RIS 2001-05, Guidance On Submitting Documents To The NRC By Electronic Information Exchange Or On Cd Rom
| ML003768343 | |
| Person / Time | |
|---|---|
| Issue date: | 01/25/2001 |
| Revision: | 0 |
| From: | Matthews D B Division of Regulatory Improvement Programs |
| To: | |
| Skoczlas j | |
| References | |
| RIS-01-005 | |
| Download: ML003768343 (7) | |
UNITEDSTATESNUCLEARREGULATORYCOMMISSIONOFFICEOFNUCLEARREACTORREGULATIONWASHINGTON,D.C.20555-0001January25,2001NRCREGULATORYISSUESUMMARY2001-05GUIDANCEONSUBMITTINGDOCUMENTSTOTHENRCBYELECTRONICINFORMATIONEXCHANGEORONCD-ROM
ADDRESSEES
AllholdersofoperatinglicensesfornuclearreactorsandallvendorswhoarerequiredtomakesubmittalstotheU.S.NuclearRegulatoryCommission(NRC)pursuanttoPart50ofTitle10of theCodeofFederalRegulations(10CFRPart50),"DomesticLicensingofProductionandUtilizationFacilities."
INTENT
TheNRCisissuingthisRegulatoryIssueSummary(RIS)toinformtheaddresseesthattheymaynowsubmitdocumentstotheNRCovertheInternetbytheelectronicinformation exchange(EIE)processoronCD-ROMiftheyfollowcertainprocedures.Theguidanceherein isapplicabletomostdocumentssubmittedtotheNRCpursuantto10CFRPart50;exceptions arenotedintheBackgrounddiscussion.ThisRISrequiresnospecificactionorwrittenresponseonthepartofaddressees.ElectronicsubmissionofdocumentstotheNRCisstrictlyvoluntary.
BACKGROUND
Under10CFR50.4(c),documentsmaybesubmittedtotheNRCovertheInternetbyEIEoronCD-ROMonlyiftheNRCstaffgrantsacase-specificexceptiontotherequirementthatpaper copiesbefiledwiththeNRC.SinceJune1999,theNRChasbeentestingasystemforsubmittingelectronicdocumentsinasecuremanner.Thesystemhasbeenasuccess.WiththisRIS,theNRCwaivesthe requirementthatlicenseesandvendorsmustreceivecase-by-caseapprovaltosubmit documentstotheNRCelectronicallybyEIEoronCD-ROM.Italsowaivesrequirementsthat multiplecopiesofdocumentsbesubmittedtotheNRC.SubmissionofdocumentstotheNRC byEIEoronCD-ROMisstrictlyvoluntary;addresseesmaycontinuetosubmitpaperdocumentstotheNRC.ML003768343 RIS2001-05Page2of5ThisRISdoesnotincludesubmittalsforadjudicatoryproceedingstotheAtomicSafetyandLicensingBoardPanel,theOfficeoftheSecretary,andtheCommission;thesesubmittalsare governedbytheprovisionsof10CFRPart2andmustbeonpaperunlesstheagencydirects otherwise.ThisRISalsodoesnotapplytoperformanceindicator(PI)datasubmittalsfromoperatingreactorlicensees.TheNRCwilllaterissueaseparateRISonusingEIEtosubmitPIdata.
Untilthen,licenseesshouldcontinuetosubmitPIdatainaccordancewithRIS2000-08,
"VoluntarySubmissionofPerformanceIndicatorData."LaterthisyeartheNRCexpectstoinitiatearulemakingproceedingtoallowalllicensees,vendors,applicants,andmembersofthepublictosubmitanydocumenttotheNRCbyEIEor e-mail,oronCD-ROMordiskette.TheNRCiscurrentlyevaluatingtherequirementsfor transmittingdocumentselectronicallyfromtheNRCtolicensees,vendors,applicants,and membersofthepublic.DISCUSSIONDocuments,otherthanthoseexceptionsmentionedabove,thatinthepastweresubmittedtotheNRConpapermaynowbesubmittedovertheInternetbyEIEoronCD-ROM.Thefollowingisgeneralguidance.DetailedinstructionsonusingEIEtosubmitdocumentsaregivenintheEIEQuickStartGuideandtheEIESubmittalProcedure.Detailedinstructionsfor submittingdocumentsonCD-ROMaregiveninTheCDROMSubmittalProcedure.These documentsareavailablefordownloadingfromtheNRCEIEWebsiteat
<http://www.nrc.gov/NRC/EIE/index.html>andfromADAMSusingAccessionNo.ML003682830.CopiesLicenseesandvendorsarenotrequiredtosubmitmorethanonecopyofanelectronicorpaperdocumenttotheNRC.Electronicsubmittalsneednotbeaccompaniedbyapapercopy.Formats TheacceptableformatsforelectronicsubmittalsarePortableDocumentFormat(PDF)Normal,PDFImageplusHiddenText,ASCII,MultiPageTIFF,WordPerfect,CorelPresentations,QuattroPro,MSWord,Excel,andPowerpoint.Thepreferredformatsare-*PDFImageplusHiddenText*PDFNormal
- MultiPageTIFF RIS2001-05Page3of5Size Documentsthatare15megabytes(MB)orsmallermaybesubmittedusingEIE;largerdocumentsshouldbesubmittedonCD-ROM.Sensitivity DocumentscontainingClassified,Safeguards,orPrivacyinformation,oranyothernonpublicinformation,maynotbesubmittedusingEIE,butmaybesubmittedonCD-ROM.WebBrowsers TheacceptableWebbrowsersareInternetExplorer5.0andlaterversions,andNetscape4.7andlaterversions.DigitalSignatures Thesubmittalformallowsformultipledigitalsignaturesonadocument.RefertotheEIESubmittalProcedureforinstructionsonusingthemultiplesignaturefeature.Eachlicenseemustmakeanauthorizedcertificatelist(ACL)ofthenamesande-mailaddressesofindividualsallowedtosubmitdigitallysigneddocumentstotheNRC.TheACL-
onpaperandsigned-shouldbemailedto:U.S.NuclearRegulatoryCommissionElectronicInformationExchange LicenseRegistrationAuthority(T6-C30)
Washington,DC20555UponreceivingtheACL,theNRCwille-maileachindividualonthelistapersonalidentificationnumber(PIN)touseinapplyingforadigitalcertificate.Thedigitalcertificateauthorizesthe individualtodigitallysigndocumentsandsubmitthemtotheNRCinasecuremanner.The NRCwillsendthePINs3to5daysafterreceivingtheACL.
Addressees
mayaddordelete namesfromtheACLbywritingtheNRC(onpaper)attheaboveaddress.Detailedinstructions foracquiringadigitalcertificatearegivenintheEIESubmittalProcedure.Documentssubmittedelectronicallyneednotbedigitallysignedbytheauthors;theymaybesignedbythepersonwhotransmitsthem,buttheauthorsareaccountableforthecontentof theirdocuments.Generally,thepeoplewhowilldigitallysigndocumentsandtransmitthemelectronicallytotheNRCarethesameoneswhodispatchlicensingdocumentsthroughthemail RIS2001-05Page4of5NRCregulationsrequirethatsomedocumentsbefiledunderoathoraffirmation.Ifsuchdocumentsaretransmittedelectronically,theymustconcludewithastatementtothiseffect:"Ideclareunderpenaltyofperjurythattheforegoingistrueandcorrecttothebestofmyknowledge.Executedon[date]".Theelectronicdocumentmustbedigitallysignedbythepersonaffirmingthisstatement.ThispersonmaythentransmitthedocumentdirectlytotheNRCusingEIEormayforwardthe documenttosomeoneelsefortransmissiontotheNRC.Inthelattercase,thetransmittertoo mustdigitallysignthedocument.IfadocumentfiledunderoathissubmittedonCD-ROM,thecoverlettermustincludetheabovestatementandthesignatureofthepersonswearingtotheaccuracyoftheinformation submitted.DocumentstransmittedtotheNRCelectronicallyusingEIEwillbetime-anddate-stampedwhenthelastbitofthetransmittalisreceivedbytheEIEserver.Thetimeanddateofthe transmissionwillbecomepartoftherecordintheNRCAgencywideDocumentsAccessand ManagementSystem(ADAMS).Thetransmitterwillbee-mailedanoticeofreceiptofthe document.ThenoticewillincludethetimeanddatethetransmissionwasreceivedattheNRC.CD-ROMsmustbeaccompaniedbyacoverletter.CD-ROMswillbedate-stampedbytheNRCinthesamewayasdocumentsreceivedviathemails.Thesenderwillnotbee-mailedanotice ofreceiptofaCD-ROM.TheagencywillenterthecoverletterintoADAMS.Dependingonthe sizeofthedocumentonaCD-ROM,theagencywilleitherentertheentiredocumentinto ADAMSoradescriptionofthedocument.TheNRCmayinthefutureissueguidanceonformattingdocumentssubmittedonCD-ROM(filestructure,versionrequirements,linkswithinandbetweendocuments,requirementsfor searchengines,softwarelicensing,etc.).BACKFITDISCUSSIONThisRISrequiresnoactionorwrittenresponse.SubmissionofdocumentstotheNRCbyEIEoronCD-ROMinaccordancewiththeguidanceofthisRISisstrictlyvoluntaryand,therefore,is notabackfitunder10CFR50.109.Consequently,thestaffdidnotperformabackfitanalysis.FEDERALREGISTERNOTIFICATIONAnoticeofopportunityforpubliccommentonthisRISwasnotpublishedintheFederalRegisterbecausetheNRChasworkedcloselywithNEI,industryrepresentatives,andmembersofthepubliconthedevelopmentofNRC'selectronicinformationexchangeprocess.
Theforthcomingrulemakingproceedingwillgivemembersofthepublicanotheropportunityto commentonNRC'sproposedapproachtoelectronicsubmission RIS2001-05Page5of5PAPERWORKREDUCTIONACTSTATEMENTThisRISdoesnotrequestanyinformationcollection.IfyouhaveanyquestionsaboutthisRIS,pleasecontactoneofthepersonslistedbelow./RA/DavidB.Matthews,DirectorDivisionofRegulatoryImprovementPrograms OfficeofNuclearReactorRegulationContacts:PattyNibert,OCIOJohnSkoczlas,OCIOLocalRegistrationAuthorityEIEProjectManager (301)415-6030(301)415-7186 E-mail:pgn1@nrc.govE-mail:jas1@nrc.gov
Attachment:
ListofRecentlyIssuedNRCRegulatoryIssueSummaries RIS2001-05Page5of5PAPERWORKREDUCTIONACTSTATEMENTThisRISdoesnotrequestanyinformationcollection.IfyouhaveanyquestionsaboutthisRIS,pleasecontactoneofthepersonslistedbelow./RA/DavidB.Matthews,DirectorDivisionofRegulatoryImprovementPrograms OfficeofNuclearReactorRegulationContacts:PattyNibert,OCIOJohnSkoczlas,OCIOLocalRegistrationAuthorityEIEProjectManager (301)415-6030(301)415-7186 E-mail:pgn1@nrc.govE-mail:jas1@nrc.gov
Attachment:
ListofRecentlyIssuedNRCRegulatoryIssueSummariesAccessionNo.:ML003768343TemplateNo.:NRR-052*SeepreviousconcurrenceToreceiveacopyofthisdocument,indicateintheboxC=Copyw/oattachment/enclosureE=Copywithattachment/enclosureN=NocopyOFFICEIMT:OCIOTechEdAD:OCIOOGCC:PMASNAMEJSkoczlasPKleene*SReiter*TRothschild*LBarnett*
DATE11/16/0011/02/0012/08/0012/11/0012/02/00OFFICED:DLPMREXB:DRIPC:REXB:DRIPD:DRIPNAMEJZwolinski*JShapakerENFfor*LMarsh*DMatthews DATE01/08/0101/10/0101/19/011/25/01OFFICIALRECORDCOPY
______________________________________________________________________________________OL=OperatingLicense CP=ConstructionPermitAttachmentRIS2001-05 Page1of1LISTOFRECENTLYISSUEDNRCREGULATORYISSUESUMMARIES_____________________________________________________________________________________RegulatoryIssueDateofSummaryNo.SubjectIssuanceIssuedto____________________________________________________________________________________2001-04IssuanceofUpdatedGuidanceontheTransferofOwnershipor ControlofLicensedActivities (NUREG-1556,Volume1501/24/01Allmaterialandfuelcyclelicense2001-03Changes,Tests,andExperiments01/23/01AllU.S.NRCPart50andPart72licenseesandPart72Certificate ofComplianceholders2001-02GuidanceonRisk-InformedDecisionmakinginLicense AmendmentReviews01/18/01Allholdersofoperatinglicensesfornuclearpowerreactors,except thosewhohavepermanently ceasedoperationsandhave certifiedthatfuelhasbeen permanentlyremovedfromthe reactorvessel.2001-01EligibilityofOperatorLicenseApplicants01/18/01Allholdersofoperatinglicensesfornuclearpowerreactors,except thosewhohavepermanently ceasedoperationsandhave certifiedthatfuelhasbeen permanentlyremovedfromthe reactorvessel.2000-25PotentialDeficiencyinQualificationofOkoniteSingle- ConductorElectricalControl Cables12/26/00AllholdersofOLsforpressurized-waterreactors(PWRs),except thosewhohavepermanently ceasedoperationsandhave certifiedthatfuelhavebeen permanentlyremovedfromthe reactorvessel2000-24ConcernsaboutOffsitePowerVoltageInadequaciesandGrid ReliabilityChallengesDueto IndustryDeregulation12/21/00AllholdersofOLsforpressurized-waterreactors(PWRs),except thosewhohavepermanently ceasedoperationsandhave certifiedthatfuelhavebeen permanentlyremovedfromthe reactorvessel