part 95.
the period covered period covered by the by the exemption.
exemption.*
95.25(a)(3) Results of One year Three years after physical checks of security record is made.*
containers.
95.25(c)(1) Identification of * --
Until superseded-by Superseded record personnel aware of lock a new form or list for three years.*
combinations protecting or container-is '--- --
classified information.
removed from service.__
95.25(d) Lock combinations.
None Until superseded by new or revised record or until container is removed from service and superseded record for three years.
95.25(g)(1)Listof None Until superseded by new security container or revised list and custodians.-
superseded list for three years.
95.25(h) Discovery of Two years after Three years after unlocked container of classified completion of completion of corrective information that is unattended corrective action action.*
and corrective action.
95.33 Security personnel One year Three years after initial and refresher termination of orientations.
individual's access authorization.*
95.37(i) Challenge of Two years after Three years after final i
final corrective corrective _ac_ tion has document believed to be action Was been been taken.'
improperly classified.
taken.
i 95.41 Accountability and Two years after
'hree years after disposition of classified disposition, disposition.*
l matter.
I
\\
- Indicates increase in retention period to conform to four uniform periods.
e 19
Retention Period Part/Section/ Record Existing-
- Proposed ----
95.47 Destruction of Two years after Three years after document that contains-destruction.
destruction.*....
Secret National Secu_rity i
Information or Restricted Data.
110.53(b) Export and import Five years after-Same; three-years -after of materials.
each export or- "" - - each export *or-import--
import except'two of byproduct materials, years after each= -
export or import of byproduct materials.
140.91, Appendix A, None Until Commission paragraph 1 (2), Information terminates license for necessary for premium computation facility covered by for facility insurance.
the policy.
i
" Indicates increase in retention period to conform to four uniform periods.
20 m
s.
Retention Period Part/Section/ Record-Existing Proposed-Boiler plate paragraph on maintenance of records.
4.5 Added 11.10 Added 21.51(a)
Revised 25.13(b)
Added 31.12 Added 32.3 Added 34.4 Added 35.5 Added 60.4(b)
Added 71.1(b)
Added 75.6(e)
Added 95.13(b)
Added 140.6(c)
Added Deletion of stale dates.
4.127(d)
...within six Deleted months...
50.54(q) 02/09/83 and 10/01/83 Deleted 70.32(g) 02/09/83 and 10/01/83
. Deleted 73.40(b) 09/19/78, 03/23/79, Deleted and 03/23/78 73.55(b)(4)(ii) 08/29/79, 10/23/80, Deleted and 03/06/80 21
~
SUPPORTING STATEMENT Title 10, Chapter 1, Code of Federal Regulations Recordkeeping Requirements 1.
Justification a.
Need for the Information Collection To comply with the Office of Management and Budget's (0MB) regulations that require specific retention periods for all recordkeeping requirements and in accordance with the 1982 plan for paperwork control, as submitted to OMB (Attachment 1), as specified in 5 CFR 1320, the U.S. Nuclear Regulatory Commission (NRC) reviewed and identified the recordkeeping requirements contained in the enclosed Federal Register Notice as being vaguely defined and/or having no specific retention periods.
The vagueness and non-specificity of the retention periods for the recordkeeping requirements currently result in NRC licensces retaining some records unnecessarily as well as indefinitely retaining other records.
This request for approval is to rectify the open-ended retention problem.
NRC proposes four basic retention periods for its records: 3 years,*
5 years, 10 years and life. This approach reduces by 50% the number of various retention periods currently assigned and will be applied to any future recordkeeping requirements defined by NRC to assure a consistent framework. Where the proposed retention periods exceed the three-year period normally approved under the guidelines contained in OMB regulations, it has been determined by NRC staff, in consultation with the Nuclear Records Management Association (NRMA) and the National Archives and Records Service (NARS), that the data are directly related to public health and safety.
b.
Practical Utility of the Information All requirements are already cleared. There is no change in the information that is sought or in its userby the agency.
c.
Duplication With Other Collections of Information Not applicable for purposes of this submittal for OMB review. This is a clarification of existing recordkeeping requirements with a primary objective of decreasing the burden on the licensees by immediately reducing i
their records holdings and decreasing the retention periods for many records that currently have no established retention.
d.
Consultations Outside the NRC NRC worked directly with the NRMA and the NARS. Assistance was provided in identifying and establishing or modifying retention periods, as well as determining the cost savings to industry.
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1
-2 2.
Description of the Information Collection a.
Number and Type of Respondents This information collection impacts all NRC licensees subject to 10 CFR. The number of licensees totals 9,000.
b.
Reasonableness of the Schedule for the Collection of Information Making the requirements effective upon publication of the final Rule will result in immediate savings to the licensees.
About 140 open-ended recordkeeping requirements have been closed.
c.
Methods of Collecting Information No collection is involved. This approval request deals specifically with simplifying the regulatory recordkeeping requirements by establishing consistent, definitive retention periods and by clearly defining the records to be retained. This approach will reduce the amount of time devoted to recordkeeping and will allow licensees more time for technical matters. This action can also reduce the amount of prime space that is possibly being used for records storage.
If NRC were not to take this approach, licensees would be required to keep records indefinitely at astronomical costs, d.
Record Retention Period The records contained in 10 CFR will generally be retained 3 years, 5 years,10 years or life of the equipment, termination of license, etc.
Those records that are retained beyond three years have been determined by staff to be directly related to public health and safety.
These are primarily records required of reactor licensees as they relate to safety procedures and employee exposure.
e e.
Reporting Period Not applicable, f.
Copies Required to be Submitted Not applicable.
3.
Estimate of Burden Based on estimates provided by the NRMA, an industry group consisting of representatives among the licensee groups, an estimated 10% reduction t
in the annual burden currently imposed on licensees for recordkeeping will result from this rulemaking.
i i
A projected 9,000 licensees will benefit from this effort that will result in 466,232 hours0.00269 days <br />0.0644 hours <br />3.835979e-4 weeks <br />8.8276e-5 months <br />, or $28,000,000 annually.
This burden will be factored into the respective 10 CFR Parts after the rule is made final.
10 CFR 50's burden will be reduced by approximately 250,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br />; the remaining 216,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> will be dispersed among the remaining 10 CFR Parts.
4.
Estimate of ~ Cost to the Federal Government The burden associated with identifying the open-ended requirements, developing and publishing the rule, briefing the staff, review by staff, mailing and all cost directly related to the rulemaking process resulted in approximately 400 hours0.00463 days <br />0.111 hours <br />6.613757e-4 weeks <br />1.522e-4 months <br /> of NRC staff time. At an estimated $60.00 per hour, the total estimated cost for the effort is $24,000.
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