RIS 2001-05, Guidance on Submitting Documents to the NRC by Electronic Information Exchange or on Cd Rom

Guidance on Submitting Documents to the NRC by Electronic Information Exchange or on Cd Rom

ML003768343
Person / Time
Issue date:	01/25/2001
From:	Matthews D 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,thepeoplewhowilldigitallysigndocumentsandtransmitthemelectronicallytotheNRCarethesameoneswhodispatchlicensingdocumentsthroughthemails.

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'sproposedapproachtoelectronicsubmissions.

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.govAttachment: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.govAttachment: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