ML20246F043

Forwards for Review,Notice of Proposed Rulemaking Amending Eighteen Parts of 10CFR by Establishing Specific Retention Periods for NRC-required Records Currently Kept Indefinitely

ML20246F043
Person / Time
Issue date:	06/05/1987
From:	Mcdonald W NRC OFFICE OF ADMINISTRATION & RESOURCES MANAGEMENT (ARM)
To:	Jordan E Committee To Review Generic Requirements
Shared Package
ML20245C214	List: ML20245C211 ML20245C277 ML20246F017 ML20246F034 ML20246F043 ML20246F073 ML20246F078
References
RULE-PR-11-MISC, RULE-PR-110-MISC, RULE-PR-25-MISC, RULE-PR-30-MISC, RULE-PR-31-MISC, RULE-PR-32-MISC, RULE-PR-34-MISC, RULE-PR-4-MISC, RULE-PR-40-MISC, RULE-PR-50-MISC, RULE-PR-60-MISC, RULE-PR-61-MISC, RULE-PR-70-MISC, RULE-PR-71-MISC, RULE-PR-73-MISC, RULE-PR-74-MISC, RULE-PR-75-MISC, RULE-PR-95-MISC NUDOCS 8905120108
Download: ML20246F043 (143)

Text

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. UNITED STATES ff' o NUCLEAR REGULATORY COMMISSION wAsHmcToN, D. C. 20555 June'5, 1987

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MEMORANDUM FOR: Edward Jordan, Chairman Connittee to Review Generic Requirements N **  ; FROM: . William G.. Mcdonald, Director 1 Office of Administration and Resources Management- ]

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SUBJECT:

REQUEST FOR CRGR REVIEW OF PROPOSED RULE, " RETENTION PERIODS FOR RECORDS" 1

Enclosed for your review and the Committee to Review Generic Requirements' L(CRGR): consideration' are fifteen copies of a notice of proposed rulemaking that would amend eighteen parts of Title 10 of the Code of Federal Regulations i

. by establishing specific retention periods ~ for NRC-required records that-are Lcurrently kept indefinitely. Also enclosed is the analysis required to

. support the imposition'of infomation collection requirements.

The Office of Administration (ADM) initially briefed the CRGR on the proposed records retention rule on April 17, 1985. Based on the minutes of that meeting, number 74, ADM resubmitted the proposed rule to the program offices 3

. requesting a more substantive review in accordance with the CRGR's y recommendations. j The staff was requested to reevaluate each recordkeeping requirement contained in the proposed rule to determine if retention of the record is necessary and if the retention period is appropriate for the record. In

' addition.. staff was asked to certify by reviewer's signature and to provide a ->

justification for each' needed record and selected retention period.

The program offices were infomed that during the forthcoming CRGR review, staff providing.the written justifications would be responsible for responding to CRGR inquiry about their selected record needs. This rulemaking reflects the recordkeeping needs as agreed upon by the program offices that reviewed the rule according to the CRGR's April 17, 1985, reconnendation.

Prior <to the reorganization, the Offices of Nuclear Material Safety and Safeguards, Nuclear Reactor Regulation, Inspection and Enforcement, Nuclear

. Regulatory Research, Analysis and Evaluation of Operational Data, State  !

Programs, International Programs, and Investigation and the five Regional Offices concurred in this proposed rulemaking. The Office of the General Counsel. has no legal objection to its publication.

8905120108 870827 PDR REVGP NRCCRGR.

MEETING 119 PDC.

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The proposed rule would be issued for a 60-day public coment period.

If you or your staff have any questions concerning this proposed rulemaking, please' contact Brenda Shelton on extension 28132.

William G. Mcdonald, Director Office of Administration and Resources Management j

Enclosures:

1.. Notice of Proposed Rulemaking

2. Table of Proposed Changes to Record e Retention Periods

3. OMB Supporting Statement  !

~4 Letter from Dircks to DeMuth Program Office Certification of 5.

i Need for Recordkeeping '

Requirements i

1 DISTRIBUTION W. Mcdonald W. Magee M. Lesar S. Scott R. Smith B. Shelton I l

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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, L

please contact Brenda Shelton on extension 28132.

William G. Mcdonald, Director Office of Administration and Resources Management

Enclosures:

1. Notice-of Proposed Rulemaking

2. Table of Proposed Changes to Record Retention Periods

3. OMB Supporting Statement

4. Letter from Dircks to DeMuth S. Program Office Certification of

-Need for Recordkeeping Requirements DISTRIBUTION W. Mcdonald W. Magee M. Lesar S. Scott R. Smith B. Shelton s

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NUCLEAR REGULATORY COMMISSION j i

10 CFR Parts 4, 11, [217] 25, 30, 31, 32, 34, [357] 40, 50  !

! 60, 61, 70, 71, [7E], 73, 74, 75, 95, and 110 fand-1483 {

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Retention Periods for Records AGENCY: Nuclear Regulatory Commission.

ACTION: Proposed rule.

SUMMARY

The Nuclear Regulatory Commission proposes to amend its regulations as a result of a review of its recordkeeping requirements to determine current need for records and 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 proposed rule is expected to reduce the overall recordkeeping burden for NRC applicants and licensees by use of uniform and specific retention periods for each recordkeeping 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, D.C.

FOR FURTHER INFORMATION CONTACT: [R. Stephen Seett,] Brenda J. Shelton, Chief,

[information and Records, Boeument Management] Records Management Brancfi, Division of [ Technical and Boeument Eontroi] Information Support Services, Office of [information] Administration and Resources Management, [ Administration] U.S.

Nuclear Regulatory Commission, Washington, DC 20555, Telephone:

301-492-[8585]8132.

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SUPPLEMENTARY INFORMATION: The Nuclear Regulatory Commission's (NRC) [NREls]

regulations require that applicants 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 NRC has reviewed its recordkeeping require-ments to determine which records are needed and how long the records should be retained. This proposed rule reflects the results of this review. It amends (eedified] text in portions of Title 10, Chapter 1, of the Code of Federal Regulations as codified [of] on September 30, 1986. Part 20 was excepted; its many record retention requirements are proposed in a revision to Part 20 that was published for public comment in the Federal Register on December 20, 1985 (50 FR 51992) and republished on January 9, 1986 (51 FR 1092). [The-NRE-J recognizes-that-it-has published-and probabiy-wiii publish proposed-reies-that wenid-amend-some-of-the-same-sections-incieded-in-this proposed-reie-that-amer.ds

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nineteen parts---When-pebiished-as-a-finai-reie--the-text-wili-establish-eniform retention periods-for-ali-NRE-tecord-requirements-in effeet-as-of-that-date-]

Codification of these amendments and amendments in certain published proposed rules will establish uniform retention periods for all NRC recordkeeping requirements. NRC also intends to conform record retention requirements in future rules to the four uniform periods proposed in this rule.

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 [ nineteen] eighteen [ene] parts of Title 10 to require that [an-identitified] certain records in these parts be retained for [a] specific periods. 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.

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Regarding specific retention periods, with the exception of one [twe] six month retention period [s], at [10-EFR-34-25(e3-and] 10 CFR [YB-51(b)(33] 70.58(h), j uniform retention periods of three years, five years, ten years, or the life of l' the component, activity, area,.or facility are proposed to simplify the system for retaining NRC records. These particular four periods, although not ideal for every record retention requirement, seem to be the best choices for NRC record needs. Uniform periods were recommended to the NRC by the Nuclear Information and Records Management Association (NIRMA) [HRMA] based on the nuclear industry's input to NIRMA [NRMA]. Three of the These uniform periods coincide with the retention periods +^r quality assurance (QA) records in

' Parts 50 and 71; the fourth coincidts s 3 the retention periods for records such as those covered by technical spe .fications. Quality assurance records are categorized into non permanent 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 Procedures, superseded Purchase Orders) for ten years; and permanent records (e.g., Design Specifications, Structural Integrity Test Reports) for the life of the license. [These particciar-fear periods--aitheegh-net-ideai-for record-retentien requirement--seemed-to-be-the-best-choices-for-NRE-record needs-industry-currently-conforms-to-a-variety-of-codes-and-standards-that-reflect these-retention perieds-for-the-important-QA records--therefere--retentien periods-for-QA-records-are-not-included-in-this rule-]

With regard to technical specifications, the NRC recognizes that technical specifications for each nuclear power plant include record retention requirements that may, in some cases, differ from those proposed in this rule.

The requirements in this rule take precedence over and supersede any conflicting requirements presently in the technical specifications. Therefore, the Office of Nuclear Reactor Regulation (NRR) intends to issue .a generic letter that would provide guidance to licensees for revising their technical specifications to conform with the rule and would include model technical specifications to follow for achieving this conformance.

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An effort has been made to use consistent terminology with regard to paperwork throughout this multi part rule. For example, the term " retain" conveys the idea of keeping secure or intact and the term " maintain" continuing to preserve and update, in this case, a record. Consistency of terminology and specificity of recordkeeping requirements and retention periods should assist an NRC appli-cant or a licensee in complying with these requirements.

The proposed changes in this rule result in an overall reduction [ef] jn the recordkeeping burden imposed on the NRC applicant or licensee. Themajor reduction in burden results from proposing 139 specific retention periods,

[ ranging-from] primarily [ene] three years or the life of a license, for re-cords that now must be retained indefinitely. [The] This dajor reduction, plus four other reductions of retention periods by two years, offsets the pro-posed increase in retention periods for [4E] [35] 32 records; 20 cases by one year,10 cases by two years,1 case by two and one half years, and 1 case by three years.[and-1-case-by-four-and-ene-half years-] Based on staff's under-standing of current industry practices, the increases in retention would not impose any additional burden or could be readily accommodated within current equipment configurations and, therefore, would represent no appreciable in-crease in burden. A paragraph describing the form [of-a-record] and condition of a record acceptable to the NRC for review is proposed for [ fourteen] ten parts. These paragraphs are comparable to similar provisions currently in l

other parts of the NRC regulations. ,!

Specifying clearly in NRC regulations what records to retain, how long to retain them, and the condition of a record required for NRC inspection is mutually beneficial to the applicant or licensee and the NRC. 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. 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 Budget (OMB) review of the information collection requirements in each rulemaking. In addition, two documents on paperwork are being prepared for publication in the NUREG-series: one document will be based on Regulatory 4

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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] recordkeeping requirements [ identified-in the-first-document] contained in NRC regulations. These companion documents j

should be useful to an NRC applicant or a licensee.

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 L 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 [ nineteen] 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--3150-8035;] Part 25--3150-0046; Part 30--3150-0017; Part 31--3150-0016; Part 32--3150-0001; Part 34--3150-0007;

[Part-35--3150-8010;] Part 40--3150-0020; Part 50--3150-0011; Part 60--3150-0127; Part 61--3150-013S; Part 70--3150-0009; Part 71--3150-0008; [Part-72--3150-8132;]

Part 73--3150-0002; Part 74--3150-0123; Part 75--3150-0055; Part 95--3150-0047; Part 110--3150-0036. [Part-140--3150-8039.]

This proposed rule [-] [incinding-requirements-in-Partes 3-61] has been submitted to the Office of Management and Budget for review and approval.

REGULATORY FLEXIBILITY 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), and NRC Size Standards (50 FR 50241), the Commission hereby 5

-s a certifies that, if promulgated, 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 t1 any small entity are welcome.

APPLICATION OF BACKFIT RULE The Commission has determined that the backfit rule, 10 CFR 50.109, does not  !

apply to the proposed rule. The proposed rule is purely administrative in nature, and therefore does not result in the " modification of or addition -

to systems, structures, components, or design of a facility...or the proce-dures or organization required to design, construct, or operate a facility...".

See 10 CFR 50.109(a)(1).

1 The authority citation for this document is: Sec. 161, Pub. L.83-703, 68 Stat. 948, as amended (42 U.S.C. 2201); Sec. 201, Pub. L.93-438, 88 Stat. 1242, 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 adcpt the following amendments ,

to 10 CFR Parts 4, 11, [2b] 25, 30, 31, 32, 34, [35,] 40, 50, 60, 61, 70, 71,

[72,] 73, 7_4, 75, 95, and [and-149] 110.

LIST OF SUBJECTS Reporting and recordkeeping requirements. J PART 4 - NONDISCRIMINATION IN FEDERALLY ASSISTED COMMISSION PROGRAMS j

1. A new Q 4.5 is added to read as follows:

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'b i 6 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 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.

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2. In Q 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:

Q 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 it's 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 Q 4.3, whichever is shorter.

3. In 6 4.125, the introductory text of paragraph (d) is revised to read as follows:

Q 4.125 Reemployment inquiries.

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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, if not hired, from the date of application.

Each form must be accorded confidentiality as a medical record, except that:

4. In 9 4.127, the introductory text of paragraph (d) is revised to read as-follows:

5 4.127 Existing facilities.

s (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 DETERMINING ELIGIBILITY FOR ACCESS TO OR CONTROL OVER SPECIAL NUCLEAR MATERIAL 9 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 9 11.10 is added to read as follows:

H 11.10 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 9 11.13, paragraph (b) is revised to read as'follo~ws:

9 11.13 Special requirements for transportation.

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(a) ,

[(b}f1)--Eaeh-44eesisee-wher-865-days-afteP-Gemmissien-appPeval-ef-the-amended seeWP4ty-plan-sWbmitted-4n-aeeePdanee-w4th-6-livilfayy-tPanspePts-eP-dei 4vePs te-a-eaPPieP-feP-tPanspePt-speelal-RWeleaP-mateP4al-sWbjeet-te-the-phys 4eal preteetien-PequfPements-ef-fE-78,295-73,25,-73,26,-er-78,27-ef-this-ehapter shall-eenf4Pm-and-PeeePd-prier-te-shipment-the-name-and-spee4al-aweieaP-mateP4a4 aseess-au thePira tie n-numbeP-ef-a 44-4 md4 vidwals-4denti f 4ed-4 n-pa Pag Pa ph-f a)-e f tk4s-seetteR-assigned-te-the-sh4pments--Ihe-I4eensee-shall-Petain-this-PesePd fer-thPee-years-after-the-PeeePd-4s-made.

(2)--An-exeeptien-te-the-PeqwfPement-te-eenf4Pm-and-Peeerd-the-SSNM-assess autheP4ratten-numbeP-4s-pPevided-fer-any-4ndiv4dwal-empleyed-en-the-effeetive date-ef-these-amendments-aRd-net-yet-4n-Peee4pt-ef-an-appPeved-Beeess-aWtheP4ra 64en-fPem-the-Gemmissien,-pPevided-that-a-semplete-app 44 eat 4en-was-submitted feP-that-empleyee-4n-aseePdanee-with-E-14,13(al-and-the-app 14eatfen-has-net been-disappPeved.]

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fb)Eachlicenseewho,365daysafterCommissionapprovaloftheamended security plan submitted in accordance with S11.11(a), transports or delivers to a carrier for transport special nuclear material subject to the physical protection requirements of SS73.20, 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] last shipment is made.

However, the licensee need not confirm and record the special nuclear material access authorization number in the case of any individual for whom an application has been submitted and is pending before the NRC in accordance with paragraph (a) of this section.

[PART-El---REPORTIN6-OF-BEFEETS-ANB-NONEOMPEIANEE 8 -- In-S-Ei:51- paragraphs-(a3-and-fe)-are revised-to read-as-foliews:

S-El-51--Maintenance-of-records.

(a)--Esch-iieansee-of-a-faciiity-er-activity-subject-to-the reguistions-in this part shai"-maintain-such-records-in-cenriection-with-the-iieense-facility or-activity as-1ay-be-required-to-ensure-compliance-with-the-regulations-in this part:--Eac1-record-required-by-this part-mast-be-iegibie-throughout-the retention perie;i specified-by-each-Eemmrssion-regulation:--The-record-may-be the-originai-et-a-reproduced-copy or-a-microform provided-that-the-copy-or microferm-is-authu ticated-by-authorized personnei-and-that-the-microform-is capabie-of producing-a-ciear-copy-throughout-the-required-retention period:]

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• ________ ________*_________z_________*

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[f c3(13--Esch record-that-is prepared-oniy-for-the purpose-of-ensuring-cerrpiiance with-the-reguistions-in-this part-and-is-not-related-to-an evaluatien-er-a notification-to-the-Eemmission-may-be-destroyed-after-delivery-of-the-facility 1

er-component:

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' f2)--The-44eensee-shall-retain-eaeh-reeerd-that-4s-related-te-a-ne64ffeat4en

, er-evaluatien-of-a-defeet-un644-the-Gemmissien-terminates-eaeh-44eense-that autherfaes-the-fae444ty-er-aet4vity-that-4s-subjeet-te-the-reesedkeeping requirement.

• ___ .....*..___ ...*...-_____*.____ ...*] l PART 25 - ACCESS AUTHORIZATION FOR LICENSEE PERSONNEL 9 25.11 [ Amended]

8. Section 25.11 is amended by changing "two years" to "three years" in the last sentence.

[19r--Seet4en-25,43-4s-rev4 sed-te-read-as-fellews:]

9. In 6 25.13, the existing text is desigrated paragraph (a) and a new paragraph (b) is added to read as follows:

9 25.13 Records maintenance.

[fa)-Eaek-44eensee-er-erganfratien-empley4ng-4nd4viduals-appreved-fer-persennel seeurity-aseess-autheFinatten-under-this-part-sha14-ma4ntain-reeerds-as-pre seribed-within-the-partr--These-reeerds-are-subjeet-te-rev4eW-and-inspeetien by-NRG-representatives-during-seeurity-surveyse-The-44eensee-sha14-reta4R-eash reserd-fer-three-years-after-the-reeerd-4s-made-fer-inspeetten-by-the-Gemmiss4en.

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(b) Each record required by this part must be legible throughout the retention

[fer-the] period specified by each Connission regulation. The record may be the original or a rep-oduced 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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5-25.23 [ Amended]

, 10. 'In 6 25.23, the introductory text is amended by changing "one-year" to "three years" in the second sentence.

6 25.35 [ Amended]

11. In 6 25.35, the last sentence of the existing text is amended by changing "two years" to "three years."

PART 30 - RULES OF GENERAL APPLICABILITY TO DOMESTIC LICENSING OF BYPRODUCT MATERIAL

12. .In 6 30.34, paragraph (g) is revised to read as follows: --- c 5 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 is made.

13. In 6 30.51, paragraph (c) is deleted, paragraph (d) is redesignated (c),

and paragraphs (a) and (b) are revised to read as follows:

6 30.51 Records.

(a) Each person who receives byproduct material pursuant to a licens'e issued pursuant to the regulations in this part and Parts 31 through 35 of this l chapter shall keep records showing the receipt, transfer, and disposal of such l' byproduct material as follows:

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l (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 [f4ve] three years after each transfer unless a specific require-ment in another part of the regulations in this chapter dictates otherwise.

(3) The licensee who disposed of the material shall retain each record of di:posal 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. In 6 31.5, paragraph (c)(4) is revised to read as follows:

5 31.5 Certain measuring, gauging, or controlling devices.2 (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 2

Persons possessing byproduct material in devices under the general license in 6 31.5 before January 15, 1975, may continue to possess, use, or transfer that material in accordance with the requirements of 9 31.5 in effect on January 14, 1975.

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l names of persons performing, testing, installing, servicing, and removing [ai]

from the installation [eeneerning) radioactive material and its shielding or containment. The licensee shall retain these records as follows:

(1) 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 be retained for three years from the date of the rccorded event or until the device is transferred or disposed of. .-- c

15. A new 6 31.12 is added to read as follows:

6 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 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.

PART 32 - SPECIFIC DOMESTIC LICENSES TO MANUFACTURE OR TRANSFER CERTAIN ITEMS CONTAINING BYPRODUCT MATERIAL

16. A new 6 32.3 is added to read as follows:

5 32.3 Maintenance of records, j Each record required by this part must be legible throughout the retention I period specified by each Comission regulation. The record may be the original or a reproduced copy or a microform provided that the copy or microform is ,

14

m a ..

b  : .; s.

authenticated by authorized personnel'and that the microform is capable of producing a clear copy:throughout the required retention period. '

H PART 34 - LICENSES FOR RADIOGRAPHY AND RADIATION SAFETY REQUIREMENTS FOR

' RADIOGRAPHIC OPERATIONS

17. A'new 6 34.4 is added to read as follows:

6 34.4 Maintenance of records.

I

'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 . - _ _ c producing a clear copy throughout the required retention period.

6 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:

6 34.25 Leak testing, repair, tagging, opening, modification, and replacement of sealed sources.

(c) The leak test must be capable of detecting the presence of 0.005 microcurie of removable contamination on the sealed source. An acceptable leak test for sealed sources in the possession of a radiography licensee would be to test at the nearest accessible point to the sealed-source storage position, or other appropriate measuring point, by a procedure to be approved pursuant to i 9 34.11(f). Each record of leak test results must be kept in units of micro-i curies or disintegrations per minute (dom) and retained for inspection by the Commission for three years after it is made. [er-unt44-the-sealed-seuree-4s transferred-er-dispesed-efr]

15

I 1

.9 34.26- [ Amended]

20. Section 34.26 is amended by changing "two years" to "three years" in the last, sentence.

21. 'In 9 34.27, the introductory text is amended to read as follows:

6 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:

22. In'5 34.28, paragraph (b) is revised to read as follows: '

6 34.28 Inspection and maintenance of radiographic exposure devices, storage containers, and source changers.

(b) The licensee shall conduct 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 ensure proper functioning of components important to safety. The licensee shall retain records of these inspections and maintenance for three years.

/

23. In 5 34.29, paragraph (c) is revised to read as follows:

6 34.29 Permanent radiographic installations.

16

a

< )

i (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 1 licensee shall retain records of these tests for three years.

1

24. 'In Q 34.32, the introductory text is revised to read as follows: J l

9 34.32 Operating and emergency procedures. l 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 6 34.33, paragraphs (b) and (e) are revised to read as follows:

1 6 34.33 Personnel monitoring.

(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.

(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.

9'34,43-EAmended]

l

[36,--In-E-34,431-paragraph-fe)-4s-amended-by-ekang4Rg utwe-years 2-te 2three years 2-4n-the-last-sentense.]

17 o-_-_--- - -

i

[PART-35---WWMAN-WS E S-G F-B V P R G 9 W G T-MATE R I Al:

- 27,--A-new-5-3515-4s-added-te-read-as-fellews+- '

l 5-35,5--Maintenance-ef-reeerds Eaek-reserd-required-by-tk4s-par 4-must-be-leg 4ble-tkreugheut-the-retent(en per4ed-spee4ffed-by-each-Gemm4ss4en-regulatien,--The-reeerd-may-be-the er4ginal-ar-a-repredueed-espy-er-a-miereferm-prev 4ded-that-the-eepy-er

.miereferm-4s-authentaeated-by-auther4med-persennel-and-that-the-miereferm 4s-eapable-ef-predveing-a-elear-eepy-threugheut-tke-required-retentien I perfed, 28r--En-5-35r14 5 -paragraphs-fbtf4)f44}t-f5)f44),-f4v),-and-fvit-feff2)t --

i and-ff)fi)-and-f2)-are-revised-te-read-as-fellews+ j i

5-35,14--Spee4ffe-14eenses-fer-eertain-greups-ef-medieal-uses-ef i bypreduet-material.

l fb) f4) f44)--Befere-adm4n4stratien-te-patients,-eause-eash-elut4en-er-extraetfen ef-teeknetium-99m-frem-a-melybdenum-99/teeknetium-99m-generater-te-be tested-te-determine-e4ther-the-tetal-melybdenum-99-aet4v4ty-er-the-een-eentratien-ef-melybdenum-99r--The-testing-must-be-eendweted-aeeerding-te written-presedures-and-by-persennel-whe-have-been-speeff4ea44y-trained-te perferm-the-testr--The-14eensee-shall-Petain-a-eepy-ef-eureent-we4% tea preeedures-as-a-reeerd-unt4l-the-Gemm4ssien-terminates-eaeh-44eense-that auther(ses-the-aet4v4ty-that-4s-subfeet-te-the-reeerdkeeping-requirement and,-4f-ary-pertien-ef-the-preeedure-4s-supersededy-reta4n-the-superseded I mater 4al-fer-three-years-after-eaeh-ehanger l

l 18 E-_-____________--___--__--_______--_ _ _ _ _ _ _ - - - _ _ _ _ _ _ - _ - _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ _ _ - - _ . _ _ _ - - _ - _ _ _ _ _ _ _ - -

f5) f44)--Ensure-that-the-test-requ4 red-by-paragraph-fb)f5)f4)-ef-this-see-44en-4s-eapable-ef-deteeting-the-presenee-ef-9,996-miereewrie-ef-radie-aet4ve-mater 4al-en-the-test-sampler--The-test-sample-must-be-taken-frem the-seuree-er-frem-the-surfaees-ef-the-device-4n-Whfeh-the-sewree-4s pe rma ne n t ly-e r- s em 4 pe rma n e r t ly-me u n te d -e r- s t e re d-en -Wh 4 e h -e R e-m49 h t -eX pe e t eeRtaminat4en-te-aeewmulater--The-lisensee-shall-reeerd-the-resWits-ef eaeh-leak-test-4n-units-ef-miereewries-fer-4Rspeetien-by-the-Gemmissien aRd-retain-the-reserd-fer-three-years-after-44-4s-madet f4v)--FelleW-the-rad 4atien-safety-and-kand14Rg-4Rstewet4 ens-appreved-by the-Nuelear-Regulatery-Gemmissien-er-an-Agreement-State-aRd-furnished-by the-manufacturer-en-the-label-attaehed-te-the-seuree,-dev4eer-er-permanent eentainer-thereefy-er-4n-the-leaflet-er-breehure-that-aseempaR40s-the seuree-er-dev4eer-and-ma4Rta4R-the-4nstewet4en-in-a-legible-and-eenven-4ently-ava41able-fermr--The-14eensee-skall-retain-the-4Rstewetten-fer-Ethe 14fe-ef3-eaeh-seurse,-dev4ee,-er-permanent-eentainer-unt44-the-seureev-dev4ee v er-eesta4ner-4s-dispesed-eft (v)--Gendset-a-quarterly-physieal-4Rventery-te-aeeewnt-fer-all-seurees and-dev4ees-reeefved-and-pessessedr--Reeerds-ef-the-4Rventeries-must-be ma4nta4ned-fer-inspeetien-by-the-Gemmissien-and-must-4nelude-the-quant 4-44es-and-k4nds-ef-bypredwet-materfalv-leeat4en-ef-seurees-and-dev4ees, and-date-ef-the-4aventery,-The-14eensee-skall-reta4n-eaeh-reserd-ef-a qu a r te rly-phys iea l-4n ve nte ry- fe r-E f 4 ve 3- t h ree-yea rs-a f te r-the- rese rd- 4 s -made r l

fe) 19

f 7 .:

I

)

l 'f2)--The-leak-test-must-be-eapable-ef-deteeting-the-presenee-ef-0,995 miereewefe-ef-radfeastive-materfal-en-the-test-sampler--The-test-sample

, must-be-taken-free-the-sealed-seuree-er-frem-the-surfaees-ef-the-dev4ee ,

in-whfeh-the-sealed-seuree-4s-permanently-meunted-er-stered-en-Wh4eh eentaminatten-might-be-expeeted-te-aeewmulater--The-44eensee-shall-keep a-reeerd-ef-the-results-ef-eaeh-leak-test-4n-unfts-ef-m4ereewries-er-d4sintegra-tiens-per-minute-fer-inspeetien-by-the-Gemmiss4en-and-retain-the-reeerd-fer three-years-after-the-reeerd-4s-Mader ff}--Any-44eensee-whe-pessesses-and-uses-eal4bratien-and-reference seurees-pweswant-te-paragraph-fd)f4)-ef-this-seetien-sha41+

f1)--Fellew-the-radiatien-safety-and-hand 14Rg-4Rstrwet4 ens-appreved-by the-Atemie-Energy-Gemmissien,-the-Gemmissient-er-an-Agreement-State-and furnished-by-the-manufacturer-en-the-label-attaeked-te-the-seureey-er permanent-eentainer-thereefy-er-4n-the-leaflet-er-breehure-that-aeeem-panies-the-seurees-and-maintain-the-4nstruetien-in-a-leg 4ble-and-eenve-n4ently-ava44able-ferm,--The-14eensee-skall-retain-the-4nstPWetien-fer each-seuree-er-permanent-eentainer-unt44-the-seuree-er-eentainer-4s dispesed-ef, f2)--Gendwet-a-quarterly-phys 4eal-4Rventery-te-aeeewnt-fer-all-seurees reeefved-and-pessessed,--Reeerds-ef-the-4nventeries-must-be-maintained fer-4nspeetien-by-the-Gemm4ss4en-and-must-4ne4Wde-the-qwantities-and k4nds-ef-bypredwet-mater 4alv-leeat4en-ef-seurees,-and-the-date-ef-the i n v e n te ryr--The-14 e e n s ee- s h a H- re t a i n -ea e h - ree e rd -e f-a-q u a r t e r ly inventery-fer-Ef4ve3-three-years-after-the-reeerd-4s-mader 297--In-6-35r27 5-paragraph-fb)-4s-rev4 sed-te-read-as-fellews+

E-35,27--Reeerds,  !

20

@ e I (b3--The-iicensee shaii-retain-records-of-(13-spot-check-measurements and corrective-actions-under-S-35:22-and-(23-calibration-of-instruments-used-to make-spot-check-measurements under-S-35-23-for-ffive-]-three years-after compietion-of-the-spot . heck-measurements-and-corrective-actions:

BB:--Section-35:44-is-revised-to read-as-fellows: i S-35-44--Records-of-ali-misadministration:

Each-iieensee-shali-maintain-for-Eemmissien-inspection--records-of-aii misadministration-of-radiopharmaceuticais-or-radiation-from-teletherapy or-brachytherapy-sources:--These-records-must-contain-the-names-of-aii individuals-involved-in-the-event-finciuding-the physician--aliied-hesith personne4--the patient--and-the patienti s referring physician)--the patient's-sociai-security-number- a-brief-description of-the-event--the effect-en-the patient--and-the action-taken-to prevent-recurrence:--The iicensee-shali-retain-each-of-these-records-for-ten years-after-it-is mader]

PART 40 - DOMESTIC LICENSING 0F SOURCE MATERIAL

31. In S 40.26, paragraph (c)(2) is revised to read as follows:

S 40.26 General license for possession and storage of byproduct material as defined in this part.

• n n 1 (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 D to 10 CFR Part 20 of this chapter, or the Director, Office of [ inspection-and-Enforcement-] Nuclear Material Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, D.C. 20555, of any failure in a tailings or waste retention system that results in a release 21

l 1

of tailings or waste into unrestricted areas, or of any unusual conditions (conditions not contemplated in the design of the retention system) that if not corrected could lead to~ failure of the system and result in a release of tailings

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.

32. In S 40.35,. paragraph (e)(3) is revised to read as follows:

S 40.35 Conditions of specific licenses issued pursuant to 6 40.34.

~ ~ -

(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 products or devices for use pursuant to the general license provided in 6 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.

33. In S 40.61, paragraph (c) is deleted, paragraph (d) is redesignated (c;. and paragraphs (a) and (b) are revised to read as follows:

l l RECORDS, REPORTS, AND INSPECTIONS S 40.61 Records. '

l 22

e l

(a) Each per' son who receives source or byproduct material pursuant to a license issued pursuant to the' regulations in this part shall 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 [f4ve] three years following transfer or disposition of the source or byproduct material.

(2) The licensee who transferred the material shall retain each record of transfer or 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 ret,ain 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 I first-in-first-out), to make the records that are required by this Part 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.

34. In Appendix A to Part 40, I. Technical Criteria, the second para-graph of Criterion 8 and Criterion 8A are revised to read as follows:

Appendix A to Part 40 23

9 -6 I. Technical Criteria Criterion 8--

> Checks must be made and logged hourly of all parameters (e.g., differential pressures and scrubber water flow rates) that determine the efficiency of yellowcake stack emission control equipment operation. The licensee shall retain each log as a record for [f4ve] three years after the last 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 performance until needed corrective actions have been identified and implemented. 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 waste retention systems must be conducted by a qualified engineer or scientist and documented. The licensee shall retain the documentation for each daily inspection as a record for [f4ve]

three years after the documentation is made. The appropriate NRC regional i

24 .

l

1 office as indicated in Appendix D to 10 CFR Part 20 of this chapter, or the i Director, Office of [ Inspection-and-Enforcement] Nuclear Material. Safety and Safeguards, U.S. Nuclear Regulatory Commission, Washington, D.C., 20555, must i

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 1 l

any unusual conditions (conditions not contemplated in the design of the reten-tion system)'that if not corrected could indicate the potential or lead to l l

failure of the system and result in a release of tailings or waste into j unrestricted areas.

PART 50 - DOMESTIC LICENSING OF PRODUCTION AND UTILIZATION FACILITIES

35. In S 50.36, paragraphs (c)(1)(i)(A) and (B) and (ii)(A) and (B) and ~--

1 (c)(2) and (7) 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 upon important process variables that are found to be necessary to reasonably protect the integrity of certain of the physical barriers that guard against the uncontrolled release of radioactivity. If any safety limit is exceeded, the reactor must be shut down. The licensee shall notify the 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 recurrence. Operation 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 25

__________-______a

o ,

k l license for the reactor, except for nuclear power reactors licensed under 6 50.21(b) or 6 50.22 of this part. For these reacto,rs, the licensee shall notify the Commission as required by 6 50.72 and submit a Licensee Event Report to the Commission as required by 6 50.73. i (B) Safety limits for fuel reprocessing plants are those bounds within which I the process variables must be maintained for adequate control of the operation and that must not be exceeded in order to protect the integrity of the physical system that is designed to guard against the uncontrolled M ease of radioactivity. If any safety limit for a fuel reprocessing plant is exceeded, corrective action must be taken as stated in the technical specification or the 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 -

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 recurrence. If a portion of the process or the entire process has been shutdown, operation must not be resumed until authorized by the Commission. The licensee shall retain the record of the results of each review until the Commission termina+es the license for the plant.

I (11)(A) Limiting safety system settings for nuclear reactors are settings for ,

automatic protective devices related to those variables having significant safety functions. Where a limiting safety system setting is specified for a variable on which a safety limit has been placed, the setting must be so chosen that automatic protective action will correct the abnormal situation before a safety limit is exceeded. If, during operation, it is determined that the automatic safety system does not function or would not have functioned as required, the licensee shall take appropriate action, which may l include shutting down the reactor. The licensee shall notify the Commission, l review the matter, and record the results of the review, including t% cause of i

the condition and the basis for corrective action taken to preclude recurrence.

l The licensee shall retain the record of the results of each review until the Commission terminates the license for the reactor except for nuclear power 26

reactors licensed under Q.50.21(b) or 650.22 of this part. For these reactors, the licensee shall notify the Commission as required by 6 50.72 and submit a Licensee Event Report to the Commission as required by 6 50.73. Licensees in these cases shall retain the records of the review for a period of [eRe-yeaF) three years following issuance of a Licensee Event Report.

, (B) Limiting control settings for fuel reprocessing plants 6re settings for automatic alarm or protective devices related to those variables 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 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 recurrence. 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 operation are the lowest acceptable functional capability or performance levels of equipment required for [ safe] continued operation of the facility. When a limiting condi-tion for operation of a nuclear reactor is not met, the licensee shall shut down the reactor or follow any remedial action, [ permitted] such as action statements, required by the technical specifications until the cond'ition can be met. When a limiting condition for operation of any process step in the system of a fuel reprocessing plant is not met, the licensee shall shut down that part of the operation or follow any remedial action permitted by the technical specifications until the condition can be met. In the case of [eftheF] a nuclear reactor not licensed under 6 50.21(b) or 6 50.22 of this part or fuel reprocessing plant, the licensee shall notify the Connission, review the matter, and record the results of the review, including the cause of the condition and 1

27

f 4 the basis for corrective action taken to preclude recurrence. The licensee shall retain the record of the results of each revfew until the Commission terminates the license for the nuclear reactor or the fuel reprocessing plant.

In the case of nuclear power reactors licensed under 6 50.21(b) or 6 50.22, the licensee shall notify the Commission if required by 6 50.72 and shall submit a Licensee Event Report to the Commission as required by 6 50.73. In this case, licensees shall retain records associated with preparation of a Licensee Event Report for a period of [ene-yeaP] three years following issuance of the report.

For events which do not require a [14eense] Licensee Event Report, the licensee shall retain each record as required by the technical specifications.

(7) Written Reports. . _ _ _  ;

Licensees for nuclear power reactors licensed under 6 50.21(b) and 6 50.22 of this pa'rt shall submit written reports to the Commission in accordance with ,

6 50.73 of this part for events described in paragraphs (c)(1) and (c)(2) of this section. For all licensees, the Commission may require Special Reports as-appropriate.

36. In 6 50.36a, paragraph (a)(1) is revised to read as follows:

6 50.36a Technical specifications on effluents from nuclear power reactors.

(a)

(1) That operating procedures developed pursuant to 6 50.34a(c) for the control of effluents be established and followed and that equipment installed in the radioactive waste system, pursuant to 6 50.34(a), be maintained and used. The licensee shall retain the operating procedures in effect as a record until the Commission terminates the reactor license and [eaeh-ehange te] shall retain each superseded revision of the procedures for three years from the date [ef-the-ekange] it was superseded.

28

1 i

37. In 6 50.48, paragraph (a) is revised to read as follows:

i 6 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 to each of the'se positions to implement those responsibilities, and outline the plans for fire protection, fire detection and suppression capabili.ty, 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 . __ e manual fiie : 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 licensee shall retain the fire protection plan and each change to the plan as a record until the Commission terminates the reactor license [fer-the-RueleaF-peWeP-plaRt] and shall retain each superseded revision of the procedures for three years from the date it was superseded.

38. In 6 50.49, the introductory text of paragraph (d) is revised to read as follows:

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.

29

9 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-Peeerd-unt44-the-Gemm4ss4en-terminates the-14'ense-fer-wh4eh-the-f44e-was-established]

e in auditable form for the entire period during which the covered item is installed in the nuclear power plant or is stored for future use to permit verification that each item of electric . . _ _

equipment important to safety meets the requirements of paragraph (j) of this  ;

section.

39. In 6 50.54, paragraph (q) is revised to read as follows:

~

6 50.54 Conditions of licenses.

(q) A licensee authorized to possess and/or operate a nuclear power reactor shall follow and maintain in effect emergency plans [that] which meet the stan-dards in 6 50.47(b) and the requirements in Appendix E to this part. A licensee 4 authorized to possess and/or operate a research reactor or a fuel facility shall follow and maintain in effect emergency plans [that] which meet the requirements in Appendix E'[te] [ef] g 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 [sueh] the changes do not decrease the effectiveness of the l plans and the plans, as changed, continue to meet the standards of 6 50.47(b) and the requirements of Appendix E [te] [ef] g this part. The research reactor and/or the fuel facility licensee may make changes to these plans without 30

l l

Commission approval only if [sweh] these changes do not decrease the effective- )

ness of the plans and the plans, as changed, continue to meet the requirements f of Appendix E [te] [ef] t_o this part. The nuclear qwer 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] [shall] must not be implemented without appli-cation to and approval by the Commission. The licensee shall [fwFnisk-ene-eepy]

submit, as specified in 650.4, a report of each proposed change for approval.

[te-the-Admin 4strater-ef-the appropriate NRC Regional Office specified in

)

Append 4x-9-te-part-29-ef-this-ehapter-and-twe-eep4es-te-the-9eewment-Genteel Desky-WrSr-NueleaF-RegulatePy-Gemm4ssfeny-Washingten,-96-295551] If a change is )

made without approval, the licensee shall [furn4sh-ene-eopy to the Administrator ef-the-apprepF4 ate-NRG-Reg 4enal-9ff4ee-speeff4ed-4n-Append 4x-9-te-part-29-ef ._ .

this-ekaptep-and-twe-eep4es-te-the-9eewment-Gentrel-9esk,-WrSr-Nuelear Regulatery-Gemmissiens-Wash 4ngteny-96-29555-w4tk4n-80-days-after-the-ehange is-mader specified in s50.4, a report of each change within 30 days after the change is made.

i

40. In 6 50.71, paragraph (c) is revised to read as follows:

9 50.71 Maintenance of records, making of reports.

0 * * * * *

(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.

f 31 t

-41. 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. * * * *

• 4 i

III.I.3. * *

• f

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-reta4ned-by the-44eensee-as-a-Peeerd-fer-three-years-after-the-reper%-4s-eempleted-and , _ , _ _ <

ava44able-fer-NRG-rev4ew] [shall] must be available for NRC review and shall be retained as a record as specified in 6 III.[1] I.4 of this appendix.

PART 60 - DISPOSAL OF HIGH LEVEL RADIOACTIVE WASTES IN GE0 LOGIC REPOSITORIES

42. The 6 60.4 heading and the section are revised to read as follows:

9 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 Com.. ssion regulation. The record may 32

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.

)

43. In 9 60.71, paragraph (b) is revised to read as follows:

6 60.71 Records and reports.

(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 from the shipper through all phases of storage and disposal. DOE shall __ j retain these records [unt44-the-Geefss4en-term 4 Rates-the-14eense-fer-the l repes4teryr] in a manner that ensures their useability for future generations in accordance with 6 60.51(a)(2).

44. In 6 60.72, paragraph (a) is revised to read as follows:

G 60.72 Construction records.

(a) DOE shall maintain records of construction of the geologic repost-tory operations area [untfi-the-Gemissien-terminates-the-14eense-fer the-repes4tery.] in a manner that ensures their useability for future generations in [aeeedanee] accordance with 6 60.51(a)(2).

~PART 61 -- LICENSING REQUIRE.MENTS FOR LAND DISPOSAL OF RADI0 ACTIVE WASTE d-

45. In f 61.80 of Subpart G, paragraphs (e) and (f) are revised to read as follows:

f 33

_______________-___A

i Subpart G--Records, Reports, Tests, and Inspections l

'6 61.80 Maintenance of records, reports, and transfers.

I (e) Notwithstanding paragraphs (a) through (d) of this section, the licensee shall record the location and the quantity of radioactive. 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, andl Federal governmental agencies as ,

designated by the Commiss Mn at the time of license termination. ._

q (f) Following receipt and acceptance of a shipment of radioactive i 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 j 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]

i these records as required by paragraph (e) of this section.

PART 70 -- DOMESTIC LICENSING OF SPECIAL NUCLEAR MATERIAL

46. In 9 70.22, paragraphs (g), (h), (i), (j), and (k) are revised to read as follows:

34

m 9 70.22 Contents of applications.

(g)(1) Each application for a license that would authorize the transport l or delivery to a carrier for transport of special nuclear material in an amount specified in 9 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 99 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 9 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, ._ a 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 Planning Base, Licensee '

Planning Base, and Responsibility Matrix. The fifth category 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 [untfi-the-Gemissien-terminates-eaeh-14eense-ebta4 Red by-this-applieatien-er-any-applieatfen-fer-renewal-ef-a-14eenser] for [the) a period of three years [dur4Rg] following the date on which the licensee last (pessesses] possessed the appropriate type and quantity of special nuclear material reouiring this record under each 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 35 l

- _ _ - _ _ __ _ _ l

j . .

contained U-235) + 2.5 (grams U-233 + grams plutonium), other than a license I 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 isolt. tion zones, and must demonstrate how the applicant plans to meet the requirements of sf 73.20, 73.40, 73.45, 73.46, 73.50, 73.60, 73.70, and 73.71 of this chapter in the conduct of the activity to be licensed, incluJing the identification and description of jobs as required by 9 11.11(a) of this chapter.

Part II must list tests, inspections, and other means to demonstrate compliance with such requirements.

(2) The licensee shall retain a copy of this physical security plan and each change to the plan as a record [Wnt4I-the-Gemm4Ssien-tePm4 Rates-eash 14eense-ebtained-by-th4s-applieatfen-er-any-app 14 eat 4en-fer-renewal-ef-a 44Eenser] for [the] a period [dweing] of three years following the date on ___ a which the licensee last [pessesses] possessed the appropriate type and quantity of special nuclear material requiring this record unde'r each license.

(i) Each application for a license to possess and 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-eaeh-ehange-te-the-plan] as records until the Commission terminates 4 each license obtained by this application or any application for renewal of a license, and each change to the plan for three years after the date of the change.

(j)(1) Each application for a license to possess or use at any site or ,

contiguous sites subject to control by the licensee uranium-235 (con- l 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 3

Emergency plans shall contain the elements that are listed in Section IV,

" Content of Emergency Plans," of Appendix E to Part 50 of this chapter.

36

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 1 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 con-tingency 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 contingency plan. (The first four categories of information, as set forth in Appendix C to Part 73 of this chapter, are Background, Generic Planning Base, Licensee Planning Base, and Responsibility Matrix. The fifth category of information, Procedures, does not have to be submitted for approval.

(3) The licensee shall retain a copy of this safeguards contingency plan 4

[and-retain-each-change-to-the plan] as a record until the Ccmmission terminates each license obtained by this application or any application for renewal of a i license and retain each change to the plan as a record for three years after the date of the change .  !

(k) Each application for a license to possess or use at any site or 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 50 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-each-change-to-the plan-fer-three years-after-the-chance] as a record

[untii-the-Eemmissien-terminates-each-iieense-obtained-by-this-appliention-for renewai-of-a-iicense-] for the period during which the licensee possesses the appropriate type and quantity of special nuclear material requiring this record under each license and each change to the plan for three years after the change.

37

e 47.. 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 procedu es 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] three years after the portion is superseded.

48 In S 70.32, paragraphs (c)(2), (d), (e), and (g) are revised to read as follows:

S 70.32 Conditions of licenses.

• x * *

(c) * * *

(2) The licensee shall maintain records of changes to the material control and accounting program made without prior Commission approval, for [a-period of three years from the effective date of the change], after they are super-I seded and shall furnish to the Director, Office of Nuclear Material Safety and 1

l 38 L - - - - - - - _ - - - _ - _ _ _ _ _ _ _ _

, a i

Safeguards, U.S. Nuclear' Regulatory Commission, Washington, D.C. 20555, with a copy to the appropriate NRC Regional Office shown in Appendix A to Part 73 of this chapter, a report containing a description of each change withint n * * * *

(d) The licensee 'shall make no change which would decrease the effectiveness of the plan for physical protection of special nuclear material in transit pre-pared pursuant to S 70.22(g) or S 73.20(c) of this chapter without the prior approval of the Commission. A licensee desiring to make such changes shall sub-mit an application for a change in the technical specifications incorporated in his or her license, if any, or for an amendment to the license pursuant to S 50.90 or S 70.34 of this chapter, as appropriate. The licensee'ma'y make changes to the plan for physical protection or special nuclear material without prior Commission approval if these changes do not decrease the effectiveness of '-

the plan. The licensee shall retain a copy of the plan [and-each-change-te the pian] a record for the period during which the licensee pos'sesses a formula quantity of special nuclear material requiring this record under each license and each change to the plan for three years from the effective date of the change. A report containing a description of each change saall be furnished the Director of Nuclear Material Safety and Safeguards, U.S.' Nuclear Regulatory Commissiop, Washington, D.C. 20555, with a copy to the appropriate NRC Regional Office shown in Appendix A to Part 73 of this chapter within two months after the change. [Eemmencing-en-February-9--19837-iieensees-in-Regions-i-and-ff; and-commencing-en-Beteber-i--1983--iicensees-in-aii-regions-shail-fatnish-the report-required-by-this paragraph-to-the-Regionai-Administrator-of-the-appre-priate-NRE-Regionai-Office-specified-in-Appendix-A-to-Part-73-of-this-chapter-with-a copy-to-the-Birector-of-Neeiear-Materiai-Sefety-and-Safegeards-(e) The licensee shall make no change which would decrease the effectiveness of a security plan prepared pursuant to SS 70.22(h), 70.22(k), or 73.20(c) with-out 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 with-out prior Commission approval, [ retain these reeerds for a period of] for three years from the effective date of the change, [after-they-are-seperseded] and 39

m .,

I I shall furnish to the Director, Office of Nuclear Material Safety and Safeguards, U.S.

Nuclear Regulatory Commission, Washington,.D.C. 20555, with a copy to the appropriate NRC Regional Office shown in Appendix A to Part 73 of this chapter,-

a report containing a description of.each change within two months after the change is made.

(g) The licensee shall prepare and maintain safeguards contingency plan pro-cedures in accordance with Appendix C to Part 73 of this chapter for effecting the actions and decisions contained in the Responsibility Matrix of its safe-guards contingency plan. The licensee shall retain a copy of the safeguards contingency plan procedures [and-each-change-tothe procedures] as a record

[untii-the-Eemmission-terminates each-license] for the period during which the' licensee possesses the appropriate type and quantity of special nuclear material '---

requiring this record under each license for which the procedures were developed and each change to the plan for three years from the effective date of [the] the change. The licensee shall make no change that would decrease the safeguards effectiveness of the first four categories of information (Background, Generic Planning Base, Licensee Planning Base, and Responsibility Matrix) contained in any licensee safeguards contingency plan prepared pursuant to 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 appiica-tion 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 licensee shall maintain [a record of] each change to the plan made without prior approval [until-the-6emmission-terminates-the-ficense-requiring the pian] as a record during the period for which pussession of a forr.ula quantity of special nuclear material is authorized under a license and retain the superseded material for three years from the effeptive date of the change and 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 Safeguards.

40

49. In 9 70.42, paragraphs (d)(1), 12), (3), (4), and (5) are revised to read as follows:

6 70.42 Transfer of special nuclear naterial.

(d)

(1) The transferor may have in his or her possession, and read, a current copy of the transferee's specific license or registration certificate. The trans-feror shall retain a copy of each license or certificate for [f4ve] three 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-ficate to receive the type, form, and quantity of special nuclear material to i be transferred, specifying the license or registration certificate number, issuing agency, and expiration date. The transferor shall retain the written certification as a record for [f4ve] three years from the date of receipt of the certification; (3) For emergency shipments the transferor may accept oral certification by the transferee that he or she is authorized by license or registration certificate to receive the type, form, and quantity of special nuclear material to be transferred, specifying the license or registration certi-ficate number, issuing agency, and expiration date, provided that the oral certification is confirmed in writing within ten days. The transferor shall retain the written confirmation of the oral certification for [f4ve] three years from the date of receipt of the confirmation; (4) The transferor nay 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] three years from the date that it was obtained; or l 41 l

(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 [f4ve] three years fror the date the record is made.

e

50. In 9 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).

5 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-l fied by the appropriate regulation or license condition. If a retention period is not otherwise specified by regulation or license condition, the licensee shall retain the record until the Commission terminates each license that authorizes the activity that is subject to the 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 [f4ve] three years following transfer of such material. The-14eensee-sha44-retain-eaeh-reserd-ef-4nventery-te-demen-strate-eemp44anee-with-paragraph-fh)-ef-E-70,68-as-leng-as-the-44eensee-Peta 4Rs 42 I

possess 4en-ef-the-materfal-and-fer-f4ve-three-years-after-transfer-er-dispesal ef-any-mater 4 air (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 [f4ve] three years after it is made.

(6) Each record of disposal of special nuclear material must be retained until the Commission terminates each license that authorizes the activity that is subject to the recordkeeping requirement. _

(c) Each licensee who is authorized to possess at any one time special nuclear material in a quantity exceeding one effective kilogram of .___ c special nuclear material shall establish, maintain, and follow written material control and accounting procedures that are. sufficient to enable I the licensee to account for the special 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 the ,

material and retain any superseded portion of the procedures for three years after the portion is superseded.

(e)

(1) Maintain procedures that include items listed in paragraphs (e)(1)(1),

(ii), (iii), (iv), (v), (vi), and (vii) of this s'ection and retain each record required in these paragraphs for [f4ve] three years after the record is made.

l l

43 i

.-_-___________-_______-____-D

.(f) *' * *

(2) i

-(v) Documentation in compliance with the requirements of paragraphs l (f)(2)(1), (ii), (iii), and (iv) of this section. Each record documenting compliance with these requirements must be retained for three [f4ve] years after it is made.

l

51. In 9 70.57, the introductory text of paragraph (b) and paragraphs (b)(2),

(3), (4), (6), (7), (8), (11), and (12) are revised to read as follows:

. . . _ - c Q 70.57 Measurement control program for special nuclear materials control and accounting.

[fb)- *- *- *]

(b) In accordance with 6 70.58(f), each licensee who is authorized to possess at any one time and location strategic special nuclear material, or special nuclear material of moderate strategic significance, in a quantity exceeding one effective kilogram and to use such special nuclear material for activities other than those involved in the operation of a nuclear reactor licensed pursuant to Part CJ of this chapter, those involved in a waste disposal operation, or as '

sealed sources, shall establish and maintain a measurement control program for j special nuclear materials control and accounting measurements. Each program function [shall] must be identified and assigned in the licensee organization in accordance with 6 70.58(b)(2), and functional organizational relationships

[shal4] must be set forth in writing in accordance with 6 70.58(b)(3). The program [shall] must be described in a manual which [skall-eentain] contains the procedures, instructions, and forms prepared to meet the requirements of this paragraph, including procedure; for the preparation, review, approval, 44

1 and prompt dissemination of any program modifications or changes. The licensee shall retain the current program as a record until the Commission 1 terminates the license authorizing' possession of the nuclear materials.

The licensee's program shall include the following: i I

\

l 1

(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 ._ m 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] three years after the record is made.

(3) The licensee shall ensure that any person who contracts to perform materials control and accounting measurement services conforms with applicable requirements of paragraphs (b)(4) through (8) and (10) through (12) of this section. Conformance must include reporting by the contractor of sufficient error data to allow the licensee to calculate bias correc-tions and measurement limits of error. All statistical studies must be reported or references in the measurement report submitted to the licensee, l

who shall have access to the contractor's supporting control data. The licensee shall perform reviews to determine the adequacy of the contractor's l program and audf ts to verify conformance with all aspects of the program.

l Reviews and audits'must be performed at intervals not to exceed 12 months.

l l 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 [f4ve]

three years after the record is made.

l 45

~ .

(4)-In order to ensure that potential sources of sampling error are identified .

and that samples are representative, process and engineering tests [shall] must be performed using well characterized materials to establish or to verify the applicability of existing procedures for sampling special nuclear materials and for maintaining sample integrity during transport and storage. [The lieensee-shall-reserd-the-pueeess-er-equipment-used-te-maintain-sample integetty-and-skall-retain-these-resseds-fer-three-years-aftep-the-44fe-ef the-preeess-er-equ4pment, The Licensee shall record the results of the above process and engineering tests and shall maintain those results as a record for as long as that sampling systems is in use and for three years 1 following the last such use. The program [shal4] must ensure that such procedures are maintained and followed, and that sampling is included in the procedures for estimating biases, limits for systematic errors, and random error variances.

.--- e (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 operation of each system. These analyses and evaluations must be repeated whenever a significant change is made in any component of a system. The licensee sh,all 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 shall retain as a record the results of personnel qualification or requalifica-tion for three years after the record is made.

l (8) The program [shall] must generate current data on the performance of measuring processes, including, as appropriate, values for bias corrections l and their uncertainties, random error variances, limits for systematic errors, and other parameters needed to establish the uncertainty of measurements per-taining to materials control and accounting. The program data [shall] must 46

i reflect the current process and measurement conditions existing at the time the control measurements are made. The licensee shall record this data'and retain this record for [five] three years after the record is made. Measurements which are not controlled by the program [shali] may not be used for materials control or for accounting proposes. The program shall include:

{

(11)(i) The licensee shall establish and maintain a statistical control system, l including control charts and formal statistical procedures, designed to monitor the quality of each type of program measurement. The licensee shall retain a copy of the current statistical control system [and] [each-change-to-the-system] as a record until the Commission te, dnates each license that authorizes possession of the material that the system affects and shall retain copies of such system documents for previous inventory periods as a record for three years after they -

are replaced .

(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 investiga-tions and actions and retain each record for [five] three years after the record is made. Whenever the control data exceed the 0.001 control limits, the mea-surement 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.

(iii3--The-ficensee-shali previde-a-records-system-in-which-aii-data;-informa-tion;-reports;-and-documents generated-by-the-measurement-centroi program-must be-retained-for-five years;-except-for-these-records pertaining-to-the-training and qualification-of personnei-who perform measurement-activities pursuant-to S-70:57(b3(73---These-records-mast-be-retained-for-three years-(12) 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] three years. Records [ identified-in-S-70:57(b3(11)(iii3 must include a summary of the error data utilized in the limit of error cal-ulations performed for each material balance period. The records system must 47

' be organized for efficient retrieval of pro' gram 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.

. 52. In 9 70.58, paragraphs (b)(3), (e), (f), (h), and (j) and the introductory text of paragraphs (1) and-(k) are revised to read as follows:

5 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 direc-tives, instructions, procedure manuals, etc. This documentation must include position qualification requirements,and definitions of authorities, respon-sibilities, 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,

}

l U-233, or plutonium each; and reactor-irradiated fuels involved in research,

., 48 l

- _ _ _ _ -_ _ _ __ - __O

development, and evaluation programs in facilities other than irradiated-fuel reprocessing plants. The system must be described in writing and provide for sufficient measurements to substantiate the quantities of element and isotope measured and the associated limits of error. The licensee shall record the required measurements and associated limits of error and shall retain [the]

any record associated with this system for [f4ve] three years after the record is made.

(f) A program must be established, maintained, and followed pursuant to 9 70.57(b) for the continuing determination and control of the systematic and -

random errors of measurement processes at a level commensurate with the require-ments of 9 70.51(e)(5). The licensee shall retain each completed record ,

required by the program for [five] three years after the record is made.

. . _ _ i (h) A system of storage and internal handling controls must be established, maintained, and followed to provide current knowledge of the identity, quantity, and locatjon of all special nuclear material contained within a plant in discrete items and containers. The licensee shall include procedures as specified in 9 70.51(e)(1) and retain any record associated with the procedures for

[f4ve-years] six months 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:

(j) Physical inventory procedures must be established, maintained, and followed so that special nuclear material balance and their measurement uncertainties 49

s. ,

I can'beidetermined on the basis of measurements in' compliance with the material balance and inventory requirements and criteria specified in 9 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 procsdures and, if any portion of the procedures is super-seded.. retain the superseded portion for three years after each change. 1 (k) A system of records and reports must be established, maintained, and followed that will provide information sufficient to locate special nuclear j material and to close a measured material balance around each material balance area and the total plant, 'as specified in 9 70.51. As required by 9 70.51, the licensee shall retain the records associated with this system for five three years after the records are made. This system shall include:

53. In 9 70.60, paragraph (a) is revised to read as follows:

9 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 agreement,as a record for three years after completion of the well-logging operations that are the subject of the agreement.

I PART.71 - PACKAGING AND TRANSPORTATION OF RADI0 ACTIVE MATERIAL p

54. In 9 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:

9 71.1 Communications and records.

(a) 50

L l t

l (b) Each record required by this part,must be legible throughout the  ;

retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform provided that 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.

55. Section 71.91 is revised to rehd as follows:

9 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 6 71.10, 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.

51

. n (b) _ The licensee shall make available to the Commission for inspection,-  ;

upon reasonable notice, all records required by this part. Records I 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 i' evidence o'f the quality of packaging. The records to be maintained 1 include results of the determinations required by 9 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, I 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.

56. In Q 71.97,-para' graphs (c)(4),(e), and (f)(2) are revised to read ,

as follows:

6 71.97 Advance notification of shipment of nuclear waste.

(c)

(4) The licensee shall retain a copy of the notification as a record for three years.

(e) Revision notice. A licensee who finds that schedule information previously furnished to a governor or governor's designee in accordance with this section will not be met, shall telephone a responsible individual in the office of the governor of the State or of the governor's designee and inform that individual of the extent of the delay beyond the schedule 52

originally reported. The l'icensee shall maintain a record of the name of the individual; contacted for three years.

'(f)' * * *

' (2) -The licensee shall state in the notice that it is a cancellation

, and shall identify the advance notification which is being' cancelled.

' The licensee shall retaia a copy of the notice as a. record for three years.-  !

f 57. In.9 71.101, paragraph (b)isrevisedtoreadasfollows:

i Subpart H-Quality Assurance

j.

r 9 71.101 Quality assurance requirements.' . . , _ ,

, l (b) Each licensee shall establish, maintain, and execute a quality assurance program satisfying each of the applicable criteria of 99 71.101 through 71.137 of this subpart and satisfying any specific provisions that are applicable to the licensee's activities, inclnding 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.

58. In 9 71.105, paragraph (a) is revised to read as follows:

9-71.105 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 99 71.101 through 71.137 of this subpart. The licensee shall document the quality assurance 53

I L

program by written procedures or instructions.and shall carry out the program in accordance with those procedures throughout the period.during which packaging is used. The 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.

59. Section 71.135 is revised to read as follows:

5 71.135 Quality assurance records.

The licensee shall maintain sufficient written records to describe the activities affecting quality. The records must include the instructions, -- <

procedures, and drawings required by 5 71.111 to prescribe quality assurance activities and must inclugle closely related specifications such as required qualifications of personnel, procedures, and equipment.

The records must include the instructions or procedures whch 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.

[PART72-6EGENSING-REQUIREMENTS-FOR-TWE-STORAGE-9F-SPENT-FUE6-IN-AN INDEPENDENT-SPENT-FWE6-STORAGE-INSTA66ATION 69r--In-5-72,385-paragraph-fe-)-4s-Pevised-te-read-as-fellews+

5-72rBB--64eense-eend4tiens.

54

- _ _ _ _ _ _ _ _ _ _ - - _ A

.(e)--The-14eensee-shall-make-ne-ehange-that-weWid-deerease-the-e(fee 44veness ef-the-physical-see urity-plan-prepa red-pu rsuant-te-t-72,81-ef-this-pa rt .

witheut-the-prier-appreval-ef-the-Gemmissien,--A-44eensee-des 4p4Rg-te-make 3 sueh-a-ehange-shall-submit-an-applieat4en-fer-an-amendment-te-the-44eense pursuant te's 72.39 ef-th4s-Part- . A 14eensee may make ehanges te the physieal seevrity plan witheut prier Gemmissien appreval, previded that sueh ehanges de net deerease the effeettveness of the plan. The 14eensee shall furnish te the I Gem issten a repert eentaining a deseriptish of eaek ekange within twe menths after the ehange is made, and shall retain reeepds-ef eha'nges-te-the a eepy  ;

ef the eurrent plan, made witheut prier Gemmissien appreval, ineluding the mest ,

1 reeent ekanges, during the perfed few whfek pessessien of the material is i autherfred under the lieense. fer-a-perfed-ef-three-years-frem-the-date-ef the-ehange.

q

61. En f.72.51, paragraphs (b) and fe) are revised te read as fellews:

E 72.61 Material balanee, inventery, aRd reeerds requirements few stered materials.

(b) Eaeh ifeensee shall eenduet a physieal inventery ef all spent fuel in sterage at intervals net te exeeed twelve menths unless etherwise direeted by the Gemmissien. The lieensee shall reta4n a espy ef the eurrent inventery as a reeerd until-the-Gemm4ssien-terminates-the 14eense-fer-the-installatten, as leng as the 14eensee pessesses the material and fer three years fellewing d4spesitfen of the mater 4al.

fe) Eaeh lieensee shall establish, maintain, and fellew written material eenteel and aeeevnting preeedures that are suffiefent te enable the 44-eensee te aeeevnt fer the spent fuel in sterage. The 14eensee shall retain a espy ef the ewPrent material eenteel and aseeunting preeedures until the Gem issten terminates the lieense fer the installatten and all l superseded preeedHres fer three years.

55  ;

k E *: * * * *

62. In f F2.55, paragraph.fe) is revised te read as fellews:

5 72.55 9ther reeerds and reperts.

fe) Reeerds that are required by the regulattens in this part er by the 14eense eendittens must be maintained few the per?ed speefffed by the-appreppfate regulatten er lisense eenditien. If a retentfen per4ed is net etherwise spee4ffed, these reeerds must be maintained until the Gemmissien terminates the [4nstallatten] 14eense.

63. En f 72.62, paragraph (b) is revised te read as fellews:

f'72.62 Design basis external natural events.

(b) Reeerds of the esewerenee and severity of these 4mpertant natural phenemena must be eelleeted few the regien and evaluated fer reliabfifty, aeeuraey, and eempleteness. The lieensee shall retain these reeerds untti the Gemmissten terminates issues the 14eense fer the insta11atten.

64. Seetien 72.81 ef Subpart H is revised te read as fellews:

Subpart W--Phys 4eal Preteetten f 72.81 Physieal seewrity plan.

0 56

The 14eensee shall establish a plan for detailed seeurfty measures'fer-phys 4eal preteetfen. The-14eensee shall retain a espy of the everent plan as a reeerd unt44 the:Gemmissien terminates the 4nstallatten 14eense for whfeh the preeedures were develeped and,- 4f any pert 4en ef the plan is superseded, reta4n the superseded material fer three years'after eaeh ehange.

Part & must demonstrate how the applieant plans te eemply with the applieable requirements of Part 73'ef this ehapter and during transpertatien te and'frem the prepesed ISFSI and shall (nelude the design fer phys 4eal preteetien and the 14eensee's safeguards eentingeney plan and guard trefning plan. Part El must 14ss tests, inspeetiens, audits, and ether means te be used te demonstrate eemplianee w4th sweh requirements.

66. In f 72.83, paragraph (b) is revised te read as fellews:

- ,' y 6 72.83 Safeguards eentingeney plan. ,

fb) The 14eensee shall prepare and maintain safeguards eentingeney plan preeedures in aeeerdanee with Appendix G te Part 73 ef this shapter fer effeeting the aettens and deefsfens eentained in the Responsibility Matr4x ef the lisensee's safeguards eentfegeney plan. The 14eensee shall retain a eepy of the eurrent preeedures as a reeerd unt44 the Gemmissien terminates the installation lieense.fer whfeh the preeedures were develeped and, if any pertien ef the preeedures is superseded, retain the superseded material fer three years after eaeh ehange.

66. In 6 72.84, paragraph (b) 4s revised te read as fellows:

E 72.84 Ghange te phys 4eal seewrity and safeguards eentingeney plans.

l

+ * * * *

(b) The 14eensee may, without prier Gemmissien appreval, make ehanges te the physieat seevefty plan er the safeguards eentingeney plan, if the ehanges de not deerease the safeguards effectiveness of these plans. The 14eensee shall 57

Petain reeerds of ehanges te any sweh plan made witheut prier appreval fer a perfed of three years frem the date of the ehange and shall furnish te the Direeter of Nwelear Material Safety and Safeguards, W.S. Nuelear Regulatery i GemmissieR, Washingen, 9.G. 20555, w4th a espy te the appreppiate NRG l Regienal Offiee speefffed in Append 4x A te Part 73 ef this ekapter, a repert eentaining a deserfptfen of eaek ekange within twe' months after the ehange is made.]

PART 73 - PHYSICAL PROTECTION OF PLANTS AND MATERIALS l 1

67. In 9 73.24, paragraph (b)(1) is revised to read as follows.

5 73.24 Prohibitions.

(b)

(1) The licensee shall confirm and log the arrival at the final destination of each individual shipment and retain the log for [f4ve] three years from the date of the last entry in the log. The licensee shall also schedule shipments to ensure that the total quantity for two or more shipments in transit at the same time does not equal or exceed the formula quantity, or l 68. In 9 73.25, the introductory text to paragraphs (b)(3) and (c)(1) are revised to read as follows:

l 6 73.25 Performance capabilities for physical protection of strategic special nuclear material in transit.

(b)

I 58

(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 procedures required in paragraphs (b)(3)(i) and (ii) of this section as a record [entii-the-6emmission-terminates] for three years after close of [the]

period [dering-which-the] licensee possesses [the-appropriate-type-and quantity of] special nuclear material [ requiring-this-record] under each license for which the procedures were developed and, if any portion of the procedures is superseded, retain the superseded material for three years after each change.

(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

[untii-the-6emmission-terminates] for three [ periods] years after close of [the]

period [dering-which-the] licensee possesses [the-appropriate-type and quantity of] special nuclear material [ requiring-this-record] under each license for which the procedures were developed and, if any portion of the procedures is super-seded, retain the superseded material for three years after each change.

l

69. 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.

59

(c)

(1)

(ii) The shipment shall be protected at all times within the geographical limits of the United States as provided in this section and is 73.25 and 73.27.

The licensee shall retain each record required by these sections [wRt44-the GemmissieR-tePm4 Rates) for three years after Close of [the] period [dWF4Rg whfeh-the] licensee possesses [the-apprepF4 ate-type-and-quant 4ty-ef] special nuclear material [Fequir4Rg-this-FeeeFd] under each license authorizing the licensee to ship this material, and superseded material for three years after each change.

(2) A licensee who exports a formula quantity of strategic special nuclear . . . _ _  ;

material shall comply with the requirements of this section and 69 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 [wRt44-theGemmiss4eR-term 4 Rates] for [the] three years after close of period [ dup 4Rg-whfeh-the] licensee possesses [the-appre-pp4 ate-type-aRd-qWaRt4%y-ef] special nuclear material [PeqW4F4Rg-th4s-PeeePd]

under each license authorizing the licensee to export this material, and superseded material for three years after each change.

(d)

(3) The licensee or the licensee's agent shall establish, maintain, and follow a written management system to provide for the development, revision, imple-mentation, and enforcement of transportation physical protection procedures.

l The licensee or the agent shall retain as a record the current management system

[uRt41-the-Gemmiss4eR-term 4 Rates] for [tke] three years after close of period l [ dup 4Rg-wh4eh-the] licensee possesses [the-appreppfate-type-aRd-quart 4%y-ef]

I special nuclear material [requ4p4Rg-this-reserd] under the license for which the system was developed and, if any portion of the system is superseded, retain the superseded material for three years after each change. The system shall include:

60

L (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 in accordance with Appendix B, 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 assignad 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 licensee or the agent shall retain [this] documentation of the initial qualification for the term of employement and [dece] documentation of each requalification as a record for three years [after] from the date of the requalification.

q (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 radiological sabotage related to strategic special nuclear material in transit subject to the pro-visions 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-elan] as a record for three years after close of period licensee possesses special nuclear material under each [untii] [the-6emmissien-terminates l each] [the] license for which the plan is used [ expires-er-is-revoked] and superseded material for three years after each change. '

70. 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.

61

(b)

(2) Include and retain a copy of current procedures for coping with circum-stances that threaten' deliberate damage to a spent fuel shipment and with other safeguards emergencies,as a record [until-the] [Gemmissienterminates-eaeh] for three years after close of period licensee possesses special nuclear material

.under each license for which the procedures were developed [ expires-er-4s Peveked] and, if any portion of the procedures is superseded, retain the superseded material for three yaars after each change.

(3) Include instructions for each escort and retain c copy of the current instructions as a record [until-the]-[Gemm4ss4en-terminates-eaeh] for three years after close of period licensee possesses special nuclear material under each. license that authorizes the activity that requires the instruction

[exp4 Pes-ep-4s-reveked] and retain any superseded material for three years . . , _ _

after each change. The instructions 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 i

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 information 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.

71. In f 73.40, paragraphs (b), (c)(2), and (d) are revised to read as i follows:

5 73.40 Physical protection: General requirements at fixed sites.

l 62 ,

( - - - - - - _ - - _ - - - _

(b) Each licensee subject to the requirements of 69 73.20, 73.45, 73.46, 73.50, 73.55, or 6 73.60 shall-prepare a safeguards contingency plan in accordance with the criteria set forth in Appendix C to this part. The licensee shall retain the current plan as a record until the Commission terminates the license for which the plan was developed and, if any portion of the plan is superseded, retain the superseded mTterial

-for three years after each change. The safeguards contingency plan shall 3 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 Part 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 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 l after each change, and l

l I Licensees subject to 9 73.55 may modify their physical security plans to 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 requirement for a contingency plan.

t I

63

1 (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 recommendations for improvements shall 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.

72. In 9 73.46, paragrapht, (b)(3)(1), (b)(4), (d)(3), (d)(10), (d)(13),

(h)(1), and (h)(2) are revised to read as follows:

5 73.46 Fixed site physical protection systems, subsystems, components, and procedures.  !

(b)

(3)

(i) Written security procedures that document the structure of the security organization and detail the duties of guards, wrtchmen, 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; 64

(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 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.

(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-i 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 65

access to material processing and storage areas. The licensee shall retain the recordsof these findings for three years after the record-is made.

(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 b :d

to indicate that an escort is required. In addition, the individuas f^ 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] three years after the last entry is made in the log.

~-

(h)

(1) The licensee shall have a safeguards contingency plan for dealing with threats, thefts, and radiological sabotage related to the strate 0ic special nuclear material and nuclear facilities subject to the provisions of this section. Safeguards contingenc* nlans must be in accordance with the criteria in Appendix C to this part, " Licensee Safeg'uards 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 until the Commi_ssion terminates the license and, if any portion of the plan is superseded, retain the superseded material for three years after each change.

(2) The licensee shall establish and document res w. e 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 arrangement and, if any t.rrangement is supersaded, retain the superseded material for three years after each change.

66

p <

73.-Inl'73.50, paragraphs (a)(3)and(4),(c)(5),and(g)(1)ana(2) are revised to read as follows:

9 73.50 Recairements for physical protection of licensed activities.

-(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 . __ c for security. The licensee shall retain a copy of the current procedures as a record until the Commission terminates each license for which the procedures were developed and, if any portion of the procedures is super-seded, retain the superseded material for three' years after each change.

(4) The' licensee shall not pe'mit r 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 l' to perform each assigned security job duty in accordance with Appendix B,

" General Criteria for Security Personnel," to this part. Upon the request l 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 l

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.

i 67

-]

)

^

(c)

(5) Individuals not employed by the licensee must be escorted by a watchman, or other individual designated by the licensee, while in a protected area and must be badged to indicate that an escort is required. In addition, the licensee shall require that each individual not employed by the licensee register his or her name, date, time, purpose of visit, employment 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 frequent and extended access tc 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 . _ _ c 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 acesss has been authorized.

(g) Response requirement. (1) The licensee shall have 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. Safegw rds contingency plans must be in accordance with the criteria in Appendix C to this part, " Licensee Safeguards Contingency Plans."

The licensee shall retain a copy of the plan and each change to the plan as a record until the Commission terminates each license for which the plan was developed and retain the superseded materials for three years after each change.

(2) The licensee shall establish and document liaison with law enforcement authorities. The licensee shall retain the documentation of the current liaison as a record until the Commission terminates each license for which the liaison was developed and, if any portion of the liaison documentation is superseded, retain the superseded material for three years after each change.

68

4- -e' f

~74. In 6 73.55, paragraphs (b)(1) and (3)(i) and (ii) and'(,4), (d)(6),

and (h)(2) are revised to read as follows:

5 73.55 Requirements for pnysical protection of licensed activities in -  !

nuclear power reactors against radiological sabotage.

(b) Physical Security Organization. (1) The licensee shall establish a security organization, including guards, to protect his facility against radiological sabotage. If a contract guard force is utilized for site E 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 will clearly show that (i) the licensee is responsible to the Commission . __ s 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 l

69

(. ..

t a copy of the current procedures as a record until the Commission terminates

each-license for which the procedures were developed.and, if any oortion of the

. procedure 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 security functions. The licensee shall retain each written approval as a record for three years from the date of the approval.

(4)(1) 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 pait. Upon the request of an authorized representative of the Commission, the licensee . __ c 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, tested, and qual,1fied 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 appro/ed by the NRC.

70

i (d) i (6) Individual.s 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 shall require that each in'dividual register his or her name, date, time, purpose i 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.

(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 reco d 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.

75. In 9 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)(1), and the introductory text to (e)(4);

(f)(4);and (g)(3)(1),(g)(4),and(g)(5)(i).

71

)

k I 5-73.67 Licensee fixed site and in-transit requirements for the physical protection of special nuclear material of moderate and low-strategic significance. (

1 (c) l' O) Submit a sect ~;ty plan or an amended security plan describing how the licensee will comply with all the requirements of paragraphs (d), (e), (f), and (g) of this section, as appropriate, including schedules of implementation.

The licensee shall retain a copy of the effective security plan [and-each-ehange te-the-plan] as a record [until-the-Gemmissien-terminates-eaeh-14eense] for

[the] three years after close of period [during-wh4eh-the] licensee possesses. ._ .

[the-appreppiate-type-and-quantity-ef] special nuclear material [requ474ng-this reeerd] under each license for which'the original pian was submitted. Copies of I. superseded material shall be retained for three years after each change.

~.

(d)

(5) d!velop and maintain a written controlled badging and lock system to identffy and limit access to the controlled access areas to authorized  !

indin duals. The licensee shall retain a record of the effective system [as-a re ee Fd-u n % 44-the-GefMR4 S S 49 n-te rmin a te S-e 86 h-44 ee n SG-fe r-Wh f e h-the -SyS tem-Wa s develeped-and,-4f-any-pertien-ef-the-system-4s-supersededy] for the period during which the licensee possesses the appropriate type and quantity of special nuclear material requiring this record under each license for which the original system was developed, and for three years thereafter. Copiesof[reta4n-the]

superseded material shall be retained for three years after each change. l (11) establish and maintain written response procedures for dealing with threats of thefts or thefts pf these materials. The licensee shall retain a copy of 72

the response procedures as a record [entii-the-Eemmission-terminates-each]

for the period during which the licensee possesses the appropriate type and quantity of special nulcear material requiring this record under each license for which [they-were] the original procedures were developed *and, [if any pertion]

for three years thereafter. Copies of [the precedures-is-superseded- retain the] superseded material shall be retained 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 [entil-the-Eemmission terminates-each-iicense] for three years after close of [the] period [dering

~~

which-the] licensee possesses [the-appropriate-type-and quantity-of] special nuclear material [ requiring-this-record] under each license for which [they]

the original procedures were developed and [if-any portion-of-the procedures is superseded--retain-the] copies of superseded material shall be retained 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 l

requirements of paragraphs (e)(1), (2), and (3) of this section. The licensee shall retain each record required by paragraphs (e)(1), (2), (3), and (4)(1) and (ii) of this section [entii the-Eemmission-terminates-each-ficense] for

[the] three years after close of period [dering-which-the licensee possesses

[the appropriate-type-and-onentity-of] special nuclear material [ requiring-this record] under each license that authorizes these licensee activities. Copies of superseded material shall be retained for three years after each change. In addition, the licensee shall --

73

(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 for [the] three years after close of period [dering which-the] licensee possesses [the-appropriate-type-and quantity-of] special nuclear material [ requiring-this-record] under each license [entii-the Eemmission-terminates-each-iicense] that authorizes the licensee to export this material [;]. [e] Copies of superseded material shall be retained for three years after each change.

(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 [entii-the-Eemmission-terminates-each-4icense] for [the]

three years after close of period [dering-which-the] licensee possesses

[the-appropriate-type-and quantity-of] special nuclear material [receiring this record] under each license that authorizes the licensee to import this material. Copies of superseded material shall be retained for three years after each change.

(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 [entil-the-Eemmission terminates each-license] for [the] three years after close of period [dering which-the] licensee possesses [the-appropriate-type-and quantity-of] special nuclear material [ requiring-this-record] under each license for which the procedures were established. [and;-if-any portion-of-the-response procedures is-superseded--retain-the] Copies of superseded material shall be retained for three years after each change.

(g) * *

• 74

_____________________~

I

)

l (3)  ;

(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 [unt44-the-Gemm4ss4en-terminates-eash 14eense] for [the] three years after close of period [ dup 4ng-wh4eh-tke]

licensee possesses [the-apprepe4 ate-type-and-quant 4%y-ef] special nuclear material [PequiF4ng-this-FeeeFd] under each license for which the procedures were established. [and,-4f-any-pertien-ef-the-preeedures-4s-superseded,-retain the] Copies of superseded material shall be retained 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-Gemmissien-terminates eaeh-44eense] for [the] three years after close of period [dwF4ng-Wh4eh-the]

licensee possesses [the-appreppiate-type-and-quantity-ef] special nuclear material [PeqH4P4n9-th4s-PeeePd] under each license that authorizes the licensee to export this material. Copies of superseded material shall be retained for three years after each change.

(5)

(1) comply with the requirements specified in paragraphs (c) and (g)(2) and (3) of this section and retain each record required by these paragraphs

[unt41-the-Gemmiss4en-terminates-eaeh-14eense] for [the] three years after close of period [ dup 4ng-whieh-the] licensee possesses [the-apprepp4 ate-type and-quantity-ef special nuclear material [reqwfFing-th4s-PeeePd] under each license that authorizes the licensee to import this material. Copies of l superseded material shall be retained for three years after each change.

75

76. Section 73.70 is revised to read as follows:

6 73.70 Records.

i Each record required by this part must be legible throtghout 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 pe sonnel and that the microform is capable of I producing a clear copy throughout the required retention period. Each licen'see subject to the provisions of SS 73.20, 73.25, 73.26,. 73.27, 73.45, 73.46, 73.55, or 73.60 shall keep the following records:

(a) Names and addresses of all individuals who have been designated as authorized individuals. The licensee shall: retain this record of currently designated authorized individuals [untii-the-eemmission-terminates] for the -

period during which the licensee possesses the appropriate type and quantity

.of special nuclear material requiring this record under each license that authorizes the activity that is subject to the.recordkeeping requirement and,

[if any portion of-the-record-is-superseded--retain-the] for three years thereafter.

Copies of superseded material shall be retained for three years after each change.

I (b) Names, addresses, and badge numbers of all individuals authorized to have '

access to vital equipment or special nuclear material, and the vital areas and material access areas to which authorization is granted. The licensee shall  ;

retain the record of individuals currently authorized this access [untii-the Eemmission-terminates] foe the period during which the licensee possesses the l appropriate type and quantity of special nuclear material requiring this record under each license that authorizes the activity that is subject to the recordkeeping requirement and, for three years thereafter. [if-any portion-of

! the record-is-superseded--retain-the] Copies of superseded material [for] shall l be retained for three years after each change.

(c) A register of visitors, vendors, and other individuals not employed by the licensee pursuant to SS 73.46(d)(1), 73.55(d)(6), or 673.60. The licensee shall retain this register as a record for three years after the last entry is made in the register.

76 L _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _

(d) A log indicating ,name, badge number, time of entry, reason for entry, and time of exit of all individuals granted access to a normally unoccupied vital area. The licensee shall retain thic log as a record for three years after the last entry is made in the log, j (e) Documentation of all routine security tours and inspections, and of all tests, inspections, and maintenance performed on physical barriers, intrusion alarms, communications equipment, and other security related equipment used pursuant to the requirements of this part. The licensee shall retain the documentation for these events for three years from the date of documenting j each event.

(f) A record at each onsite alarm annunciation location of each alarm, false  ;

alarm, alarm check, and tamper indication that identifies the type of alarm, . _ _

location, alarm circuit, date, and time. In addition, details of response by facility guards and watchmen to each alarm, intrusion, or other security incident shall be recorded. The license shall retain each record for three years after the record is made.

(g) Shipments of special nuclear material subject to the requirements of this part, including names of carriers, major roads to be used, flight numbers in the case of air shipments, dates and expected times of departure and arrival of shipments, verification of communication equipment on board the transfer vehicle, names of individuals who are to communicate with the transport vehicle, container seal descriptions and identification, and any other information to confirm the means utilized to comply with 96 73.25, 73.26, and 73.27. This information must be recorded prior to shipment. Information obtained during ,

the course of the shipment such as reports of all communications, change of shipping plan, including monitor changes, trace investigations, and others must also be recorded. The licensee shall retain each record about a shipment required by this paragraph (g) for three years after the record is made.

(h) Procedures for controlling access to protected areas and for controlling access to keys for locks used to protect special nuclear material. 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 77

,c .

I portion of the procedure is superseded, retain the superseded material for three years'after each change. .

[75r-in-5-78,715-paragraph-fe)-4s-rev4 sed-te-read-as-fellews+-

(-78,74--Reperts-ef-unaeeevnted-fer-shipments,-suspeeted-thefts,-unlawful divers 4ent-rad 4eleq4 sal-sabetages-er-events-wh4eh-s4en4fisantly threaten-er-lessen-the-effectiveness-ef-safeguards, z.________e...__--__*........ *_________t fe)--Eaeh-14eensee-under-efther-a-speeffie-er-general-14eense-shall net 4fy-the-NRG-9peratiens-Genter-vfa-the-Emergeney-Net 4ffeat4en-System as-seen-as-pess4bley-and-4n-all-eases-within-ene-heury-ef-any-event-that .___

s ig n i f f ea n t ly -th rea te n s -e r -le s se n s - t he -e f fe e t i ve ne s s -e f-a - p hy s 4 e a l security-system-as-establ4shed-by-regulat4 ens-4n-this-ehapter,-er-by-the 14eenseels-appreved-phys 4eal-seeuP4ty,-eentingeney,-and-seevrity-persen-nel-qua14ffeat4en-and-tra4ning-plans,-er-by-bethr--if-the-Emergeney Net 4ffeatfen-System-4s-4neperat4ve-er-unava44ahlev -the-14eensee-shall make-the-required-netiffeat4 ens-vfa-eemmere4al-4,elephene-serv 4eer-ether ded4eated-telephone-systems,-er-any-ether-methed-that-will-ensure-a  ;

repert-be4Rg-made-premptly-te-the-NRG-9perat4 ens-Genter,--This-netiffea t4en-must-be-made-within-the-time-per4ed-spee4ffed-belewr--The-time perfed-begins-upen-diseevery-ef-the-event-by-any-member-ef-the-security organisatien-er-any-ether-empleyee-ef-the-14eenseer--The-14eensee-shall submit-a-written-repert-te-the-appropriate-NRG-Reg 4enal-9ff4eer-14sted in-Append 4x-A-te-this-party-deseribing-the-event-in-detafi-within-f4ve days-ef-the-64me-ef-d4seeveryr--A-eepy-ef-this-written-repert-must-be sent-te-the-94Peeter-ef-Isspeetien-and-Enfereementy-W,St-Nuelear-Regula tery-Gemm4ss4en,-Washingtent-9,Gv-29555,--This-ne64ffeatfen-and-these reports-satisfy-bo*.k-the-net 4ffeatfeR-requirements-ef-Part-El-ef-this ehapter,-4f-the-event-4s-alse-repertable-under-Part-245-and-5-59,72falf4) ef-this-ehaptery-4f-app 44eabier--A-separate-leg-must-be-ma4nta4ned-te reeerd-events-repertable-under-th4s-seetien,--bfeensees-need-net-repert any-event-that-4s-designated-as-net-repertable-4n-thefr-seeuP4ty-er l eentingeney-planse--The-14eensee-shall-retain-the-leg-ef-events-reperted l

78

[

under-this-seetten-as-a-reeerd-for-three-years-after-the-last-entry-4s-made in-each-leg,

• .........*... __.. *_________*.________*]

.77. In Appendix B to Part 73,Section I.C, E, and F and II.A, B, C, and E, and the introductory text to Section IV are revised to read as follows:

, ~ .

79

L i

I APPENDIX B - GEWERAL CRIlERIA FOR SECURITY PERSONNEL

• A *-

• L Criteria 1 1

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-I indications to participation by the individual as disclosed by the f medical examination, guards, armed response personnel, and armed escorts. I 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- I 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.

• A A A E. Physical requalification--At least every 12 months, central alarm station operators shall be required to meet the physical requirements of B.I.b of this section, and guards, armed response personnel, and armed escorts shall be required to meet the physical requirements of paragraphs B.1.b (1) and (2), and C of this section. The licensee shall document 80

each individual's physical requalification and shall retain this documentation I

of requalification as a record for three years from the date of each requalification.

F. Documentation--The results of suitability, physical, and mental qualifica-l tions data and test results must be documented by the licensee or the licensee's agent. The licensee or the agent shall retain this documentation as a record for three years from the date of obtaining and recording these results.

! II. Training and Qualifications.

l A. Training requirements--Each individual who requires training to perform l 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 documentation of the current plan and retain this documentation of the plan as a record [until-the-Eommission-terminates each iicense] for [the] three years after close of period [during-which-the]

licensee possesses [the-appropriate-type-and quantity-of] special nuclear material [ requiring-this-record] under 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 quali-fications plan. The qualifications of each individual must be documented and attested by a licensee security supervisor. The licensee shall retain this  ;

81

l..

each individual's physical requalification and shall retain this documentation of requalification as a record for three years from the date of each

l. requalification.

F. Documentation--The results of suitability, physical, and mental qualifica-tions data and test results must be documented by the licensee or the licensee's agent. -The licensee or the agent shall retain this documentation as a record for three years from the date of obtaining and recording these results.

• A 'A *

• 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 documentation of the current plan and retain this documentation of the plan as a record [until-the-Eemmission-terminates each iicense] for [the] three years after close of period [daring-which-the]

licensee possesses [the-appropriate-type-and quantity-of] special nuclear material [ requiring-this record] under 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 quali- ,

fications plan. The qualifications of each individual must be documented and

[

uttested by a licensee security supervisor. The licensee shall retain this l t

81

1 P

documentation of each individual's qualifications as a record [as-iong-as] for three years after the [ individual] employee ends [is-empieyed-in] employmen,t irl the' security-related capacity and for [the] three years after close of period [during-which-the] licensee possesses [the-appropriate-type-and-quantity of] special nuclear material [ requiring-this-record] under each license, and I superseded material for three years after each change.

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 retain this documentation of each individual's qualifications as a record [as-iong-as-the-individuai-is-empicyed [

'in] for three years after the employee ends employment in the security-related capacity and for [the] three years after close of period [daring-which-the]

licensee possesses [the appropriate-type-and quantity of] special nuclear material [ requiring-this-record] under each license, and superseded material i:

for three years after each change.

E. Requalification--Security personnel shall be requalified at least every 12 l months to perform assigned security-related 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 requal-ification must be documented and attested by a licensee security supervisor.

The licensee shall retain this documentation _oLeach indiv.idual's requalifica-tion as a record for three years from the date of each requalification.

l I

82

IV. Weapons Qualification and Requalification Program.

Qualification firing for the handguri and the rifle must be for daylight I firing, and each individual shall perforn night firing for fami'liarization with  !

assigned weapon (s). The results of weapons qualification and requalification l 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 j

' documentation of each qualification and requalification as a record for three l years from the date of the qualification or requalification, as appropriate.

l PART 74 - MATERIAL CONTROL AND ACCOUNTING OF SPECIAL NUCLEAR MATERIAL

78. In S 74.31, the introductory text of paragraph (a) and paragraphs (c)(1),

(2),(5),(6),(7),and(8)andparagraph(d)arerevisedtoreadas follows: ,

S 74.31 Nuclear material control and accounting for special nuclear material of low strategic significance.

(a) General performance objectives. Each licensee who is_ authorized to possess and use more than one effective kilogram of special nuclear material of low strategic significance, excluding sealed sources, at any site or contiguous sites subject to control by the licensee, other than a production or utilization facility licensed pursuant to Part 50 of this chapter, or operations involved in waste disposal, shall implement and maintain a Commission-approved material control and accounting system that will achieve the following objectives. The licensee shall retain the current Commission-approved systen until the Commission terminates each license to possess this material.

• r. * *

• i 1

1 83

(c)

(1) Establish, document, and maintain a management structure which ensures clear overall responsibility for material control and accounting functions, independence from production responsibilities, separation of key responsibi-lities, and adequate review and use of critical material control and accounting procedures. The licensee shall retain this documentation of the current manage-ment structure until the Commission terminates each license to possess this material; (2) Establish and maintain a measuremed system which ensures that all quantities in the material accounting records are based on measured values.

The licensee shall retain a copy of a description of the current measurement system until the Commission terminates each license to possess this material;

_(5) Unless otherwise required to satisfy Part 75 of this chapter, perform a physical inventory at least every 12 months and, within 60 days after the start of the inventory, reconcile and adjust the book inventory to the results of the physical inventory, and resolve or report an inability to resolve any inventory difference which is rejected by a statistical test that has a 90 percent power of detecting a discrepancy of a quantity of uranium-235 established by NRC on a site-specific basis. The licensee shall record the results of each physical inventory and retain this record for three years l after the record is made. The licensee shall also record the source data for resolving any inventory difference and retain this record for [ene-yeae] three years after the required 60-day reporting date; (6) Maintain current knowledge of items when the sum of the time of existence of an item, the time to make a record of the item, and the time necessary to i locate the item exceeds 14 days. Store and handle, or subsequently measure, items in a manner so that unauthorized removals of substantial quantities of I material from items will be detected. Exempted are items individually 235 containing less than 500 grams of U up to a total of 50 kilograms of U ,

solutions with a concentration of less than 5 grams of U 235 per liter, and items of waste destined for burial or incineration. The licensee shall l

l 84

record evidence of its current knowledge of these items and retain this record for [eRe-yeaP] three years after the record is made; (7) Resolve, on a shipment basis, and when required to satisfy Part 75 of this chapter, on a batch basis, shipper / receiver differences that exceed both twice the combined measurement standard error for that shipment and 500 grams of U 235 . The licensee shall record these excessive shipper-receiver differences and retain this record for [ene-year] three years after the record is made; and (8) Independently assess the effectiveness of the material control and accounting system at least every 24 months, and document management's action on prior assessment recommendations. The licensee shall retain this documentation of management's action as a record for three years after the . , _ _

record is made. ,

(d) Each licensee shall naintain and retain records as required by paragraph (c) of this section unless a longer retention time is required by Part 75 of this chapter.

PART 75 - SAFEGUARDS ON NUCLEAR MATERIAL -- IMPLEMENTATION OF US/IAEA AGREEMENT i

79. The heading for 9 75.6 is revised and a new paragraph (e) is added to read as follows:

5 75.6 Maintenance of records and delivery of info,rmation, reports, and other communications.

l (e) Each record required by this part must be legible throughout the retention period specified by each Commission regulation. The record may be the original or a reproduced copy or a microform provided that the copy or microform is authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period.

85

80. In 5 75.12, paragraphs (b)(1) and (4) are revised to read as follows:

9 75.12 Communication of information to IAEA.

(b)(1) A licensee may request that information of particular sensitivity, which it customarily holds in confider.ce, 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 end 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 or until the Commission notifies the licensee that the licensee is no longer under the agreement, and superseded material shall be retained for three years after each change is made.

(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 or until the Commission notifies the licensee that the licensee is no longer under the agreement, and superseded material shall be retained for three years after each change is made.

I

81. In 6 75.21, paragraph (a) is revised to read as follows:

1 j

s 75.21 General requirements.

l (a) Each licensee who has been given notice by the. Commission in writing that its installation has been identified under the Agreement shall establish, l 86

i s 1

i maintain, and follow written material accounting and control procedures. The .

licensee shall retain as a record current material [and] accounting and control

-procedures [and-superseded-peeerds fer-Ef4ve3-three-years-after-eaeh-shange-er i until the Commission terminates the license for the installation involved with the request or until.the Commission notifies the licensee that the licensee is no longer under the agreement, and superseded material shall be retained for three years after each change is made.

l

• * * *

• k PART 95 - SECURITY FACILITY APPROVAL AND SAFEGUARDING OF NATIONAL i SECURITY INFORMATION AND RESTRICTED DATA

82. Section 95.11 is revised to read as follows: . - - - /

5 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 graated 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.

83. Section 95.13 is revised to read as follows:

6 95.13 Records maintenance.

(a) Each licensee or organization granted security facility approval under this part shall maintain such records as prescribed within the part. These records shall be subject to review and inspection by NRC representatives during security surveys.

(b) Each record required by this part must be legible throughout the retention l 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 l

87

\

authenticated by authorized personnel and that the microform is capable of producing a clear copy throughout the required retention period.

84.

In S 95.25, paragraphs (a)(3), (c)(1), [(d37-(g3(137] 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 thereafter during non-working hours. The licensee shall record the results of these checks and retain each record for three years after it is made.

[(c)-Einssified-lockcombinations:]

[(13-The-licensee-shali-3imit-knowledge-of-ieck combinations protecting ciassified-information-to a-minimum-number ef personnei-necessary-for operating purposes 7-with-a need-to-know; and possessing-the-highest access-authorization of-the-matter stored er authorized-to-be-stored-in-the-container:--The-licensee shali-maintain-records-identifying personnei-having-knowledge-of-these-ieck combinations-until-superseded-by a-new-ferm or-list-or untii-the-container-is removed-from-service:--The-iicensee-shali-retain each-superseded-record-for three years after-the-record-is-superseded]

[(d3-Records of-combinations:--The-licensee shali-ciassify; mark;-and safeguard records of-combinations-in a manner appropriate-for-the-highest classification 88

.____________._.._._m __ ____._ _ ____.___ _ _ . _ _ _ _ _ _ _ _ _____

t of-the-matter-autherfeed-te-be-stered-4n-the-seeurity-eentainerr--The-Tieensee-

! shall-retain-eaeh-reeerd-ef-eembinasiens-unt44-44-4s-superseded-by-a-new-er-revised-reeerd-er-unt41-the-eentainer-4s-remeved-frem-serv 4ee-and-skall-retain eaeh-superseded-ressed-fer-three-years-after-eash-ehange)

[fg)-pested-4afermatien,--fil-The-14eensee-sha44-pest-the-names,-addresses, and-telephene-numbers-ef-the-eusted4an-and-a44-alternates-kav4ng-knew 4 edge-ef the-eemb4 Rat 4en-en-the-euts4de-er-4nside-ef-each-security-eenta4ner,--The 14eensee-shall-pest-the-eusted4an-14st-unt44-44-4s-superseded-by-a-new-er revised-44st-er-unt44-the-eentainer-4s.-ne-lenger-4n-use-and-skall-reta4n-the superseded-list-fer-three-years-after-the-14st-4s-superseded) .

. _ _ _ y (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.

9 95.33 [ Amended]

85. Section 95.33 is amended by changing "one year" to "three years" in the last sentence.

86. In 9 95.37, paragraph (1) is revised to read as follows:

9 95.37 Classification and preparation of documents.

l- (i) Document, which custodian believes is improperly classified or lacking appropriate. classification markings. If a person receives a document which, in his or.her opinion, is not properly classified, or does not have 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 ques-tion. Where unauthorized disclosure may have occurred, a report in accordance with f 95.57 of this part is required. These reports shall be retained for three years after final corrective action has been taken.

5 95.41 [ Amended] . . _ _ ;

87. Section 95.4I is amended by changing "two years" to "three years" in the

'last sentence.

88. Section 95.47 is revised to read as follows: .

i 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 ensures 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

- Data a record of the subject or title, document number, if any, originator, its date of origination, its series designation and copy number, and the 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.

90

)

PART 110 - EXPORT AND IMPORT OF NUCLEAR FACILITIES AND MATERIALS

89. In 5 110.53, paragraph (b) is revised to read as follows: ,

i 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-149---FINANGEAh-PROTEGT49N-REQWEREMENTS-AND-INDEMNITV-AGREEMENTS ,

88r--En-E-449,6,-the-heading-4s-revised-and-a-new-paragraph-fe)-4s-added te-read-as-fe44ews+

{-149,6--Reperts-and-reeerds.

• ......___*....____ r..__.... *_....___ * >

fe)--Eaeh-reeerd-required-by-this-part-must-be-legible-threugkeut-the-Petentien perfed-spee4ffed-by-eash-Gemmissien-regulat4en,--The-reserd-may-be-the-eriginal er-a-repredueed-eepy-er-a-miereferm-prev 4ded-that-the-eepy-er-miereferm-4s au the nt4 e a te d-by-a u the ri ze d-pe r s e n ne l-a nd-tha t-the-m4 e Pe fe rm-4 s -e a pa b le-e f predweing-a-elear-eepy-threughout-the-required-retentien-per4edt l i- [89e-in-5-149,91,-Append 4x-A,-paragraph-Irf2)-under-eenter-heading, j l

l aGenditiensva -4s-revised-te-read-as-fellews+

• .._______*.._______*_..__..._*_........x  ;

j 91 E I

k l l

ll L.

Gendit4 ens 1,------- *-------- *-------- *-------- *--------

• f2)--Payments-ef-advanee-and-stundard-prem4Wmst--The-named-4nsured-skall m

pay-the-eempanies-the-advanee-prem4Wm-stated-4n-the-desiarations-fse-the per4ed-frem-the-effeetive-date-ef-this-pe44ey-threwgh-December-81 fellewingr--Thereafter,-at-the-beginning-ef-each-ealendar-year-wh44e this-pelfey-is-in-feree,-the-named-4nsured-sha44-pay-the-advanee-premium fer-that-year-te-the-eempanies,--The-advanee-premium-fer-eash-ealendar year-must-be-stated-4n-the-Advanee-Premium-Endorsement-fer-sweh-ealendar year-4ssued-te-the-named-4nsured-as-seen-as-praetfeable-prier-te-er-after the-beginning-ef-swek-yearr--As-seen-as-praet4eable-after-eaeh-Beeember-81 and-after-the-term 4natten-ef-this-pel4ey,-the-standard-premium-fer-the _ q preeeding-ealendar-year-shall-be-f4na44y-determined-and-stated-4n-the-Stan dard-Premium-Endorsement-fer-that-ealendar-yearr--If-the-standard-prem4wm-se determined-exceeds-the-advanee-prem4Wm-prev 4ewsly-paid-fer-sveh-ealendar-year, the-named-fasured-shall-pay-the-exeess-te-the-eempaniest-4f-4ess,-the-eempanies sha14-return-te-the-named-4nsured-the-exeess-pertien-pa4d-by-sweh-4nsured.

The - n ame d- 4 n s u red- s h a 14 -ma 4 n t a i n - ree e rd s-e f- the-4 n fe rma t ien- ne e e s s a ry fer-prem4Wm-eemputatien-and-skall-send-eep4es-ef-these-reeseds-te-the eempanies-as-d4reeted,-at-the-end-ef-eaeh-ealendar-years -at-the-end-ef the-pel4ey-per4ed,-and-at-sweh-ether-times-dwring-the-pel4ey-per4ed-as the-eempanies-may-d4Peete--The-named-4nsured-sha44-retain-the-reseeds-ef information-unt41-the-Gemmissien-terminates-the-44eense-fer-eaek fae414ty-severed-by-the-pelfey.

Dated at Bethesda, Maryland, this day of , 1987.

For the Nuclear Regulatory Commission.

Victor Stello, Executive Director for Operations.

92

t i

Table of Proposed Changes Retention Period Part/Section/ Record Existing Proposed 4.32(c) Compliance vaports. None Three years or as long as primary recipient retains that status.

4.125(d) Medical History None Three years from Forms for applicants. date of application if not hired; date employment ends, if hired.

4.127(d) Transition plan for None until structural structural change of facility. changes are complete.

11.9 Documentation related to Two years beyond Three years.* _ g a request for exemption from period of exemption.

Part 11.

11.13(b) SNM access None Three years after authorization number for all record is made.

individuals assigned to shipment.

25.11 Docuraentation Two years beyond. Three years.*

related to a request for exemption from Part 25.

25.23 Termination of access One year. Three years.*

authorization by Commission.

25.35 Visits requiring access Two years. Three years.*

to classified information.

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 i byproduct material. transfer or disposa). transfer or disposal; reorganized $30.51.*

" Indicates increase in retention period to conform to four uniform periods.

I f I l

1 j l 1 Y - _ _ _ _ _ _ _ _ _ -_____- _A

fi p

.- Table of Proposed Changes Retention Period Part/Section/ Record Existino Proposed

~4.32(c) Compliance reports. None Three years or as long as primary recipient retains that status.

4'.125(d)' Medical History None Three years from

Forms.for applicants. date of application if not hired; date employment ends, if hired.

4.127(d). Transition plan for None Until structural

' structural change of facility, changes are complete.

11.9 Documentation related to Two years beyond Three years beyond.*

a r: quest for exemption from period of exemption.

Part 11.

11.13(b) SNM access None Three years after authorization number for all record is made, individuals assigned to

shipment.

25.11 Documentation Two years beyond. Three years beyond.*

relat:d to a requett for exemption from Part 25.

25.23 termination of access One year. Three years.*

authorization by Commission.

25.35 Visits requiring access Two years. Three years.*

to classified information.

30.34(g)-Test results of None Three years'after the g;nerator eluates for record is made.

molybdenum-99 breakthrough.

30.51(c)(1) Receipt of Two years following Three years following byproduct material. transfer or disposal. transfer or disposal; l reorganized $30.51.*

1^

L " Indicates increase in retention period to conform to four uniform periods.

1 L - - - - - - - - - - - - _ - - - - - _ - - - - - _ - - - - - - - - - - - - - - - _ - - - -

,q'

. - _ . . Table of Proposed Changes 4

m Retention Period.

"Part/Section/ Record- .Existina Proposed.

. 4.32(c) Compliance: reports.

~

None Three years or as long as primary recipient retains

n

, that status.

- 4.125(d) Medical Nistory None. Three years from

-Forms'for applicants.-

date of application

' if not hired; date employment ends, if 4s hired.

4.127(d) Transition plan for None Until structural

- structural change of facility. changes are complete.

11.9 Documentation related to Two years beyond Three years beyond.*

a request'for exemption from period of exemption.

Part 11.

11.13(b) SNM access- None Three years after authorization number for all record is made.

- individuals assigned to shipment.

25.11 Documentation. Two years beyond. Three years beyond.*

related to a request for exemption from Part 25.

25.23 Termination of access One year. Three years.*

- authorization by Commission.

25.35 Visits requiring access Two years. Three years.*

to classified information.

30.34(g) Test results of None Three years after the generator eluates.for record is made.

molybdenum-99 breakthrough.

30.51(c)(1) Receipt of Two years following Three years following byproduct material. transfer or disposal. transfer or disposal; reorganized $30.51.*

" Indicates increase in retention period to conform to four uniform periods.

L 1

e _ _ _ _ _ _ -_. _ - _ - _ _ - _ - - _ _ _ _ _ _ _ - _ _ -

Retention Period Part/Section/ Record. Existing Proposed 30.51(a)(2) Transfer Five years after Same-of byproduct material. each transfer. reorganized-630:51:

Three years after 3 each transfer; reorganized 530.51.""

30.51(a)(3) Disposal' Referenced $20.401(c) Until Commission of byproduct material. Part 20 is being terminates license.

revised.

30.51(b) Parts 31 through Until the Commission Until the Commission 35 records not otherwise authorizes their terminates license.

.specified. disposition.

31.5(c)(4)(i) 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) Test of on-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 $31.5(c)(3) for of event or until of event or ut.til device device. device is transferred is transferred or disposed or disposed of. of; section reorganized.*

34.24 Results and date of Two years after Three years after each instrument calibration. date of calibration. date of calibration.*

34.25(c) Results of leak Six months after next Three years after test; 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 ratention period to conform to four uniform periods.

, ** Indicates decrease in retention period to conform to four uniform periods.

2 L - _ _ . _ - - - - - - - - - - - - - - - - - - - - - - - - - - - _ - - - - - - - - - - - - - -

. 4 .

F 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 Commission procedures. terminates the. license; if superseded, retain superseded material for three years.

34.33(b) Personnel exposures None Three years after recoed s registered on pocket dosimeters, is made.

34.33(e) Reports from film Until Commission Until the Commission badge or TLD processor authorizes disposal. terminates license.

[34:43(c3-Servey-of-seaied Two years: Three years-from-the source-in-its-shielded position date-of-the-survey 8]

_ prior-to-iocking-device-and ending-direct-serveiliar2e-ef operation:

35-14(b3(43(ii3-Written None Untii-Semmission precedures-for-testing eintion terminates-iicense;-if or extraction-of-technetiam-99m superseded--retain from generater; superseded-materiai-for three years:

35:14(b3(53(ii3-Results-of-iesk Wntii-inspected-by Three years-after-record tests-for-sources-er-devices the-6emmission; is-mader containing-byproduct-materiai; 1

35:14(b3(5)(iv3-instruction-for None Untii-the-searce;-device use-of-source;-device--or er permanent-container-is permanent-container; disposed of; 35:14(b3(5)(v3-Quarterly Fer-inspectien-by Five years-after-the-record inventery-for-aii-sources the-6emmission: is-mader and-devices-received-and possessed

" Indicate increase in retention period to conform to four uniform periods .

3

_ Retention Period Part/Section/ Record Existing Proposed 35:14(e3(23-Resuits-of-ieak-test For-inspection-by Three years-after-record of-sampie-from sealed-source-or the-Eemmission: is-made:

' surface-of-the-device

~SS-14(f3(13-instructions-fer-use None Until-the-source-or of-source-or permanent-container permanent-container-is disposed-of:

S5:14(f3(E)-inventory-to account None Three years after-the

'for-ali-sources-received-and record-is made-possessed:

SS:27(b)(13'-and-(23-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-Misadministration of Untii-the-Eemmission Ten years-after-the

.radiopharmaceuticais: authorizes-their record-is-mader 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 l devices.

40.61(a)(1) Receipt of source As long as material [Same--reorganized or byproduct material. is possessed and for section:]

five years following As long as material its transfer or is possessed and disposition. for three years following its transfer or disposition.^^

40.61(a)(2) Transfer of source Until Commission Until the Commission or byproduct material. authorizes their terminates the license.

disposition.

40.61(a)(3) Disposal of Reference S20.401(c); Until the Commission source or byproduct material. Part 20 is being terminates the license.

l revised.

" Indicates increase in retention period to conform to four uniform periods.

• • Indicates decrease in retention period to conform to four uniform periods.

4 9-

.f

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] Three years after Criterion 8, Log of hourly checks last entry is made in of yellowcake stack emission

~

log.

controls.

Appendix A to Part 40, I., None Three years after documenta-Criterion 8A, Documentation tion i.s made.

i for daily inspection of tailings or waste retention systems.

50.35(c)(1)(i)(A) Results None Until the Commission

of review of exceeding safety terminates the license limits fur uncontrolled release for the reactor except.__ W of. radioactivity for a nuclear that licensees for reactor. reactors licensed under SS50.21(b) and 50.22 report under SS50.72 or S50.73.

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.

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 except i automatic protective devices. that licensees for j reactors licensed under SS50.21(b) and 50.22 report under S50.72 or ,

S50.73 shall retain the ]

records for three years following issuance of a Licensee Event Event Report. ,

i 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.

L. plant automatic protective device.

5

l ..

f' Retention Period L Part/Section/ Record Existing Proposed

~50.36(c)(2)-Results of None unti.1 Commission review of exceeding limiting terminates the license condition for equipment in a for the plant except that nuclear reactor or fuel licensees for reactors reprocessing plant. licensed under SS50.21(b) and 50.22 report under S50.72 or S50.73. LER report records three years and non-LER records of reports as required by technical specifications.

50.36(c)(7) Report. submittal Revised To clarify that licensees'.

for reactors licensed under for reactors licensed under SS50.21(b) and 50.22. S50.21(b) or S50.22 report under $50.73.

50.36a(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.

50.48(a) Fire protection None Until commission  ;

plan for nuclear power plant. terminates the license for '

the nuclear power plant and superseded material for three years.

50.49(d)' File on electric None Same as 50.49(j) but also equipment important to safety specified in 50.49(d) for nuclear power plant. [Untii-Eemmission-ter-minates-the-iicense-for which-fiie-was-estab-iished] period of installation or storage of item.

50.54(q) Emergency plan None Until Commission and each change that decreases terminates the license the~ effectiveness of plan, fo* the nuclear power reactor.

L Change to the Emergency None Clarified. [Bntii plan that does not require Eemmission-terminates prior Commission approval. the-ficense-for-the facility-and superseded material For three years from date of j change.  !

6 i'

, m i:

, 1 p ?y jj ,

'U,.g

..y. ' 91 }'

• 6 b ERetention Period ,<

' ,,' , ' Part/Section/ Record: ' Existing- Proposed 150 71(c); Retention periods _ _

None. Until Commission 4 4 not specified by license condition- Lterminates-facility license; l 7 or technical specification.

fAppendix R to'Part 50,- None, Three years after report.

Section III.I.3.d.' Critique' is completed as specified; m'- , of unannounced fire' brigade. in App.' R, SIII.1.4.

drills)

o :60.71(b) Receipt, handling,.and None In accordance with disposition.of radioactive waste- . 660.51(a)(2).

~a t a ' geologic repository operations

.g ,

. area.

u '60.72(a). Construction: . -

'None" In accordance with geologic-repository operations $60.51(a)(2).'

, area.

4 . __.

61.80(e): Location and quantity Transfer.upon Unchanged; editorial of radioactive wastes contained license termination. revision.

in the disposal site.

J61.80(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.

170.22(g)Q1_Descriptionofplan None For [ period] three years

~for physical protection of following date on which

- 10_kg or,more of SNM of--low licensee last possessed strategic significance.in transit, SNM under each license; safeguards-contingency plan, or reorganized, response procedures.

None For [ period] three_ years planforpro),tectionof235U,'70.22(h)G Physical ' security following date on which 233U, or 5000g or.more computed licensee last possesse[s]d by given formula. SNM under each license; reorganized.

70.22(1) Emergency plans .None Until Commission l' 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.

l 7

~.

'M , A s

b

~

Retention Period' Part/Section/ Record - Existina , Proposed -

. < l b 7d.22(j)L31: Safeguards contingency:.None Until . commission terminates T < plan for protection of 235U, . .

' ~

each license obtained

.233U or 5000,:or more computedt from application or a e by> givent formula = and chances to renewal ' application;. -

rthe plan. chances-to plan, for, t three years after the. -

[Q . , < chance; reorganized. ,

'70.22(k)iphysical security: None L[Bnti4-Eemmission-plan for protection of SNM of terminates-each-iieense

moderate 1 strategic significance obtained-from-appliention or'10 kg or more of SNM of low - .or-a-renewal-application].

-strategic significance and For~ period licensee-

• ' changes to plan, possesses SNM underL each license [e], and-chcnces for three years-after the change.  ;,i

' 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 three years.

-70.32(c)(2); Changes to MC&A Five. years from date Three years from the**

program made without prior of change. effective date of change.

• i+ , Commission approval. ' .j 70.32(d) Changes to physical None For period licensee

, protection plan without prior possesses SNM under each' Commission approval. licensee.

'70.32(e)? Changes to a security Two years from the Three years from.the

' plan made without prior date of the change. effective:date of the Commission approval.' change.*

1 70.32(g) Safeguards None For period licensee 1 contingency plan procedures.

possesses SNM under each license.

k 1 Safeguards contingency plan None Clarified. For period procedures that do.not require licensee possesses SNM 4 Commission' approval. under each license and superseded material for n

three years.

70.42(d)(1) Transferee's None [Five] Three years from specific license or registration date it was obtained.

certificate. l l

" Indicates increase in retention period to conform to four uniform periods.

L ** Indicates decrease in retentien period, t

g 4 - - - ---

M l

l 9p ,

Retention Period

' Part/ Sectio'n/ Record Existing : Proposed 70.42(d)(2) Winter- .

.None. -[Five] Three' years.from certification that. transferee date of receipt of

-is authorized to receive SNM. certification.

L 70.42(d)(3) Written' certification ~ None [Five] Th'ree years from-H of. verbal certification. that date of receipt of :

Ltransferee is authorized to certification.

receive SNM.

I> 70.42(d)(4) Official None [Five]-Three years from

. records confirming that .

'date that compilation:

transferee is authorized to of information was, receive SNM. .obtained.

70.42(d)(5) Confirmation . None [Three] [Five] Three

>< from' Commission;or licensing years from date record agency'or Agreement State , of confirmation is made.

1that~ transferee is authorized to' receive SNM.

,: 70.51(b)(2) Retention- Until Comission Until the Comission .

periods'not specified in_ authorizes their terminates the license.*

license condition. disposition.

-70.51(b)(3) [ inventory-te [Six-months:] [As-ieng-as-44censee y comply-with-670:58(h) ]. As'long as licensee- retains possession-of L

Record of receipt, acquisition, retains possession- materiai-and-for-five or physical inventory of SNM of material and for years-after-transfer that must be maintained pursuant five years following er-disposai ]

to paragraph (b)(1) of this transfer of such No change.

section. material.

70.51(b)(5) Transfer of Until Commission Until Commission terminates SNM to other persons, authorizes their the license authorizing disposition. possession and (e)(1)(v) regards for three years after made.

.70.51(b)(6) Disposal of SNM. References Until Commission 620.401(c); terminates license Part 20 is being authorizing possession-revised. of the material.

.70.51(c) Material control None Until Commission terminat'es and accounting procedures for license authorizing

-licensee possessing quantity possession and superseded exceeding one kilogram of SNM. material for three years.

" Indicates increase in retention period to conform to four uniform periods.  !

9

---____ _ _ __ l

}

Retention Period Part/Section/ Record Existing Proposed-70.51(e)(1) Process records for None [Five] Three years after-licensee possessing quantity record is made as exceeding.one kilogram of . required by SNM as= stated in subparagraphs 670.5(b)(2).

p '(i),(ii),-(iii),'(iv),(v),

(vi),.and (vii).

70.51(f)(2)(v) Inventory 'None [Five] Three years after procedures for sealed sources ' record is made.

and containers or vaults of.SNM.

o 70.57 Introductory text of (b), None' Until Commission termi-

[ Measurement control program. nates license authorizing possession of nuclear materials.

,70.57(b)(2) Results. None [Five] Three years after l

of reviews and audit of record is made.

program.

t 70.57(b)(3) Results of- None [Five] Three years after reviews and audit of contractor. -

record is made. -

program. -

70.57(b)(4) Program for None Three years after L maintaining sample' integrity. life of process or equipment.

-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)(8) Program data for None For [five]'three years MC&A corrections and after data is recorded.

uncertainties.

70.57(b)(11)(i) None Until Commission terminates

-Statistical control system. license for material system affects and suaerseded material for t1ree years; reorganized.

70.'57(b)(11)(ii) Results None [Five] Three years after of investigation of exceeding record is made.

control chart limits.

" Indicates increase in retention period to conform to four uniform periods.

10

___________-_____-____-_______O

- __ - __ _ - - _-- =

Retention Period Part/Section/ Record Existing Proposed 70.57(b)[(113(4443]Q21 Records Five [and-two] [Five-and-three years-system of documents generated years,[respectively:] respectively

• by measurement control program Three years; reorganized.**

1

[information--reports--and documents and-records-of-training-and qualification of personnei ]

and description of records.

I

' 70.58(b)(3) Written MCA None Until Commission organizational responsibilities terminates the license and authorities. and superseded material for three years.

70.58(e) Written system for None [Five] Three years after producing and moving SNM record is made, among MBAs, ICAs; inventory, transfer, and disposal.

70.58(f) Program for None [Five] Three years after documenting control of errors record is made.

of measurement processes.

70.58(h) Procedures for [None] [Five years-after-record system of storage and internal 6 months is-made] No change.

handling controls. (Ref 670.51(b)(3))

70.58(i) Procedures for None Until Commission SNM scrap control, terminates the license and superseded material for thne years.

70.58(j) Procedures for None Until Commission physical inventory of SNM. terminates the license and superseded material for three years.

t l

70.58(k) Records and None [Five] Three years after reports necessary to locating record is made.

SNM.

l 70.60(a) Agreement between None Three years after licensee and well-logging completion 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.*

" Indicates increase in retention period to conform to four uniform periods.

• • Indicates decrease in retention period to conform to four uniform periods .

1 11 J f

l l-i Retention Period Part/Section/ Record- Existing Proposed I

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 S71.85(c).

71.97(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 in state contacted about contact.*

> delay of transport.

71.97(f)(2) Copy of One year. Three years after notification to state of notification.* . __ <

cancellation of transport.

71.101(b) Establishment of None Revised to add Q.A. Program. SS71.101-71.137 that contain applicable criteria and retention

, periods.

71.105 Documentation of None Revised to add 1 Q.A. Program. SS71.101-71.137 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. I i

[YE:33(e)-6hanges-to-the Two years-frem For-the period-the physicai-security pian made date-of-the-changer licensee possesses without prior-approvai-of-the naciear-materiai-under ,

Eemmission: the-iicense 72:51(b3-Eurrent-inventory None For-the peried-the of-all-spent-fuei-in-storage iieensee possesses-the material-and-for-three years-feiiewing-disposi-tion-of-the-materiai:

" Indicates increase in retention period to conform to four uniform periods.

12

..i- 'o -

l

)

Retention Period Part/Section/ Record ~ Existina- Proposed-72:51(c3-Meterial-centrei . None Wntil-Eemmission 1 and-accounting procedures-for terminates-iicense-for. I spent-fuei-in-storage; the-installation-and l aii-superseded procedures {

', for-three years 72:55(e3-Retention periods None Wntii-Eemmission not-specified-for-records terminates-iicense:  ;

and reports-in-Part-72:  !

72-6Efb3-Records-of None Wntii-Eemmission naturai phenomena-that issues-iicense .I affect-ISFSI-design- .for-the-installation:

72:81-Physical-security Nane Wntil-Eemmission pian-for protection-of terminates-ficense-and-ISFSI: superseded-material for-three years-72:8S(b3-Procedures-for None Wntii-Eemmission safeguards-contingency plan terminates-iicense-for for-ISFSI: installation-and superseded-materiai-for three years-72-84fb3-Ehanges-to-the Two years-from-the Three years-from-the physica4-security pian-or date-of-the-changer date-of-the-changer *]-

safeguards-contingency plan made-without prior-Eemmission approvai:

73.24(b)(1) Log of None [Five] Three years from arrival of SNM at its date of last entry in destination. log.

73.25(b)(3) Access None For period licensee authorization controls possesses SNM under and procedures to protect each license and SSNM. superseded material for three years.

73.25(c)(1) Access and entry None For period licensee authorization controls and possesses SNM under each procedures to transports license and superseded for SSN.M material for three years 73.26(c)(1)(ii) Protection None For period licensee of imported formula quantity possesses SNM under of SSNM within U.S. each license.

" Indicates increase in retention period to conform to four uniforms periods.

13

4 .7 Retention Periou '

'Part/Section/ Record Existing' Proposed-73.26(c)(2) Protection None For period licensee of exported formula. quantity possesses SNM under of SSNM to point outside each license, the U.S.

73.26(d)(3) Transportation None For period 1censee physical protection procedures possesses SNM under for SSNM.' each-license 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) Safeg'uards None Until license contingency plan against expires or is revoked:- d

. thefts or threats of theft related to SSNM in transit.

73.37(b)(2) Procedures None Until license for coping with threats expires or is revoked to shipments-of spent fuel. and superseded material for three years.

73.37(b)(3) Instructions for None Until license escorts for shipments of spent expires or is revoked fuel. and superseded material for three years-73.37(b)(5) Log.for each One year. Three years after each shipment of spent fuel, shipment.*

73.40(b) Safeguards None Until Commission contingency plan for SNM for terminates license and Parts 50 and 70 licensees. superseded material for three years.

73.40(c)(2) Safeguards None Until commission contingency plan procedures. terminates license and superseded material for three years

~73.40(d) Results of review Two years. Three years from the and audit of safeguards date of the review or contingency plan and procedures, audit.*

l

" Indicates increase in retention period to conform to four uniform periods.

i 14

E ,

.s +

Retention Period Part/Section/ Record Existing Proposed _ _

i 73.46(b)(3)(i) Written None Until Commission  !

security procedures that terminates license and.

' document security organization superseded material for and responsibilities. three years.

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 Commission 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] Three years after of escorted individuals in a record is made.

protected area.

73.46(h)(1) Safeguards None Until Commission contingency plan against thefts,- terminates licenses and threats, and sabotage of SSNM and superseded material- for '

nuclear facilities. three years.

73.46(h)(2) Documentation None Until Commission of response. arrangements terminates license and between local law enforcement superseded material authorities and licensee. for three years.

73.50(a)(3) Written security None Until Commission procedures for licensed activities. terminates license and superseded material for three years.

73.50(a)(4) Documentation None Three years after of requalification of each the requalification.

security organization member.

3 73.50(c)(5) Registration None [Five] Three years after of escorted individuals in a [ record-is-made-] last protected area. entry.

73.50(g)(1) Safeguards None Until Commission contingency plan against terminates the thefts, threats, and sabatoge license and superseded of SNM and nuclear facilities material for three years.

and changes to the plan.

15 f

._ Retention Period Part/Section/ Record Existina Proposed f

73.50(g)(2) Documentation None Until Commission of liaison with law enforcement terminates license authorities. and superseded material for three years.

73.55(b)(1) Licensees's None For duration of the written agreement with contractor contract.

providing a security organization.

73.55(b)(3)(i) Written None Until Commission security procedures documenting terminates license and security organization and superseded material

- responsibilities, for-three years.

73.55(b)(3)(ii) Written approval None [For period procedures of procedures by individual are-in-effect-] For responsible for security. three years from date of approval [and superseded-material I for-three years-]

l 73.55(b)(4)(i) documentation None Three years after each l of requalification of each requalification. '

security 7 ganization member.

1 73.55(b)(4)(ii) Training and None .

Until Commission j

-qualifications plan for terminates license i security personnel, and superseded 1 material for three ]

years.  !,

73.55(d)(6) Registration of None Three years after  ;

escorted individuals in a [ record-is-made] l protected area. last entry.

73.55(h)(2) Documentation None Until Commission of liaison with law terminates license and enforcement authorities. superseded material for three years.

l 73.67(c)(1) Security plan None For period licensee for licensees handling 10 kg possesses SNM under each or more of SNM of moderate strategic license and for three  :

significance, years thereafter, and superseded material for three years.

16 l

l; _ ______ - ___ -.

k'%

h .

3 4

_. . Retention Period- *

$ 4 P rt/Section/ Record; :Existina ~ > Proposed:

, n ,

. c73.67(d)(3) Written controlled None .Until. Commissioner

badging .and ilock system.' terminates license and' o p^ '.

for three years

. 'thereafter and.- .

superseded material

-for.three years.

4, "' 173.67(d)(11) Written response None until commission y ;_ procedures dealing'with thefts terminates license and f r: ,or. threats of thefts at fixed sites. for three years 4

4 -N" .

thereafter, and

.Ll ., superseded material

-l 7 for three years.

m E.

?;L' 73.67(e)(3)(iv) Written- None For period licenseef

. response procedures dealing. .

, possesses SNM under

>;v iv with thefts or threats.of thefts' each license and~for. _..

g!;! i twhile in transit.

three years thereafter,

@ ( ', ,

and superseded material:

y J r .for three years.

y., ..

73.67(e)(4) Records in' 'None For~ period licensee

specified sections. possesses SNM under-each license and for three years thereafter,

., and superseded material

• for three years.

73.67(e)(5) Exports of.SNM None For period licensee ul of moderate strategic: possesses SNM under significance. each license and for three years thereafter, and superseded material for three years.

73.67(e)(6) Imports of SNM None For period licensee

~

o f moderate strategic possesses SNM under significance, each license and for three years thereafter, and superseded material for three years.

173.67(f)(4) Response procedures None For period licensee Lfor thefts and threats of thefts possesses SNM under

'of SNM of low strategic significance. each license and for three years thereafter, and superseded material for three years.

17

~' .

4 #

Retention Period Part/Section/ Record - Existing Proposed p

73.67(g)(3)(i) Response. None For period licensee procedures for thefts and possesses SNM under threats of theft of SNM of each license and-for low strategic' significance three years thereafter,

- in transit. and superseded material for three years.

-73.67(g)(4) Imports of SNM None For period' licensee

' of low strategic possesses SNM under-significance. each license and for three years thereafter, and superseded material for three years.

73.67(g)(5)(i) Records in None For period licensee-specified sections. possesses SNM under each license and for ___. e three years thereafter, i and superseded material for three years.

73.70(a) Names and addresses None Until Commission of designated authorized terminates license and individuals. superseded material for

, three years and for three years thereafter, and superseded material for three years.

73.70(b) Names, addresses, None Until Commission and badge number of individuals terminates license and authorized ~ access to vital superseded material equipment, SNM, and certain areas. for three years and for three years thereafter, and superseded material for three years.

73.70(c) Register of individuals None Three years after last other than licensee employees, entry in register.

73.70(d) Log about individuals None Three years after last entering normally unoccupied entry in log.

- vital area.

73.70(e) Documentation of None Three years from date certain security operations of documenting each information. event.

I 18

1 i

t n

Retention Period

Part/Section/ Record Existina Proposed' 73.70(f) Information about None .Three years after the.

calares and security incidents. record is made.

.73.70(g) Information about SNM None Three years after shipments. record is made.

73.70(h) Procedures for .

None Until license is controlling access,to protected terminated and superseded areas and locks: protecting SNM. material for three years.

Appendix B to Part 73, None Three years from date Section 1.C. Physical fitness of each qualification.

qualification for security.

- 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 suitability, physical, and recording results.

l': mental qualifications data

- and test results..

Appendix B to Part 73,. None For period licensee Section II.A., Training and .

possesses SNM under qualification plan for each license.and super-individuals performing certain seded material for security-related job tasks. three years.

~ Appendix B to Part 73, None As long as individual Section II.B, Documentation is' employed in security-of qualification of individuals .related capacity and for performing certain security- period licensee

- related tasks or duties. possesses SNM under ,

each license.

Appendix B to Part 73, None As long as individual Section II.C, Documentation is employed in security-of qualification of contracted related capacity and for security personnel. period licensee possesses SNM under each license.

19

'I Retention Period Part/Section/ Record Existina Proposed I~ Appendix'B to Part 73, . None Three years from date of Section II.E, Documentation of each requalification.

requalification of security personnel.

- Appendix B to Part 73, None Three years from date of i Section IV, Documentation of each qualification ~or-qualification and requalification requalification. >

for. firing of' handguns and rifles. -

74.31(a) Commission-approved None Until Commission MCA system. ~~ terminates license to possess the material.

74.31(c)(1) Documentation of None Until Commission current management structure. terminates license to possess the material.

74.31(c)(2) Measurement system None Until Commission that ensures records are based on terminates license to measured values. possess the material.

74.31(c)(5) Results of each None Three years after record physical inventory. is made.

Source data for resolving.any None Three years after 60-day inventory difference. reporting date.

c74.31(c)(6)Currentknowlggge None Three years after record of certain quantities of U is made.

74.31(c)(7)'Certain shipper- None Three years after record receiver differences. is made.

74.31(c)(8) Assessment of None Three years after record effectiveness of MCA system. is made.

74.31(d) Paragraph stating Revised To remove overall generic retention period for retention periods from

$74.31(c). S74.31(d) and incorpor-ate into S74.31(c) subsections.

20

_____ __ _ -____ __-______ - _ w

, ;- = d'

[s b

e Retention Period-Part/Section/ Record ,

Existina Proposed l , ..

1

. :75.12(b)(1) Request for-notL !None UntilJCommission"

. physically'. transmitting certain, terminates license for

. . sensitive information to.IAEA. installation involved-

.with: request'or until the Commission notifies licensee that licensee is no longer under-agreement and superseded'

. material for three years -

after change is made.

75.12(b)(4)' Availability of None Until Commission

untransmittedLinformation. terminates license for-insta11ation' involved-with request or until the Commission notifies licensee that licensee __ w is no longer under -

agreement and superseded

' material for three years after change is made.

.75.21(a) Written MCA. . None [Earrent procedures-for.

. procedures for. installation. five years-after-each identified under IAEA Agreement. change-or-anti 4-Eemmission-notifies-iieensee-that installation-is-no 4enger-identified-ander the-agreement-] Until Commission terminates license for installation involved with request or until the Commission notifies licensee that licensee is no loncer

, under ac reement anc superseced material for three years after change-is made.

~

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.

" Indicates increase in retention period to conform to four uniform periods.

21

Retention Period Part/Section/ Record Existing Proposed 95.25(c)(1) Identification of Until superseded by Same personnel aware of lock a new form or list combinations protecting or container is classified information. removed from service.

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 document believed to be final corrective corrective action has improperly classified. action has been been taken.*

taken.

95.41 Accountability and Two years after Three years after disposition of classified disposition. disposition.*

matter.

95.47 Destruction of Two years after . Three years after document that contains destruction. destruction.*

Secret National Security 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.

Boiler plate paragraph on maintenance of records.

4.5 Added 11.10 Added 25.13(b) Added 31.12 Added

! 32.3 Added 34.4 Added

[35:5 Added]

" Indicates increase in retention period to conform to four uniform periods.

l 22 l .

L_ . _ _ _ _ _ _ . _ _ _ _ _ _ _ _ _ . _ _ _ . _ _ _ _ _ . _ _ . _ _ _ _ _ _ _ _ _ - . . _ _ _ _ _ _ _ _ _ . _ _ . _ _ _ _ _ _ . _ _ _ _ . _ _ _ _ _.___.__

{

& - _' 1 A

'60.4(b)i Added-71.1(b)- Added

. --- 75. 6(e) . Added 95.13(b) Added, Deletion of stale

. dates.

4.'127(d) ...within six . Deleted months...

I50.54(q) 02/09/83 and 10/01/83 Deleted 70.32(g)  :.1 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 I

1 l

1

)

i I

l

" Indicates increase in retention period to conform to four uniform periods 1

L l

_ _ _ _ _ _ _ - . _ _ _ _ - - - - . - _ _. - - - - - - _ _ -- - _ - _i_ _ - - - _ - _ - _ - _ - _ _ _ _________________________U

n .

eo E e-SUPPORTING STATEMENT Title 10, Chapter 1. Code of Federal Regulations

'Recordkeeping Requirements Description of the Infomation Collection NRC is revising its record retention periods and, where applicable, establishing specific retention periods.

A. JUSTIFICATION-

1. Need for the Collection of Information. To comply with the Office of Management and Budget's (OMB) regulations, 5 CFR 1320, that require specific retention periods for all recordkeeping requirements, and in

accordance with the NRC 1982 plan for paperwork control, as submitted to.

OMB (Attachment 1), 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 licensees retaining some records unnecessarily as well as

~

indefinitely retaining other records. This request for approval is to rectify the open-ended retention problem and to clarify and standard-

ize other vague recordkeeping requirements.

This information collection impacts all NRC licensees subject to 10 CFR.

The number of_. licensees totals about 9,000. 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.

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.

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 J various retention periods currently assigned and will be applied to any l future recordkeeping requirements defined by NRC to ensure a consis-l: tent framework. Where the proposed retention periods exceed the ,

three-year period nomally approved under the guidelines contained in '

OMB regulations, it has been determined by NRC staff, in consultation with the Nuclear Information and Records Management Association (NIRMA) and the National Archives and Records Administration (NARA),

that the data are directly related to public health and safety.

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Records-identified as requiring retention until temination of the a license'or until the source, device, or container is disposed of must-

_f either be so retained to ensure that the' licensee handles nuclear-material'in a routine manner that protects the public health and safety or to ensure that all issues related to protecting the public health and y

' safety can be properly investigated.and resolved before allowing a licensee to terminate its activities involving nuclear material. , Since the records referred to in sections 60.71(b) and 60.72(a) relate?to the-4 "

permanent disposal of high level nuclear waste and such waste must be 4

. contained for.10,000 years, in order to protect the health and safety of future generations, these records must be retained such that knowledge F ,

of the re::eipt and storage of these wastes.is maintained. .The records referred to in section 71.91(c) must be retained for the life of the

.. packaging to ensure that documentary evidence related to the. quality of P packaging components that supports the conclusion that the public health and safety is being adequately protected is maintained as long as the package can be'used for transporting nuclear material.

L 2. Agency Use of Information. Records must be retained to ensure y compliance with . regulations and to allow verification by NRC of that-compliance.

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3. . Reduction of Burden Through Information Technology. _ There ara no legal. obstacles to reducing the burden; however, the record retained must meet current established standards for retained records..

4. Effort to Identify Duplication. Not applicable for purposes of .;his

h. submittal for DMB review. This is a clarification 'of existing U recordkeeping requirements with a primary objective of decreasing the burden on the licensees by immediately reducing their records holdings and decreasing the retention period for many records that currently have no established retention.

5. Effort to Use Similar Information. Not appitcable.

4 6. Effort to Reduce Small Business Burden. The burden on all licensees will be reduced.

7. Consequences of Less Frequent Collection. Not applicable.

8. ' Circumstances Which Justify Variation from OMB Guidelines. The records contained in 10 CFR will generally be retained 3 years, 5 years, 10 years, or life of the equipment, temination 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.

9. Consultation Outside the NRC. NRC worked directly with the NIRMA and NARA. Assistance was provided in identifying and establishing or modifying retention periods, as well as determining the cost savings to industry.

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10. Confidentiality of Information. Not applicable, licensees maintain their own records.

11. Justification for Sensitive Questions. Not applicable.

12. Estimated Annualized Cost to the Federal Government. The burden associated with identifying the open-ended recordkeeping 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 3,000 hours0 days <br />0 hours <br />0 weeks <br />0 months <br /> of NRC staff time. At an estimated $60.00 per hour, the total estimated cost for effort is

$180,000.

13. Estimate of Burden.

a. If fully implemented throughout the industry, the proposed rule could reduce the recordkeeping burden by an estimated 10% or approximately 466,232 hours0.00269 days <br />0.0644 hours <br />3.835979e-4 weeks <br />8.8276e-5 months <br /> 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 216,232 hours0.00269 days <br />0.0644 hours <br />3.835979e-4 weeks <br />8.8276e-5 months <br /> will be dispersed among the remaining 10 CFR Parts,

b. An estimated annual cost reduction of $27,973,920 (466,232 hours0.00269 days <br />0.0644 hours <br />3.835979e-4 weeks <br />8.8276e-5 months <br /> x $60) would be realized.

14. Reasons for Change in Burden. Record retention periods are being reduced.

15. Publication for Statistical Use. Not applicable.

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jeg UNITED STATES

, NUCLEAR REGULATORY COMMISSION g; wAsmHGTON, D. C. 20555

. . January 26, 1982 Mr. Christopher DeMuth Administrator for Information ,

and Regulatory Affairs '

Office of Management and Budget Washington, D.C. 20503 -

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Dear.Mr. DeMuth:

By letter of October 30, 1981, to Nunzio Palladino, Chairman of the United States Nuclear Regulatory Comission (NRC), you requested the NRC submit to ,

the Office of Man.agement and Budget (OMB) its plans to identify and implement improvements in controlling the paperwork burden imposed on NRC licensees. >

We are pleased to provide you the enclosed descriptions of our plans.

. The NRC has already established several mechanisms.to improve the control of l

j the paperwork burden imposed on NRC licensees. On October 8,1981, the

! Commission established the new position of Deputy Executive Director for l Regional Operations and Generic Requirements. The principal' purpose for .

! establishing the position .is to provide a single agency focal point for

• l controlling generic requirements imposed on, and generic communications with ,

h .NRC licensees, Specifically the Deputy Director for Regional Operations and . {

l Generic Requirements coordinates licensing, inspection and enforcement inter- l

! - actions with licensees by NRC's major offices responsible for.those activities ,

and provides management control of these activities involving Headquarters 7togrammatic offices and Regional operations offices. He also controls the ,

imposition of all generic requirements on licensees includi.ng papemork re-quirements. In. addition, he. server, as Chairman of the Comittee to Review Generic Requirements which is assigned to review generic requirements imposed .

on licensees operating one or more classes of nuclear reactors. A detailed  ;

description of the functions of that Committee is set forth in Enclosure 1.  :

We also have two other efforts in' progress which will improve control 'of l repo.rting and recordkeeping requirements imposed on licensees. These include 3 a review of NRC guidelines for performing a regulatory analysis and the agency's l

rev.iew of existing regulations. These efforts are described in Enclosure 2. -

In addition, our plans include two other projects which will lead to improve- .

ments in the paperwork burden imposed on NRC licensees. First, a review will P be conducted to establish retention periods for these recordkeepi.ng requirements which currently are open-ended. Second, the NRC staff will prepare an NRC manual which will govero the imposition of reporting and recordkeeping require-

' ments on members of the public. A work plan for carrying out these projects is '

described in Enclosure 3.

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'Mr. . Christopher DeMuth

• We feel the appointment of the Deputy Executive Director for Regional Operations and Generic Requirements, the establishment of the Committee to Review Generic Requirements, and the other projects I have described, represent significant efforts to control the paperwor'k burden imposed en licensees. We recognize the need to continue to monitor our efforts and take additional steps when nec ssary. To keep the OMB informed of our efforts to control and monitor paperwork burdens imposed on licensees the NRC will provide the reports listed in Enc 1,osure 4.

Sincerely.

William J. Dircks '

Executive Director. for Operations

Enclosures:

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January 26,~1982 i

l Mr. Christopher DeMuth Administrator for Infonnation .

l and Regulatory Affairs > '

Office of. Management and Budget i

Washington, D.C. 20503 -

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Dear Mr. DeMuth:

By letter of. October 30, 1981, to Nunzio Palladino, Chairman of the' United '

l States Nuclear Regulatory Comission (NRC), you requested the NRC submit to ,

j the Office of Man.agement and Budget (OMB) its plans to identify and implement i

. improvements in; controlling the paperwork. burden imposed on NRC licensees.

L, We are pleased to provide you the' enclosed descriptions of our plans.

. The' NRC' has already established several mechanisms to improve the control of the paperwork-burden imposed on NRC licensees.. On October 8,1981,:the Comission ~ established the new position of Deputy Executive Director for Regional Operations' and Generic. Requirements. The principal' purpose fo r i establishing the position is to provide a single agency focal point for  ;

controlling generic requirements imposed on, and generic communications with

~

s NRC licensees. Specifically the Deputy Director for Regional Operr? ions and .1 l

Generic Requirements coordinates licensing, inspection and enforcement inter- 'l

- actions with licensees by NRC's major offices responsible for.those activities '

and provides management control of these activities involving Headquarters  !

' programmatic offices and Regional operations offices. He also controls the "

i imposition of all generic requirements on licensees including paperwork re-quirements. In. addition, he , serves as Chaiman of the Cnmittee to Review 1 Generic Requirements which is assigned to review generic requirements imposed J on licensees operating'one or more classes of nuclear reactors. A detailed q description of the functions of that Committee is set forth in Enclosure 1.  :

We also have two other efforts in' progress which will improve control of [

reporting and recordkeeping requirements imposed on licensees. These include  :

a. review of NRC guidelines for performing a regulatory analysis and the agency's rev.iew of existing regulations. These efforts are described in Enclosure 2. -

q I

In addition, our plans include two other projects which will lead to improve-ments in_the paperwork burden imposed on NRC licensees. First, a review will H

~~ be conducted to establish retention periods for those recordkeeping requirements

' which currently are open-ended. Second, the NRC staff will prepare an NRC q manual which will govero the imposition of reporting and recordkeeping require- j ments on members of the public. A work plan for carrying out these projects is '

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' described in Enclosure 3.

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'Mr. Christopher DeMuth We feel the appointment of the Deputy Executive Director for Regional Operations and Generic Requirements, the establishment of the Committee to Review Generic Requirements, and the other projects I have described, represent significant efforts to control the paperwork burden imposed on licensees. We recognize the need to continue to monitor our efforts and take additional steps when necessary. To keep the OMB informed of our efforts to control and monitor paperwork burdens imposed on licensees the NRC will provide the reports listed in Enclosure 4.

Sincerely.

William J. Dircks ' '

Executive Director for Operations

Enclosures:

As stated e

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ENCt.0SURE 1, ', , _.

The Comittee to Review Generic Requirements -

The United States Nuclear Regulatory Comission established, effective ' .

November 2,1981, the Comittee to Review Generic Requirements. The objectives of the Comittee are to improve the NRC control over requirements imposed on NRC licensees and to focus priorities of the agency and the nuclear industry on those requirements having the greatest safety significance. The Comittee has the responsibility to recomend to the Executive Director for Operations the.

approval or disapproval of requirements to be imposed on one.or more classes of nuclear reactors, thus serving as a single, agency-wide point of control.

The Comittee will detemine whether or not proposed new requirements will contribute effectively to health and safety or will place an unnecessary burden -

on licensee or agency resources. The Comittee consists of representatives of seven NRC offices, including NRC's four major program offices. It's Chaiman I

is the new Deputy Executive Director for Regional Operations and Generic Require-ments. The Charter of the Com,,ittee prescribing the scope of the Comittee's responsibility and its procedures are now pending Comission review. A copy of the Charter will be sent to you in a few weeks.

As acknowle.dged in OMB's letter of October 30,' 198'1, the NRC h,as taken a mgjor step in contro111ng' reporting and recordkeeping requirements imposed on hcensees in .the establishment of the Comittee to Review Generic Requirements. The Com- '

mittee will review the need and practical utility of all reporting and record-keeping requirements imposed on one or more classes of nuclear reactors. Interim .

procedures and' review criteria have been establ.ished. foC__the _Comittee's review '

of reporting and recordk'eeping requirements (Attached). - i

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, ATTACHMENT T6 ENCLOSURE 1~ '"

INTERIM ".

PROPOSED PROCEDURE FOR THE ASSESSMENT OF REPORTING .

j AND RECORDKEEPING REQUIREMENTS IMPOSED ON LICENSEES .

This p'rocedu'r e applies to all Requests for DMB Clearnance under'the Paperwork '

l Reduction Act which are submitted to CRGR as part of the packagt requesting )

approval to impose a requirement on one'or more classes of reactors'. -

l

1. When a requirement imposes a repor.tingTo'r recordkeeping requirement on -

licensees, the office submitting the package will submit a draft of the OMB Clearance Application required in the memorandum of April 24, 1981 from William J. Dircks. Executive Director for Operations to all Directors regarding the implementation of.the Paperwork Reduction Act. A copy of . ,

the draft OMB Clearance Application shall be ' concurrently furnished to .

the Division of Technical Information Document Contrtil. -

2. The following factors will be considered by the DEDROGR and the CRGR evaluating a proposed reporting or recordkeeping requirements:

(a) Is the reporting or recordkeeping requirement needed (i.e. i .

the best means to achieve a necessary, regulatory objectivef.)14s .

.- (b) Does the information reported or required'to be kept. have .

practical utility, i.e., does the NRC have the capability to use- .

the information in a timely and useful fashion? ,,

'. ,- (c) Is the schedule for imposing the reporting or recordkeeping requirement reasonable?

(d) Is the reporting'or recordkeeping requirement selected the least burdensome method for achieving a necessary regulatory objective

~

(i.e., Does it impose the appropriate degree of formality and detail?).

(e) Does the requir'ement duplicate or overlap requirements imposed by the NRC7 .

(f) Does the requirement duplicate or overlap requirements imposed by '

other government agencies?

l i

l O (g) Was the method used to estimate the hurden adequate?

l .

l (h) Are'the burden estimates reasonable when compared ,with similar requirements previously cleared? -

(i) Is the method proposed for collecting or keeping t'he information consistent with sound record management practices? .

T

(j) 1.s the reco'rd retention period sufficiently definitive and, reasonable? -

(k) Does the requirement adequately identify the records to be maintained and the infomation to be reported? ,

(1) Are NR'C administrative. support requirements sufficient to - '

. manage the information collected? -

(,m)' What is the impact on .the agency's. infomation collection budget?

3. The Office of Administration within five days of the su'bmission of the -

reporting or recordkeeping requirement will provide to DEDROGR a written-

.- assessment of the. factors set forth above in Item 2;

4. DEDROGR will decide which Requests for OMB. Clearance should be submitted . -

for CRGR review. All others will be returned.to ADM for appropriate action'.

,5. For each OMB Clearance Package submitted for the review, the CRGR will

- determine if the proposed reporting'or recordkeeping is needed and has potential utility.

6. The Chairman of the CRGR, once a reporting or recordkeeping requirement is approved, will provide the Office of A& ministration a written.,sgtement of the CRGR decision. *

7. After . concurrence by DEDROGR or approval by CRGR, the Office of N' .

Administration will submit the NRC application to OMB for clearance. -

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ENCLOSURE . 2 i

Agency Projects in Progress Which Affect Control of Reporting and Recordkeeping Requirements

1. Review of Agency Value linoact Guidelines l

l In a March 25, 1981, letter to the Comission, Vice President Bush asked L

that. the Comission comply with the spirit of Executive Order 12291 (the l " Order") and adhere voluntarily to Sections 2 and 3 of the Order. The l response to the Vice President stated the Comissio'n's support for the l

j purposes and objectives of the Order and informed the Vice President I

that the staff would conduct a study to identify particular changes,

!- consistent with NRC responsibilities under the Atomic Energy Act, to -

bring Comission procedures and practices more in line with the spirit of Sections 2 and 3 of the Order.

l To carry out this study, the NRC's Executive Director for Operations on December 7,1981, appointed an agency-wide Task Force to review the agency's Value Impact Guidelines which were adopted in 1978. The objective of the review is to improve the quality and use of analyses within the HRC and to promote consistency with Executive Order 12291.

One of the several principal purposes of the review will be to integrate the analysis of reporting and recordkeeping requirements into the over-l all analyses of substantive relate. regulatory reqtiirements to which these paper-work requirements The integration is expected to result in a H s s more effective analysis of NRC regulatory actions and provide a more effective mechanism for identifying the costs and benefits of imposing requirements. -

• It is another purpose of the Task Force to consider whether more effective institutional mechanisms are needed to assure procedural compliance with the Value Impact / Regulatory Analysis Guidelines and to assure the analyses of both substantive regulatory requirements and reporting and recordkeeping ret;uirements are adequate.

~

The revised Guidelines which will l'e developed by the Task Force is expected to become a princi sal decision docnent for the Comittee to Review -

• Generic Requirements and otler senior NRC managers including the Agency's Senior Official. . -

The revised Guidelines being developed by the Task Force are expected to become effective in April, 1982. A copy of the revised Guidelines, when approved, will be provided to OMB.

2. The Periodic and Systematic Review of Existing Regulations The Commissioners of the United States Nuclear Regulatory Comission, in its' Three Mile Island Action Plan, directed the NRC staff to review all existing NRC regulations over a five-year period. An interoffice Regulations Coordinating Comittee was appointed on September 16, 1980, to coordinate the review. This " Periodic and Systematic Review" establishes a mechanism to identify potential substantive changes to NRC regulations, through O

_ ENCLOSURE 2 - page 2 i analysis of a specific regulation, or through an analysis of several regulations affecting the same topic. The review is designed to evaluate all existing regulations for need, benefit cost, content, quality, clarity and structure.

This " Periodic and Systematic Review of Regulations" is also responsive' to Section 3(i) of Executive Order 12291 which requires Executive Branch agencies to initiate a review of all existing regulations to determine if they satisfy the criteria of the Executive Order, and to section 610 of the Regulatory Flexibility Act (Public Law 96-354) which requires agencies to review the continued need for all regulations which have a significant impact upon a substantial number of small entities. The revised Value Impact / Regulatory Analysis Guidel.ines discussed above are ,

expected also to apply to these reviews of existing regulations. Such I will further the responsiveness of the NRC review to Executive Order 12291. ,

Among the several specific criteria against which the regulations will be reviewed are several which address reporting and recordkeeping requirements. ,

These include (1) whether'the regulatory requirement is needed (?) whether alternative approaches have been considered and, the least burdensome of I

acceptable alternatives has been chosen and (3) an estimate has been made of reporting burdens and recordkeeping requirements necessary to comply with the. regulations. - -

wr Wher'e the review of existing regulations finds reporting o' rrecordkeeping -  !

, requirements which slauld be changed, the NRC will apply to OMB for ,

approval through normal clearance procedures. 0MB will also be notified

! of any previously approved reporting or recordkeeping requirements which

! . are deleted.

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ENCLOSURE 3 Projects to be Undertaken Which Relate Directly to Information Collection Requirements

1. Review of record retention requirements for records reori:"ed to bc inaintained 3 by NRC licensees.

a '. Focus ,

The NRC published a notice in the Federal Register on May 3,1976 (41 FR 18300) which prescribed definite time periods for many of

~ ' the records required to be maintained by licensees. The NRC regulations still contain a number of recordkeeping requirements N for which no definite retention period has been established. The -

purpose of this review is (1) to ,detennine.if those retention periods which have definite time periods established are still valid and (2) to establish, nere possible, definite retention periods which are currently . pen ended. In reaching these decisions,

, the following will be consNered:

1) Is the retention period justified by Regulatory needs?

.; 2) What burden is imposed on licensees as a result of requTring the records to be maintained? * * '

~1 b., Review Product

- Federal Register Notice of a proposed rule identifying and describing the proposed changes to the NRC recordkeeping requirements.

c. ,T,entative Schedule of Milestones and OMB Deliverables i Initiation Date: February,1982.

, Draft Federal Register Notice to the Commission: June,1982.

, Publication of Federal Register Notice: August, 1982.

Federal Notice sent to 0M3: August, 1982.

. Final Rule sent to' OM3: October, 1982. ,

d. Estimated Resources .

12 man months

2. Preparation of NRC Manual Chapter for processirig applications for OMB approval of reporting and recordkeeping requirements. .

a. Focus There are several on-going activities which will affect the preparation of an NRC manual for processing OMB clearance applications. First, the HRC currently uses interim procedures for processing applications for l OMB approval of reporting and recordkeeping requirements imposed on  !

members of the public. These interim procedures were established in a memorandum dated April 24,1981, from William J. Dircks Executive Director for' Operations, to all NRC Office Directors (Enclosure 3). .

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ENCLOSURE 3 .Page 2 Since that time the NRC has developed operating experience applying new guidelines resulting from requirements in the Paperwork Reduction Act. Second, the NRC has pending with OMB an application for approval of an exemption from the requirement to obtain an OMB appro. val of class exemption for an information collection where it is need6d du.e to urgency to protect the public health and safety. Third, a Task Force reviewi.ng the Value Impact / Regulatory Analyses Guidelines of

. the. Agency are addressing the integration of the analyses of reporting .

and recordkeeping requirements with the technical and administrative regulatory requirements to which they relate. .

The results of the OMB consideration of the class exemption, the Task i9

.,- Force review of regulatory analysis guidelines, and knowledge gained from several months of operating experience will provide an adequate -

basis for developi.ng a formal manual addressing policies, procedures, ,

and responsibilities for conducting information collections. The j ,

Manual Chapter will do the following:

! 1) Define the information collections required to be approved 1

by 0 5. . .

2) Assign responsibility for preparing, evaluating and approvi.ng the OMB application.

3) Establish procedures for obta'ining routine OMB approval of v NP.C imposed reporting or recordkeeping requirements and for obtaining an OMB emergency clearance when necessary.

,, 4) Define the contents of the supporting statement which is to be included in the OMB application.

5) Establish the procedures and define the criteria for exempting the imposition of a reporting or recordkeeping requirement due

-==- to the urgency of the need to protect.the public health and safety under the class exemption.

6) Establish procedures for giving notice in an information collection requirement when the requirement opplies to nine or fewer peopic and thus is not subject to OMS clearance.

b. Protiuct -

. NRC Manual Chapter 0230. .

c. Tentative Schedule _ of hilestones and OMB Deliverable _s

~

Initiation Date: March, 1982.

Draft Manual Chapter to NRC Offices for Review: May, 1982.

O ' Panual Chapter to the Executive Director for Operations fo.r Approval: July,1982.

Approved Manual Chapter to OMB

July,1982.

d. Estimated Resources Four(4) man-months.

1 .

4;, . .

ENCLOSURE 4 Periodic NRC Reports to be Provided to the OMB

1. The NRQ Semi-Annual Regulatory Agenda (publish'ed quarterly).- ,

2. The Monthly Report to the Comission of Actions Taken by the Comittee to Review Generic Requirements. -

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MEMORANDUM FOR: Patrici3 G. Norry, Director k.

Office of Administration g

FROM: Jesse L. Funches, Director L Planning and Program Analysis Staff Office of Nuclear Reactor Regulation

SUBJECT:

REQUEST FOR REVIEW AND CONCURRENCE OF PROPOSED RULE *

" RETENTION PERIODS FOR RECORDS"

Reference:

Your memorandum dated March 11, 1986 By the referenced memorandum you requested NRR review and concurrence of the notice and other related documentation for the proposed recordkeeping rule, because the rulemaking package has been revised to reflect comments resulting from program offices' review of CRGR's recommendations of April 17, 1984.

NRR has reviewed the revised proposed rule and recommend the changes reflected l on the enclosed page. NRR concurs in its publication after these clarifying changes have been completed.

esse L. F.unches, Director Planning and Program Analysis Staff Office of Nuclear Reactor Regulation

Enclosure:

Page 4 (markup) cc: w/eaclosure H. Denton D. Eisenhut .

.1

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Enclosure 2 (cont.)

action, which may include shutting down the reaction. The licensee shall notify the Comission, review the ratter, and record the results of the review, including the cause of the condition and the basis for corrective

~

actien taken to preclude recurrence. The licensee shall retain the record of the results of each review until the Comission terminates the license for the reactor except as noted below. For nuclear power reactors licensed under $50.21(b) or $50.22 of this part, the notification to the Coonission shallbeasrequiredby$50.72andaLicenseeEventReportshallbe lbesubmittedtotheCommissionasrequiredby$50.73. Licensees in these casas shall retain the records of the review for a period of one year following issuance of a Licensee Event Report.

1 (B) (No change from current draft)

(2) Limiting conditions for operation. Limiting conditions for operation are the lowes f capability or performance levels of equipment wbm.n2 SAofrt the facility. When a limiting condition for requiredforg operation of a nuclear Peactor is not met, the licensee shall shut down the rcacter or follow any remedial action, such as action statements, required by the technisal specifications until the condition can be met. When a liciting condition for operation of any process step in the system of a fuel reprocessing plant is not met, the licensee shall shut down that part of the operation or follow any remedial action permitted by the technical specifications until the condition can be met. In the case of a nuclear i reactor not licensed under $50.21(b) or $50.22 of this part or a fuel re-

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MEMORANDUM FOR: Patricia G. Norry, Director Office of Administration f-FROM: Harold R. Denton, Director '

Office of Nuclear Reactor Regulation ^2 . ' f-

SUBJECT:

CRGR-RECO M NDED ACTION ON'THE PROPOSED RULE,

" RETENTION PERIODS FOR RECORDS" This memorandum forwards the NRR irput requested a your June 21, 1985, ,

memorandum on the same subject. Each NRR Division has conducted a detailed r: view of Enclosure 2 to your memorandum, which is a working chart of each preposed chaege to recordkeeping requirements in CFR Title 10 Chapter I.

The reselts of our review are documented in Enclosures 1 through 5 to this l memorandum.

l 1

i The most common finding resulting from our review is that NRR, by the nature cf its mission maintain within records. the agency, However, has very(minimal other offices need and i.e. IE, NMSS) for licensees the five to r:gions do require retention of and access to a large quantity of records in crder to conduct compliance inspection and audit activities. Therefore, we would expect most justifications regarding the need to retain records to come from IE, NMSS and the Regional Administrators. It was noted by my l staff that your June 21, 1985 request was not sent to the Regional Administrators. This was brought to the attention of Mr. Philips on your l staff and it is my understanding that regional input has also now been rcquested.

During the course of this review, my staff noted significant deficiencies in 10 CFR 50.36 (Technical Specifications) in terms of recordkeeping and reporting requirements which, if literaily interpreted, could result in a significant burden to licecsees of nuclear power reactors. Enclosure 2 is a discussion of these deficiencies, as we pterceive thee, and a proposed change to the regulatten that we believe will raflect the staff's intent. Mr. R.

H:rnan of my staff has discussed these proposed changes with the appropriate people in IE and AEOD and has sent them information copies of Enclosure 2.

Should you have any questions on the enclosed material, please contact R. Hernan on X24735.

// 0 ~

Harold R. Denton, Director Office of Nuclear Reactor Regulation

Enclosures:

As stated cc: Next Page

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cc: W. Russell T. Speis J. Knight R. Bernero H. Thom> son H. Smitt 4

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% 27 g MEMORANDUM FOR: Steve Scott, Chief Information and Records Management Branch, ADM FROM: R. S. Brown, Jr. , Director Planning and Program Analysis Staff, MSS

SUBJECT:

REVIEW OF PROPOSED RULE " RETENTION PERIODS .

FOR RECORDS" ,'

The MSS staff has reviewed the Federal Register Notice, backfit analysis, supporting statement and other related documentation for the proposed recordkeeping rule in response to the March 1,1986 memorandum from Patricia Norry to' John Davis, same subject as above.

The HMSS comments are enclosed.

R. S. Brown, Jr. , D1 c)or' Planning and Program bialysis Staff, NMSS l

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Enclosure:

As stated ( w CONTACT:

George Gardes 42-74026 f A

NMSS Comnents on'The Proposed Rule

" RETENTION PERIODS FOR RECORD 5" Proposed Rule z

No.- Pale Naumber Coment -

N Reason $'

4 t

1. Page 3 Delete the last sentenc of the first paragraph.' &

Retention periods of QA b records are included in Part 71. Also, it is not

• appropriate to say that as long as industry is .

conforming voluntaril NRC will not include t acf5I

- in a rule. -

2.

,7 Page 21 The retention period in v Section35.27(b)should in the previous review.

• be changed to three years. To conform',to MSS k N

• 3. Page 34 In the last sentence of V . Clarity Section (f), change the last two lines to read

... licensee transfers these records as required by . . . . "

4. Page 38 In.Section 70.24(a)(3),

To conform to NMSS coments last sentence, change "fiv in the previous review.

years" to read "three years." g

5. Page 39 g

Delete words " Commencing.

on. February 9,1983, g Clarity ,J[

o licensees in Regions I and II, and commencing on Oct9ber 1, 1983," in the fy E 9'i last sente:nce of paragraph (d). 4t Tabte of Progsed Changs to Record Retention t Periods.

6. Page 4 In 35.27(b)(1) and (2) To conform to MSS coments change "Five" to "Three" in the previous review.  ;'

under Proposed.

7. Page 7 For both paragraphs 60.71(b) To conform to paragraph (f), '

and 60.72(a) delete the word page 34, proposed rule.

"none" under Ex1 sting and 3 substitute therefore " Retain until Commission Terminates license."

9V CNet Aceto f

j

,, *.- . g_ '

No. Page Number Conment Reason i

8. Page 8 In paragraph 70.24(a)(3), To. conform to MSS coments change "five" to read "three" in the previous review. i under Proposed.

9. -Page 16 For paragraph 73.55(d)(6) To conform to MSS comments g change the_ comment under in the previous review. .

Proposed to read "not necessary."

10. Page 17 For paragraphs 73.70(a),

and Page 18 73.70(b), 73.70(c), 73.70(d), To conform in the previous to MSS comments A' review.

~, 73.70(e), 73.70(f), 73.70(g) and73.70(h)underProposed change "three years" to read "two yea rs." ' -

r

11. Page 19 Under Part/Section/ Record add 'To conform to M SS c$mments "74.11,74.13,'74.13(b)and in previous review.

74.15" to 74.31(a).

12. Page 19 under Part/Section/ Record add To conform to MSS comments' "14.31(b)"to74.31(c). in previous review.

13. Page 19 For Part 74.31(c)(7) change To conform to MSS connents "one year" to read "three in previous review.,

years" under Proposed.

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